Capital Needs Assessment Solicitation 86614821R00012 Amend 1.pdf

Capital Needs Assessment

86614821R00012

Table of Contents Page

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

SECTION C - DESCRIPTION/PERFORMANCE WORK STATEMENT

SECTION D - PACKAGING AND MARKING

SECTION E - INSPECTION AND ACCEPTANCE

SECTION F - DELIVERIES OR PERFORMANCE

SECTION G - CONTRACT ADMINISTRATION DATA

SECTION H - SPECIAL CONTRACT REQUIREMENTS

SECTION I - CONTRACT CLAUSES

SECTION J - LIST OF ATTACHMENTS……………………………………………………...90

SECTION K – REPRESENTATION, CERTIFICATIONS, AND OTHER STATEMENTS OF

OFFERORS…

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS……

SECTION M – EVALUATION FACTORS FOR AWARD………………………………

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 Description of Services

This requirement is to provide the Office of Policy Development and Research (PD&R) with an assessment of the existing and long-term capital needs for the Department’s public housing stock.

CLIN Labor Category Est

Hours*

Unit

Price

Total Estimated Price

Task I – Orientation

Meeting, Monthly Report and Communication

0001AA

Senior Principal

Associate/Scientist $ $ 0000

0001AB Senior Associate $ $ 0000

0001AC

Senior Research

Associate/Project Manager $ $ 0000

0001AD Senior Analyst $ $ 0000

0001AE Senior Programmer Analyst $ $ 0000

0001AF Programmer/Analyst $ $ 0000

0001AG Research Associate/Analyst $ $ 0000

0001AH Administrative Staff $ $ 0000

Task II – Final

Management & Work

Plan

0002AA

Associate/Scientist $ $ 0000

0002AB Senior Associate $ $ 0000

0002AC

Senior Research

Associate/Project Manager $ $ 0000

0002AD Senior Analyst $ $ 0000

0002AE Senior Programmer Analyst $ $ 0000

0002AF Programmer/Analyst $ $ 0000

0002AG Research Associate/Analyst $ $ 0000

0002AH Administrative Staff $ $ 0000

Task III – Research

Design, Data Collection

Instruments & Analysis

0003AA

Associate/Scientist

$ 0000

0003AB Senior Associate $ $ 0000

0003AC Senior Research $ $ 0000

Associate/Project Manager

0003AD Senior Analyst $ $ 0000

0003AE Senior Programmer Analyst $ $ 0000

0003AF Programmer/Analyst $ $ 0000

0003AG Research Associate/Analyst $ $ 0000

0003AH Administrative Staff $ $ 0000

Task IV – Data Collection

Instruments

0004AA

Associate/Scientist $ $ 0000

0004AB Senior Associate $ $ 0000

0004AC

Senior Research

Associate/Project Manager $ $ 0000

0004AD Senior Analyst $ $ 0000

0004AE Senior Programmer Analyst $ $ 0000

0004AF Programmer/Analyst $ $ 0000

0004AG Research Associate/Analyst $ $ 0000

0004AH Administrative Staff $ $ 0000

Task V – OMB Clearance

Package, Data Collection, Grantee Staff Training

0005AA

Associate/Scientist $ $ 0000

0005AB Senior Associate $ $ 0000

0005AC

Senior Research

Associate/Project Manager $ $ 0000

0005AD Senior Analyst $ $ 0000

0005AE Senior Programmer Analyst $ $ 0000

0005AF Programmer/Analyst $ $ 0000

0005AG Research Associate/Analyst $ $ 0000

0005AH Administrative Staff $ $ 0000

Task VI – Preliminary

Analysis/Implementation

(Recipient Interviews, Site

Visits, Peer to Peer

Communication)

