Salient_Characteristics.docx

General Information

1.1 Introduction

1.1.1 The U.S. Department of Housing and Urban Development (HUD), Office of the Chief Information Officer (OCIO) is seeking contract services to provide Operations and Maintenance (O&M), hosting, and license Support for its enterprise adaptive case management application suite, or an equivalent system configured by the Contractor. The Contractor’s proposed case management platform and its resident applications must include substantially equivalent functionality and the salient characteristics of the existing platform and HUD applications.

1.1.2 The needed services include analysis, design, programming, configuration management, testing, documentation, implementation, end user training, and providing day to day support for steady state/system operations.

1.1.3 The combined product suite must meet the requirements necessary to support HUD’s applications in order to comply with various executive orders, OMB circulars, and Laws, such as, Executive Order (EO) 13392, OpenGov Act, Paperwork Reduction Act, the OIG Act, Freedom of Information Act, Circulars A-123, A-133, and A-50, etc.

1.1.4 The Contractor must develop, maintain, and upgrade as needed HUD’s applications on the eCase platform or configure and likewise support a substantially equivalent system to perform the same tasks. This includes adaptive maintenance to upgrade product versions, re-configuration of existing automated workflows, and/or the build of new workflows based on updated business processes. In addition, the product suite will be used to develop new workflows used to automate additional business processes, including but not limited to an ARCATS module for the Office of Evaluations’ reports, a module for other audits and reviews, and a module allowing across module analysis, PBC modules for Ginnie Mae and for the Federal Housing Association (FHA), a module within PBC for Notice of Finding and Recommendation (NFR) tracking, and an overarching risk identification and risk reduction management tool for evaluating data across the ARCATS modules to identify, group, analyze, and assist in resolving root causes of findings and significant deficiencies. This Contract also establishes an enterprise license subscription of the product suite to expand services to an enterprise level for use across the Agency.

1.2 Background

1.2.1 Office of the Chief Information Officer

1.2.1.1 The Office of the Chief Information Officer (OCIO) is responsible for providing Project Management support for the maintenance and development of automated systems in support of the Department’s programs and services. This includes, but is not limited to, managing automated data processing (ADP) systems and providing the full range of HUD’s Software Development Life Cycle (SDLC) and maintenance services. These services include analysis, design, programming, configuration management, testing, documentation, implementation, end user training, and providing day to day support for steady state/system operations. The OCIO is also tasked with the monitoring of contractual efforts related to the systems within its portfolio. The OCIO follows the Project Management Body of Knowledge (PMBOK) principles and processes in the management of its project portfolio.

1.2.1.2 HUD has utilized the AINS commercial off-the-shelf (COTS) product suite eCase and the eCase dynamic case management platform to support HUD’s applications.

1.2.1.3 The Contractor must maintain and upgrade as needed, HUD’s applications with the current product version(s) of the brand name product suite or equivalent system that the applications are transitioned too. Upgrades of these systems will include adaptive maintenance to upgrade product versions along with any associated re-configuration of existing automated workflows needed, and/or the build of new workflows based on updated HUD business processes. In addition, the product suite will be used to develop new workflows used to automate additional business processes, including but not limited to an ARCATS module for the OIG’s Office of Evaluations, a module for other audits and reviews, and a module allowing across module analysis, PBC modules for Ginnie Mae and FHA, a module within PBC for Notice of Finding and Recommendation (NFR) tracking, and an overarching risk identification and risk reduction management tool for evaluating data across the ARCATS modules to identify, group, analyze, and assist in resolving root causes of findings and significant deficiencies. This Contract also establishes an enterprise license subscription of the product suite to expand services to an enterprise level for use across the Agency.

1.2.2 Executive Secretariat: The mission of the Executive Secretariat (Exec Sec) is to assure that the Department’s responses to FOIA requests and controlled correspondence, including that signed by the Secretary and Deputy Secretary are responded to in a timely, accurate, and professional manner. HUD’s Executive Secretariat is the program area sponsor for the CTS, FMS2 and PAL systems. Notwithstanding this, the CTS, FMS2 and PAL systems are enterprise-wide solutions. The OCIO provides all Project Management related coordination and contract monitoring and management for these systems.

