EADS_Performance_Work_Statement_-_DRAFT-_.pdf

PERFORMANCE WORK STATEMENT

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PERFORMANCE WORK STATEMENT (PWS)

Electronic Appraisal Delivery (EAD) Portal

In Support of:

U.S. Department of Housing and Urban Development (HUD), Federal Housing Administration (FHA), Office of Single

Family Housing (SFH)

Dated: 21 AUGUST 2019

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Table of Contents

1.0 BACKGROUND

1.1 AGENCY MISSION

2.0 PURPOSE

2.1 CONTRACT OBJECTIVE

3.0 GENERAL SCOPE

3.1 TASK 1 - ELECTRONIC APPRAISAL DELIVERY PORTAL

3.2 TASK 2 - HOSTING SERVICES SUPPORT

3.3 TASK 3 – CONFIGURATION MANAGEMENT SUPPORT SERVICES

3.4 TASK 4 – CONTRACT PROGRAM MANAGEMENT

4.0 DELIVERABLES

4.1 DELIVERABLE REPORTING REQUIREMENTS

5.0 PEFORMANCE REQUIREMENTS

5.1 HOURS OF OPERATION

5.2 PERIOD OF PERFORMANCE

5.3 PLACE OF PERFORMANCE

5.4 TRAVEL

6.0 CONTRACTOR PERSONNEL

6.1 IDENTIFICATION OF CONTRACTOR EMPLOYEES

6.2 CONTRACTOR RESPONSIBILITIES

6.3 KEY PERSONNEL

6.4 CONTRACTOR PERSONNEL TRAINING

6.5 CONTRACTOR PERSONNEL QUALIFICATION

6.6 NON-PERSONAL SERVICES

7.0 GOVERNMENT FURNISHED PROPERTY

7.1 EQUIPMENT

7.2 MATERIALS

7.3 FACILITIES

7.4 INFORMATION

8.0 QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

8.1 PERFORMANCE REQUIREMENTS SUMMARY

9.0 CONTRACT ADMINISTRATION DATA

9.1 CONTRACTING OFFICER’S REPRESENTATIVE

9.2 HUD PROJECT MANAGER (PM)

9.3 EXCLUSIONS

10.0 508 COMPLIANCE

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1.0 BACKGROUND

In support of the Department of Housing and Urban Development (HUD), Federal Housing Administration (FHA), Office of Single Family Housing’s (SFH) mission, HUD is procuring an electronic appraisal portal which provides access for all FHA approved Mortgagees (Mortgagees). The solution will allow electronic appraisal files to be uploaded to a central location, processed, and checked against FHA defined and Universal Appraisal Dataset (UAD) rule sets. The original file, as well as the results of the scoring process, will then be securely transferred to HUD servers.

On June 27, 2016, FHA made it mandatory for Mortgagees to submit electronic appraisals through a centralized portal for case numbers issued on or after that date. The Electronic Appraisal Delivery (EAD) portal is a centralized delivery system that allows uploading of electronic appraisal files to a central location where they are processed and checked against an FHA defined rule set and the original file scored and placed on a server for access and retrieval by HUD. The Home Valuation Policy Division is responsible for the policy and solutions supporting the collection of the appraisal required for FHA insurance.

1.1 AGENCY MISSION

HUD’s mission is to create strong, sustainable, inclusive communities and quality affordable homes for all. HUD is working to strengthen the housing market to bolster the economy and protect consumers; meet the need for quality affordable rental homes; utilize housing as a platform for improving quality of life; build inclusive and sustainable communities free from discrimination and transform the way HUD does business.

2.0 PURPOSE

The purpose of this contract is to provide a transaction-based electronic appraisal delivery portal with access to process appraisal submissions for FHA approved Mortgagees (Mortgagees) and their service providers.

2.1 CONTRACT OBJECTIVE

The Contractor shall provide the configuration, hosting and service support of an automated electronic appraisal solution that complies with existing and future policies and regulations.

The EAD Portal is expected to enable Mortgagees and/or their service providers access to the EAD portal to electronically upload and submit appraisal data for single family loans submitted for FHA insurance. The EAD Portal data will be integrated with FHA insurance systems for processing.

3.0 GENERAL SCOPE

The Contractor shall provide a solution that configures and aligns appraisals and appraisal information into the FHA environment. This solution shall include hosting and support services. The HUD/FHA electronic appraisal data system will require the following technical functional /non-functional support for providing a system with portal access for all FHA approved Mortgagees (Mortgagees) so that electronic appraisal files can be uploaded to a central location and processed and checked against an FHA-defined rule set. The original file as well as the results of the scoring process must then be securely available for access and retrieval by HUD. The appraisal portal support services shall include the following tasks:

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(a) Electronic Appraisal Delivery Portal

(b) Hosting Services Support

(c) Configuration Management Support Services

(d) Contract Program Management

3.1 TASK 1 - ELECTRONIC APPRAISAL DELIVERY PORTAL

The Contractor shall provide a web-based solution that shall collect, analyze and place data on an SFTP site for retrieval by HUD. The Portal shall be available 24/7 except during routine maintenance when indicated, which will be announced in advance. The solution shall adhere to the following:

• EAD Operational Readiness Testing

• Uniform Appraisal Dataset (UAD)

• Standard Industry and FHA Rule Requirements

• Computerized Homes Underwriting Mortgage System (CHUMS) and Loan Application

Management System (LAMS)/Subsystem Electronic Appraisal Delivery Portal (EAD) Interface Control Document

• FHA Connection (FHAC/F17C) and Loan Application Management System (LAMS)/Subsystem Electronic Appraisal Delivery Portal (EAD) Interface Control Document

• Linkage file requirements

• HUD’s Single Family Policy Handbook 4000.1/HUD regulations and subsequent updates.