0006AA

Associate/Scientist $ $ 0000

0006AB Senior Associate $ $ 0000

0006AC

Senior Research

Associate/Project Manager $ $ 0000

0006AD Senior Analyst $ $ 0000

0006AE Senior Programmer Analyst $ $ 0000

0006AF Programmer/Analyst $ $ 0000

0006AG Research Associate/Analyst $ $ 0000

0006AH Administrative Staff $ $ 0000

Task VII – Interim

Report

0007AA

Associate/Scientist $ $ 0000

0007AB Senior Associate $ $ 0000

0007AC

Senior Research

Associate/Project Manager $ $ 0000

0007AD Senior Analyst $ $ 0000

0007AE Senior Programmer Analyst $ $ 0000

0007AF Programmer/Analyst $ $ 0000

0007AG Research Associate/Analyst $ $ 0000

0007AH Administrative Staff $ $ 0000

Task VIII – Final Data

Analysis

0008AA

Associate/Scientist $ $ 0000

0008AB Senior Associate $ $ 0000

0008AC

Senior Research

Associate/Project Manager $ $ 0000

0008AD Senior Analyst $ $ 0000

0008AE Senior Programmer Analyst $ $ 0000

0008AF Programmer/Analyst $ $ 0000

0008AG Research Associate/Analyst $ $ 0000

0008AH Administrative Staff $ $ 0000

Task IX – Final Report and Briefing

0009AA

Associate/Scientist $ $ 0000

0009AB Senior Associate $ $ 0000

0009AC

Senior Research

Associate/Project Manager $ $ 0000

0009AD Senior Analyst $ $ 0000

0009AE Senior Programmer Analyst $ $ 0000

0009AF Programmer/Analyst $ $ 0000

0009AG Research Associate/Analyst $ $ 0000

0009AH Administrative Staff $ $ 0000

Task X – Data File and

Documentation

0010AA

Associate/Scientist $ $ 0000

0010AB Senior Associate $ $ 0000

0010AC

Senior Research

Associate/Project Manager $ $ 0000

0010AD Senior Analyst $ $ 0000

0010AE Senior Programmer Analyst $ $ 0000

0010AF Programmer/Analyst $ $ 0000

0010AG Research Associate/Analyst $ $ 0000

0010AH Administrative Staff $ $ 0000

0011 TRAVEL $ 0000

Total $ 0000

Estimated

Price

* Estimated number of hours should be based on 10,122 for the tasks. All proposed pricing should be based on the estimated number of hours. Contractors are free to use this as a reference point in providing their best level of effort.

B.2. The ceiling price for this Labor Hour Contract will be given at contract award. The contractor exceeds this ceiling price at its own risk.

SECTION C - DESCRIPTION/PERFORMANCE WORK STATEMENT

Capital Needs Assessment of Public Housing

Vision Statement

To develop a methodology that accurately captures the existing and long-term capital needs of the Department’s public housing stock.

1. General Information

1.1 Introduction

The main objective of the study is to determine the capital needs of HUD’s public housing portfolio, to identify policy solutions to address public housing capital needs, and to determine the value of existing HUD data in estimating public housing capital needs. The Contractor will rely on secondary data sources including, but not limited to, HUD administrative data to complete this task. The contractor will also collect data regarding current Public Housing

Authorities (PHAs) methods of assessing capital needs using a survey in addition to other research methods. The Contractor will compare capital needs assessment (CNA) methods and resulting estimations, and present policy solutions to meet identified needs. The Contractor will be responsible for developing and implementing a research design to meet these requirements.

HUD anticipates the study will answer the research questions below in section II Background but is open to considering additional or modified research questions. It is anticipated that the overarching research questions can be answered by gathering information using multiple methods.

Methodology

The Contractor shall develop a methodology that aligns with the main research objective and clearly responds to the key research questions above. The Contractor shall submit a research design that clearly details approaches to address research objectives no later than 8 weeks after award designation. HUD assumes the contractor will include analysis of HUD provided data from REAC inspections, Capital Needs Assessments submitted for RAD, and the EPIC system.

HUD also assumes the contractor will conduct a survey of the universe of Public Housing

Authorities about the universe of Public Housing Developments. In addition to identifying methodological approaches to address research objectives and questions, the Contractor shall provide a justification for not utilizing any viable alternative methods to carry out the assessment. Task requirements related to methodology are stated in 5.3 Research Design and

Data Collection and Analysis Plan.

1.2 Background

The task of assessing capital needs of public housing authorities has been undertaken by the U.S.

Department of Housing and Urban Development to inform policy priorities of Congress and the administration. HUD previously contracted with external research-based organizations to conduct studies on the capital needs of all public housing authorities in the U.S. Prior research included the development of a statistically representative sample, estimates of inspection-based needs from the sample, the inclusion of additional capital needs estimates not feasible for inspection-based assessments, and calculated a total cost for all PHAs by extrapolating costs from PHAs in its sample.

Previous Research (1988-2010)

Since 1988, the Office of Policy Development and Research (PD&R) has sponsored three research studies to determine funding necessary to modernize larger housing authorities initially set at 500 units, then later lowered to 250 or more: the “Modernization Needs of the Public and

Indian Housing Stock” (Abt Associates,1988) 1, the “Capital Needs of the Public Housing Stock in 1998 - Formula Capital Study” (Abt Associates, 1998)2, and the “Capital Needs in the Public

Housing Program” (Abt Associates, 2010)3.

Capital needs were estimated through direct observation and inferences using the Observable

Systems Approach. The approach was initially developed by Abt Associates, Inc (“Abt”) for the

1985 HUD Modernization Needs Study and was refined for individual housing authorities around the country as well as several later studies. The Observable Systems Approach combines

1 Dixon Bain et al., Study of the Modernization Needs of the Public and Indian Housing Stock (Cambridge, MA: Abt Associates

Inc., March 1988).

2 This work was funded under three separate task orders: Task Order 8 under Contract 18404, Task Order 17 under Contract

18374, and Task Order 14 under Contract 5964.

3 Meryl Finkel, Ken Lam, Christopher Blaine, R.J. de la Cruz, Donna DeMarco, Melissa Vandawalker, and Michelle Woodford, Capital Needs in the Public Housing Program (Cambridge, MA: Abt Associates, 2010).

on-site inspection and rating of the condition of more than 300 mechanical, electrical, and architectural systems with an external costing program that provides repair or replacement costs for each system based on the observed condition. For each observed system, a trained inspector recorded the action level required to bring the system back to original working order, a take-off measurement or count of the number of times each system is present (for example the number of elevators or windows per building or the square footage of the landscaped and parking areas), and the system’s expected remaining useful life.

