8-SCOPE OF WORK.pdf

SCOPE OF WORK (SOW)

1. Background and Purpose The Utah Professional Practices Advisory Commission (UPPAC) investigates and makes recommendations to the Utah State Board of Education (USBE) regarding background checks, educator misconduct, and licensure reinstatement. After UPPAC opens an investigation, a UPPAC investigator collects documentation and conducts interviews. Findings are summarized in an objective and independent investigative report. Investigative reports also include the educator’s licensing information, relevant educator standards and disciplinary presumptions, aggravating and mitigating factors, and a list of investigative actions. The UPPAC Executive Secretary approves each investigative report. UPPAC discusses the findings and makes a recommendation as to what action, if any, the USBE should impose on the educator’s license.

UPPAC seeks to identify a pool of independent, external investigators who will be used to decrease the backlog of UPPAC investigations and will be expected to complete 7-10 investigations a month; however, actual assignments may vary based on demand and availability.

UPPAC is an advisory commission to the Board and is charged by statute with promoting and maintaining the high degree of professional ethics and practice required in the education profession. UPPAC holds administrative hearings when allegations of misconduct are made against a licensed educator. Investigators may be called to testify in a UPPAC hearing.

UPPAC makes recommendations to the Board regarding unprofessional conduct. UPPAC consists of six (6) teachers, three (3) educators who have assignments other than teaching, and two (2) community members. They are appointed by the State Superintendent of Public Instruction to serve three-year staggered terms. UPPAC meets monthly and is assisted by USBE staff.

The investigations must be conducted strictly in accordance with Utah statutory law and USBE administrative rules. The final output must provide UPPAC with clear, objective, and legally defensible findings of fact to support administrative law decisions and fulfill mandatory state reporting requirements.

2. Governing Legal and Regulatory Framework The Investigator must demonstrate a comprehensive understanding of, and strictly adhere to, the following regulatory frameworks governing educator conduct and mandatory procedures in the State of Utah:

● Utah Code Annotated § 53E-6-701 et seq. (Public Education Human Resources):

Governs background checks, reporting obligations, and investigations into educator misconduct.

● Utah Admin. Code Rule R277-210 (UPPAC Definitions): Includes definitions applying to all USBE UPPAC rules.

● Utah Admin. Code Rule R277-217 (Educator Standards and LEA Reporting):

Includes the explicit benchmarks for Required Conduct for an Educator (R277-217-3) and outlines Prohibited Conduct (R277-217-2), including physical/emotional abuse, boundary violations, sexual misconduct, financial mismanagement, and testing infractions.

● Utah Admin. Code Rule R277-211 (UPPAC Rules of Procedure): Mandates the procedures regarding notifications of misconduct and investigations for UPPAC.

● Utah Admin. Code Rule R277-215 (UPPAC Disciplinary Rebuttable Presumptions):

Outlines recommended sanctions for violations of the Educator Standards. Outlines specific aggravating and mitigating factors that an Investigator must document to assist UPPAC in making recommendations to the Board.

● Utah Code Annotated § 80-2-602 (Child Abuse Reporting): Dictates the mandatory reporting timeline for suspected child abuse or neglect.

3. Scope of Work The Investigator will be responsible for executing the following operational phases:

Phase I: Investigative Planning and Case Assessment

● Strategy Development: Formulate an investigative plan targeting the specific violations of Rule R277-217 implicated in the complaint.

● The Investigator must utilize the USBE-provided Investigative Report Template. USBE can coordinate subpoenas and public records requests as needed to obtain evidence.

● Check the educator's licensing records for prior discipline through UPPAC staff.

● If the investigation involves criminal charges, the Investigator must follow the case on

Xchange (Utah’s public court records database) to obtain information about charges, pleas, and sentences.

Phase II: Evidence Gathering and Interviews

● Initial Contact: Contact the educator by email or phone to introduce the Investigator, describe the allegations, explain that their Comprehensive Administration of Credentials for Teachers in Utah Schools/Utah School Information Management System (CACTUS/USIMS) account is flagged during the investigation, provide an estimated timeline, and provide a copy of 'An Educator's Guide to UPPAC.’

● Witness Interviews: Identify, locate, and interview all relevant individuals, including the complainant, witnesses, students (utilizing trauma-informed techniques and obtaining parental consent where applicable), and school staff.

● Subject Interview: Conduct a formal administrative interview with the accused educator. The Investigator must respect the educator's rights while ensuring they are provided an opportunity to respond to each specific allegation and any newly discovered evidence, per Rule R277-211-3(3)(c). The interview should be recorded.

https://regulations.justia.com/states/utah/education/title-r277/rule-r277-217/section-r277-217-3/

● Digital and Physical Evidence Collection: Secure and analyze relevant electronic communications (emails, text messages, social media posts), documentary evidence, or financial records, if appropriate. UPPAC has subpoena power to aid in this where necessary.

Phase III: Attending UPPAC Meetings

● The Investigator must attend the monthly UPPAC meeting to provide a brief (five-minute or less) summary of the investigative findings, state the applicable presumptions, and answer any questions from the commission.