• FHA Single Family Housing Appraisal Report and Data Delivery Guide

3.1.1 The Contractor shall create and submit a Configuration Management Plan that shall be reviewed and updated annually. The Contractor shall use the Configuration Management Plan template located at the HUD CIO Project Planning and Management website, found at:

https://www.hud.gov/program_offices/cio/ppm/PPMV20Artifacts

3.1.2 The Contractor shall ensure the EAD portal delivers to FHA the submitted electronic appraisals along with fully parsed appraisal data and provides an EAD Tracking Log of all submissions, the results of application of the business rules, analytics and other scoring methods, and the feedback messages for retrieval by Lenders, Lender service providers and FHA staff.

3.1.3 The Contractor shall provide portal access allowing single point of entry appraisal delivery for Mortgagees and their service providers, utilizing FHA data to handle user registration, authentication, and account management. The transaction-based system shall adhere to the number of new case numbers as specified in the pricing schedule. The Contractor shall provide account management services for Mortgagees and their service providers.

3.1.4 The Contractor shall implement and maintain a connection between an EAD portal and FHA’s platform. FHA requires connectivity via SFTP or a web service interface that allows Mortgagees and their service providers to submit appraisals to FHA. A service provider is an https://www.hud.gov/program_offices/cio/ppm https://www.hud.gov/program_offices/cio/ppm/PPMV20Artifacts https://www.hud.gov/program_offices/cio/ppm/PPMV20Artifacts

8/23/2019 entity that a mortgagee authorizes to perform functions such as uploading appraisals and evaluating results.

3.1.5 The EAD portal shall have the capability to receive electronic appraisal reports from FHA Mortgagees and their service providers within 120 days of award. The Contractor shall provide the ability to upload the appraisals to the web portal or in bulk through direct interface while maintaining FHA’s security and privacy requirements.

3.1.6 The EAD portal shall deliver to FHA the submitted electronic appraisals and provide a log or tracking of the history of all files posted on the SFTP site or delivered through the web service. The EAD portal will not be required to store the appraisal reports after 90 days beyond transmission of the file to FHA to ensure that the report was transmitted and received.

Contractor to provide documentation validating compliance with the storage requirements.

3.1.7 The EAD portal shall apply business rules, edits and handle overrides based on FHA’s requirements for rule sets that are applied to appraisals.

3.1.8 The EAD portal shall securely transmit discrepancies, findings, and other feedback messages to users based on FHA’s requirements through the web portal and direct interface, when applicable.

3.1.9 The EAD portal shall apply FHA proprietary business rules and other rules as specified and scoring mechanisms to every electronic appraisal report submission prior to delivery to the FHA-specific repositories.

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

Constraints include the following:

3.1.10.1 The Contractor shall not release, mingle, nor re-use data extracted from FHA appraisal reports, unless as authorized by HUD. The Contractor shall not advertise or make any public announcement about the services they provide to FHA. All communication about the EAD portal and its use will be handled by FHA. Any communication from the Contractor shall not reference FHA. Any Contractor communication about FHA or its appraisal service must be approved in advance by

FHA.

3.1.10.2 The solution shall have all of the following interface capability:

(1) The EAD portal shall provide single point of entry appraisal delivery for FHA approved lenders and their service providers utilizing FHA data to handle user registration, authentication, and account management. The Contractor shall provide account management services for FHA approved lenders and their service providers. Account management includes having system functionality and providing support that includes, but is not limited to, documenting account management policies and practices, educating users, setting and reviewing privileged access rights, analyzing the risk of each privileged user, monitoring and logging all user activity, appropriately limiting the scope of activity for each

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(2) The EAD portal shall provide a common pathway for the electronic submission of appraisal files to FHA similar to the way that the Uniform Collateral Data Portal (UCDP) provides that service to Lenders and the Government Sponsored Enterprises (GSEs).

(3) FHA requires the Contractor to provide the same functional design HUD has established with the lending community, and is described on the EAD website:

https://www.hud.gov/program_offices/housing/sfh/lender/origination/ead

3.1.10.3 The solution shall have the capability to capture business requirements equivalent to the current version and subsequent updates to:

(1) UAD

(2) Mortgage Industry Standards Maintenance Organization (MISMO) 2.6 (includes MISMO 2.6 Errata 1 GSE Extended format for UAD forms and MISMO 2.6 Errata 1 format or MISMO 2.6 format for the non-UAD forms) or the most current version utilized by the industry, with embedded PDF as created directly by the appraiser (first generation) as required in Mortgagee Letter 2011-30. The EAD shall not accept private or proprietary data formats. The contractor must ensure that appraisal reports have not been manipulated or “translated” by anyone or any process and provide details on their approach to ensure appraisal data integrity in accordance with FHA requirements.