Both the 1998 and 2010 studies conducted assessments for the national public housing stock using statistically representative samples. Results for the 1988 study included a total capital needs cost of $25.9 billion. Abt’s 1998 study included assessment of needs totaling $22.5 billion at a cost of $18,847 per unit. The 2010 study assessed capital needs totaling $25.6 billion for

1,085,407 units at a cost of $15,374 per unit.

Study Feedback

Since the 2010 study, the capital needs of U.S. public housing authorities were estimated to at roughly $70 billion, with large PHAs such as the New York City Housing Authority providing estimates of capital needs as high as $40 billion4. Current estimations have led researchers, policymakers, and PHAs themselves to question the sizeable difference in estimations of U.S.

public housing authorities’ capital needs.

On March 18, 2021, HUD’s Office of Policy Development and Research (PD&R) hosted an expert panel discussion regarding issues related to Public Housing Authorities and Capital Needs

Assessments. The panel’s recommendations were used to inform this Performance Work

Statement (PWS). Recommendations received included a focus on policy approaches to address the existing backlog of PHA capital needs and to determine an estimate of all PHA capital needs using existing (secondary) data sources.

II. General Requirements

4 New York City Housing Authority. (July 2020). Blueprint for Change. July 2020.

https://www1.nyc.gov/assets/nycha/downloads/pdf/NYCHA-Blueprint-for-Change_NYHC_Final.pdf https://www1.nyc.gov/assets/nycha/downloads/pdf/NYCHA-Blueprint-for-Change_NYHC_Final.pdf

This requirement involves an evaluation of the U.S. Department of Housing and Urban

Development’s Public Housing Authority (PHA) Capital Needs Assessment to understand the most feasible and accurate analytical approach to determine the existing and future capital needs of the Department’s public housing portfolio. The Contractor will deliver a final report containing findings that will ultimately be used to draft a report to Congress. The report shall include the following elements: (1) Executive Summary; (2) the most effective methods to assess capital needs; (3) the feasibility of and methodology to assess capital needs using secondary data sources including but not limited to HUD data; (4) methods PHAs currently use to estimate capital needs; (5) a comparison of capital needs assessment methods identified in item 5 above to methods using existing data sources identified in item 4, as well as a comparison to methods identified in item 3; (6) a comparison of capital needs estimations (per unit) derived from methods identified in item 5 above to cost estimations using prepared using existing data sources identified in item 4, as well as estimations resulting from methods identified in item 3; (7) recommendations to minimize differences identified in item 6 and relevant policy implications;

(8) recommendations to minimize differences identified in item 7 and relevant policy implications; (9) recommendations for conducting a larger assessment of capital needs for the entire public housing stock; and (10) recommendations regarding feasible policy approaches to address the existing backlog of capital needs.

The main study deliverables include: (1) a Final Management and Work Plan; (2) a Research

Design and Data Collection and Analysis Plan; (3) an Interim Report and Briefing; (4) OMB

Paper Reduction Act package; and (5) a Final Report, Final Data File(s), and a Final Briefing.

The Contractor will be responsible for developing and implementing the analysis that sufficiently satisfies the stated objective and addresses the following key research questions.

Key Research Questions

HUD requires the research plan to answer the following research questions and is open to considering additional or modified research questions. It is anticipated that these overarching research questions can be answered by gathering information using multiple methods.

The key research questions are:

1. What are the capital needs of public housing authorities?

1.1 What are the most effective methods to estimate the capital needs of public housing authorities, other than an expensive third-party inspection of a very large representative sample of housing units?

1.2 What is the value of existing HUD data to estimate the capital needs of public housing authorities?

2. What is an iterative estimation of total capital needs of the public housing stock

(incorporating steps 2.1 – 2.5)?

2.1 Construct estimates of capital needs of all public housing developments, using data available to HUD. All estimates should be conditioned on data in hand for developments that are ex ante similar to the project whose needs are estimated.

Estimates for projects that are outliers in some way may be less accurate than other estimates.

2.2 Survey PHAs concerning a representative sample of developments. Request physical needs assessment for each development, if one exists, or best guess of total needs if no assessment exists.

2.3 Compare PHA estimate with prior estimate based only on HUD data. Report on bias, if any, and precision of initial estimate.

2.4 Integrate PHA estimates obtained from survey with data previously available to

HUD. Construct new national estimate of capital needs.

2.5 Iterate steps 2.2 through 2.4 with a second survey of a different representative sample of developments (as determined by funding).

3. How are public housing authorities currently estimating their capital needs?

3.1 Which of these methods can be considered best practice?

3.2 What proportion of public housing authorities seem to be using best practice in estimating capital needs?

4. Apart from inadequate funding, do PHAs believe there are statutory or regulatory barriers to meeting their capital needs? If so, which barriers are frequently mentioned? (Question 4 will use data from the survey instrument identified in Question 2).

The Contractor shall be responsible for addressing all key and proposed research questions and providing a rationale that clearly explains why these questions are appropriate for this assessment.