1.2.2.1 Electronic Case and Document Management and Correspondence Tracking System In 2005, the Department undertook an initiative to provide an enterprise Electronic Case Management solution. The first phase of this initiative was to modernize the Department’s legacy mainframe system used for controlling and tracking FOIA requests and controlled correspondence. To that end, the Contractor provided a complete system integration lifecycle solution in the new CTS, FMS2, and PAL systems. The new CTS and FMS2 systems were designed using the AINS eCase, FOIAXpress, SCANXpress, REDACTXpress and PAL products. CTS, FMS2 and PAL are currently deployed utilizing the Unix and Microsoft (MS) Windows operating systems, with JRUN, IIS, and MS SharePoint as the middleware document repository and MS SQL as the backend database and utilizes/interface with Microsoft Outlook and Word. The FMS2 system also includes a module, using the PAL product. PAL provides accessibility to the public, via HUD’s public facing web site, hud.gov, enabling the public to submit FOIA requests on-line and to be able to check the real-time status of their FOIA request via a secure login and password combination.

FOIAXpress (FMS2)

FMS2 is a Department wide system that tracks all FOIA requests that are received in the Department’s Headquarters’ FOIA Branch and the Regional/Field Offices. FMS2 tracks all incoming FOIA requests and allows the requester to submit their requests electronically via PAL.

HUD requires a comprehensive web-based application for electronically processing FOIA requests. Because the emphasis on government openness and transparency continues to increase, agencies and institutions look for ways to streamline FOIA requests. HUD’s FOIA processing application should manage the entire lifecycle of a FOIA requests from its initial intake to the final delivery of documents, including request management, correspondence management, document management, fee/payment management, document review and redaction, and reporting.

FMS2 has several functions and capabilities to process FOIA requests smoothly. These functions/capabilities include:

FMS2 guides the users to the appropriate areas of responsibility on the homepage dashboard that is specific to each user’s role and program office queue, which allows the FOIA staff and FOIA Liaisons within the Regional/Field Offices to assign and track the current status of each request. When assigning requests to the particular program office, the system sends out automatic notification emails to the designated office(s) alerting them that a request(s) has been assigned to them for processing.

The system should allow for uploading voluminous documents to perform redaction and direct delivery to the requester. These documents can be in various formats, which include Microsoft Excel files, Word documents, and PDF files. A detailed workflow history and status of each FOIA request needs to be available on demand. The history provides a log of each request, including the text changes, assignments, accessing the request, etc., and allows a user to modify the description of the FOIA request, if the requester amends their request.

HUD’s FOIA processing application should provide data entry capability for the received date, date of request, received mode, target date, request status, retention expired date (this date is generated once a request is closed and based on the final disposition of the request). The system also allows the requester to enter if they are requesting expedited processing and fee waiver, and provides the status and start and end date for both.

The ability to schedule reports to be generated on a weekly, daily, or monthly basis is a requested characteristic of the application. These reports can either be exported via Word and Excel or sent to the recipient via email. FMS2 has an enterprise license, which includes all HUD program offices and Regional/Field Offices having the ability to request user access from the vendor. The FOIA Branch and each of the program offices within HUD Headquarters and the Regional/Field Offices FOIA Liaisons are FMS2 users.

Correspondence Tracking System (CTS)

The current correspondence tracking application has a web-based user interface accessible from HUD internal intranets. Current data entry fields include multiple pick-boxes, calendar drop-downs, radio buttons, Active Directory list, text boxes, and all other MS user input gadgets as appropriate. The system can reverse an entry/roll back workflow advance, once saved, by the person who made the entry, as well as by an admin user. Folders can also be flagged with permissions, limiting visibility to specific users or queues.

This system guides users to their areas of responsibility through homepage dashboards that are specific to each user’s role and program office queue, with the current assigned task showing in the user’s inbox. There are role-based access controls to each field in the forms for each module to ensure the integrity of the data in the system. It provides designated users roles to access system administration functions to change group profiles and members, correct data records and workflow status, edit text and addressee list of automatic notification emails, etc.

