RFS 9-XX
State of IndianaOffice of Early Childhood and Out-of- School Learning (OECOSL)RFP 19-063 – Addendum #2Technical Assistance (TA) ServicesAttachment H – Scope of Work TOC \o "1-3" \h \z \u I. Introduction PAGEREF _Toc532822920 \h 2II. OECOSL/PTQ Background PAGEREF _Toc532822921 \h 2III. Tiered Levels of TA Background PAGEREF _Toc532822922 \h 3IV. Program Self-Assessment PAGEREF _Toc532822923 \h 5V. TA Services Requirements and Responsibilities for All Three Tiers PAGEREF _Toc532822924 \h 6VI. Tier 1 TA Services Requirements and Responsibilities PAGEREF _Toc532822925 \h 8VII. Tier 2 TA Services Requirements and Responsibilities PAGEREF _Toc532822926 \h 9VIII. Tier 3 TA Services Requirements and Responsibilities PAGEREF _Toc532822927 \h 10IX. TA Policy and Procedures Manual PAGEREF _Toc532822928 \h 11X. Customer Satisfaction and Complaint Reporting PAGEREF _Toc532822929 \h 111.Customer Satisfaction PAGEREF _Toc532822930 \h plaints PAGEREF _Toc532822931 \h 11XI. Progress Reporting PAGEREF _Toc532822932 \h 12XII. Technology and Data/Records Retention Requirements PAGEREF _Toc532822933 \h 13XIII. Administration and Office Requirements and Responsibilities PAGEREF _Toc532822934 \h 131.Program Administration PAGEREF _Toc532822935 \h 132.Office Location PAGEREF _Toc532822936 \h 14XIV. Staffing PAGEREF _Toc532822937 \h 141.TA Project Director PAGEREF _Toc532822938 \h 142.TA Staff Requirements PAGEREF _Toc532822939 \h 143.Support Staff PAGEREF _Toc532822940 \h 154.Staff Training PAGEREF _Toc532822941 \h 155.Staff Replacement PAGEREF _Toc532822942 \h 166.Staffing Plan PAGEREF _Toc532822943 \h 16XV. Implementation and Transition Requirements PAGEREF _Toc532822944 \h 161.Implementation Phase Requirements and Responsibilities PAGEREF _Toc532822945 \h 162.End of Contract Transition Requirements and Responsibilities PAGEREF _Toc532822946 \h 17XVI. Billing and Invoicing PAGEREF _Toc532822947 \h 19XVII. Performance Measures PAGEREF _Toc532822948 \h 19XVIII. Corrective Actions and Payment Withholds PAGEREF _Toc532822949 \h 201.Corrective Actions PAGEREF _Toc532822950 \h 202.Payment Withholds PAGEREF _Toc532822951 \h 21I. IntroductionThe Family and Social Services Administration (FSSA), Office of Early Childhood and Out of School Learning (OECOSL) is seeking to identify a Contractor that can perform Technical Assistance (TA) services for the State of Indiana’s early childhood care and education programs. TA services will be available generally to all of the State’s early childhood care and education programs, but also specifically for those navigating the Paths to QUALITY (PTQ) program. This RFP includes a transition from the current practice of TA provision by local Child Care Resource and Referral (CCR&R) agencies and other contractors providing financial and technical support for the professional development of early childhood programs, to a single Contractor that will organize and provide all TA support through a tiered approach as described further in Section III. The Contractor that provides TA services will support early childhood programs in meeting regulatory requirements, as well as improving their own individual development paths. Key services required for this Contract include providing a process for Self-Assessment and identification of programs’ TA needs, providing TA staff to help programs complete the Self-Assessment and address any other needs, developing a training approach that ensures that the staff are knowledgeable in their job functions, providing TA to early childhood programs to ensure they meet the standards outlined by OECOSL, and creating a process of TA services that demonstrates reliability amongst coaches and other TA staff. In addition, collaboration with OECOSL in the development, updating, and implementing of policies and procedures related to TA services will be necessary.II. OECOSL/PTQ BackgroundThe mission of OECOSL is to provide parents with informed early childhood care and education choices that will aid their children’s development and future success in school. In an effort to provide parents with rating information on early childhood programs, the State of Indiana implemented PTQ, a voluntary program open to all regulated early childhood programs. The PTQ program’s goals are to assist parents in locating quality early childhood programs and to improve the overall level of early childhood care and education in the State. The role of the Contractor is to help early childhood programs navigate the PTQ program through TA services. PTQ is a four-level system where each level builds on the foundation of the previous one, resulting in significant quality improvements at each stage and resulting in national accreditation at the highest level. The four levels in the PTQ program are defined as follows:Level 1: Programs demonstrate that the health and safety needs of children are being met. Homes and centers must have a current State license; ministries must meet Voluntary Certification Program (VCP) standards. Programs must meet either licensure, ministry registration with VCP standards, or Legally Licensed Exempt Certification (LLEC) for public schools and non-public schools.Level 2: Programs must demonstrate that they provide an environment that promotes learning. This can be achieved through ongoing staff training and professional development, creation and use of learning centers, maintaining a consistent daily schedule, and planning daily activities for the children.Level 3: Programs have planned curricula that guide child development and promote school readiness. These programs have made significant investments in professional development and incorporate staff and family input into their programs.Level 4: To achieve the highest quality rating, programs must receive national accreditation from an accrediting body approved by OECOSL and all other level standards. The following early childhood programs are eligible to participate in PTQ: Licensed Early Childhood Homes - Residential structures in which at least six children, excluding the program’s children, receive care for regular compensation for more than four hours but less than twenty-four hours in each of ten consecutive business days.Licensed Early Childhood Centers - Nonresidential buildings in which at least one (1) child receives care for regular compensation for more than four hours but less than twenty-four hours in each of ten consecutive business days. Some public schools may be included in this category based on their PTQ registration and licensing.Unlicensed Certified Early Childhood Ministries - Operated by a church or other religious organization that is exempt from federal taxes. Certain unlicensed