1.0 introduction - in.gov · web viewexplain how the staffing plan accounts for ensuring that state...

RFP 18-047 Training Services Attachment I – Scope of Work

DFR Training Services RFP – Attachment I - Scope of Work – Addendum 1RFP #18-047

Table of Contents1.0 Introduction..............................................................................................................................................2

2.0 Background..............................................................................................................................................2

3.0 General Project Requirements.................................................................................................................3

3.1 Notification of Problems Responsibilities.........................................................................................3

4.0 Training Services – Contract Requirements............................................................................................4

4.1 Key Personnel and Staffing Responsibilities.....................................................................................4

4.2 Training Plan Requirements..............................................................................................................6

5.0 Initial Transition Requirements.............................................................................................................10

6.0 Performance Metrics..............................................................................................................................11

7.0 Quality Assurance Standards.................................................................................................................12

8.0 Performance Metrics Validation............................................................................................................12

9.0 Reporting Requirements........................................................................................................................13

10.0 Corrective Actions and Payment Withholds........................................................................................14

11.0 State Duties and Responsibilities.........................................................................................................15

12.0 State Eligibility Systems......................................................................................................................16

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1.0 IntroductionThe Indiana Family and Social Services Administration (FSSA), Division of Family Resources (DFR) requests responses from vendors experienced in providing Training Services for the State and Eligibility Services contractors’ staff in support of eligibility operations for organizations similar in size and scope to DFR. Indiana’s Eligibility Operation is the central resource in helping Hoosiers apply and receive benefits, including the following programs: Supplemental Nutrition Assistance Program (SNAP), Temporary Assistance for Needy Families (TANF), Indiana Manpower and Comprehensive Training (IMPACT), Medicaid, Hoosier Healthwise, Healthy Indiana Plan (HIP), and Hoosier Care Connect.

2.0 BackgroundDFR is the division responsible for establishing eligibility for the following programs: SNAP, TANF, IMPACT, Medicaid, Hoosier Healthwise, HIP, and Hoosier Care Connect. Applicants/clients may submit their application online, in person at a DFR Local Office, by mail, via fax, or over the phone. The Eligibility Services Contractors are part of a larger system of eligibility operations managed by DFR. The State currently contracts for services and staff for the eligibility determination operation, which consists of the Central Change Center (CCC), Regional Change Centers (RCC), and Local Offices. The State also contracts with vendors that provide document scanning; electronic data capture; handling of indexed and non-indexed documents; and printing and mailing notices to clients/applicants. In addition to Indiana Office of Technology (IOT) and DFR staff, the Eligibility Services Contractors have touchpoints with some or all of the above named entities and other contractors, as needed and directed by the State, in addition to performing the core Eligibility Services listed in this Scope of Work. The Training Services Contractor selected from this RFP process will be responsible for providing Training Services to the State and Eligibility Services contractor staff involved in these eligibility determination operations. The Training Services Contractor will provide training including but not limited to the following roles (brief description):

Eligibility Assistant (EA) – works in the Local Office providing front office support Eligibility Specialist (ES) – works in the Local Office and RCC, completes case work,

understands end to end processing, conducts interviews, and answers inquiries from clients via phone

State Eligibility Consultant (SEC) – works in the Local Office, conducts interviews, reviews work completed by ES, determines eligibility and authorizes benefits

State Eligibility Manager (SEM) – manages the Local Office, Local Office staff, and assignments

DFR CCCs and RCCs are non-client facing service centers and perform functions in support of Local Offices and the eligibility process. Their functions include but are not limited to:

Processing of applications, changes, redeterminations, indexed and non-indexed eligibility supporting documentation

Hearings and appeals documentation preparation Benefit recovery

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Answering client/applicant questions received via phone, and other related activities

The CCC and RCC contractor performs allthe majority of the preliminary case processing before the case is submitted to the State for a final determination of eligibility.

DFR Local Offices are the client-facing side of the eligibility operation and vary in size and certain protocols, but they perform functions that include but are not limited to facilitating and accepting applications, conducting interviews, scanning and processing eligibility supporting documentation, answering applicant questions, authorizing and determining eligibility. There is at least one Local Office per county, with some counties containing multiple Local Offices. For a full list of Local Office service locations, please refer to the Bidder’s Library.