1.3 Constraints

1. The services identified in this PWS will adhere to the rules, regulations, laws, standards, and conventions identified by HUD as well as within the Federal Government.

2. The data files will be prepared in SAS or SPSS format (or a format acceptable to the COR).

The database files shall include complete documentation. Code or syntax files must be fully documented as well. Sufficient information for replication of the analyses for all reports must be included.

3. No copies of or extracts from the data files, including names, address information or other identifiers will be retained by the Contractor after the completion of this project.

4. The data collected under this project belongs to HUD. The Department reserves the right to analyze the data collected for the study and make it available to others for independent analysis. In such circumstances, HUD will acknowledge the Contractors role in collecting the data.

5. Original word processing, spreadsheets, (or other electronic format and as a PDF);

deliverables (in both the original and PDF formats); presentations (in the presentation software format); all graphics such as CAD or other drawings (in their native format), and photos taken for the project (in JPG format). These should be organized in some readily apparent system as determined by the Contractor and COR.

6. All required changes shall be made within the time outlined by HUD and subject to approval.

1.4 Description of Services

This assessment of capital needs involves the relevant HUD administrative data and secondary data sources. The Contractor must demonstrate how the proposed analysis of capital needs differs from conventional PHA assessments to develop more reliable estimates of current and long-term needs. This requirement involves an evaluation of existing U.S. Department of

Housing and Urban Development’s Public Housing Authority (PHA) Capital Needs Assessment methodologies to determine the most feasible and accurate analytical approach for determining the existing and future capital needs of the Department’s public housing portfolio. The

Contractor will deliver a final report containing findings that will ultimately be used to draft a report to Congress. The report shall include the following elements: (1) Executive Summary; (2) the most effective methods to assess capital needs; (3) the feasibility of and methodology to assess capital needs using secondary data sources including but not limited to HUD data; (4) methods PHAs currently use to estimate capital needs; (5) a comparison of capital needs assessment methods identified in item 5 above to methods using existing data sources identified in item 4, as well as a comparison to methods identified in item 3; (6) a comparison of capital needs estimations (per unit) derived from methods identified in item 5 above to cost estimations using prepared using existing data sources identified in item 4, as well as estimations resulting from methods identified in item 3; (7) recommendations to minimize differences identified in item 6 and relevant policy implications; (8) recommendations to minimize differences identified in item 7 and relevant policy implications; (9) recommendations for conducting a larger assessment of capital needs for the entire public housing stock; and (10) recommendations regarding feasible policy approaches to address the existing backlog of capital needs.

1.5 Non-Personal Services

The Government will neither supervise Contractor employees nor control the methods by which the Contractor performs the required tasks. Under no circumstances shall the Government assign tasks to, or prepare work schedules for, individual Contractor employees. It shall be the responsibility of the Contractor to manage its employees and to guard against any actions that are of the nature of personal services or give the perception of personal services. If the Contractor believes that any actions constitute, or are perceived to constitute personal services, it shall be the Contractor's responsibility to notify the Contracting Officer (CO) immediately. These services shall not be used to perform work of a policy, decision making, or management nature, i.e., inherently Government functions. All decisions relative to programs supported by the

Contactor shall be the sole responsibility of the Government.

1.6 Period of Performance

The period of performance for this contract shall be for 24 months, to begin when the contract is awarded.

1.7 Place of Performance

The services to be performed under this contract shall be performed at the Contractor’s facility.

1.8 Hours of Operation

NA

1.9 Special Qualifications

NA

1.10 Post Award/Kickoff Conference

The Contractor shall attend any post award conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award Conference with the Contractor within ten business days after contract award. The Contracting Officer will notify the Contractor of the specific date, location, and agenda within five business days after contract award.

1.11 Status Meetings

The Contracting Officer, Contracting Officers Representative (COR) and other Government personnel, as appropriate, may meet periodically with the Contractor to also review Contractor performance, requirement status, etc. At these meetings, the Contracting Officer will apprise the

Contractor of how the Government views the Contractor's performance or progress of the requirement. The Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government. Post Award Conference and subsequent meetings may be held via teleconference.

1.12 Contractor Travel

Prior to travel, the Contractor shall coordinate with and receive Government authorization from the COR for all travel. Reimbursement of travel costs will be in accordance with the Federal

Travel Regulation and in accordance with FAR 31.205-46. The Contractor shall travel using the lower cost mode transportation commensurate with the mission requirements. When necessary to use air travel, the Contractor shall use the tourist class, economy class or similar lodging accommodations to the extent they are available and commensurate with the mission requirements. HUD will not reimburse Contractor's local travel. Local travel is defined as travel within fifty (50) miles of Washington, DC. All other travel will be reimbursed on a cost reimbursable basis; no profit or fee will be paid.

1.13 Transition In

NA

1.14 Transition Out

NA

2. Definitions and Acronyms

2.1 Definitions

Business/Workdays - Every official workday of the week which are days between and including

Monday to Friday. This does not include public holidays and weekends.

Calendar Day - Any day of the week.

Contractor - A supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

Contracting Officer (CO) - A person with authority to enter, administer, and/or terminate contracts and make related determinations and findings on behalf of the Government. Note: the only individual who can legally bind the Government.