ministries must pass an additional on-site inspection to be eligible for Child Care and Development Fund (CCDF) vouchers, which is a requirement to participating in PTQ. Some non-public schools may be included in this category based on their PTQ registration and licensing.Legally Licensed Exempt Programs (LLEP) Public Schools and Non-Public Schools – Public or non-public schools which achieve the CCDF Provider Eligibility Standards (PES) certification. When a program becomes LLEP certified, they may be eligible to participle in PTQ.As of October 2018, the State of Indiana served 2,841 early childhood programs enrolled in PTQ (Homes 1,835, Centers 662, Ministries 183, and LLEP 161). The number of early childhood programs enrolled in PTQ is anticipated to increase by 8%-10% each year. Please see Attachment J for more information on the early childhood programs enrolled in PTQ. For more information on the PTQ program itself, visit State expects to make adjustments to its PTQ rating system and implement a PTQ 2.0 rating system by the end of 2020. The Contractor shall work with the State to adjust its operations to meet the needs of PTQ 2.0, if necessary. Pricing under this Contract shall remain consistent and unchanged after the transition to PTQ 2.0 occurs. The Contractor shall provide assistance as needed to OECOSL during PTQ 2.0 implementation. III. Tiered Levels of TA BackgroundThe Tiered Levels of Technical Assistance (TA) is a three-tier approach to support early childhood programs, including specialized TA support and PTQ coaching, both onsite and offsite to programs across the quality continuum from pre-licensure and enrollment in PTQ through Level 4 and accreditation. This support includes engaging the four program categories listed in Section II in activities that enable them to join and advance within PTQ. The approach begins with high-quality universal TA and instruction available to all early childhood programs. Within the three tiers, programs are provided with supports and TA at increasing levels of intensity, based on their needs. These services may be provided by a variety of personnel, and in different modalities. Decisions about the intensity and duration of supports are based on individual programs, their needs, and their response to the pace in achieving their desired outcomes. Movement between the tiers is fluid and access to supports can change as the needs of a program changes. No matter what tiered level a program is placed in, programs may always access Tier 1 supports. The Tiered Levels of Technical Assistance implementation includes the following essential components:TA supports are to be delivered utilizing high-quality, research-based practices that align with Indiana’s comprehensive statewide professional development framework as outlined in Indiana’s Core Knowledge and Competencies (CKC) for Early Childhood, School-Age and Youth Professionals, which can be found in Attachment J.TA shall include facilitating programs’ ongoing Self-Assessments (see Section IV), monitoring programs’ progress, and collecting information about a program’s readiness to change, their ability to meet PTQ standards, the outcomes of the children they serve, and their allocation of resources.Collected data may then be used when determining the allocation of TA supports, including the intensity, frequency, and type of support to be offered.A multi-tier approach is used to efficiently differentiate support for programs. The model incorporates increasing intensities of research-based supports matched to program’s needs.Each of the Tiered Levels of Technical Assistance is addressed below:Tier 1 – Universal SupportsWithin Tier 1, all programs have access to and may receive high-quality universal TA and instruction using research-based supports. Supports include evaluating programs to identify their needs, program development, and group supports. Data from the licensing and PTQ system may be utilized on a periodic basis to establish program needs and to identify which programs may need additional support.Tier 2 – Targeted SupportsWithin Tier 2, supports are provided either to programs that choose to move beyond the basic requirements and need assistance with meeting those standards, or to those for which Tier 1 supports did not allow them to obtain/maintain basic regulatory compliance. These programs may be provided increasingly intensive supports to match their needs. These services and supports are generally provided in small group settings or in learning communities. Intensity varies across group size, frequency and duration of support, and level of training of the professionals providing instruction or intervention. Programs may also receive referrals to specialized outside supports and resources, such as those available through Federal TA entities, Child Care Aware, and the Indiana Institute on Disability and Community (IIDC), among others.Tier 3 – Intensive SupportsWithin Tier 3, programs receive high-quality individualized, intensive supports in the area of evaluation and creating change where growth is desired. Individualized supports are typically delivered either face-to-face or through distance solutions, such as the use of phone, video, or online communication. Programs may also be referred for a comprehensive evaluation in specific areas of needed growth. Programs may be provided with additional referrals and supports to supplement growth.IV. Program Self-Assessment The first step in determining the type of support a program needs is the completion of the Self-Assessment. The Self-Assessment is a tool that programs use to assess their own needs for TA support. The Contractor then uses the results of the Self-Assessment to help make decisions on providing supports. The requirements for the Self-Assessment are as follows:The Contractor shall develop a Self-Assessment to be used by programs in the determination and allocation of TA supports in accordance with OECOSL policy. The Contractor shall submit an initial draft of its Self-Assessment to OECOSL for approval within thirty (30) days of the Contract start date. In addition to the Self-Assessment draft, the Contractor shall submit to the State the research that they have leveraged to create this draft, including information on best practices and detail on how to conduct self-assessments. After the Contractor receives feedback on their initial draft, they have another thirty (30) days to revise the Self-Assessment before the final version is due to the State.The Contractor shall ensure the Self-Assessment is multifaceted and meets the following criteria:Customizable to the program type (Licensed Home, Licensed Center, Certified