Att K- Statement of Work.docx

IDEA Part B Fiscal Monitoring Scope of Work

RFP 27-88033

I. EXECUTIVE SUMMARY

The Indiana Department of Education’s (IDOE) Office of Special Education (OSE) seeks a contractor to provide expert support in the fiscal monitoring of IDEA Part B programs. The selected vendor will assist in fiscal reviews, provide training materials for local education agencies (LEAs), and ensure compliance with federal requirements.

II. BACKGROUND AND CURRENT STATE

IDOE OSE is responsible for supervising and administering IDEA Part B federal grants awarded by the Office of Special Education Programs (OSEP). Fiscal monitoring is mandated under USDOE State General Supervision Responsibilities.

III. SCOPE OF WORK

Objectives of Engagement The goal of this work is to ensure compliance with US Department of Education (USDOE) requirements and to enhance the effectiveness of fiscal oversight across local education agencies (LEAs). The contractor will assist in implementing robust monitoring procedures, training materials for LEA staff, and building internal capacity within IDOE to sustain ongoing compliance and fiscal accountability.

To maintain fiscal integrity and meet federal requirements, IDOE adheres to several key regulations, including:

· 34 CFR Parts 75, 76, and 77—Education Department General Administrative Regulations (EDGAR)

· 2 CFR Part 200—Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Grant Guidance)

· 2 CFR Part 180—OMB Guidelines to Agencies on Government-wide Debarment and Suspension (Nonprocurement)

· 34 CFR Part 300—Assistance to States for the Education of Children with Disabilities The need for additional support arises from the ongoing requirement to fully implement fiscal monitoring systems, ensure consistent application of procedures, and provide comprehensive training to LEA staff. The selected contractor will play a vital role in helping IDOE OSE meet these objectives by supporting staff, improving processes, and facilitating compliance with all applicable federal regulations.

Deliverables & Deadlines The purpose of this Scope of Work is to define the responsibilities of the contractor supporting the Indiana Department of Education (IDOE) in IDEA Part B fiscal monitoring, in accordance with IDEA Supervision Guidance 2301. The contractor will assist in fiscal reviews, provide training materials for upcoming monitoring cohorts and ensure compliance with federal requirements. All activities must be performed in coordination with IDOE staff, with strict adherence to quality control standards and secure information sharing protocols. The vendor will work with up to 13 Tier 3 LEAs. Tier 3 LEAs are schools that require intensive oversight and specialized interventions due to missing federal IDEA Indicators. The Tier 3 monitoring process entails a comprehensive examination of grant management, IDEA-program compliance, the subrecipient’s operational activities, fiscal requirements, and allowability of funds.

Tier 3 Monitoring covers:

· Fiscal Policies and Procedures Review

· Cost Principles Procedures

· Procurement Procedures

· Time and Effort Policies and Procedures

· Inventory Management Procedures

· Cash Management Procedures

· Conflict of Interest Policy

· Record Retention Policy

· Allowability of Costs

· Review the Detailed Expenditure Report review

· Purchase Orders, Invoices and Supporting Documentation review

· Allowability of Salaries (Time and Effort)

· Financial Management System

· Correct SBOA Funding Source

· Budget and Expenditure Report

· Reimbursement Request

· Final Reports

· Proportionate Share Reports

· Records’ Retention

· IDEA Part B Records

· Inventory Management System

· Itemized Inventory

· Excess Cost Calculator

· Coordinated Early Intervening Services/Comprehensive Coordinated Early Intervening Services

· Detailed Expenditure Report review

· Purchase Orders, Invoices and Supporting Documentation review

· Allowability of Costs

· Proportionate Share

· Detailed Expenditure Report review

· Purchase Orders, Invoices and Supporting Documentation review

· Allowability of Costs As part of the fiscal monitoring work, vendors will provide IDOE with Fiscal Monitoring Reports, LEA Training Materials, and regular Status Reports.

Fiscal Monitoring Reports

· Fiscal Monitoring Reports Must Include:

· Fiscal Monitoring Preliminary Notes and Final Notes

· A finding of Compliant or Non Compliant

· Subrecipient Fiscal Monitoring Final Report

· Legal Citation

· Fiscal Requirement

· Finding of Noncompliance

· Recommendation or Required Action

· Corrective Action Plan

· Finding of Noncompliance

· Response to Finding

· Timeline for Completion

· Staff Responsible

· Timeline

· LEAs are given 45 business days from date of notification to submit documentation

· Vendor will have up to 3 weeks to review documentation and request any additional information

· LEAs are given 1 week to provide any additional information requested

· Within 60 business days of the final monitoring review, the monitoring report with recommendations and findings is sent

· LEAs will be given 90 business days to provide evidence of corrective action

· The closeout letter is sent within 60 business days of receipt of final evidence Note: The timeline above is based on current guidelines. The expected turnaround times may shift from business days to calendar days with a future cohort. If this change is implemented by IDOE, IDOE will provide updated guidance to the vendor and LEAs.