Contracting Officer's Representative (COR) - An employee of the U.S. Government appointed by the Contracting Officer to perform contract administration activities in regard to technical issues. This individual has authority to provide technical direction to the Contractor as long as direction is within the scope of the contract, does not constitute a change and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

Defective Service - A service output that does not meet the standard of performance associated with the Performance Work Statement.

Deliverable Anything that can be physically delivered but may include non-manufactured things such as meeting minutes or reports.

Government Furnished Property (GFP) - Government-furnished property means property in the possession of, or directly acquired by, the Government and subsequently furnished to the

Contractor for performance of a contract. Government-furnished property includes, but is not limited to, spares and property furnished for repair, maintenance, overhaul, or modification.

Government-furnished property also includes contractor-acquired property if the contractor-acquired property is a deliverable under a cost contract when accepted by the Government for continued use under the contract.

Performance Requirements Summary (PRS) - A listing of the performance requirements under the contract that are to be evaluated by the Government on a regular basis, performance indicators for these requirements, performance standards for these requirement and surveillance methods to be used to determine if performance standards are met.

Performance Standard - The Contractor's performance level required by the Government.

Performance Work Statement (PWS) - A statement of work for performance-based acquisitions that describe the required results in clear, specific, and objective terms with measurable outcomes.

Physical Security - Actions that prevent the loss or damage of Government property.

Quality Assurance (QA) - Policies and procedures adopted by the Government to ensure that supplies and services acquired under Government contracts conform to the contracts quality requirements.

Quality Assurance Surveillance Plan (QASP) - A plan describing how the agency will survey, observe, test, sample, evaluate and document the Contractor's performance in meeting critical performance standards identified in the contract.

Quality Control (QC) - All necessary measures taken by the Contractor to assure that the quality of an end product of service shall meet contract requirements.

Service Contract - A contract that directly engages the time and effort of a Contractor whose primary purpose is to perform an identifiable task rather than to furnish an end item of supply.

Subcontractor - Any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, material, equipment, or services of any kind under a prime contract or a subcontract entered in connection with such prime contract, and any person who offers to furnish or furnishes general supplies to the prime contractor or a higher tier subcontractor. The Government does not have privity of contract with a subcontractor.

Work Week - Monday through Friday, unless specified otherwise.

2.2 Acronyms

AHRT- Affordable Housing & Research Technology Division, HUD

AQL - Acceptable Quality Level

CNA: Capital Needs Assessment

CNA e-tool: Capital Needs Assessment Electronic Tool

CNI: Choice Neighborhood Initiative

CO: Contracting Officer

COR: Contracting Officers Representative

DCAP: Data Collection and Analysis Plan

DUA: Data Use Agreement

EPIC: Energy and Performance Information Center

FY: Fiscal Year

HUD: U.S. Department of Housing and Urban Development

IPA: Initial Privacy Assessment

IRB: Institutional Review Board

IT: Information Technology

MWP: Management and Work Plan

NOFA: Notice of Funding Availability

OMB: Office of Management and Budget

PD&R: Office of Policy Development and Research, HUD

PHA: Public Housing Authority

PIA: Privacy Impact Assessment

PIC: PIH Inventory Management System

PIH: Office of Public and Indian Housing

PII: Personally Identifiable Information

POC: Point of Contact

PRA: Paperwork Reduction Act

RAD: Rental Assistance Demonstration

RD: Research Design

RDDCAP: Research Design and Data Collection and Analysis Plan

3 Government-Furnished Property and Services

No Government-Furnished Property or Services will be offered.

3.1 Government Services

No Government services will be provided.

3.2 Facilities

No facilities will be provided by the Government.

3.3 Equipment

NA

3.4 Materials

The Contractor shall furnish materials.

3.5 Quality Assurance (QA)

The Government shall evaluate the Contractor's performance under this contract in accordance with the Quality Assurance Surveillance Plan. This plan is primarily focused on what the

Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable quality level.

4 Contractor-Furnished Items and Services

The Contractor shall furnish, all facilities, equipment, and supplies required to perform the work under this contract that are not listed under Government-Furnished Property and Services.

4.1 Facilities

The Contractor shall furnish required facilities.

4.2 Equipment

The Contractor shall furnish required equipment.

4.3 Material

The Contractor shall furnish required materials.

4.4 Contractor Responsibilities

The Contractor shall only conduct business with designated Government personnel listed as points of contact (POCs). Names of authorized personnel shall be provided to the Contractor by the Government, in writing, and updated as necessary throughout the contract period.

U.S. Government records, copies of original results and reports, verified original data, corrected data and corrected supporting final reports which are maintained by the Contractor remain the property of the U.S. Government. These files/results must be surrendered to the COR.