Ministry, LLEP) and PTQ level, as programs shall be able to take assessments that meet their own program’s needs.Provide indicators of readiness of program change, at a minimum, in the areas of:Commitment (motivation)Organizational Capacity CapabilityCultureIndicate program needs in the areas linked, at a minimum, to the seven content knowledge areas:Child and Youth Growth and Development Health, Safety, and Nutrition Observation and Assessment Learning Environment and Curriculum Family and Community Engagement Leadership and Professionalism Organizational Development and AdministrationAllow programs to take assessments across a continuum of time and growth while not repeating sections of the survey that they have already completed. Meet the needs of programs as they grow over time.Available to programs in the State approved electronic format on an ongoing basis, providing additional feedback or information.Provide individual results for programs as well as results to a larger global picture of resource needs for the system.The Contractor shall ensure the Self-Assessment generates, at a minimum, the following:Indicators for readiness to change Indicators for distribution of TA resources within the Tiered Levels of Technical AssistanceSuggestions for areas of growth or best practice directly related to assessment resultsAn offer of additional assistance if specific criteria are metNotification to the Contractor when the early childhood program desires assistance Reports showing progress for PTQ readinessOffer for resources related to areas where growth was desiredNote: resources may not be paid resources, but may be resources outside of the early childhood education (ECE) system or suggestions for TA or trainingReferrals to outside entities if a referral is indicatedThe Contractor shall ensure the Self-Assessment measures the following:Readiness to changePTQ readinessAssessment of child outcomes/best practicesAllocation of resourcesThe Contractor shall ensure the Self-Assessment is available in the State approved electronic, easy to use format. Initially the State expects that this format may be through email, though it may eventually move onto an online portal as OECOSL implements new technology capabilities.V. TA Services Requirements and Responsibilities for All Three TiersWhile there are three separate tiers of support, as described in Section IIIIV, there are certain TA services that will be provided to all programs, regardless of their tier. These service requirements are as follows:The Contractor shall assist OECOSL in building integrated quality early childhood programs and systems that help programs move through the PTQ system.The Contractor shall collaborate with early childhood partners, including, but not limited, to:Indiana Youth Institute (IYI)Indiana Afterschool Network (IAN)First StepsIndiana Association for the Education of Young Children (IAEYC)Indiana State Department of Health (ISDH)Indiana Head Start Association (IHSA)Indiana Early Learning Advisory Committee (ELAC)The Contractor shall identify resources within and outside of the early childhood care and education field that may be beneficial in the support of programs.The Contractor shall identify, collect, and maintain an inventory of best practices and resources being utilized/implemented throughout the State to support early childhood care and education opportunities and growth.The Contractor shall identify resources and training beyond early childhood care and education that support families and early childhood development, including but not limited to: Part B (preschool special education) referral and service information Part C (early intervention) referral and service information Home visiting programsHead Start and early Head StartWomen, Infants and Children (WIC), Maternal and Child Health (MCH), and Children’s Special Health Care NeedsHealthy Indiana Plan (HIP) and Children’s Health Insurance Program (CHIP) Local community family support programsThe Contractor shall complete a statewide TA Needs Assessment annually and develop a TA Program Improvement Plan based upon the results.In addition to the annual assessment, the Contractor shall report quarterly TA common needs, trends, best practices, latest research, data from the TA Program Improvement Plan, and feedback from the programs participating in PTQ and those receiving TA services. The Contractor shall conduct semi-annual program meetings based upon common needs and challenges so that programs can learn from each other while also developing an increased consistency across programs. This is an opportunity to keep programs that have received a PTQ rating involved with the PTQ process.The Contractor shall implement program-to-program networking tools to facilitate communities of practice and learning through technology.The Contractor shall conduct onsite visits with program staff to review and approve the individual program’s Program Development Plan created based on the results of their Self-Assessment, identify program strengths, resources, barriers, needs, and assess a program’s rating readiness. The visit should also involve the review of documentation.The Contractor shall assist programs with identifying community resources and/or materials that can be provided to parents. The resources should include at a minimum:School based resources and direct service resources that promote child/family safety, health and stability.Facilitation of one community-wide family engagement activity for early care and education programs.The Contractor shall collaborate with the Indiana Learning Paths contractor to ensure that there is accessibility to training modules to populate the early learning menu.The Contractor shall develop new or identify existing trainings that will populate the early learning menu. The Contractor shall create TA tools/resource kits to support program planning, movement of programs through the various levels of PTQ, and strategic decision making.The Contractor shall ensure that resource kits contain materials such as sample policies, daily child observation forms, parent communication forms, and information on research based developmental screening tools.The Contractor shall develop a TA Protocol that consists of observation of the Technical Assistance Specialists and a mechanism for soliciting feedback from the leaders of early childhood programs, including, but not limited to, directors and school principals. Feedback from these leaders should be obtained at each milestone (Self-Assessment, quality improvement planning, and implementation of quality improvement phase) of the TA relationship.The Contractor shall implement quality assurance practices to ensure