(3) FHA Completeness and Compliance Rules will be provided by FHA Subject Matter Expert (SME), based on:

(a) https://www.hud.gov/program_offices/housing/sfh/handbook_4000.1

(b) https://www.hud.gov/sites/dfiles/SFH/documents/SFH_POLI_APPR_RPT_FIN.

pdf

(c) FHA Custom Appraiser and Risk Scoring Rules based on Underwriting Guidelines will be provided by the FHA SME. Sample FHA rules are provided using "Sample FHA Rules Scoring Form in Section D - List of Attachments. The solution will support up to 5000 business rules with rule management capability. The solution will have the capability to add or amend rules, including but not limited to, rule logic, rule severity, and rule messaging.

3.1.10.4 The solution shall adhere to the following Federal Regulations:

(1) 44 USC 3541 et seq. - Federal Information Security Management Act (FISMA, supersedes the Computer Security Act of 1987) https://www.hud.gov/program_offices/housing/sfh/lender/origination/ead https://www.hud.gov/program_offices/housing/sfh/handbook_4000.1 https://www.hud.gov/sites/dfiles/SFH/documents/SFH_POLI_APPR_RPT_FIN.pdf https://www.hud.gov/sites/dfiles/SFH/documents/SFH_POLI_APPR_RPT_FIN.pdf

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(2) 44 USC 3601 et seq. - E-Government Act of 2002

(3) Pub. L. 105-277, 44 USC 3504 et seq.- Government Paperwork Elimination Act

(4) Pub. L. 105-220, 29 USC 701 et seq. - Section 508 of the Rehabilitation Act of 1998

(5) HUD Handbook 1325.01, REV-01 Privacy Act Handbook

(6) NIST SP 800-14, Generally Accepted Principles and Practices for Securing Information Technology Systems, September 1996

(7) HUDs Release and Deployment Management Process, April 2014

(8) HUDs Information Security Continuous Monitoring (ISCM) Strategy and Program, April 2014

(9) NIST SP 800-137, Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations, September 2011

(10) HUD Handbook 2400.25, Rev. 4.1, IT Security Policy, March 2016

3.1.10.5 The solution shall have the following scalability and functionality:

(1) The solution shall have appraisal audit log capability

(2) The solution shall have capability to receive data

(3) The solution shall have capability to apply all required business rules including FHA-specific Hard Stops.

(4) The solution shall the capability to comply with Hard-Stops similar to Uniform Collateral Data Portal (UCDP) Standard Hard-Stops including automatically overridable, manually overridable and non-overridable Hard-Stops.

(5) The solution shall have the capability to uniquely identify appraisal submission versions of the same transaction submitted to the portal

(6) The solution shall have the capability to store data for a minimum of 90 days

(7) The solution shall adhere to HUD IT Security Policy

(8) The solution shall adhere to HUD IT Privacy Requirements

(9) The solution shall have the capability to process appraisals in real-time or near real-time

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(10) The solution shall have the capability to process a minimum of 30,000 submissions per day

(11) The solution shall have the capability to support an average end user response time of 30 seconds or fewer for appraisal uploads.

(12) The solution shall have the capability to upload appraisal data and meta data to a vendor sponsored SFTP site.

(13) The solution shall have the capacity to maintain an appraisal history that includes submission details and results for 12 months from date of submission.

(14) The solution shall have capability to provide web services to be called by FHA solutions and provide appraisal data and meta data on request

(15) The solution shall have the capability to accept daily linkage files from FHA containing data that, at minimum, allows the ability to authenticate users, validate Mortgagees, validate appraisers, validate case numbers and shall be capable of utilizing the files in the rule set.

(16) The solution shall have capability to allow navigation from screen to screen without losing the case number data.

(17) The solution shall have capability to allow Mortgagees and FHA the ability to search, retrieve and track all submissions by one or more of the following criteria: date range, status, FHA case number, unique document file ID, lender loan number, user ID, property address, city, state, zip code, type of hard-stop or by submission success.

(18) The solution shall have also capability to allow FHA the ability to search, retrieve and track all submissions, including but not limited to, by one or more of the following criteria: lender ID, lender name, appraiser ID, or appraiser name.

(19) The solution shall have the capability to detect and reject an ill-formatted or non-compliant file format at upload and control the transmission of defective data to FHA.

(20) The solution shall securely transmit discrepancies, findings and other feedback messages to users based on FHA's requirements

(21) The solution shall have the capability to support data address standardization

(22) The solution shall have the capability to support data transformation per HUD requirements

(23) The solution shall monitor functional anomalies or exceptions and provide for warning alerts

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(24) The solution shall have the capability of a testing environment for mortgagees, their service providers, and FHA.