4.5 Contractor Personnel

The Contractor shall provide a Contract/Project Manager who shall be responsible for the performance of work. An alternate shall also be designated to act in the absence of the

Contract/Project Manager. These Contractor personnel (main point of contact and alternate point of contact) are considered Key Personnel by the Government and shall be listed as such in accordance with HUDAR 2452.237-70, "Key Personnel. The Contract/Project Manager and alternate shall have full authority to act on all contract matters relating to daily operations of this contract. Accordingly, at a minimum, the points of contact shall have the technical knowledge of the requirement and be in the position to receive assignment, guidance, and direction from the

COR, PM and CO per HUDAR 2452.237-73, "Conduct of Work and Technical Guidance" and shall be allocated enough hours to the requirement to ensure successful performance. These points of contact shall each be an employee of the Contractor. An employee of a subcontractor is not acceptable for either of these positions. The Contract/Project Manager or alternate shall be available between the hours of 8:00am to 4:30pm Monday through Friday EST, except Federal

Holidays or when the Government facility is closed for administrative reasons.

4.6 Identification of Contractor Employees

All Contractor/subcontractor personnel shall wear company picture identification badges as to distinguish themselves from Government employees. When conversing with Government personnel during business meetings, over the telephone, or via electronic mail, Contractor/subcontractor personnel shall identify themselves as such to avoid situations arising where sensitive topics might be better discussed solely between Government employees.

Contractors/subcontractors shall identify themselves on any attendance sheet or any coordination documents they may review. Electronic mail signature blocks shall identify their company affiliation. Where practicable, Contractor/subcontractors occupying collocated space with their Government program customer shall identify their workspace area with their name and company affiliation, or at a minimum, "Contractor" after name.

4.7 Quality Control Plan

The Contractor shall develop, maintain, enforce, and document a Quality Control Plan (QCP).

The QCP shall ensure the Government receives the level of quality that is consistent with the requirements specified in this contract. The QCP shall be sufficiently detailed to provide the

Contractor's methodology for identifying and recruiting qualified personnel. The QCP shall also provide the Contractor's methodology for resolving problems identified by the Government during reviews conducted in accordance with its Quality Assurance Surveillance Plan (QASP).

The QCP shall also provide the Contractor's methodology for establishing an internal feedback system for support personnel, and for resolving problems identified by that feedback system.

The QCP shall demonstrate and validate that the services or deliverables to be provided under the contract are completed with a level of quality that meets the minimum performance threshold established in the Government's QASP. The QCP shall address Quality Management Approach, Quality Assurance, Quality Control and Quality Standards.

5 Specific Tasks

5.1 Project Management

5.1.1 Orientation Meeting

Within one (1) week of the notice of award, the Contractor must confer with the Contracting

Officer Representative (COR) to schedule an orientation meeting. The Contractor, Principal

Investigator(s), Project Director, and other key Contractor personnel must participate in the meeting either in person or via teleconference, to establish a common understanding of the project objective. The meeting will also allow discussion to clarify any remaining questions and begin project activity. During the meeting, the Contractor and HUD staff shall discuss the initial

Management Work Plan that was submitted as part of the RFP. The Contractor will clearly present the study schedule and deliverables, detailed how the project will be managed, and any foreseeable challenges that may arise when implementing the study.

The meeting will include a discussion of the purpose and goals of the evaluation, the research questions, the specification of tasks, the project timetable, the roles and responsibilities of the

COR and the Contractor, and the project deliverables. The Contractor shall prepare an agenda, slides, presentation, and a memorandum summarizing the meeting.

Performance Standards

a) Standard: The Contractor shall submit a draft agenda and Power Point presentation summarizing their project implementation approach one (1) week before the orientation meeting and revise based on feedback from the COR. The Contractor shall attend (in-person or conference call) the orientation meeting within two (2) weeks of contract award. The Contractor shall submit a summary of the meeting discussion, action items discussed, along with a revised

Management and Work Plan subject to HUD approval. The revised Management Work Plan shall be delivered two (2) weeks following the orientation meeting.

AQL: Zero Deviation

Deliverables

A001 Draft Power Point Presentation

A002 Meeting Agenda

A003 Meeting Minutes and Final Management Work Plan

5.1.2 Monthly Reports and Ongoing Communication

The Contractor shall provide monthly reports on the progress of the project by the 25th of each month, or as determined by the COR. The report must include a narrative portion and a graphic portion. The narrative part of the report must have the following sections:

• The purpose and scope of the contract - this section is usually the same from month to month unless the scope changes. Please note, the scope may only be changed with the approval of the CO.

• Overall progress - a sentence or two on the status of the project.

• Substantive performance - a summary of technical progress made under each task and subtask(s) and the costs incurred for each during the reporting period

• Schedule of performance - a couple of sentences that describes the progress towards completion of the analysis, whether tasks/subtasks are proceeding on schedule, and if there are any delays.

• Work expected to be performed - in the next reporting period a listing of what will be accomplished in the next month.

• Actual and proposed changes in key staff - this is to keep a record of changes in staffing;

however, key staff may not be changed without HUD agreement on the proposed staff.

• Problems and obstacles to progress - this section is intended to keep a record of challenges that arise and potential solutions. The Contractor point of contact (POC) shall contact the

COR immediately if/when challenges arise.

The graphic portion of the report must contain:

• The schedule status and degree of completion of the tasks, activities, and deliverables shown in the baseline plan for the reporting period, including actual start and completion dates for all tasks and activities in the baseline plan.