inter-coach/staff reliability.VI. Tier 1 TA Services Requirements and ResponsibilitiesWithin Tier 1, all programs have access to and may receive high-quality universal TA and instruction using research-based supports. The Contractor shall provide the following universal supports to all early childhood programs within Tier 1:Provide basic TA to support the introductory level of CKC, which is defined as the first two levels of Bloom’s Taxonomy: Remembering and Understanding. For more information on CKC and Bloom’s Taxonomy, please refer to Attachment J.Ensure program accessibility to core training to meet the minimum regulatory requirements including, but not limited to, the following:Orientation TrainingsHealth and Safety modulesThe basics of child development Child Protective Services training modulesProgram Development Plan expectationsSupport programs in completing the Self-Assessment.Facilitate group supports, such as those mentioned in Section V.F-G.Utilize data from the licensing and PTQ system when necessary in order to determine specific program needs and to identify which programs may need additional support. Operate a mechanism like a help desk or universal helpline to answer general program questions. For more information on help desk requirements, please refer to Section XIII.VII. Tier 2 TA Services Requirements and ResponsibilitiesWithin Tier 2, supports are provided either to programs that choose to move beyond the basic requirements and need assistance with meeting those standards, or to those for which Tier 1 supports did not allow them to obtain/maintain basic regulatory compliance. The Contractor shall provide the following targeted supports to all early childhood programs within Tier 2:Provide targeted TA to support the intermediate level of CKC, which is defined as the third and fourth levels of Bloom’s Taxonomy: Applying and Analyzing. For more information on CKC and Bloom’s Taxonomy, please refer to Attachment J. Provide short-term (typically less than 3 months) support to programs based on the Self-Assessment. Support programs in completing the Self-Assessment.Provide TA tools/resource kits to support program planning based on the program’s Self-Assessment.The Contractor shall not provide targeted supports for extensive periods of time. If a program does require continuous supports at the targeted level for more than a 3-month period, the Contractor shall notify OECOSL. Provide differentiated training/TA to programs.Utilize informal assessment activities that provide program information on classroom settings, teacher strengths, and areas of growth including teacher and child interactions, classroom instruction, and classroom management in order to collect data to improve the overall experience of the child.Implement data collection methods including, but not limited to:Functional behavioral tracking and analysis.Behavioral support plans that assist children in being successful and allows for data collection to support the prevention of suspension and expulsion.Develop and facilitate small group learning environments, including peer-to-peer opportunities.Provide individualized support to non-compliant programs in developing a Quality Improvement Plan, including the identification of additional resources outside of the early education arena.Refer programs to specialized outside supports and resources, such as those available through Federal TA entities, Child Care Aware, and the Indiana Institute on Disability and Community (IIDC), among others.Provide TA through distance solutions, including, but not limited to, video call services.VIII. Tier 3 TA Services Requirements and Responsibilities Within Tier 3, programs receive high-quality individualized, intensive supports in their areas of need leading to change and growth where desired. Individualized supports are typically delivered either face-to-face or through distance solutions, such as the use of phone, video, or online communication. It is expected that approximately 10% of programs will fall into this tier. The Contractor shall provide the following intensive supports to all early childhood programs within Tier 3:Provide intensive TA supporting the advanced level of CKC, which is defined as the last two levels of Bloom’s Taxonomy: Evaluating and Creating. For more information on CKC and Bloom’s Taxonomy, please refer to Attachment J. Provide intensive TA and support to ensure growth and development of the program in specific areas as identified within the Self-Assessment.Support programs in completing the Self-Assessment.Provide TA tools/resource kits to support program planning based on the program’s Self-Assessment.Intensive supports shall not be delivered to more than 10% of all programs at any given time. Exceeding the 10% threshold requires written permission of the OECOSL.Intensive supports shall not be provided for extensive periods of time. The Contractor shall notify OECOSL if a program requires continuous supports at the intensive level for more than a 9 month period.Provide TA in the identification and exploration of specialty assessments that support the learning environment, or an individual child, to ensure that all children have equitable access to a safe learning environment. Specialty assessments are generally provided when other interventions have not been successful and experts in a specific area needed for consultation. Identify and implement assessment tools that the Contractor might use to complete program-specific assessments to gauge the environment of the classroom and teachers’ interactions with children. Provide individualized support to non-compliant programs in developing a Quality Improvement Plan, including the identification of additional resources outside of the early education arena.Provide progress evaluations of programs and the children that they serve by training them on how to collect data, set goals, and measure program performance as a whole, including the performance of their staff (e.g. retention, absences, achievements). These evaluations and progress tracking will help programs determine if they are making improvements over time.Provide comprehensive evaluations in specific areas of needed growth, as well as additional referrals and supports to supplement growth when necessary.IX. TA Policy and Procedures ManualThe Contractor, in collaboration with the State, shall develop a policies and procedures manual to guide the provision of all TA services. The Contractor shall develop a manual, subject to State approval, containing written documentation of its policies and procedures regarding the delivery of TA and support. This manual, though specific to TA policies and