A separate Local Office Staff Augmentation contractor provides some of the staff for Local Offices. Together, the CCC/RCC contractor and Local Office Staff Augmentation contractor will be collectively referred to as the “Eligibility Services Contractors” for the purposes of this RFP.

3.0 General Project RequirementsThe Contractor shall provide Training Services in support of Indiana’s Eligibility Operation.

The Contractor for Training Services shall:

Develop and maintain a customized training curriculum for each role including training for new hires, refresher, and remedial promotional training for existing staff;

Provide experienced and qualified trainers that understand the eligibility operation in its entirety;

Deliver effective and measurable face-to-face training for all new and current Eligibility Services contractors and State staff;

Develop training materials for RCC/CCC and Local Office staff Collaborate with the State to ensure that all training material is reviewed and approved by

the State prior to the beginning of training delivery or update of training materials. Upon request, the Contractor shall provide the State with training materials that are currently in use;

Prepare competency tests to be administered upon completion of training prior to trainees assuming their duties; and

Provide any and all information requested by DFR, i.e. costs, training and access to training tools and any other areas for which DFR requires supporting documentation.

Collaborate with identified stakeholders, including RCC/CCC, Local Office, and State Regional Management staff regarding training needs for new hires, remedial promotional training needs at the individual level, or specific training needs at the RCC/CCC or Local Office level.

3.1 Notification of Problems ResponsibilitiesThe Contractor shall notify the State of issues and problems as they arise.

The Contractor for Training Services shall:

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Notify the State Contract Manager and State Training Director by telephone and/or email immediately upon discovery of any problems that may critically affect the daily operations of the contract or any area critically impacting the Contractor’s operations.

Ensure all reports, notifications, operational status summaries or other documentation of information requested by the DFR shall be recorded and supplied, at no additional cost, within a twenty-four (24) hour period.

4.0 Training Services – Contract RequirementsThis section outlines the Training Services required to train Eligibility Services contractor personnel and State staff involved with Indiana’s Eligibility Operation. All new Eligibility Services contractor and State staff hires are required to participate and successfully complete a comprehensive initial training regimen consisting of both technical and programmatic training modules before assuming full-time professional job responsibilities. Existing employees within the Eligibility Operation must undergo several forms of training according to the agreed upon requirements detailed in this Scope of Work. The Contractor must provide a comprehensive and innovative training strategy sufficient to meet or exceed contractual responsibilities, to comply with Federal, State, and DFR requirements and support DFR functions.

The State will provide training facilities for use by the Contractor. If the Contactor prefers to propose an alternative training space, a detailed justification must be submitted to DFR, including the reasoning as to why this arrangement would be beneficial to DFR and the overall Eligibility Operation. The Contractor shall only use alternative training space if approved by DFR. If the Contractor proposes alternative facilities they are responsible for the facility costs and maintenance.

The Contractor shall equip training rooms, supply training materials, develop curricula to support training delivery, and utilize State designated space for all training materials and development. The State shall provide LMS software, webinar licenses (GoToMeeting), hardware, equipment, office furnishings, and fixtures for training rooms but the Contractor may provide supplemental equipment, if required. The Contractor will be responsible for any additional software licenses as necessary.

The Contractor shall maintain a plan for acquiring additional training facilities for all Contractor-delivered training if the State so requires. Training facilities must accommodate sufficient seating to support trainer to student ratios. The Student to Trainer ratio shall not exceed 25:1. Due to space restrictions some RCC locations capacity accommodates less than the aforementioned ratio.

4.1 Key Personnel and Staffing ResponsibilitiesA. The Contractor shall ensure that there are sufficient trainers, training managers, staff

and other training resources available to ensure that staff can begin training in a timely manner (within five business days of the new hire start date).

B. The Contractor is responsible for coordinating with State staff to provide Training IDs to the trainees to access the system and ensure that there is no delay in training.

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[C.] The Training Services Contractor must work collaboratively with the Eligibility Services contractors to keep record of which trainees meet expectations, as well as develop materials for remedial training..