(25) The solution shall have the capability to support the current version of the following appraisal forms with the capability to accommodate subsequent versions, including but not limited to:

FORM NAME FORM NUMBER FORM WEBSITE LINK

Uniform Residential Appraisal Report

Fannie Mae Form 1004/ Freddie Mac Form 70 https://www.fanniemae.com/content/guide_form/1004.pdf

Individual Condominium Unit Appraisal Report

Fannie Mae Form 1073/ Freddie Mac Form 465 https://www.fanniemae.com/content/guide_form/1073.pdf

Manufactured Home Appraisal Report

Fannie Mae Form 1004C/ Freddie Mac Form 70B https://www.fanniemae.com/content/guide_form/1004c.pdf

Small Residential Income Property Appraisal Report

Fannie Mae Form 1025/ Freddie Mac Form 72 https://www.fanniemae.com/content/guide_form/1025.pdf

Appraisal Update and/or Completion Report

Fannie Mae Form 1004D/ Freddie Mac Form 442 https://www.fanniemae.com/content/guide_form/1004d.pdf

Compliance Inspection Report

Form HUD-92051 https://www.hud.gov/sites/documents/92051.PDF

Market Conditions Addendum to the Appraisal Report

Fannie Mae Form

1004MC/

Freddie Mac Form 71 https://www.fanniemae.com/content/guide_form/1004mc.pdf

Exterior-Only Inspection Residential Appraisal Report

Fannie Mae 2055/ Freddie Mac 2055 https://www.fanniemae.com/content/guide_form/2055.pdf

Exterior-Only Inspection Individual Condominium Unit Appraisal Report

Fannie Mae Form 1075/ Freddie Mac Form 466 https://www.fanniemae.com/content/guide_form/1075.pdf

One-Unit Residential Appraisal Field Review Report

Fannie Mae Form 2000/ Freddie Mac Form 1032 https://www.fanniemae.com/content/guide_form/2000.pdf

Two- to Four- Unit Residential Appraisal Field Review Report

Fannie Mae Form 2000A/ Freddie Mac Form 1072 https://www.fanniemae.com/content/guide_form/2000a.pdf https://www.fanniemae.com/content/guide_form/1004.pdf https://www.fanniemae.com/content/guide_form/1073.pdf https://www.fanniemae.com/content/guide_form/1004c.pdf https://www.fanniemae.com/content/guide_form/1025.pdf https://www.fanniemae.com/content/guide_form/1004d.pdf https://www.hud.gov/sites/documents/92051.PDF https://www.fanniemae.com/content/guide_form/1004mc.pdf https://www.fanniemae.com/content/guide_form/2055.pdf https://www.fanniemae.com/content/guide_form/1075.pdf https://www.fanniemae.com/content/guide_form/2000.pdf https://www.fanniemae.com/content/guide_form/2000a.pdf

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3.2 TASK 2 - HOSTING SERVICES SUPPORT

The Contractor shall provide specialized hosting services that meet or exceed HUD and NIST reliability and security requirements that, at minimum, shall include web and application hosting to support the following specifications.:

(1) Up to 1,500,000 new case numbers [Appraisal]Transactions over a 12-month period.

An appraisal transaction constitutes the first and all subsequent version submissions of the same case number to include updates, reports, and any subsequent scenario for submission, also referred to a case number. If a case number is changed for a specific property, only the most recent case number for that property is counted as a transaction for billing purposes.

(2) The contractor shall provide the option to add quantities from the number of electronic appraisals as specified in Section B, CLIN STRUCTURE. This optional quantity is included for the base period and may be exercised by the Government, independently, on any option periods of performance.

3.3 TASK 3 – CONFIGURATION MANAGEMENT SUPPORT SERVICES

The Contractor shall support the operation and service of the EAD portal solu tion. In support of this requirement, the Contractor shall:

3.3.1 Provide analytical services that shall include the analysis of the EAD data for operational issues, risk management and fraud trends. These findings shall be submitted in the weekly EAD portal and monthly EAD analysis reports.

3.3.2 Develop EAD User Quick Reference Guides to be used by Mortgagees, their service providers, and FHA staff. The user guides should be updated prior to or simultaneous to solution releases throughout the contract period. All User Guides shall be reviewed and updated annually.

3.3.3 Develop Power Point training slides and provide up to four (4) monthly EAD portal training sessions to Mortgagees, their service providers, and FHA staff during transition.

3.3.4 Develop EAD user guides to be used by Mortgagees, their service providers, and FHA staff. The user guides should be updated prior to or simultaneous to solution releases throughout the contract period. All user guides shall be reviewed and updated annually.

These guides shall include, at a minimum, information for submitting appraisal reports in FHA approved XML formats as outlined in the FHA's Electronic Appraisal Delivery (EAD) Portal web page at:

https://www.hud.gov/program_offices/housing/sfh/lender/origination/ead

The Contractor shall include updates based on frequently asked questions and other necessary topics identified by HUD.

3.3.5 Provide training webinar updates on an annual basis.

https://www.hud.gov/program_offices/housing/sfh/lender/origination/ead https://www.hud.gov/program_offices/housing/sfh/lender/origination/ead

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3.3.6 Provide Tier 2 customer service to Mortgagees, third-party service providers and FHA staff. This includes password resets, assigning user access, direct integration, operational and production-related issues, and other operational and production-related portal issues.