Status Reports

· Contractor will facilitate virtual bi-weekly status meetings with IDOE

· Held using virtual conferencing software. Microsoft Teams is preferred, but not required.

· Contractor will draft meeting agenda and provide to IDOE for review and approval at least 24 hours in advance of each meeting IDOE reserves the right to request weekly status meetings as key milestones and deliverable dates approach to ensure timeline updates driving heightened success.

LEA Training Materials

· Develop yearly fiscal monitoring training materials for LEAs in Tier 2 and Tier 3

· Draft Training Materials/Presentation

· IDOE must approval all training materials

· The focus of the training will be LEAs selected for upcoming monitoring cohort to increase preparedness for monitoring requirements

· SEA will provide the training Timeline for Project This timeline covers the work for 2026-2027. Work for future years will follow the same schedule (minus the kickoff meeting).

Timeline and Key Milestones

· January 2027: Kickoff meeting held; initial agenda and notes delivered.

· January 2027 – December 2027: Desk reviews (reviews conducted remotely without an on-site visit) for Tier 3 LEAs conducted; monthly progress meetings and reports submitted.

· August 2027: training materials finalized and approved.

· March 2027 – December 2027: Final fiscal monitoring reports delivered to IDOE for approval and distribution.

Project timeline

Payment Milestones Vendor may submit monthly invoices for the check-in meetings. Invoices for LEA fiscal monitoring and LEA training documents may be billed after the specific monitoring or training documents are complete.

The final list of deliverables and costs may differ from the breakdown provided in the Cost Proposal. Specific payment terms will be negotiated after the award.

IV. PROJECT MANAGEMENT

Project Management Plan Project Manager The Contractor shall designate a Project Manager who will serve as the primary point of contact for IDOE throughout the duration of the project. The Project Manager will be responsible for:

· Overall Project Coordination: Ensuring all activities are executed in accordance with the approved scope, schedule, and deliverables.

· Maintaining the Project Management Plan (PMP): Creating and maintaining a shared project plan that tracks the status of key tasks and progress towards completion of all project deliverables. IDOE prefers the shared schedule be maintained in Google Sheets.

· Subcontractor Oversight: Managing and monitoring any subcontractors engaged for the project, ensuring that all work performed by subcontractors meets quality standards and is free of defects.

· Communication & Reporting: Acting as the liaison between IDOE and the Contractor’s project team, providing timely updates, status reports, and issue resolution.

· Facilitation of Project Meetings: Scheduling and leading regular project meetings with IDOE and relevant stakeholders to review progress, address risks, and confirm alignment on deliverables. Meeting requirements are outlined in “Project Meetings,” below.

· Quality Assurance/Quality Control: Implementing processes to verify that all deliverables are defect-free and meet the specifications outlined in the solicitation and contractual requirements. See “Contractor Responsibilities & Deliverables,” above, for details on expected QC processes.

The Contractor must ensure that the Project Manager has the authority and resources necessary to manage the project effectively and maintain accountability for all aspects of performance. Required qualifications for the Project Manager are detailed under “Key Persons & Other Project Staff,” below.

Project Management Plan The awarded Vendor shall be responsible for drafting a comprehensive Project Management Plan (PMP) that will guide all activities, deliverables, timelines, and communications throughout the duration of the Contract. The PMP shall, at a minimum, include:

· A detailed project schedule with milestones, dependencies, and critical paths

· Project organization and staffing plan

· Requirements traceability approach

· Issue, risk, and change‑control management processes

· Stakeholder communication plan

· Quality management and deliverable acceptance processes

· Any additional components required to support successful implementation The Vendor must develop the PMP in close collaboration with the Indiana Department of Education (IDOE). Draft versions shall be submitted to IDOE for iterative review, feedback, and required revisions. The Vendor shall incorporate all IDOE feedback and may not consider the PMP final until formal written approval is provided by IDOE.