C.[D.] The Contractor must work collaboratively with the Eligibility Services contractors and State Regional Management to schedule training, communicate information to trainees, and keep record of trainee performance. Contractor shall share all schedules, training documents, performance data, and communication with the State as requested.

D.[E.] Key Personnel must include, at a minimum:

a. Learning and Development Specialist: The Learning and Development (LD) Specialist conducts skills, technical, management, and staff development training courses within business units and groups. Along with possessing a strong knowledge of Indiana’s public assistance programs, the LD Specialist must possess effective facilitation and class preparation skills to coordinate cross-state tasks and interact with staff in all areas of the eligibility operation. The LD Specialist must possess extensive knowledge of policy and guidelines in relation to Indiana’s Eligibility Public Assistance Programs. Contractor must have a minimum of two trainers in each region (see Attachment H – Region Map). The larger regions such as St. Joseph, Marion, Allen, Grant, and Lake require a minimum of three trainers. Trainers must also know how to process tasks and spend time at the RCC/CCC and Local Office to ensure trainers understand the workflow.

b. Training Director: The Training Director is responsible for scheduling and coordinating trainings and managing training staff schedules to ensure that training is occurring in a timely manner. The Training Director will serve as the main contact for DFR and be responsible for day to day operations and ensuring that performance standards are met, tracked, and communicated to the State. The Training Director will also be responsible for coordinating the update and approval of training material in coordination with the State Training Team. All training material must have a final written approval by the State Training Director prior to implementation.

i. The Training Director shall:

1. Possess a Bachelor’s degree from an accredited college or university;

2. Have a minimum of three years of professional experience training and delivery of public assistance benefits; and

E.[F.] The Contractor shall provide a Content Development Team. This team is responsible for writing, developing and modifying the training materials (including but not limited to work instructions, internal policy memos and correspondence, computer based trainings), and maintaining and updating all RCC/CCC and Local Office procedures on one centralized and easily accessible website that shall reside on the State network. All training materials developed for this contract are property of the State. Additionally, this team will develop storyboards and deploy the final

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training to trainees/staff. At minimum, the Content Development Team shall have Technical Writers, Instructional Designers, and Instructional Developers. Additionally, the Contractor must have RCC, benefit recovery, hearings and appeals, and Local Office subject matter experts that will be used as a resource to ensure training materials incorporate system and policy changes as the changes are implemented

F.[G.] The Contractor shall develop and maintain a staffing plan that shall:

a. Contain an administrative organizational training structure that meets or exceeds the responsibilities described in this Scope of Work, including outlining the training personnel by DFR Region (see Attachment H – Region Map);

b. Include a description of the different types of instructor-led training and intended instructor to student ratio. The student to trainer ratio shall not exceed 25:1. Due to space restrictions some RCC locations capacity accommodates less than the aforementioned ratio. The Contractor must receive State approval before planning for or conducting face-to-face and remote training simultaneously;

c. Outline training staff minimum requirements and qualifications to prepare training staff to effectively develop and deliver training materials;

d. Provide a plan for monitoring and evaluating training staff, including but not limited to corrective action planning to ensure quality products are developed and delivered;

e. Explain how the staffing plan accommodates potential increases/decreases in training volume and training staff attrition;

f. Explain how all State staff and Eligibility Services contractor employees will be trained on all program policies and procedures of the Eligibility Operation;

g. Explain how the staffing plan accounts for ensuring that State staff and Eligibility Service contractors that transition to different roles are adequately trained in their new responsibilities.

G.[H.] Contractor staff may not work in the direct line of supervision of or conduct training for a relative who is employed by the State. “Relative” means any of the following: a spouse, parent or stepparent, child or stepchild, brother, sister, stepbrother or stepsister, niece or nephew, aunt or uncle, and daughter-in-law or son-in-law. An adopted child of an individual is treated the same as a natural child of the individual. “Brother” and “sister” include a brother or sister by the half blood. Contractor will require contractor staff to report to Contractor if they work in the direct line of supervision of or conduct training for a relative who is employed by the State.