The customer service representative shall respond to all service requests, inquiries and complaints within 24 hours and answer 75% of incoming phone calls within 20 seconds. This information shall be submitted in the Tier 2 customer service weekly and monthly reports.

3.3.7 Provide escalated solution support to Mortgagees and their service providers. If the end-user’s response time exceeds 30 seconds, then the Contractor shall correct issues within 4 hours of the reported time. The EAD portal shall not exceed downtime of more than 4 hours per each base period or subsequent option periods.

3.3.8 Provide post-implementation support service to HUD to correct EAD portal issues, errors, flaws, failures or faults in the original design.

3.3.9 Provide tool software release updates on an on-going basis with minimum outages or disruption (e.g., provide updates on weekends).

3.3.10 Provide post-implementation service and support tailored to FHA’s requirements, including on-site training and support.

3.3.11 Provide analytical services to allow for the identification of emerging issues and trends.

FHA requires the Contractor to have sophisticated expertise to perform analysis of FHA data.

3.3.12 The Contractor shall develop and implement a training program for its personnel, Mortgagees and their service providers to familiarize them with the operation of this portal.

The Contractor shall work with FHA to develop the training plan, training materials and user guides and train the FHA users, Mortgagees and their service providers. The Contractor shall also provide necessary inputs to FHA to issue Mortgage Letters and for FHA to effectively manage the communication with Mortgagees and their service providers.

3.3.13 The contractor shall provide consulting services to FHA on Change Management of the EAD Portal. The contractor must obtain an approved Change Request prior to rendering services. Consultative services provide for changes to the functional/nonfunctional requirements as prescribed by FHA based on program changes, modifications to improve the service provided, and remedy reoccurring production errors, connectivity or interface errors with FHA systems. The consulting services include:

3.3.13.1 System configuration and implementation

3.3.13.2 Execute FHA change requests

3.3.13.3 Enhancements to the web-based solution, based on change requests that are received from the program office/Project Manager.

3.3.14 The Contractor shall provide services as outlined in this PWS under the normal operating scope of this contract. Surge requests beyond normal efforts may be required to provide continuity and currency of services and to accommodate changes in the

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Government’s operating environment. This surge refers to an optional level of effort that may be exercised at the Government’s discretion. The decision to invoke the task shall be based on the level of support that is required, project length and the project funding received. The Government may exercise the Optional CLIN more than once or in any combination thereof, expected not to exceed 40% of the price of the current (exercised – Base or Optional) performance period. The Contractor shall not work under this premise without prior approval by the contracting officer, COR, or other designated official. This surge support may include any part of this PWS as identified in the Contracting Officer’s request.

3.3.15 The Contractor shall provide an industry tested and recognized automated valuation model tool acceptable to FHA which generates a property value estimate and confidence score for transaction risk assessment.

3.3.16 The Contractor shall provide external real estate market data to identify changing market trends and transaction risks by incorporation into the business rules.

3.4 TASK 4 – CONTRACT PROGRAM MANAGEMENT

The Contractor shall provide program management support under this Contract. This includes the management and oversight of all activities performed by contractor personnel, including subcontractors, to satisfy the requirements identified below. The contractor shall schedule meetings and provide deliverables in accordance with (IAW) Section 4.0. The program manager shall attend meetings with FHA and complete any required administrative functions performed under the contract.

3.4.1 STATUS REPORTS

The Contractor shall have the ability to produce the reports as described in this section in addition to producing ad hoc or other recurring reports as needed by FHA.

3.4.1.1 MONTHLY STATUS REPORT

The Contractor shall provide a Monthly Status Report (MSR) to the CO, COR, and SME by the 10th business day of each month using Microsoft Office format. The report shall be brief, factual, and shall include: activities from all tasks, 3.0 through 3.4, during the reporting period, problems and corrective actions taken, issues and recommended resolutions, actions needing Government action/input, and schedule showing major tasks, milestones, and deliverables with planned and actual start and completion dates for each change request and appraisal case numbers processed during the service period, along with the total, to date, for the current contract period.

The Contractor shall track the number of appraisal submissions of unique case numbers (as defined in this PWS) and the emerging trend analysis. The report should reflect the actual case number transactions used to date for the month, separate from the weekly EAD production volume report. This information shall be submitted in the monthly report.

3.4.1.2 PRODUCTION STATISTICS REPORT

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The Contractor shall provide monthly EAD Production Statistics indicating the number of first-time transactions, number of appraisals that were fatal, and the percentage of appraisals that were submitted successfully the first time.

3.4.1.3 HARD STOP REPORT

The Contractor shall provide a monthly report listing the number of hard stops encountered the previous month and how many times encountered per hard stop.

3.4.1.4 SUCCESS RATE REPORT

The Contractor shall provide a monthly “First Time Success Rate by Service Providers report” indicating the EAD Production Volume by Vendor.