procedures, shall align with OECOSL’s Policy Keystone document. The manual that the Contractor creates must include, at a minimum, policies and procedures for the following components.Evaluating staff compliance with all requirements.Provision of TA and supports at all three tiers.Process for identifying and making recommendations for the delivery of the supports provided by the TA system.Procedures for accepting and handling referrals of programs to other supports.Process for the identification and making recommendations for system improvements and communication of those recommendations to OECOSL.Implementing staff changes.Updating the manual with any approved changes from municating any updates to stakeholders.The Contractor shall submit its TA policy and procedures manual to OECOSL for approval within thirty (30) days of the Contract start date. If OECOSL suggests updates to this manual, the Contractor shall submit a revised version of its TA policy and procedures manual no later than fifteen (15) calendar days after this suggestion is received. X. Customer Satisfaction and Complaint ReportingThe Contractor shall implement and maintain systems to ensure customer satisfaction and immediate complaint reporting.Customer SatisfactionThe Contractor shall develop a method for determining customer satisfaction from early childhood programs to be issued following provision of TA supports. The methodology for determining customer satisfaction shall be submitted to the State for approval at the start of the Contract. The Contractor shall develop a method for reporting customer satisfaction to OECOSL. The reporting shall include information on individual programs as well as higher level plaintsThe Contractor shall implement a comprehensive, accurate, efficient, and timely system and process for logging, tracking, and reporting to the State all verbal and written complaints received by, or referred to, the Contractor from any source. The process shall be submitted to the State for approval at the start of the Contract.The Contractor shall ensure all complaints are responded to within one (1) business day. The Contractor shall use this system to facilitate and document timely follow-up by the Contractor in the resolution of complaints and to generate statistical reports on the complaints, complaint patterns, and their resolutions. The Contractor shall draft thorough and accurate written responses to all inquiries, regardless of source, pertaining to Contractor operations or performance, as directed by the State.The Contractor shall ensure its complaint tracking system includes immediate notification to OECOSL. The Contractor shall also notify OECOSL of the complaint’s final status as soon as it has been resolved and include this information in its monthly report to OECOSL.XI. Progress Reporting The Contractor shall measure and report to the State the progress on the delivery of TA supports to early childhood programs. The Contractor must propose a method of how it will track these programs’ progress following the provision of TA. The Contractor shall produce all required State reports within required timeframes. Required reports and contents may change at the State’s discretion. These reports should include, but are not limited to, the following:Monthly TA tracking reports that include, but are not limited to, the following:Progress and resultsNumber of days from identification of TA needs, to scheduling the TA, to provision of the TA supportParticipation percentage by program typeTA tasks assigned to and completed by TA staff (caseloads for each staff member)Time to complete TA tasks based on programs’ tier and PTQ levelCommon barriers to successful delivery of TAQuarterly inter-coach/staff reliability reportsQuarterly reports on unmet needs by program and program typeMonthly service provision reports by service area, program type (Licensed Home, Licensed Center, Certified Ministry, LLEP), tier of support, and staff member, including:Numbers servedServices providedTA requests (include categories of requests)Semi-annual analysis of program and system data, broken down by geographic region, that is collected through the statewide needs assessments completed by the local CCR&R Agencies for the following: Family SurveysEarly Childhood Program Director SurveyEvaluation of Early Childhood Training and Needs The Contractor shall respond to any ad-hoc reporting request made by the State within ten (10) business days of receipt of written request for data.XII. Technology and Data/Records Retention Requirements TechnologyThe Contractor shall utilize CCIS (which may be replaced by Ascend) and any other technologies made available by OECOSL including the State-provided Wireless Webform technology, which may be later replaced by eXpedite, to access and record information related to TA supports and assessments. The Contractor shall provide all technology (hardware, software, communications links, etc.) for Contractor staff to connect with and utilize CCIS (and potentially, Ascend) or other OECOSL technologies, and meet the requirements set forth in this Contract. Data/Records RetentionThe Contractor shall develop, maintain, and provide access to records as needed by the State to monitor the performance requirements and standards included in this Contract. The Contractor shall develop procedures, including schedules, to ensure that data to support operations is properly and routinely purged, archived, and protected from loss, unauthorized access, or destruction. These procedures must be submitted to the State for review and approval. Purged data shall be retained on a State-approved electronic storage medium and be available to State staff. XIII. Administration and Office Requirements and ResponsibilitiesThe Contractor shall maintain effective and efficient administration of their program, including meeting all office requirements and responsibilities. Program AdministrationThe Contractor shall create and receive OECOSL approval on a communication plan which outlines the processes for sharing information with OECOSL.The Contractor shall ensure that business operations personnel are accessible to program stakeholders through a toll-free telephone line and email address Monday through Friday from 8:00 am to 5:00 pm, Eastern Time, excluding State holidays.The Contractor shall notify the State immediately via telephone or email when problems that may affect Contract performance are identified. Within one (1) business day following discovery of the problem, the Contractor shall submit a more thorough description of each problem and its expected impact on ongoing operations, produce a response plan as necessary, describe the