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4.2 Training Plan RequirementsA. The Contractor is responsible for developing a training curriculum and activities for

the Eligibility Services and Local Office Staff Augmentation contractors, subcontractors, and FSSA staff to support SNAP, TANF, IMPACT, Medicaid, Hoosier Healthwise, HIP 2.0, Hoosier Care Connect, and other health and human service programs administered by FSSA, including but not limited to the programs in this Contract. The Contractor must develop procedures for maintaining and updating the training plan and training materials throughout the contract term.

B. The Contractor’s training plan must be tailored to specific staffing functions and responsibilities, including training material specific to EAs, ESs, SECs and SEMs. These materials must be tailored to the specific functional responsibilities of staff within the CCC, RCCs and the Local Offices.

a. The Contractor shall provide training materials customized to the different functions of key personnel and staff involved in the Eligibility Operation:

SEMs SECs ESs EAs

These training modules must include, at a minimum, New Hire (Local Office), New Hire (RCC), Hearings and Appeals (CCC/RCC), Benefit Recovery (CCC/RCC), Refresher Training, Promotional Training, New Content Training (referring to instances in which the State introduced a new program, policy, or procedure that must be delivered to the existing workforce), and Leadership Training.

b. The State is providing the current training timelines below for informational purposes only. This should not be construed as a requirement; the State seeks a detailed narrative from Respondents describing their proposed length of each type of training, and how it will meet the State’s needs, as part of their response to this section of the Scope.

c. Currently, training program timelines for eligibility staff are the following:

Position Training Type Training Weeks

Eligibility Assistant (EA)

New Hire (Local Office) 3

Refresher VariesPromotional 19

Eligibility Specialist (ES)

New Hire (RCC) 22New Hire (Local Office) 22

Refresher VariesHearings and Appeals (CCC/RCC) 2

Benefit Recovery (CCC/RCC)

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Promotional 2

State Eligibility Consultant (SEC)

New Hire (Local Office) 24

Refresher VariesPromotional 2

State Eligibility Manager (SEM) Refresher Varies

New Content Training VariesLeadership Training Varies

d. The Contractor shall deliver training in a manner that facilitates effective and sustainable learning. Examples include breaking training into modules that include interactive curriculum-based learning, on the job training, and conducting Refresher Training every few months. The Respondent must propose a Training Plan to be submitted upon award at least sixty (60) calendar days prior to the operational start date or by the date specified by DFR and anytime thereafter when specified by DFR including but not limited to all of the requirements listed below. DFR reserves the right to require the Contractor to make revisions to the training plan. Specifically, the training plan will be reviewed by DFR Training Director and FSSA’s policy team at a minimum annually (or at the request of the State) to ensure that all policies and procedures are accurate and up to date. The Contractor must submit an updated training plan to the State for review and approval within fifteen (15) business days of receiving the request (this is also a Performance Metric as listed in Section 6.0).

C. The training plan must address:

a. Curriculum Development. The Curriculum Development section of the training plan shall meet the requirements listed below. DFR reserves the right to observe and participate in training sessions of all training staff. The Contractor shall submit initial curricula, training materials, and tools at least thirty (30) calendar days prior to initial training delivery dates for review and approval. DFR reserves the right to request training material and tools at their discretion. The Curriculum Development section of the training plan shall:

1) Outline appropriate curricula and training methods, including but not limited to systems (including any new system changes), equipment, eligibility operations, processes, procedures and policy (existing as well as potential changes in law and/or policy), quality, security and privacy, confidentiality, client’s/applicant's civil rights, fair hearing process, appeals and rights to due process;

2) Address staff training including but not limited to customer service excellence, cultural diversity and disability sensitivity, ethics, fraud, abuse or waste detection and prevention, civil rights, HIPAA, client/applicant confidentiality, safeguarding client/applicant data, and equal opportunity,

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and prohibition of sexual and racial harassment. The awarded Contractor will follow the State’s requirements for training guidelines and timeframes;

3) Include a plan for designing, developing, implementing, maintaining, modifying, and evaluating curriculum that supports FSSA functions, fulfills contractual responsibilities, and utilizes appropriate adult learning methodologies. All State-approved training curriculum must be uploaded onto the State online training module to which the Contractor has access. All training materials developed for this contract are property of the State;