Submission Timeline The Vendor shall deliver an initial draft PMP within the timeframe defined in the final contract scope.

IDOE will review and approve the PMP following its internal deliverable review process.

Ongoing Maintenance The PMP is considered a living document. The Vendor must update the PMP as needed throughout the period of performance to reflect changes in scope, timelines, risks, or other project conditions. All updates are subject to IDOE review and approval before becoming effective.

Project Meetings Project Kickoff Meeting Project Kickoff Meeting: a kickoff meeting is required for project initiation. The purpose of the kickoff meeting is to introduce key stakeholders, points of contact for the project, address vendor or IDOE questions/concerns, provide an update on the contract status, and discuss next steps for project implementation.

· The contractor shall schedule and facilitate one project kickoff meeting.

· The kickoff meeting will be virtual (Microsoft Teams is preferred but not required; if the vendor opts for another platform, it must be available via web browser at no additional cost and with no additional software or plugins required).

· If IDOE and the vendor agrees to an in-person kickoff meeting, the vendor will provide the number of staff attending the kickoff, and the vendor must follow State of Indiana travel guidelines for allowable expenses and reimbursement.

· The contractor will draft a meeting agenda and provide it to the IDOE at least Three (3) business day in advance of the meeting. The contractor must provide meeting minutes for IDOE’s review and approval within one (1) business day of the meeting completion.

Project Status Meetings Project Status Meetings: Project status meetings are critical for monitoring progress on project deliverables and ensuring the project remains on time and track to completion.

· The contractor will establish and facilitate bi-weekly project status meetings.

· Meetings must be virtual (unless otherwise agreed to between IDOE and vendor) and should be hosted by the vendor using virtual conferencing software (Microsoft Teams is preferred, but not required; if the vendor opts for another platform, it must be available via web browser at no additional cost and with no additional software or plugins required). If IDOE and the vendor agree to in-person status meetings, the vendor will provide the number of staff attending the status meetings, and the vendor must follow State of Indiana travel guidelines for allowable expenses and reimbursement.

· The contractor will draft a meeting agenda and provide the IDOE at least one (1) business day in advance of each meeting. The contractor will provide meeting minutes for IDOE’s review and approval within one (1) business day of the meeting completion.

Status Meeting Elements During each status meeting, the vendor will:

· Go over all discussion topics noted in the meeting agenda

· Share the quality assurance and compliance checklist

· Review the PMP and discuss any proposed updates to the schedule

· Flag any project risks or note any items needing IDOE’s attention/input

· Review the LEAs that the vendor is currently monitoring

· Present findings based on ongoing observations and assessments

· Discuss the findings with IDOE

· Share recommendations with IDOE

· Work with IDOE to determine next steps for each LEA After each status meeting, the vendor will share a copy of the meeting minutes with IDOE for feedback and approval.

Key Persons & Other Project Staff The contractor must demonstrate extensive expertise in IDEA Part B fiscal monitoring and deep familiarity with US Department of Education (USDOE) requirements, including but not limited to:

· 34 CFR Parts 75, 76, 77 (EDGAR)

· 2 CFR Part 200 (Uniform Grant Guidance)

· 2 CFR Part 180 (Debarment & Suspension)

· 34 CFR Part 300 (Assistance to States for the Education of Children with Disabilities Contractor must demonstrate experience with the USDOE, OSEP, or state agencies implementing IDEA Part B grants. Governmental Accounting Standards Board (GASB) expertise is required.

· Knowledge of financial oversight and internal controls; CPA license preferred.

· Ability to write clear policy documents and fiscal guidance for public entities.

· Experience in charter schools fiscal oversight.

· Advanced knowledge of EDGAR, including Uniform Grant Guidance The contractor must also assign one Project Manager to oversee this work. The PM will serve as the point of contact for IDOE, and will oversee the project schedule, track deliverables, oversee quality control processes, and facilitate status meetings. A dedicated PM is not required, and the PM role may be filled by another member of the project team, such as a subject matter expert, provided the staff member has the qualifications and capacity to successfully execute both roles.

The assigned Project Manager should have:

· 2-3 years of project coordination or project support experience

· Demonstrated ability to manage schedules, documentation, and communication

· Proficiency with spreadsheets and standard project management tools

· Strong written and verbal communication skills

· Experience with federal fiscal monitoring or federal program compliance preferred

· The contractor must provide resumes for all key staff members on the team assigned to this work, outline what role each staff member will hold, and ensure that the assigned team meets all requirements outlined above. The vendor should also describe their background and experience with similar projects.