potential impact of the plan on program operations and other Contractors, and provide an estimate of the time required to resolve the problem.The Contractor shall be able to accommodate culturally diverse populations, including early childhood programs with language barriers and persons with disabilities.The Contractor shall have the resources available for TA services to non-English speaking programs.The Contractor shall attend monthly meetings or as otherwise requested by the State to discuss Contractor performance, reports, policy changes, or recommendations for improvement. Office Location The Contractor shall have frequent in-person contact with the State. In order to facilitate effective communication and provision of services, the Contractor shall have a physical presence in Indianapolis, though their central office may be located elsewhere.In addition to a central office the Contractor is required to have a regional presence throughout the state. The location and number of regional satellite offices shall be determined by the Contractor and confirmed by the State.XIV. StaffingThe Contractor shall provide staff to meet all requirements of this Contract, including meeting the requirements listed below:TA Project DirectorThe Contractor shall employ a TA Project Director as the key project supervisor and main point of contact for the State. Any redirection of the TA Project Director (e.g., to assist another client), either temporarily or permanently, requires written OECOSL approval. The TA Project Director shall meet the following minimum qualifications.Master’s degree in child development or related field, though a PhD is preferred5-10 years of experience in related fieldExperience with data analyticsExperience as a Principal Investigator for a published research project preferred The TA Project Director is subject to approval by the State; the Contractor may not make any permanent or temporary changes to this position without the State’s prior written approval, unless the TA Project Director terminates employment with the Contractor. In this case, the Contractor shall promptly submit the resume and references for a proposed replacement and obtain State approval prior to placing the replacement TA Project Director on the Indiana project team. Whenever possible, this resume review and approval process shall begin before the TA Project Director departs. TA Staff RequirementsThe Contractor shall employ personnel to deliver TA and supports to programs as described in Sections IV through VIII. The Contractor shall ensure personnel employed to deliver the Tier 1 and Tier 2 services meet the following requirements:Bachelor’s degree in the field of ECE or a related field with a minimum of 18 credit hours in ECE3 years of ECE experienceCompletion of all required State trainings and certificationsThe Contractor shall ensure personnel employed to deliver the Tier 3 services meet the following requirements:Graduate-level degree with a minimum of 18 credit hours in ECE with at least 6 at the advanced level5 years of ECE experienceCompletion of all required State trainings and certificationsThe Contractor shall ensure all staff have a working knowledge of early childhood care and education as well as Indiana regulations and policies. The Contractor shall ensure all staff that work with programs have completed all required training to meet PTQ Level 4 professional qualifications and continued education, including Safe Sleep trainings. The Contractor shall ensure references and background checks are obtained for all staff. Results of reference and background checks must be made available to the State upon request. Full criminal background checks must be conducted every 3 years as well as consents being submitting annually.The Contractor shall ensure that the resumes for all staff showing they meet the minimum qualifications are available for State review upon request.Support StaffThe Contractor shall employ support staff that conduct and oversee the day to day operations of TA services. While specific categories of staff are not listed in the Scope of Work, it is expected that the Contractor provide a staffing table with named individuals and their role. These individuals will be those that ensure the smooth operation of the help desk, data analysis, and communication from programs and partners among other duties.Staff TrainingThe Contractor shall provide initial training to all new TA staff. Training topics include, but are not limited to, the Contractor’s TA policy and procedures manual, inter-coach/staff reliability, use of technology, the TA process, CKC, and customer service. New TA staff will also be required to shadow experienced staff who currently provide TA services. The Contractor shall provide ongoing training for all TA staff and shall provide a training plan. The Contractor shall ensure all TA staff are trained and certified in any relevant early childhood practices or assessment tools. The Contractor shall provide the State with the following training reports:A training completion and shadowing report for each TA staff member to be submitted as each new staffer is hired.Ongoing professional development plan for each TA staff member that includes goals and progress towards goal completion. Staff ReplacementDuring the course of the Contract, the State reserves the right to require replacement of the TA Project Director or any other Contractor employee or subcontractor employee found unacceptable to the State. Reasons for unacceptability include, but are not limited to, the inability of the person to carry out work assignments or unsatisfactory job performance as determined by the State. The individual must be removed within two (2) weeks of the request for removal and be replaced within thirty (30) calendar days after the position is vacant, unless a longer period is approved by the State.Personnel shall be replaced with individuals of equal or greater ability and qualifications, subject to approval by the State, regardless of the reason for replacement. Replacement of personnel removed for any reason shall take place within thirty (30) calendar days of the removal, unless a longer period is approved by the State. Staffing PlanThe Respondent shall maintain a staffing plan that identifies the personnel who will be used to fulfill the services described in this Contract. Please note that staffing plans must address the following:Organization ChartSample job descriptions including minimum qualifications Number of staff assigned to each roleResumes for the TA Project Director and all other supervisory level personnel provided by the ContractorXV. Implementation and Transition