4) Include training plans for initial, refresher/reinforcement, new content, and continuous improvement for all new hires, existing contractor and State staff, including supervisory/management staff. All training material must be approved by the State before implementation;

5) Provide training design documents that outline course detail required for each job role, detailing content, delivery, methodology, and course length. Design documents must contain specifics related to course books, instructor guides, handouts, reference guides, job aids, user-guides, visual aids, etc.;

6) Include curricula with clear objectives that capture expected results (measurable and repeatable) for students;

7) Incorporate both written/oral activities into the curriculum as well as practical, hands-on training that provides the State and contractor staff an opportunity to understand FSSA’s Eligibility Operation through a holistic lens;

8) Incorporate the following areas, at a minimum, into trainings: computer literacy and functional skills, oral communication, critical thinking, and FSSA programmatic policies and procedures (including but not limited to SNAP, TANF, IMPACT, Medicaid, Hoosier Healthwise, HIP 2.0, and Hoosier Care Connect);

9) Incorporate a mixture of classroom and observational training strategies (including but not limited to observing specific roles in the Local Office and/or RCC after each training block) and be adaptable to different learning styles; and

10) Aim to develop a well-rounded and motivated staff as well as minimize the staff attrition rate.

11) Include plans to modify training material when Federal/State policies, procedures, or legislative changes occur.

b. Training Delivery. The Training Delivery section of the training plan shall:

1) Outline a plan for timely, effective training delivery and knowledge transfer;

2) Be available on an ongoing basis as to accommodate employees as soon as they are hired within a week of the trainees’ hire date;

3) Include training delivery classrooms that accommodate 1:1 participant to personal computer (PC) ratio to facilitate hands-on learning;

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4) Include multiple student assessments that measure successful achievement of specific class competencies to ensure training in being effectively delivered;

5) Require that 95% of students achieve a minimum of 90% in all competency and knowledge based assessments within the first two (2) attempts (this is also a Performance Metric as listed in Section 6.0). The training plan will include details for remediation or corrective action plan for failed training performance;

6) Ensure 100% of training participants pass State-approved competency exams with a minimum score of 90% prior to moving to production floor (this is also a Performance Metric as listed in Section 6.0);

7) Include performance metrics to determine training participant’s ability to successfully navigate the eligibility operation and minimize the error rate in their post training work experience.

c. Continuous Improvement. The Continuous Improvement section of the training plan shall:

1) Describe processes that support ongoing employee and business process excellence, growth and development;

2) Provide detailed description of internal evaluation processes; including corrective actions and monitoring that ensure successful training;

3) Outline a continuous improvement process for training curricula and delivery utilizing Quality Control trends and other measures that monitor performance;

4) Include requirements for the Contractor to participate in all initiatives to improve case accuracy and follow the guidelines outlined by the State, including developing or updating trainings based on these initiatives.

5) Contain trending analysis from both Contractor and DFR error findings and training analysis based on evaluations, assessments and FSSA reviews and audits;

6) Outline the plan to track trainee retention rates per class and by trainer;

7) Include a requirement for the Contractor to participate in meetings with DFR to review findings and jointly assess training outcomes. The Contractor will provide DFR a trend analysis report documenting these items.

5.0 Initial Transition RequirementsThe Contractor, in conjunction with DFR, will ensure that the process of transition from the existing Contractor upon contract award, results in predictable, seamless transition where training continues to be delivered in a timely and accurate manner without degradation in service levels. The Contractor shall develop and submit the Transition Plan to the State within ten (10) business days after Contract Start Date in order to begin trainings before August 1, 2018. This

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Transition Plan must be approved by DFR and the Contractor shall complete any requested updates within five (5) business days.