• Each task and subtask must identify the personnel responsible for carrying out the task and the number of hours devoted to completion. Include any changes to the Organizational Chart.

• The costs incurred during the reporting period relative to the budgeted costs, the current total amount of costs incurred through the end date of the reporting period for budgeted work, and the projected costs required to complete the work under the contract.

• Quality control measures put in place to ensure the proper management of contractual tasks or study activities, and to ensure the high quality of deliverables.

If there are deviations from the initial schedule of progress, the Contractor must discuss them directly with the COR during the regularly scheduled meeting. The Contractor shall address how deviations will impact the successful completion of the project and make recommendations for handling the deviation. This reporting shall identify and discuss any delays incurred from the

OMB/PRA review and approval process, data collection and analysis, or any task or subtask that is critical to the timely delivery of research products. The Contractor will schedule status meetings with the COR, to be determined during the Orientation Meeting. The Contractor may propose meeting dates and times as part of the initial Management Work Plan submitted as part of its response to the RFP.

a) Standard: The Contractor shall submit monthly reports by the 25th of each month. Reports shall be submitted contemporaneously with payment invoices in a timely fashion. Monthly meetings should take place as agreed to and established by the Contractor and the COR.

A004 Monthly Reports

5.2 Final Management and Work Plan

Following the Orientation Meeting, the draft Management and Work Plan (MWP) must be finalized. The MWP shall govern the performance of all work under this contract that at a minimum shall include: (1) a detailed outline of specific tasks, approaches, staff and management responsibilities, and allocation of contract resources; (2) a timeline identifying start dates, completion dates, and other major milestones for each task and sub-task; (3) a discussion of the interdependencies among the tasks/subtasks where appropriate; and (4) a comprehensive narrative of the overall expected workflow and how each task will be accomplished. The MWP discussion should identify key personnel, tying their qualifications and experience to tasks and subtasks, and identifying the contractual level of effort (e.g., hours) devoted to each. The

Contractor shall provide these items using an organizational chart within the MWP. Where appropriate, the MWP must also indicate any other decisions reached at the Orientation Meeting.

The MWP may be occasionally updated as directed and approved by the COR. In particular, the

Contractor shall provide an updated management and work plan to the Contracting Officer (CO) and the COR in the event there is a modification or a re-allocation of resources within the existing scope, budget, or overall time of completion. Where changes affect the scope of work, budget, or overall time of completion, the Contractor shall direct such changes to the CO to approve the modification of the contract accordingly. All correspondence related to the successful administration of the contract shall address the CO with a copy to the COR. All revisions or modifications to the contract are subject to HUD approval.

a) Standard: The Contractor’s technical proposal must include a draft or initial Management and

Work Plan (MWP) in response to the RFP. A revised version based on the orientation meeting will be due four (4) weeks after contract award. HUD will provide comments within one (1) week of the Orientation Meeting. The final MWP is due six (6) weeks after contract award.

A005 Final Management Work Plan

5.3 Research Design and Data Collection and Analysis Plan

The Contractor shall develop a Research Design and Data Collection and Analysis Plan

(RDDCAP) that shall serve as a technical blueprint for all research activities that will be undertaken to address the research questions and methodological considerations outlined in this

Performance Work Statement (PWS). The Contractor shall include a proposed: (1) a Research

Design; (2) a Data Collection Plan; and (3) a Data Analysis Plan. For each, the Contractor shall provide a detailed discussion for why the methods and procedures proposed are most feasible for this assessment.

5.3.1 Research Design

At a minimum, the Contractor shall deliver a research design that: 1) outlines and clearly details the value of existing HUD data to assess the capital needs of HUD’s public housing stock; 2) outlines the study protocols to effectively select, link, and utilize preliminary and secondary data sources to most effectively estimate the capital needs of HUD’s public housing stock; 3) a detailed process study examining how PHAs calculate their capital needs which shall include, at a minimum, the use of a survey; 4) a detailed analysis of how all identified and developed methods and resulting estimations differ; 5) an outline detailing methods to minimize identified differences in all identified and developed methodologies, including resulting cost estimations, and the policy implications of any and all recommended methods ; 6) a detailed analysis of methods to determine feasible policy approaches to address the existing backlog of capital needs.

The Contractor shall include in its RDDCAP the data sources utilized, the data migration, merging, linking, and related processes, and the fields within the data used to develop the capital needs assessment estimation model. Secondary data sources include, but are not limited to, existing HUD administrative datasets such as EPIC data, RAD conversion data, CNA e-tool data, Physical Needs Assessment (PHA) data, OPUS data, Choice Neighborhoods Initiative (CNI) data, etc. The plan should include a list of additional data needed for the research and will outline the plan to retrieve, link, and store the data for analysis, including any necessary privacy and data security provisions.

Survey Design

As a key element of the RDDCAP, the Contractor shall develop a survey instrument to determine methods by which PHAs currently estimate their capital needs. The survey design must include, but is not limited to, a detailed outline of all sampling methods, the selection criterion for developing a sample from the population, the survey instrument to be used, the data and corresponding variables the survey is intended for collect, and methods of analyzing survey results. Considerations when developing the survey shall include, but are not limited to:

(1) Information that HUD already possesses on CNAs and cost estimates,

(2) Information that HUD needs to understand the full range of activities involved in a CNA,

(3) CNAs involving RAD conversations vs. non-RAD conversations,

(4) Information from PHAs that have not performed a CNA or PNA or similar assessment,

(5) Information from PHAs that have performed an assessment but could not address all capital needs.