Document Management Project documents will be housed in cloud-based repository provided by IDOE. Details regarding access, document naming conventions, and file organization will be finalized during contract negotiation.

Status Updates & Reporting Regular status updates must be provided during the scheduled status update meetings as described in section 4.3.2. Project Status Meetings.

V. INDEPENDENT VALIDATIONS AND VERIFICATION

If the State decides to add Independent Verification & Validation (IV&V) services as part of this Contract, the Contractor will copy the Indiana Department of Administration (IDOA) -- IV&V Team member(s) on all project related communications (emails, meeting invites, collaboration tools, etc.) and will grant access to all documents and deliverables throughout the term of the Contract. If IDOA elects to deploy IV&V services in connection with this engagement, the IV&V Team will review and assess all deliverables to determine compliance with the State's requirements set forth in the Contract including the Statement of Work. For contracts entered into, renewed, or amended after June 30, 2026, the IV&V Team shall serve as an approving authority, and no payment shall be issued to the Vendor unless and until IV&V has provided such approval.

VI. COMPLIANCE REQUIREMENTS

Project Requirements Quality Control Processes All deliverables submitted to IDOE must be free of defects (including, but not limited to, spelling/grammar errors, typos, design/layout issues, placeholder text/graphics, math errors, and audio/visual glitches). The Contractor must have a robust quality control process in place to ensure deliverables sent to IDOE are of high quality during every review round. IDOE reviews will focus on style, tone, content, and alignment with state/project goals.

· All deliverables must undergo a minimum of two review rounds: one by the contractor and a final review by IDOE.

· Contractor must maintain a checklist for quality assurance and compliance, shared with during the bi-weekly status meetings for IDOE input.

· Each feedback and revision cycle must be completed within 10 business days of IDOE request.

Deliverable Requirements All deliverables produced as part of this work are subject to review and approval by IDOE. IDOE requires a minimum of ten (10) business days to review each deliverable. Deliverables may require multiple rounds of feedback and Contractor revisions. Deliverables will not be considered accepted until IDOE has provided written confirmation of approval. The Contractor may not submit an invoice for any deliverable until IDOE has formally approved that deliverable.

· All deliverables must be submitted in the format specified by IDOE: PDF, Word, Excel, or PowerPoint.

· Drafts and final versions must be clearly labeled and dated.

· IDOE written approval is required for each deliverable prior to distribution.

Approval and Compliance

· Contractor must comply with IDEA Supervision Guidance 2801 and all IDOE policies.

· Noncompliance or quality issues with the LEAs will be addressed through corrective action as directed by IDOE.

State Requirements Transfer of Secure Information Secure information must be shared exclusively via the State’s standardized data transmission technologies. The State has robust and comprehensive data transmission standards that operate enterprise wide. The IOT established and maintains these standards, which support IOT’s data exchange and API-led strategies for the State. The Contractor’s solution must support the State’s standard API and file transfer methods to facilitate secure data transmission. The State’s standardized data transmission technologies are the MuleSoft API Management and GoAnywhere Managed File Transfer (MFT) services. See https://www.in.gov/iot/policies-procedures-and-standards/applications-standards/.

Accessibility of Training Materials All training materials (slides, PDFs, LMS modules, videos, assessments) and digital content must conform to WCAG 2.1 AA and be maintained accordingly. The DOJ’s Title II rule is effective for state government in April 2026; the Contractor must evidence regular accessibility auditing and remediation workflows.

Compliance & State Standards The Contractor agrees that all hardware, software, services, and digital content provided under this engagement will conform to the State’s Information Security Framework, Assistive Technology requirements (WCAG 2.1 AA / Section 508), and State architectural standards. Any deviation requires prior written approval from IOT. Respondent will sign an NDA to access the Information Security Framework and ensure the proposed solution meets all applicable standards.

Security Incident Response The Contractor shall provide incident response process documentation covering ticketing, escalation, timelines for State notification, and reporting of resolved incidents including root cause analysis and lessons learned for major incidents.

Business Continuity/Disaster Recovery (BC/DR) The Contractor shall maintain and share with the State a Disaster Recovery Plan and a Business Continuity Plan for operations supporting this program, updating annually. Plans may include trade‑secret content protected under APRA and are exempt from public disclosure per IC 5‑14‑3‑4(a),(b)(10),(11),(19).