The Contractor’s Transition plan must incorporate, at a minimum, the following elements.

a. Transition Phase Work Plan (with schedule and resource allocations) b. Project Management Approachc. Staffingd. Recruiting strategies that will allow Contractor to meet the staffing requirements in

Section 4.1 by the dates required by the Statee. Trainingf. Equipment verification and testingg. Development of training curriculumh. Systems and Operations readiness assessment i. Coordination and communicationj. Risk management and issue resolutionk. Transfer of knowledgel. Incorporation of existing training materialsm. Security managementn. Disaster recovery and business continuityo. Integration and implementation of training in order to achieve full operational capabilities

at or before the expiration date of the current contract

6.0 Performance MetricsThe performance metrics for this Contract are:

1. 100% of training participants must pass required State-approved competency exams with a minimum score of 90% prior to moving to production floor.

2. Not less than 95% of participants must achieve a minimum score of 90% within the first two (2) attempts at all competency and knowledge based assessments.

3. When the Contractor is notified of the need to begin a training class, the Contractor must be prepared to begin a training class within five (5) business days of State notification.

4. When the Contractor is notified of a new policy, procedure, or legislation change that would require the development of new material, the Contractor must submit its proposed training material for State review and approval within five (5) business days.

5. All training materials will, at minimum, be reviewed annually or at the request of the State to reflect updated policies or procedures. The Contractor must submit an updated training plan to the State for review and approval within fifteen (15) business days of receiving amendments from the State.

6. Contractor shall report the number of trainees that start and complete each training program. Specifically with regard to new hire training, this information will be used to measure Contractor’s efforts in delivering an effective and engaging training program for new hire trainees. If in the course of a contract year, with the first measurement to begin July 1, 2018, the Contractor achieves an overall completion percentage of 85% for new hire training, Contractor shall be eligible for a performance bonus equal to 8% of the total

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fees paid to the Contractor during that Contract year. For the purposes of this measurement, completion percentage shall be defined as the percentage of trainees who begin new hire training and go on to complete the new hire training curriculum and achieve a minimum score of 90% within the first two (2) attempts at all competency and knowledge based assessments. The completion percentage for each training class shall be factored into the overall completion percentage of the contract year in which the training class concluded rather than the contract year during which the class began. Only trainees who are registered and present for the first calendar week will be included in calculating the overall completion percentage for new hire training.

7. Accuracy: Trainees must average a minimum of 90% accuracy rate on work completed in the production environment. The Contractor will be responsible for reviewing trainee’s work and report the results to the State Contract Manager and State Training Director. The Contractor will work with DFR to develop the performance standards by which the accuracy rates will be calculated within ten (10) business days of the Contract start date. The performance standards will be submitted to DFR for approval prior to the contract start date. Additional training required due to not meeting the accuracy performance standards shall be conducted at no additional cost to the State. Validation of the accuracy rating will be completed by the State or the State’s designee.

7.0 Quality Assurance StandardsTo ensure that the State of Indiana is continuing to provide the highest quality of service to its clients on public assistance programs, the Contractor must provide a quality management strategy that details methods by which the Contractor shall monitor, measure, and analyze their performance. Performance standards provided in this section will be in addition to those listed in Section 6.0, but will be subject to the same corrective actions and payment withholdings as described in Section 10.0. The Contractor’s plan should include how they shall monitor and analyze trends in quality measures, as well as a communication and reporting strategy to ensure alignment with the State. The Contractor must include the following quality management categories:

1) Alignment with other Contractors: Indiana’s Eligibility Operation is a collaborative effort between State staff as well as third party contractors. The Contractor must describe how they will maintain open communication and work collaboratively with State staff and partners, as well as ensure that all work processes are aligned and that clients are receiving the highest quality of service possible.

2) Comprehensive Understanding and Continuous Improvement: Indiana’s Eligibility Operation has multiple moving parts, with numerous State systems and diverse workflows. The Contractor must detail how they shall ensure that their staff gain a comprehensive and holistic understanding of Indiana’s Eligibility Operation, and how they shall continue to improve their knowledge base and understanding as the State undergoes any changes or shifts. The Contractor must also propose performance standards on how they shall measure the understanding and improvement of their employees.