For each folder in the system there can be numerous lengthy attachments, with corresponding attachment names. These attachments can be in various formats to include, but not limited to, Excel files, Word documents, PDF Files, etc. There is also role-based access to see the existence of, or to open, document attachments based on flags chosen by the person attaching the document (i.e., restricted, sensitive, etc.) to protect personally identifiable information.

CTS provides the detailed workflow history and status of each folder. The history log provides a record of text changes, workflow assignments, users accessing the folder, etc. and includes in the record such things as date changed, field changed, staff member who made the change, reason for the change, etc.

There is a large volume of documents included in CTS; consequently, the cloud service provider has a technology solution with unlimited data storage capability. CTS can provide, daily, weekly, or monthly system email notifications that can be formatted and scheduled by the user. Additionally, automatic emails are sent when the workflow changes users. Email notifications include a link to the referenced record within the system.

CTS produces multiple tailored printable views and reports that are can be used to review pending and overdue assignments across all HUD offices (examples are included in Appendix B). User ad hoc report writing capability or report design tool with 'simplified' interface screen for the typical user, and 'advanced' report parameter modification options for the 'super user' are utilized and these ad hoc reports can be saved, accessed, and shared with other users (both the parameters and the resulting report). Application and ad hoc reports are directly exportable to Word and Excel in a user-editable format with the ability to schedule reports (both ad hoc and application) to be delivered to specified recipients by email.

CTS has an enterprise license, with all HUD program offices—including all field offices—having the ability to request user access from the vendor. Most CTS users are in HUD headquarters.

1.2.2.2 The Exec Sec’s future state plans include: an automated interface for the White House-CTS Correspondence process. Currently, White House correspondence is managed between the White House system and HUD’s CTS system manually. HUD’s Exec Sec staff access the White House system daily to check for any correspondence assigned to HUD. Information is entered into the CTS system manually, processed and updated in CTS and the White House system with a manual update. This manual processing is cumbersome, prone to human errors, duplicates effort, and takes time away from Correspondence Specialists. The interface, a Connector, for HUD CTS and White House Correspondence system will automate the process by automatically synchronizing the folders assigned to HUD within the White House system with CTS. Any new cases assigned to HUD will be automatically imported into HUD’s CTS system. Similarly, any folders imported into CTS and completed in CTS will be uploaded into the White House system. The interface, a Connector, requires development effort from the Contractor and the White House’s system technical staff. This Connector is in progress in eCase and is currently waiting for technical updates from White House IT staff.

1.2.2.3 HUD’s future state plans include: an automated system currently utilized for the Equal Employment Opportunity (EEO) Management Information System process to include hosting, licensing, configuration, and migration to lift and move data. Currently, the EEO Program is managed by ODEEO staff to accomplish the workload within HUD. The Information maintained is using the automated case management system, EEOMIS. All information contained in the system, utilizes iComplaints and Entellitrak and its components that will be migrated and imported into the new case management system from the EEOMIS system. The system encompasses the functionality of statutory/regulatory requirements governing the EEO complaint process in accordance with EEOC Management Directive (MD) 110 and 715, Secretary’s Policy Statements, AFGE Collective Bargaining Agreement, and the Department’s Strategic Plan and Objectives through iComplaints and Entelitrak using document management, eFile, eScan, and the Dashboard. iComplaints Case Management System is a standard Federal EEO case management system designed to track and manage the Department’s EEO complaint process, EEO complaints and cases, and generates the annual reporting of EEOC Form 462 Report and the No FEAR Act Report to Congress. Entellitrak supports the Department’s Alternative Dispute Resolution (ADR) program. Entellitrak, is a unified, enterprise-level platform that takes the data-first approach in creating continuous configurable case management and business process management (BPM) solutions. By supporting the Department’s Alternative Dispute Resolution (ADR) Program, the system will track the mediation process between employees before a complaint becomes a legal matter. The system will allow complaints, referrals to mediation, resolutions, continued follow-up, costs, and names of all individuals involved or related to the case to be easily input and tracked through Entellitrak.

1.2.3 Office of the Inspector General (OIG) and Office of the Chief Financial Officer In 2014, the Department undertook an initiative to migrate and upgrade the ARCATS and PBC systems from their previous Lotus Notes based application platform to the AINS eCase platform. This effort was completed in 2016.