Liquidated Damages Requirement The State of Indiana advises all Offerors that any contract awarded from this solicitation with a total not-to-exceed value of Five Hundred Thousand Dollars ($500,000.00) or more will include a Liquidated Damages provision. Liquidated Damages are intended to reasonably compensate the State for losses resulting from delay or failure to perform and are not a penalty. Acceptance of a Liquidated Damages clause is a condition of award.

Offerors must acknowledge, in their proposal, acceptance of this requirement and agree to negotiate in good faith the specific structure (e.g., daily rate, accrual triggers, and aggregate cap) during contract finalization, consistent with Indiana law and State policy.

Vendor Acknowledgment Requirement By submitting a proposal in response to this solicitation, the Vendor acknowledges and agrees that:

1. Liquidated Damages may be required in any ensuing Contract;

2. The Vendor will negotiate in good faith the specific Liquidated Damages terms with IDOE; and

3. If Liquidated Damages are required, acceptance of the Liquidated Damages clause is a condition of award and non‑negotiable as to its inclusion.

Failure to acknowledge acceptance of these requirements may result in disqualification from further consideration.

VII. KEY PERFORMANCE INDICATORS

The State will use Key Performance Indicators (KPIs) to measure performance and outcomes of the Contract. The specific KPIs and their targets will be defined and agreed upon by the State and the Contractor during the initial phases of the requirements under the Contract. At a minimum, on time delivery at quality standards of the scope provided within the budget set forth in the Contract will each be measured. Additionally, the State will collect a modified Net Promoter Score from customers to this Contract in its discretion. Low ratings on the modified Net Promoter Score or failure to meet any other KPIs may be deemed, at the discretion of the State, to constitute default under the Contract.

VIII. END OF CONTRACT TRANSITION AND TURNOVER

Project Closeout At the conclusion of the contract term, the Contractor shall fully support the orderly completion, documentation, and transfer of all contracted services, deliverables, and materials. The Contractor must coordinate with IDOE to ensure a smooth and timely closeout process that maintains operational continuity and preserves all required records.

Contractor Responsibilities for Contract Closeout Final Deliverables and Documentation The Contractor shall provide all remaining deliverables and materials required under the contract, including but not limited to:

· Final reports, summary analyses, datasets, logs, or project artifacts.

· Updated technical and functional documentation.

· A written summary of completed work, outstanding issues, risks, and recommended next steps.

· An inventory of all deliverables submitted throughout the contract, including version history where applicable.

· Certification that all contract obligations have been met.

Financial and Administrative Closeout The Contractor shall:

· Submit all final invoices within 30 days of the contract end date unless another date is agreed upon between the Contractor and IDOE.

· Reconcile any outstanding payments, credits, or adjustments.

· Provide documentation supporting final costs, if requested.

· Return or destroy any confidential or sensitive information as directed by IDOE and in compliance with contract terms.

Records Management The Contractor shall ensure that all project files, communications, data, and documentation are organized and delivered in the format requested by IDOE. Records shall be complete, accurate, and ready for audit or compliance review, in accordance with applicable retention requirements.

Acceptance of Closeout Closeout will be considered complete once IDOE has reviewed and accepted all required materials, confirmed resolution of outstanding items, and provided written acknowledgement of contract closure.

Transition Responsibilities If IDOE elects to transition services to a new Contractor, internal team, or alternative platform, the existing Contractor shall support transition activities. These may include:

Knowledge Transfer

· Conduct structured knowledge‑transfer sessions, including walkthroughs of systems, processes, workflows, and historical context.

· Provide training materials, technical information, user guides, and other artifacts necessary for continuity of operations.

Transition Support Activities

· Collaborate with IDOE and incoming provider to develop a transition plan, including timelines, dependencies, and risk mitigation strategies.

· Assist with data migration, export, or extraction services, ensuring accuracy and completeness.

· Provide reasonable availability of key staff for consultation during the transition period.

System & Data Handoff

· Deliver all system credentials, configuration files, assets, code (if applicable), and data in industry‑standard, accessible formats.

· Ensure clean, complete, and secure transfer of all data.

· Validate successful receipt and usability of assets before concluding the transition.

Continuity & Risk Mitigation

· Maintain current service levels during the transition period until IDOE formally releases the Contractor from operational responsibilities.

· Identify and communicate any risks that may impact continuity or delivery.

AI Use Disclosure: This document was primarily written by human authors. Certain sections were revised using AI-assisted tools for clarity and readability. All AI-generated edits were reviewed, verified, and finalized by authorized personnel.

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