3.4.1.5 WEEKLY PRODUCTION REPORT

The Contractor shall provide a weekly EAD Production Volume report to the CO, COR, and SME, each Monday following the end of the previous week, Sunday through Saturday. The report shall be brief, factual, and shall include submissions by prior week, submissions by contract year, submissions by last contract year, case number count in prior week, case number count in this contract year, and case number count in last contract year.

3.4.2 PROJECT MANAGEMENT PLAN

The Contractor shall provide a project management plan that includes a description of the proposed management approach, standard operating procedures and a work breakdown structure for the transition period (3.4.4) and each system release afterwards, as well as provide milestones, tasks, subtasks and projects required.

3.4.3 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.

3.4.4 TRANSITION

The Contractor shall, upon the Contracting Officer's written notice, furnish phase-in services, as required. As a successor, the Contractor shall have sufficient personnel on board during the

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12-month Transition-In period to ensure a smooth transition with the incumbent Contractor.

The Contractor shall provide an orderly transition of work acceptance and accomplishment such that any impact to the program is minimized. During the Transition-In period, the Contractor shall become familiar with the requirements to commence full performance of services by the end of the contract Transition-In period.

3.4.4.1 FHA requires that the Contractor provide connection, within 90 days of award, with FHA systems and deliver a fully configured and integrated service with Loan Application Management System (LAMS) in accordance with the Interface Control Document (ICD), and make the fully functional EAD portal, with functional characteristics available for FHA testing.

Within 120 days of award, the successful contractor will begin connecting/onboarding FHA approved Mortgagees and their service providers and have all Mortgagees on-boarded within 12-months of award. As a requirement for evaluation, the contractor will need to demonstrate that it has a current connection using UCDP or FHA’s current EAD Portal, either with current FHA Mortgagees, Fannie Mae, or Freddie Mac lenders. Transition is not required if the successor Contractor is the incumbent Contractor.

3.4.4.2 To minimize any decrease in productivity and to prevent possible negative impacts on additional services, the Contractor shall have sufficient personnel on board during the 12-month Phase-out period. The incumbent Contractor shall ensure a smooth transition with the successor Contractor during the Transition-Out period, prior to completion of contractual performance. The incumbent Contractor shall aid the successor in the development of plans, procedures, and methods for the assumption of all on going work. The Contractor shall provide an orderly transition of work acceptance and accomplishment.

3.4.4.3 PHASE-IN PLAN

The Contractor shall provide a detailed transition plan with associated timelines for tasks that addresses phase-in for the contract. This plan shall be submitted with the Contractor’s proposal and updated as required.

3.4.4.4 PHASE-OUT PLAN

The Contractor shall provide a detailed transition plan with associated timelines for tasks that addresses phase-out for the contract. This plan shall be submitted with the Contractor’s proposal and should be updated as required.

3.4.5 COORDINATE CONTRACT KICK-OFF MEETING / POST AWARD CONFERENCE

The Contractor PM shall schedule and coordinate a Project Kick-Off Meeting at the location approved by the Government. The meeting will provide an introduction between the Contractor personnel and Government personnel who will be involved with the contract. The meeting will provide the opportunity to discuss technical, management, system issues, and SOPs. The purpose of the kick-off meeting is to aid both the Contractor and the Government in achieving a clear and mutual understanding of all contract requirements in the Contract and identify and resolve potential issues (See FAR Subpart 42.5 Post award Orientation). At a minimum, the attendees shall include Key Contractor personnel, key stakeholders, other relevant Government personnel, and the HUD CO, HUD CS, and HUD PM. The Contractor shall provide the following at the Kick-Off meeting:

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(1) Kick-Off Meeting PowerPoint Slides

(2) Project Management Plan (PMP) - Which was accepted at the time of award and will be reviewed and discussed at the Kick-Off meeting.

(3) Draft Quality Control Plan (QCP) – Which was accepted at the time of award and will be reviewed and discussed at the Kick-Off meeting.

3.4.6 STATUS MEETINGS

The CO, 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.

3.4.7 CONTRACTOR PERFORMANCE ASSESSMENT REPORTING SYSTEM (CPARS)

Past performance information is relevant information for future source selection purposes regarding a Contractor’s actions under previously awarded contracts. It includes, for example, the Contractor’s record of conforming to contract requirements and to standards of good workmanship; record of forecasting and controlling costs; adherence to contract schedules, including the administrative aspects of performance; history of reasonable and cooperative behavior and commitment to customer satisfaction; reporting into required databases; record of integrity and business ethics; and, business-like concern for the interest of the customer. HUD requires use of the CPARS modules as the secure, confidential, information management tool to facilitate the performance evaluation process for the contract.