1.2.3.1 Audit Resolution Corrective Action Tracking System (ARCATS) eCase or a substantially similar system would need to incorporate the current functionality of the HUD custom built ARCATS module. Currently, ARCATS is a Departmentwide system that tracks and provides the statuses of all open OIG, Single Audit Act (SAA), and Government Accountability Office (GAO) findings, recommendations, and management decisions. The system also tracks ongoing GAO reviews through the review life cycle. Consequently, the system has three submodules (OIG, GAO, and SAA) that are both mutually exclusive for individual processing and reporting and also jointly searchable for specified terms. The existing application information search tool has the capacity to include the content of file attachments as well as data record fields in either a specific module or across multiple modules as needed.

ARCATS has a web-based user interface accessible from both HUD and OIG internal intranets that takes into consideration the different access and security issues of each area.

Current data entry fields include multiple pick-boxes, calendar drop-downs, radio buttons, Active Directory list, text boxes, and all other MS user selection options as appropriate. The system will need to include the ability to reverse an entry/roll back workflow advance, once saved, by the person who made the entry, as well as by an admin user. (i.e., roll back a submitted proposed management decision to draft, etc.) The system also provides the ability for the acceptance or rejection of proposed management decisions, final action certifications, etc.

This system guides infrequent users to their areas of responsibility through homepage dashboards that are specific to each user’s role. There are role-based access controls to each field in the forms for each module to ensure the integrity of the data in the system. It provides designated users roles to access system administration functions to change group profiles and members, correct data records and workflow status, update cost data, and edit the text and addressee lists of automatic notification emails, etc.

For each record in the system there can be numerous lengthy attachments. These attachments can be in various formats to include, but not limited to, Excel files, Word documents, PDF Files, etc. There is also role-based access to see the existence of, or to open, document attachments based on flags chosen by the person attaching the document (i.e., restricted, sensitive, etc.) in order to protect personally identifiable information that may be contained in attachments.

Although ARCATS is not a financial system the OIG and SAA modules currently have the ability to track payments and calculate costs using multiple cost categories associated with closure of audit recommendations (various types of unsupported and funds put to better use cost categories as specified in the OIG Act). These cost figures feed into multiple highly complex and diverse application reports (examples are shown in Appendix B).

ARCATS provides the detailed history and current status of each recommendation. History includes such entries as text changes, reassignment, etc. and includes in the record such things as date changed, field changed, staff member who made the change, reason for the change, etc.

There is a large volume of documents included in ARCATS; consequently, the cloud service provider must have a technology solution with unlimited data storage capability that ensures no system slow-downs or outages due to volume.

ARCATS provides both overnight batch and immediate event-triggered system email notifications some of which are editable before triggering; for example; editable GAO email notifications. For some GAO and OIG notifications batched overnight emails are used to eliminate numerous individual emails. Email notifications include a link to the referenced record within the system (i.e. link to the OIG recommendation, GAO review, SAA audit, etc.). The Contractor will need to work with HUD CIO staff to ensure consistent and reliable delivery of these emails to ensure they are not blocked by HUD’s firewalls or moved into Junk folders.

ARCATS produces multiple tailored printable views and extremely complex and detailed printed reports that include complex calculations and parameters for direct inclusion in the Semiannual Report to Congress, the Secretary’s Audit Resolution Report section of the Department’s Annual Financial Report, the monthly Audit Resolution Report, and approximately 75 other application reports. These reports include parameter selections; such as date (past, present, future), program office, action official, costs associated with recommendations, etc., and ad hoc reports. (examples are included in Appendix B). User ad hoc report writing capability or report design tool with 'simplified' interface screen for the typical user, and 'advanced' report parameter modification options for the 'super user' are utilized and these ad hoc reports are able to be saved, accessed, and shared with other users (both the parameters and the resulting report). Application and ad hoc reports must be directly exportable to Word and Excel in a user-editable format with the ability to schedule reports (both ad hoc and application) to be delivered to specified recipients by email at a specified time.

ARCATS OIG module includes a mechanism for setting a grace period for data entry to ensure no retroactive entries are made after set dates to preserve the integrity of annual and semiannual reporting.