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8.0 Performance Metrics Validation FSSA contracts with an independent entity to provide Operational Verification and Validation Services (OV&V). The Contractor will be fully expected to cooperate with the State and OV&V contractor (or other State designee). Performance metrics will be those outlined in Section 6.0 of this RFP, and those agreed to between the Contractor and the State as described in Section 7.0. During the quality review process, the Contractor is expected to focus on the quality and accuracy of beginning to end processes, and not individual tasks. Quality reviews are utilized for the sole purpose of performance measurement as well as an indication of how Contractor staff are performing trainings.

The Contractor is expected to clearly identify how all metric samples will be collected, how the quality reviews will be completed, and what quality tools will be utilized for the review. All quality review processes, systems, and tools must be reviewed and approved by the State prior to utilization.

Before beginning quality reviews, the Contractor must first gain State approval of its statistically valid sampling method. The State, OV&V contractor, or other State designee will at a minimum conduct a secondary review of the Contractor’s metrics every quarter.

The State has the option to require the Contractor to use tools created by the State to complete all quality reviews. The Contractor is expected to provide access to the same systems and tools used for quality reviews to the State and OV&V (or other State designee) for testing. Once the State approves the use of the quality systems, tools, and processes, OV&V (or other State designee) and State staff will utilize the Contractor’s quality system and tools to validate the metrics once the Contractor begins reporting metric scores.

Once OV&V (or other State designee) validates each awarded Contractor’s metric scores, the score will be the final metric score reported to the State. Scores for the Contractor’s quality reviews will be related, linked, and/or connected to Contractor performance review and compensation.

9.0 Reporting RequirementsA. Monthly Performance Report. The Contractor must submit a Monthly Performance

Report to the State Contract Manager and State Training Director via the Indiana Eligibility Modernization Project (IEMP) mailbox with a thorough performance analysis by the 15th of the following month that details the following information, as relevant to the Contractor:

a. Training Services[i.] The Enterprise Average Quality Score report, detailing the number of staff

beginning training, the number of new staff currently enrolled in training as well as the percentage of staff passing training competency tests;

i.[ii.] The trainee retention rate by class and by trainer;ii.[iii.] The total number of staff working on the Contract during the last business

day of the month in each facility by their positions and/or titles;

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iii.[iv.] The number of trainees that start and complete each training program;iv.[v.] Training Development and Delivery; andv.[vi.] Summary of Performance Metrics, detailed in Section 6.0.

vi. Summary of Quality Assurance Standards, detailed in Section 7.0.

B. Quality Assurance Reporting. The Contractor shall design and submit a quarterly summary report on QA activities to the State Contract Manager and State Training Director via the IEMP mailbox, starting after the completion of the first quarter of operations. The QA report shall address, but not be limited to, the following QA initiatives and monitoring activities:

a. Problem areas identified;b. Compliance and non-compliance of contract requirements;c. Contractual policies and procedures;d. Corrective actions implemented, with outcomes summarized;e. Corrective actions to be implemented with time frames;f. Trainings completed, with worker responsible;g. Trends in worker performance;h. Progress on correcting specific problems; andi. Resolution of all problems.

The Contractor shall include all relative aggregate and trended data collected during the QA and monitoring process in the QA quarterly report. The awarded Contractor(s) shall compare and indicate data collected to that of the prior quarter’s report.

The Contractor shall maintain an organization chart that includes their proposed quality assurance structure, including how the Contractor separates their operational team from their quality assurance team. The organizational chart must clearly map reporting lines and the management structure for both the operational team and the quality assurance team.

C. Trend Analysis Report. The Contractor shall participate in meetings with FSSA to review findings and jointly assess training outcomes as a part of the Continuous Improvement section in their training plan. The Contractor will then provide FSSA a trend analysis report documenting these items.

10.0 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, completing all deliverables in a timely manner described in the Scope of Work, and generally performing to the satisfaction of the State. Failure to perform in a satisfactory manner may result in corrective actions and withholdings described below.

It is the intent of DFR to remedy any non-performance at no additional cost to the State. 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 described in the Contract.

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1. Each month, the State shall withhold fifteen percent (15%) of the Contractor’s monthly invoice amount pending verification of the Contractor’s performance against the Performance Metrics described in Section 6.0.