4.0 DELIVERABLES

The following schedule of milestones/deliverables will be used by the HUD Contracting Officer’s Representative (COR) to monitor timely progress under this contract. All references to days shall refer to federal government workdays. All Project deliverables and reports shall be submitted to the COR. All Contract Deliverables shall be delivered to the COR with a courtesy copy to the Contracting Officer (CO) and Project Manager (PM) via e-mail. Deliverables are due the next Government workday if the due date falls on a holiday or weekend. The Contractor shall submit the deliverables listed in the following table:

NUMBER TASK

DELIVERABLE/

CONTRACT

DELIVERABLE/

MILESTONE

MILESTONE/

DELIVERABLE

PWS

REFERENCE

PLANNED

/COMPLETION DATE

(1) Milestone Project Start (PS) - At date of award

8/23/2019

NUMBER TASK

DELIVERABLE/

CONTRACT

DELIVERABLE/

MILESTONE

MILESTONE/

DELIVERABLE

PWS

REFERENCE

PLANNED

/COMPLETION DATE

(2) Milestone Kick-Off Meeting/ Post Award Conference

3.4.5 Within 5 workdays of

contract award

(3) Contract Deliverable Kick-Off Meeting Slides

3.4.5 Within 1 day prior to

Kick-Off meeting

(4) Contract Deliverable Status Reports 3.4.1 To be determined at time of Kick-Off

(5) Contract Deliverable Project Management Plan Draft

3. 4.2 At time of Kick-Off

(6) Contract Deliverable Project Management Plan Final

3. 4.2 Within 10 days after receipt of Government comments on accepted Project Management Plan.

(7) Contract Deliverable Project Management Plan Updates

3.4.2 Within 5 days

following any release.

(8) Contract Deliverable Phase- In Plan 3.4.4.3 At proposal:

Considered draft and accepted at time of contract award with review and comments provided at Kick-off

(9) Contract Deliverable Phase-Out Plan 3.4.4.4 At proposal:

Considered draft and accepted at time of contract award with review and comments provided at Kick-off

(10) Milestone All FHA Lenders On-boarded and volume transitioned

3.4.4.1 No later than 12

months from award.

8/23/2019

NUMBER TASK

DELIVERABLE/

CONTRACT

DELIVERABLE/

MILESTONE

MILESTONE/

DELIVERABLE

PWS

REFERENCE

PLANNED

/COMPLETION DATE

(11) Task Deliverable

Configuration Management Plan

3.1.1

(12) Task Deliverable

Configuration Management Plan Updates

As required

(13) Contract Deliverable Key Personnel Designation

6.3 At time of proposal

submission

(14) Task Deliverable

Completed rules engine within the EAD web- based solution

NLT 90 days for FHA testing

(15) Task Deliverable

Completed EAD web-based solution

NLT 120 days following contract award

(16) Task Deliverable

EAD Tracking Log 3.1.2 Initial log NLT 90 days following contract award, inclusive of configured system, and then as necessary, as determined by the Government.

(17) Task Deliverable

EAD Analysis Report 3.3.1 Quarterly – within 15 days of close of quarter

(18) Task Deliverable

EAD User Quick Reference Guides

3.3.2 NLT 90 days

following contract award

(19) Task Deliverable

Portal Training Sessions

3.3.3 Four (4) Monthly

sessions, schedule to be determined

8/23/2019

NUMBER TASK

DELIVERABLE/

CONTRACT

DELIVERABLE/

MILESTONE

MILESTONE/

DELIVERABLE

PWS

REFERENCE

PLANNED

/COMPLETION DATE

(20) Task Deliverable

FHA EAD Admin Guide

3.3.4 NLT 90 days

following contract award

(21) Task Deliverable

FHA EAD General User Guide

3.3.4 NLT 90 days

following contract award

(22) Task Deliverable

FHA EAD

Administrator Guide for Service Providers

3.3.4 NLT 90 days

following contract award

(23) Task Deliverable

EAD Portal Technical Integration Guide

3.3.4 NLT 90 days

following contract award

(24) Task Deliverable

Tier 2 Customer Service Report

3.3.6 Weekly – Day to be

determined at Kick- Off

(25) Task Deliverable

Training Webinar Updates

3.3.5 Annually

(26) Task Deliverable

Interface specification documentation

3.1 30 days from kickoff

(27) Task Deliverable

Tool software release updates

3.3.9 As needed

(28) Contract Deliverable CPARS 3.4.7 Annually

4.1 DELIVERABLE REPORTING REQUIREMENTS

All applicable deliverables, their required delivery dates, and destination of delivery will be specified under this contract, or otherwise specified by the COR. The schedule for completion of work to be performed under this contract will be delineated under this contract, as applicable. For purposes of delivery, all deliverables shall be made by close of business (COB) 5:00PM EST at destination on the date due.

4.1.2 DELIVERABLE ACCEPTANCE CRITERIA

8/23/2019

All deliverables shall be submitted in a draft format agreed upon by the Contractor and the Government. Acceptance of all deliverables shall be in writing to the COR. All status, operational and management reports provided by the Contractor shall not contain any restrictive markings prohibiting the Government from releasing the information in whole or in part. All deliverables shall adhere to the following:

(1) Electronic copies shall be delivered via email attachment or other media by agreement of the parties. The electronic copies shall be compatible with current MS Office products or other applications as appropriate and mutually agreed to by the parties.

(2) All deliverables submitted in electronic format shall be free of any known computer viruses or defects.

(3) Each deliverable shall be accompanied by a cover letter from the Contractor on company letterhead. Multiple deliverables may be delivered with a single cover letter describing the contents of the complete package.