There are two separate administration groups that must have various overarching edit capabilities to correct text, add comments, change personnel, enter the grace date, correct costs entered, change automatic email (both overnight and instant) text and addressees, etc.

The most frequent users are the Office of the Inspector General (OIG) and the Office of the Chief Financial Officer (CFO); however, all HUD headquarters program offices have access/input to the system and may generate reports. The majority of ARCATS OIG and SAA audit related users are located in HUD’s Field Offices while GAO users are usually in Headquarters.

1.2.3.1.1 OE ARCATS Module: HUD’s future state plans include: (1) expanding ARCATS to include evaluation and inspection work performed by the OIGs Office of Evaluations (OE) through a new OE module, (2) a module to include other additional reviews and audits; (3) creating a risk management framework and analyses system/module which pulls data from the various ARCATS modules and seeks to identify both overarching and underlying financial and programmatic risks for purposes of identifying and potentially resolving core root causes to HUD’s financial and program deficiencies; and (4) configuration of a user friendly interface on the individual Home page that is specific to the user.

1.2.3.2 Prepared by Client (PBC): eCase or a substantially similar system would need to incorporate the current functionality of the PBC module. Currently the PBC system is used by the CFO, OIG and program offices to track the status of information the OIG requests from program offices to conduct the Department's Consolidated Financial Statements Audit, FISCAM Audit, audits of HUD’s programs that feed into the Consolidated Financial Statements Audit, and any other audits specified by the OIG. As such, it is a web-based user interface accessible from both HUD and OIG internal intranets that takes into consideration the different access and security issues of each area. It easily guides infrequent users to their areas of responsibility through homepage dashboards that are specific to each user’s role. There is role-based access control to the field-level to ensure the integrity of the data in the system.

For each record in the system there can be numerous lengthy attachments. These attachments can be in various formats to include, but not limited to, Excel files, Word documents, PDF Files, etc. There is also role-based access to see the existence of, or to open, document attachments based on flags chosen by the person attaching the document (i.e., restricted, sensitive, etc.) in order to protect personally identifiable information or otherwise restricted information.

In addition to tracking the status of information program offices provide to OIG, the PBC system sends automatic email reminders when data is entered, actions are needed, or data is coming due or is overdue. These emails are both overnight batch and immediate event-triggered system email notifications that include a link to the Item referenced in the email. The Contractor will need to work with HUD CIO staff to ensure consistent and reliable delivery of these emails by ensuring they are delivered on time, not blocked by firewalls, or placed into Junk folders.

The PBC database contains a description of requested information; the date the OIG requests, needs, and receives information; dates the program offices agree to provide information; the delivery date of requested information; and other needed information. Data entry fields include pick-boxes, calendar drop-downs, radio buttons, Active Directory list, and all other MS user input gadgets as appropriate. The system also provides for the ability to accept or reject submissions.

PBC provides the detailed history and current status of each PBC Item. History includes field level record changes that include date changed, field changed, staff member who made the change, reason for the change, etc.

The system includes the ability to reverse an entry/roll back workflow advance at any step in the process, once saved, by the person who made the entry, as well as by an admin user. (i.e., roll back a PBC item from “Submitted to OIG” to “Promised by HUD,” etc.)

It produces tailored printable views and 22 detailed printed reports that include calculations and parameter selections such as date (past, present, future), program office, responsible official, etc. Ad hoc reports and information search tools have the option to include the content of file attachments as well as data record fields. Application and ad hoc reports are directly exportable to Word and Excel in a user-editable format and have the ability for users to save and share access to user-created ad-hoc report specifications and their results. The system also provides the ability to schedule reports (both ad hoc custom and application) to be delivered to specified recipients by email at a specified time.

The system provides an OIG triggered “archiving” and copying tool that retires the previous year’s Items and provides a copy of these same Items in draft form for use in the current fiscal year’s audit with new item numbers corresponding to the new fiscal year. The cloud service provider has unlimited data storage capability to accommodate this process and ensure that there are no system outages or slow-downs.

PBC allows designated user roles to access system administration functions to change group profiles and members, correct data records and workflow status, and edit text and addressee list of automatic notification emails, etc.

The most frequent users are OIG and the CFO; however, all HUD employees have access/input to the system and may generate reports. The majority of PBC users are located in HUD’s Headquarters and the Fort Worth Accounting Center.