RequirementsImplementation Phase Requirements and ResponsibilitiesThe implementation phase will begin following Contract award announcement. The State will actively monitor transition activities during this phase of the Contract. Monitoring activities will focus on progress made against the Contractor’s work plan, quality of deliverables submitted, and assessment of the Contractor’s readiness to begin operations.The Contractor is responsible for the timely and successful completion of each of the implementation phase tasks. In addition, the Contractor is responsible for clearly specifying and requesting information needed from the State in a manner that does not delay the schedule or work to be performed. The Contractor shall create an implementation work plan to track deliverables within thirty (30) days of the Contract start date and submit it to OECOSL for approval. The Contractor shall report progress against the work plan for each implementation task through weekly (or as designated by OECOSL) written status reports, and at OECOSL weekly status meetings with the State.The Contractor shall update the implementation work plan on a weekly basis, or as designated by OECOSL.The Contractor shall create a deliverable policy with OECOSL for submitting deliverables. The Contractor shall obtain written approval from OECOSL on each deliverable submitted for review. The Contractor shall revise deliverables, if requested. The Contractor shall leave the implementation phase once all deliverables have been submitted. The following activities are required by the Contractor as part of the implementation phase of the Contract and shall be included in the implementation work plan. Contract Planning and Start Up Finalize the work plan for implementation activities and submit it to the State for approvalWork with OECOSL to establish communication protocols between the Contractor and the StateLead status meetings as requested by OECOSLWork with the State to establish project management and reporting standardsReview current system and user documentation and request clarifications, if necessaryOperations PreparednessThe Contractor shall be responsible for all costs associated with ensuring that it is able to take over the requirements of the Contract without disruption to the State, programs, or stakeholders.Assessment and Demonstration of Operations ReadinessThere will be a readiness review before TA services begin under this contract. The State will work with the Contractor to define the structure and schedule of the operational readiness assessment. The Contractor must demonstrate complete readiness thirty (30) days prior to the operational start date of 10/1/2019.ChangeoverThe Contractor shall conduct a seamless transfer of operations to its staff and ensure that all operations will begin by the operational start date of 10/1/2019. The Contractor shall work with the State to quickly resolve any issues that might arise during the transition.Post-Start Up SupportThe Contractor shall continue to work with the State to ensure operational integrity throughout the Contract term.End of Contract Transition Requirements and ResponsibilitiesTo ensure that, to the greatest extent possible, program stakeholders experience no adverse impact from the transfer of the TA services from the Contractor to either the State or to a successor Contractor, the Contractor must develop and implement a State-approved transition plan covering the possible turnover of TA services. The transition plan must meet the following requirements. Be developed twelve (12) months prior to the end of the base Contract period, or any extension thereofDetail the proposed schedule and activities associated with the turnover tasksDescribe the Contractor’s approach and schedule for transfer of inventories, correspondence, documentation of outstanding issues, and operational support informationNine (9) months prior to the end of the base Contract period, or any extension thereof, the Contractor must transfer the following information, on a medium acceptable to the State, to the State or its agent:A copy of non-proprietary systems or database(s) usedInternal logs and balancing procedures used during the Contract to ensure compliance with operational requirementsOther documentation including, but not limited to, user, provider, and operations manuals, and documentation of any interfaces developed to support business activities between ContractorsSix (6) months prior to the end of the Contract or any extension thereof, the Contractor must begin training State staff, or its designated agent’s staff, in the operations and procedures performed by Contractor staff. Such training must be completed at least two (2) months prior to the end of the Contract or any extension thereof. Such training shall include, but is not limited to:Training items (e.g. How to provide TA services, historical knowledge of TA services and programs, training on the TA policies and procedures manual, etc.)Contractor shall not reduce operational staffing levels during the transition period without prior approval by the State.Contractor shall not in any way restrict or prevent Contractor staff from accepting employment with any successor Contractor. The State will work with the incumbent and successor Contractors on the timing of any transition of incumbent staff.Contractor shall provide to the State, or its agent, within fifteen (15) business days of request, all updated data and reference files, scripts, and all other documentation and records as required by the State or its agent.Following transition of TA operations, the Contractor must provide the State with a TA transition results report documenting the completion and results of each step of the TA transition plan. The outline and format of the TA transition results report must be approved by the State in advance. Transition will not be considered complete until this document is received by the State.Note that dates and data requirements listed in this section do not limit or restrict the State’s ability to require additional information from the Contractor or modify the transition schedule as necessary.XVI. Billing and InvoicingThe cost of all services provided through this Contract will be paid in the form of a Monthly Fixed Fee for staffing and non-staffing costs as indicated in Table 1 below.Per Section XVII, the Contractor, beginning in Contract Year 2, will bill for only 95% of the Monthly Fixed Fee per Table 1. At the end of the Contract Year (beginning with Contract Year 2) the Contractor shall bill the amount listed in Table 1 for every performance measure met, with State approval.The Contractor shall submit invoices at the end of each