Sampling Methodology

As an element of the Survey Design, the Contractor shall describe all methods for selecting a sample of public housing authorities within the RDDCAP. The Contractor shall utilize a stratified sampling method and develop strata that includes, but is not limited to, all considerations listed above (1-5). The sampling method should also develop strata with respect to geography, building size, building age, market rates, and urban-rural designation. The sample must also include strata representing those PHAs with “somewhat adequate - adequate” methods of determining capital needs, and those PHAs with “inadequate - nonexistent” methods of determining capital needs. The Contractor shall specify additional selection criteria and methods of extrapolation for all PHAs in the United States, detailing key aspects to developing accurate representation with respect to, but not limited to, the factors selected for stratification.

The Contractor shall clearly discuss the approach to sample selection, providing a detailed explanation of the procedures involved and a justification for why the sampling plan is most appropriate. The COR can provide instructions and examples of how to prepare a survey design.

The survey design is subject to HUD approval.

5.3.2 Data Collection Plan

The Contractor shall provide a plan that clearly describes the process for obtaining information from all data sources: preliminary and secondary sources, information collected directly from

PHAs, and alternative data collection procedures.

The data collection plan shall include a list of data sources selected, fields within data sources utilized, and a review of any viable data source not used, justifying its omission. All data files will be prepared in SAS or SPSS format, or a format acceptable to the COR. The database files shall include complete documentation. Code or syntax files must be fully documented as well.

Sufficient information for replication of the analyses for all reports must be included. The

COR can provide instructions and examples of how to prepare the data documentation.

The Contractor must also identify potential challenges, or data limitations, and prescribe alternative sources of information where appropriate. Finally, the Contractor shall provide a rationale for why the procedures for data collection are most reasonable for this assessment, providing a clear justification for why alternative approaches are inappropriate for this assessment.

Capital Needs Estimations – Secondary Sources

The Contractor shall include in Data Collection Plan the data sources utilized, the data migration, merging, linking, and related processes, and the fields within the data used to develop the capital needs assessment estimation model. Secondary data sources include, but are not limited to, existing HUD administrative datasets such as EPIC data, RAD conversion data, CNA e-tool data, Physical Needs Assessment (PHA) data, OPUS data, Choice Neighborhoods Initiative (CNI) data, etc. The plan should include a list of additional data needed for the research and will outline the plan to retrieve, link, and store the data for analysis, including any necessary privacy and data security provisions.

Public Housing Authorities Data

The Contractor shall collect data necessary to determine methods by which PHAs currently use to estimate the costs of capital needs. The Contractor shall specify in the RDDCAP the methods used for data collection and discuss the rationale for why the selected techniques are most appropriate for this assessment. The Contractor shall conduct a survey in addition to other research methods. Additional methods to collect PHA data include, but are not limited to, questionnaires, physical needs assessment data, and reporting forms submitted for participation in HUD programs or funding opportunities. To the greatest extent possible, when selecting

PHAs, the Contractor shall establish criteria to accurately represent the PHA population with respect to geographic location, building age, building size, market rates, urban-rural designation, and other criteria deemed relevant and declared in the research plan. The selection criteria are subject to HUD approval.

Data Collection Instruments

As an element of the Data Collection Plan, the Contractor must describe the data collection instruments that will be used to gather information from the grantees and the recipients. The

Contractor must design instruments to collect data from 1) secondary sources, including but not limited to existing HUD data, to identify and estimate the capital needs for HUD’s public housing stock, 2) PHAs to evaluate capital needs assessment methodologies and resulting cost estimations, which at a minimum must include the use of a survey, and 3) policies and directives necessary minimize identified differences in methodologies and resulting cost estimations.

Data Use Agreements

The Contractor shall be responsible for preparing, reviewing, negotiating, and executing a Data

Use Agreement (DUA) and other legal contracts with all relevant parties to obtain the data needed to conduct the assessment or define an alternative strategy to obtain the data. The

Contractor shall also be responsible for obtaining any other permission that may be required for a

DUA. It is very likely that the Contractor will need to obtain informed consent from PHA participants. In negotiating and executing the terms of the DUAs, the Contractor shall comply with all relevant federal and state laws.

5.3.3 Data Analysis Plan

The Contractor shall provide a description of the analytical approaches with a detailed, step-by-step explanation of the procedures or techniques that will be used to identify and provide an estimation of capital needs. The Data Analysis Plan shall include a detailed description of how estimation methods using all proposed data sources, including but not limited to existing HUD data, will be compared to those used by PHAs. The final plan is subject to HUD approval.

Data Processing and Management

As an element of the Data Analysis Plan, the Contractor shall present a plan for the processing of data into a machine-readable form, as appropriate. The Contractor shall organize the data into database files, develop systems to validate the accuracy of the data collected, and fully document all database files.