1.2.3.2.1 FHA and GNMA PBC Modules: HUD plans to create separately administered modules to track PBC items for the FHA financial audit, Ginnie Mae financial audit, a module for tracking NFRs; and configuration of a more user friendly interface on the individual Home page specific to user’s roles.

1.2.4 HR Human Resources End-to-End Case Management (HR E2E CM) The primary purpose of HR case management is to track the status of a particular human capital function associated with the following employee assistance programs: hiring, benefits, reasonable accommodations, employee relations and labor relations, Pending Action Request (PAR) processing, training status, telework, and other related human capital services.

Promotes transparency to HR operations, provides better communication, reduces the possibilities for delays, allows supervisors to monitor the workload, enhances employee ability to self-serve, and promotes accountability. Maintains compliance and ability to transition quickly to adopt new Federal, Regulatory or Statutory Standards/Requirements and Policy pertaining to HR functions such as: Employee and Labor Relations, HR Employee Benefits, Reasonable Accommodations, and Telework.

Provides a framework for system integration/interface to increase automation and data exchange from HUD’s Personnel Action Processing System (Treasury’s HR Connect/HUD’s Integrated Human Resources and Training System- HIHRTS), Treasury’s inCompass System, National Finance Center, and HUD’s Data Store, to create records in the Case Management System.

Triage process, and task work queue with ability to assign and reassign tasks between specialists/users.

Business rules to maximize data quality and guide users through workflows.

Role based security model with the data accessible by authorized users.

Ability to track and monitor costs associated with a HR function such as (but not limited to) Reasonable Accommodations and or Employee and Labor Relations (ELR).

Paperless capability providing flexible electronic document attachments and scan-to-system ability.

Dashboard reporting for senior management and HR staff On demand and canned reporting capability for timeliness, workload, process management, case projections, customized report development and capability for fillable forms.

Auto data transfer and transition of applications, i.e. ELR consultations should be easily converted to case files without re-entering personnel data.

Ability to produce Quick Reference Cards (QRCs) and other user application job-aids.

Provide End user training.

Provides advance notice of system upgrades and enhancements, with a written description of proposed changes.

Employee Relations/Labor Relations: The HR Case Management module will provide functionality to include the monitoring, tracking and reporting of data that supports: addressing employee misconduct; addressing employee performance problems; managing administrative grievances; providing reasonable accommodation; administering employee assistance programs; administrative third party proceedings; determining candidate; and facilitating the relationship between the agency and its unions. This includes negotiating and administering collective bargaining agreements; processing negotiated grievances; and participating in third party proceedings.

Reasonable Accommodations: In accordance with Rehabilitation Act of 1973, The HR Case Management module will provide employees considered disabled, with an electronic tool to submit a request for a reasonable accommodation. In addition, the employee will be able to inquire about the possibilities as well as obtaining updates and making changes to a previously submitted request. This application will electronically route the request to all parties required in the approval workflow, to include associated timelines and request for supporting documentation. The desired application will permit uploading or importation of compatible documents. The desired application will track all cases from original submission to the final rendering of a decision. The desired system will include email notifications to all parties regarding each process transaction. Desired application will permit scheduling and publishing of canned and on demand custom reports, including exporting to excel, word and pdf formats.

Telework: The HR Case Management module will provide functionality for employees to electronically submit a telework agreement, including the associated approval workflows, rules of behavior or other associated agreement documents. In addition, the system will allow the employee to submit a renewal and or change for a previously approved Telework agreement, to include type of Telework, frequency and complete work schedule. In addition, the desired application will collect information regarding the employees’ commute to work, including mode(s) of transportation, mileage and frequency. The desired application will permit uploading or importation of compatible documents. The desired application will permit scheduling and publishing of canned and on demand custom reports, including exporting to excel, word and pdf formats.

Benefits (Pay, Benefits and Retirement): The HR Case Management module will provide HR specialist the ability to monitor and track HR Benefit transactions as they are performed by 3rd party affiliate. In addition, the desired application will give HR specialist the ability to permit scheduling and publishing of canned and on demand custom reports, including exporting to excel, word and pdf formats.

Salient Characteristics

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