4. Deliverables and Reporting Requirements Upon completion of the fact-finding process, the Investigator will deliver a formal Written Investigative Report to the UPPAC Executive Secretary at least five (5) days prior to the UPPAC meeting. The report must be written objectively, using a clear hierarchy, and contain:

Executive Summary A concise overview of the initial allegations, the scope of the investigation, and ultimate determinations.

Findings of Fact A detailed, chronological breakdown of the facts substantiated or unsubstantiated by the evidence. The report must examine whether the educator violated specific provisions of Rule R277-217-2 (Prohibited Conduct) or Rule R277-217-3 (Required Conduct).

Applicable Presumptions

The report must analyze the presumptions that may apply under Rule R277-215 (UPPAC Rebuttable Presumptions).

Analysis of Aggravating & Mitigating Factors To ensure the report seamlessly integrates into potential UPPAC proceedings under Rule R277-215, the Investigator must explicitly document any evidence regarding:

● Aggravating Factors: Student vulnerability, position of heightened authority, dishonesty/uncooperative behavior during the investigation, or a pattern of prior misconduct.

● Mitigating Factors: Exceptional provocation, minimal prior history, or genuine recognition of consequences and amenability to training.

Evidence Appendix Transcripts, detailed summaries, or audio recordings of all interviews; copies of physical/digital evidence; and a chain-of-custody log.

5. Confidentiality and Professional Standards

● Student Privacy (Family Educational Rights and Privacy Act [FERPA]): The

Investigator must protect student personally identifiable information, and ensure that unauthorized collection, sharing, or use of student data is strictly avoided in compliance with Rule R277-217-2(29) and Attachment A – USBE Standard Terms and Conditions for Goods and Services. Files that contain student data will be transferred between USBE and Investigator utilizing USBE-approved secure file sharing services or methods.

● Educator Privacy: The Investigator must maintain confidential the allegations raised and the findings, except through appropriate Board processes. Any requests for information on the matter should be redirected to UPPAC.

● Work Product: All notes, drafts, recordings, and final reports are considered confidential personnel/legal work products and shall be turned over at the completion of the investigation to UPPAC and the USBE.

6. Contract Award It is anticipated that the request for proposal (RFP) may result in a single or multiple contract awards to responsive and responsible vendor(s).

The contract(s) resulting from this RFP will run until June 30, 2027, with the potential for four (4) additional one-year renewal options. However, USBE reserves the right to terminate the contract(s) at any time in accordance with the provisions set forth in the Utah State Board of Education Standard Terms and Conditions.

USBE will make its best effort to assign work to contractors on a rotation basis, considering contractor availability, geographic location, potential and actual personal or professional conflicts of interest, and any other consideration deemed pertinent by USBE.

NOTE: The Investigator will be expected to complete approximately 7-10 investigations per month; however, actual assignments may vary based on demand and availability. No minimum or specific volume of work is guaranteed to any Investigator awarded a contract through this

RFP.

7. Contract Budget and Invoicing The Contractor shall be paid $100 per hour for the initial contract term. This rate shall remain the same for any additional renewal option years.

NOTE: Any Offeror selected for an award of a contract MUST agree to the cost structure as indicated in the Mandatory Minimum Requirements section. If at any time it is determined that a proposal does not meet these requirements, the proposal will be deemed non-responsive and disqualified.

Any work must be invoiced after services have been rendered. Invoices for services rendered during the fiscal year (July 1 through June 30) shall be submitted during the fiscal year in which the services were rendered, and no later than 30 days after the end of each fiscal year.

Costs MUST be all-inclusive. If travel for meetings, trainings, or other engagements is required for the Contractor, the Contractor must arrange and pay for their own transportation, meals, and lodging. Travel time and travel expenses for the vendor shall NOT be included in any invoice to USBE, unless authorized by USBE in advance for hearings outside of Salt Lake County.

Invoicing:

Contractor shall submit monthly invoices electronically to the USBE email account at accountspayable@schools.utah.gov and the USBE program manager(s) identified in any contract resulting from the RFP for all goods and/or services provided in accordance with the terms on the agreement. Invoices will not be considered for payment if submitted by another method.

Invoices shall include the following:

a. Contractor Name

b. Uniquely identifiable invoice number

c. Invoice date

d. Contract Number

e. Recipient Entity’s contact information (phone number and email address)

f. Contractor’s authorized signature

g. Date(s) goods/services were provided

h. Description of goods and/or services for which payment is requested

i. Dollar amount requested.

Invoices submitted by Contractor to USBE without the required information will not be paid and shall be returned to the Contractor for completion.

All payments made to the Contractor under the agreement shall be made in the name of the Contractor, as it appears in the agreement. All payments will be sent to the Contractor to the address for the Contractor as it appears in the agreement. Changes to the information identified in this section must be requested in writing.

To obtain payment for the goods and/or services authorized by this agreement, Contractor shall submit the itemized invoice together with supporting documentation of work performed.

USBE reserves the right to question or seek clarification for any cost invoiced if the invoice is not supported by proper documentation.

Contractor may be required to repay USBE if, during or after the contract period, an audit or other review determines that payments made by USBE to Contractor were incorrectly paid or were based on incorrect information received from the Contractor. USBE reserves the right to mailto:accountspayable@schools.utah.gov withhold any or all subsequent payments to the Contractor until the incorrect amounts paid have been fully recovered.