month, upon State approval, for all services performed during that month.The State will provide funding for computers for the life of the Contract, should the Contractor request the equipment. $1,200 will be provided to the Contractor per Full Time Equivalent (FTE), and an additional $1,200 for every fourth FTE will be reserved should the Contractor need additional computers. These costs will be provided only once during the course of the Contract, upon request by the Contractor and approval by the State. All funds for computer equipment will be subject to OECOSL’s equipment policy, which may be changed at any time.Table 1: Monthly Fixed Fee by Contract YearFixed FeeContract Year 1Contract Year 2Contract Year 3Contract Year 4Monthly Fixed FeeTBDTBDTBDTBDAmount Billed Each Month (95% of Monthly Fixed Fee beginning in Contract Year 2)TBDTBDTBDTBDXVII. Performance MeasuresThe State has identified metrics to use to track Contractor performance and adherence to the requirements of the Contract. These performance measures will be tracked over the course of the Contract. Should the Contractor fail to meet any of the performance measures listed below, the State may enforce corrective actions as detailed in Section XVIII. The goals listed in the performance measures below shall be determined after data is collected and analyzed by the State in Contract Year 1.The Contractor shall be responsible for meeting the following annual performance measures:For each Contract Year, beginning in Contract Year 2, the Contractor shall be responsible for increasing the overall number of programs that are enrolled in PTQ by A (figure to be updated after Contract Year 1), compared to the previous year’s enrollment.For each Contract Year, beginning in Contract Year 2, the Contractor shall be responsible for increasing the overall number of programs that are moving up levels in PTQ by B (figure to be updated after Contract Year 1), compared to the number of programs that moved up levels in the previous year.For each Contract Year, beginning in Contract Year 2, the Contractor shall be responsible for ensuring C% (figure to be updated after Contract Year 1) of non-compliant programs complete a Quality Improvement Plan.For each Contract Year, beginning in Contract Year 2, the Contractor shall be responsible for increasing the overall number of early childhood program professionals that earn credentials or degrees, or are enrolled to earn a credential or degree, by D (figure to be updated after Contract Year 1), compared to the professionalization of programs in the previous year.For each Contract Year, beginning in Contract Year 2, the Contractor shall be responsible for decreasing the overall number of regulatory violations in key areas identified by the State by E (figure to be updated after Contract Year 1).In Contract Year 1, the performance measures listed in this section will be used for data and performance monitoring. Starting in Contract Year 2, a total of 5% of each monthly invoice (1% for each performance measure) will be withheld until the end of each Contract Year. In order to receive the withheld payments for the Contract Year, the Contractor must achieve the performance measures listed above. For each performance measure that is achieved at the end of the Contract Year, the Contractor shall be paid back the withheld funds for that performance measure. Failure to achieve a performance measure will result in the loss of the withheld payments for each month in the Contract Year for that failed performance measure. XVIII. Corrective Actions and Payment WithholdsIt is the State’s primary goal to ensure that the Contractor is accountable for delivering services as defined and agreed to in the Contract. This includes, but is not limited to, performing all items described in the Scope of Work, meeting all required time frames and deadlines, and generally performing to the satisfaction of the State. Failure to perform in a satisfactory manner may result in corrective actions and withholds described below. It is the intent of FSSA to remedy any non-performance through specific remedies and a payment withholding protocol. FSSA may apply performance remedies, as described below. In the event that the Contractor fails to meet requirements set forth in the Contract, the State will provide the Contractor with a written notice of non-compliance and may require any of the corrective actions or remedies discussed below. The State will provide written notice of non-compliance to the Contractor within thirty (30) calendar days of the State’s discovery of such non-compliance.Corrective ActionsIf the State determines that the Contractor is not performing to the satisfaction of the State, has not completed any deliverable in a satisfactory or timely manner, or upon written request by the State for any reason, the Contractor shall submit, within ten (10) business days of the occurrence or State request, a Corrective Action Plan (CAP). The nature of the corrective action(s) will depend upon the nature, severity and duration of the deficiency, and repeated nature of the non-compliance. Note: Severity shall be determined by the State, in its sole discretion. At a minimum, the CAP shall address the causes of the deficiency, the impacts, and the measures being taken and/or recommended to remedy the deficiency, and indicate whether the solution is permanent or temporary. It must also include a schedule showing when the deficiency will be remedied, and for when the permanent solution will be implemented, if appropriate. Payment WithholdsBeginning the month in which a CAP is required per the Corrective Action paragraph above, the State may withhold an additional 5% of the following month’s invoice and all subsequent billing until the CAP is implemented. (Note that this 5% is separate from and in addition to the 5% performance measure withhold). When the CAP is completed, and the proposed remedy is implemented, the monies withheld due to the CAP (separate from the monies withheld for performance measures) will be processed and paid to the Contractor. Should the CAP not be submitted as required, or should the remedy not be implemented within the timeframe specified by the CAP, the withheld monies may be forfeited. The Contractor and the State shall schedule regular meetings to discuss Contractor’s performance. The Contractor is required to show satisfactory progress towards milestones and otherwise provide information that can be used to show that performance is satisfactory. Scheduling of review meetings shall be agreed upon mutually between Contractor and the State. ................
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