5.0 PEFORMANCE REQUIREMENTS

5.1 HOURS OF OPERATION

The Contractor shall ensure support and coverage between the core hours of 8:00AM – 8:00PM Eastern Time Monday through Friday, except for Federal holidays or when the Government facility is closed, due to local or national emergencies, administrative closing, or similar Government-directed facility closings. The Government reserves the right to change hours of operation or restrict contractor access. Government agencies will not be available during scheduled holidays, inclement weather, weekends, and after duty hours.

5.1.1 The following Government holidays are normally observed by Government personnel:

New Year’s Day, Martin Luther King’s Birthday, Presidential Inauguration Day (metropolitan DC area only), President’s Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, Christmas Day, any other day designated by Federal Statute, Executive Order, and/or Presidential Proclamation, or any other kind of administrative leave such as acts of God (i.e. hurricanes, snow storms, tornadoes, etc.), Presidential funerals or any other unexpected Government closures.

5.2 PERIOD OF PERFORMANCE

The period of performance for this effort is date of award for a period of twelve (12) months thereafter referred to as the Base Period. This effort includes four (4) 12-month option periods, which may be unilaterally exercised by the Government.

5.3 PLACE OF PERFORMANCE

Performance will occur at the Contractor’s site.

5.4 TRAVEL

Travel is anticipated on this effort. All travel shall be approved, in advance, by the COR, and will be reimbursed in accordance with the Federal Travel Regulation (FTR). Travel is estimated at a Not to Exceed (NTE) amount of $25,000 per year of performance. Local travel, 8/23/2019 which is defined as being within a 50-mile radius of the HUD Headquarters, will not be reimbursed.

6.0 CONTRACTOR PERSONNEL

6.1 IDENTIFICATION OF CONTRACTOR EMPLOYEES

When on-site in a Government facility, all Contractor/subcontractor personnel shall wear company picture identification badges 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 work space area with their name and company affiliation, or at a minimum, "Contractor" after name.

6.2 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.

6.2.1 The Contractor shall abide by all applicable regulations, publications, manuals, policies and procedures in the performance of this contract in accordance with the constraints found in Section 3.1.

6.3 KEY 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 contact 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 actually receive assignment, guidance, and direction from the COR/Alternate COR, Government Technical Monitor (GTM) 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.

8/23/2019

6.4 CONTRACTOR PERSONNEL TRAINING

The Government will not allow costs, nor reimburse costs associated with the Contractor’s training of Contractor employees, to attain and/or maintain any minimum personnel qualification requirements that may be established for performance of this contract.

Requirement-specific training costs shall be approved in advance by the COR and related to the program as determined by the CO. The Contractor will maintain the professional qualifications and certifications of its personnel through on-going training. Unless specifically authorized by the Contract, the Contractor will not directly bill the Government for any training.

6.5 CONTRACTOR PERSONNEL QUALIFICATION

The Contractor shall provide personnel with expertise to successfully perform the aforementioned tasks and maintain a training program to ensure their staff is adequately trained and current on required skills, certifications and qualifications. Personnel shall demonstrate good communication skills and shall be flexible and adaptable in a dynamic environment. The Contractor shall effectively participate in planning and strategy sessions, effectively interact with customers, resolve complaints and problems, and keep management properly informed as to operational issues, problems, future needs, and technological developments.

6.6 NON-PERSONAL SERVICES

The Government will neither supervise Contractor employees nor control the method 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.

7.0 GOVERNMENT FURNISHED PROPERTY

The Contractor shall ensure accurate control and accountability of all Government-Furnished Property (GFP) in accordance with the terms and conditions of this contract. The Government will furnish, at no cost to the Contractor, the GFP shown below:

7.1 EQUIPMENT

No equipment will be provided by the Government.

7.2 MATERIALS

The contractor shall furnish, at no additional cost to the government, any materials that are not provided by the Government but are necessary for the development of the work products.

7.3 FACILITIES

No facilities will be provided by the Government.

8/23/2019

7.4 INFORMATION

Necessary information is provided in Section 3.1.

8.0 QUALITY ASSURANCE SURVEILLANCE PLAN (QASP)

The Government will develop a Quality Assurance Surveillance Plan to be used to provide contract oversight. In conjunction with the Contractor's Quality Control Plan and various other methods of assessing performance, the COR and Technical Point of Contact (TPOC) may perform on-site reviews and/or other types of verification to determine that the specified target performance requirements have been met. Further, the QASP provides the COR with a proactive way to avoid unacceptable or deficient performance and provides verifiable input for the required Past Performance Information Assessments. By monitoring the Contractor, the COR will determine whether the performance levels set forth in the order have been attained.

Performance standards are specified in the following Performance Requirements Summary found below in the Standard and Acceptable Quality Level columns.

8.1 PERFORMANCE REQUIREMENTS SUMMARY

The chart below lists the contract's primary requirements, the associated performance standards, the expected target performance, and the methods of surveillance. While some contract requirements may not be listed in the chart below, requirements not appearing on the PRS chart do not negate the Contractor's obligation to perform all requirements as specified in the contract.