2. Following verification that Contractor successfully met the requirements for all Performance Metrics in a given month, the Contractor may invoice the State for the withheld funds described in #1 above with the subsequent month’s invoice (for example, if Contractor successfully meets the Performance Metrics requirements for January, and verification is completed in February, the 15% of the January invoice that was withheld can be claimed with the February invoice).

3. If Contractor fails to meet the requirements for one or more Performance Metrics in a given month, the Contractor must submit a Corrective Action Plan (CAP) to the State within fifteen (15) calendar days following the documentation of failure to meet the Metric(s). The State shall review and make reasonable efforts to approve the CAP within ten (10) calendar days of the CAP being received. The State will continue to withhold funds for the month in which the Contractor failed to meet the Metric(s) and subsequent months until Contractor demonstrates that the CAP has been implemented and further successfully meets all Performance Metrics for two consecutive months following the implementation of the CAP. Following verification that Performance Metrics have been met for two consecutive months, Contractor may invoice the State for release of all withheld funds subject to the exception noted in #5 below.

4. A CAP can also be triggered if 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 according to the agreed upon Performance Metrics, or upon written request by the State for any reason. All CAPs must be submitted to the State within fifteen (15) calendar days following the documentation of failure to meet expectations. 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. 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. The State shall review and make reasonable efforts to approve the CAP within ten (10) calendar days of the CAP being received.

5. If the Contractor fails to meet two (2) or more Performance Metrics in any given month, the State shall permanently retain the 15% withholding for that month’s invoice.

6. Verification of Contractor’s success or failure to achieve Performance Metrics may be performed by the State or a designated State contractor including but not limited to the State’s Outside Verification and Validation (OV&V) contractor. More details regarding the OV&V contractor are included in Section 8.0.

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11.0 State Duties and Responsibilities A. The State shall have and shall retain responsibility for eligibility determinations under

each of the Programs.

B. The State shall make, and shall retain final authority with respect to, any policy changes with respect to the Services as may be necessary to comply with applicable law or which the State, in its discretion, determines to be appropriate and in the best interests of the State and its citizens.

C. The State shall maintain the State Eligibility Systems (see Section 12.0) and shall ensure that the State Eligibility Systems perform at an effective and efficient functionality level to support the delivery of the Contractor’s Services. After IEDSS (see Section 12.0) is implemented, the State shall be responsible for its maintenance and all other systems, programs, and applications that interface with IEDSS and ensure that all State systems perform at an effective and efficient functionality level to support the delivery of the Contractor’s Services. The State shall provide the Contractor and appropriate Subcontractors with such access to the State Systems as is needed to perform the Services.

D. The State shall provide at each State Service Location, State controlled facility, or County or Local Office (“State Facility”) such space and use rights, including the software, hardware, equipment, office furnishings, and fixtures, within such facilities (the “Facility Assets”), to the extent utilized by the State to provide the support within the scope of the Services as the awarded Contractor reasonably requires for it or a subcontractor to perform applicable Services for the County or Region in which the State Facility is located.

E. The State will perform all of its responsibilities and obligations necessary to support the delivery of the awarded Contractor’s services in a competent. The State will be responsible for the operation, maintenance, repair (including any capital improvements) and management of any State Facility.

F. The State shall be responsible for the provision of and refresh of all hardware and software (excluding any Contractor provided Software) related to State eligibility systems.

12.0 State Eligibility Systemsa. The current State system of record is the Indiana Client Eligibility System (ICES). In

addition, State and Contractor staff also utilize the Family Assistance and Care through Technology Services System (FACTS). ICES is the automated eligibility system used by the DFR in the determination of eligibility for Indiana’s public assistance programs. FACTS is the internal Curam-based solution that provides relevant case management capabilities. Both ICES and FACTS work collaboratively to deliver a broad-based solution which includes IVR, Document Management, Call Centers, Service, and Help Centers.

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b. With the roll out of Indiana Eligibility Determination Services System (IEDSS), both ICES and FACTS will be replaced with IEDSS. The goal of IEDSS is to provide an integrated solution to support individual eligibility and enrollment for multiple public assistance programs.

c. IEDSS will be rolled out at a state determined schedule until it is fully implemented throughout the State of Indiana.

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