Attachment 0001 Performance Work Statement PWS.doc

Attachment 0001 Performance Work Statement (PWS) Verification of Lender Eligibility (VOLE) 07/20/2020 4Vision Statement

1 General Information

1.1 Introduction

1.2 Background

1.3 Constraints

1.4 Description of Services

1.5 Non-Personal Services

1.6 Period of Performance

1.7 Place of Performance

1.8 Hours of Operation

1.9 Special Qualifications

1.10 Post Award/Kickoff Conference

1.11 Status Meetings

1.12 Contractor Travel

1.13 Transition In

1.14 Transition Out

2 Definitions and Acronyms

2.1 Definitions

2.2 Acronyms

3 Government-Furnished Property and Services

3.1 Government Services

3.2 Facilities

3.3 Equipment

3.4 Materials

3.5 Quality Assurance (QA)

4 Contractor-Furnished Items and Services

4.1 Facilities

4.2 Equipment

4.3 Material

4.4 Contractor Responsibilities

4.5 Contractor Personnel

4.6 Identification of Contractor Employees

4.7 Quality Control

4.7.1 Quality Control Plan

5 Specific Tasks

5.1 Verification of Lender Eligibility (VOLE) Requirements and On-line Access.

5.2 Training.

5.3 On-line User Manual and Help Desk.

5.4 Reports.

6 Deliverables

6.1 Quality Control Plan

6.2 Acceptance Criteria

7 Performance Requirements Summary 8 Related Documents

Performance Work Statement (PWS) Verification of Lender Eligibility (VOLE) Vision Statement

The Federal Housing Administration (FHA) in the Office of Lender Activities and Program Compliance and the Office of Housing Counseling must verify all recertifying and newly proposed agencies and applicants, applying to become an FHA approved agency are eligible to participate in these Department of Housing and Urban Development (HUD) programs. This verification also applies to specific personnel of each agency and interested principals. Participants must comply with numerous requirements of the National Housing Act, HUD regulations, handbook and related Mortgagee Letters. The staff in HUD's Office of Housing Counseling is responsible to verify each applicant's eligibility to participate in the HUD housing consoling programs.

1 General Information

1.1 Introduction

1.2 Background

1.3 Constraints

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. Constraints include the following: None

1.4 Description of Services

The Federal Housing Administration (FHA) within the Department of Housing and Urban Development (HUD) must verify that all newly proposed applicants and recertifying applicants, seeking to become or remain FHA-approved Lenders and FHA-approved housing counseling agencies, are eligible to participate in these HUD FHA programs. This verification also applies to interested principals and specific personnel of each lending and housing counseling agency. Participants must comply with numerous requirements of the National Housing Act, HUD regulations, handbooks and related Mortgagee Letters. HUD is responsible to verify each applicant’s eligibility to participate in the HUD FHA programs.

The contractor shall provide to FHA staff secure internet-based access to its data records compiled from multiple sources that are acceptable to FHA. This access shall allow FHA staff the ability to perform criminal background checks, verify Tax ID of each company, verify property with real property images, deed transactions and parcel maps, identify administrative sanctions (including proposed sanctions) related to an agency, related company, the agency’s key personnel and principals. This information shall be available for each agency by searches using their legal, dba names, Tax ID number, address (es), web sites and phone numbers. The information shall be available on an agency’s key personnel by searches using their name, employer(s), Social Security Number, residential address, phone number and date of birth.

1.5 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.

1.6 Period of Performance

The period of performance shall be for one base period of twelve (12) months from the date of the contract award with four (4) 12-month option periods.

1.7 Place of Performance

The services to be performed under this contract are internet-based services and shall be performed at the Contractors facility and be available online to all end-users.

1.8 Hours of Operation

The Contractor is responsible for providing on-line access services between the hours of 6:00 AM Eastern time to 7:00 PM Hawaii-Aleutian Time Monday thru Friday. The Contractor is responsible to have key personnel and the helpdesk available between the hours of 8:00 AM and 5:00PM Eastern time Monday thru 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. Weekly hours shall not exceed a forty (40) hour work week and a typical workday will be 8 hours each day Monday through Friday. The Government reserves the right to change hours of operation or restrict contractor access. Work outside of these daily hours is prohibited without Contracting Officer approval. Government agencies will not be available during scheduled holidays, inclement weather, weekends, and after duty hours.

The Contractor shall at all times maintain an adequate workforce for the uninterrupted performance of all tasks defined within the contract when the Government facility is not closed for the above reasons.

When hiring personnel, the Contractor shall keep in mind that the stability and continuity of the workforce is essential.

1.9 Special Qualifications N/A

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 Officer's 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 Contracting Officer's Representative 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

N/A

1.14 Transition Out

N/A 2 Definitions and Acronyms

2.1 Definitions

Business/Work Days - Every official work day 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 into, 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.

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.

Government Technical Monitor (GTM) - An individual designated by the Contracting Officer to assist in providing technical direction and monitoring performance under the contract.

Government Technical Representative (GTR) - 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.

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 into 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

AQL - Acceptable Quality Level ARAMS - Automated Renewal and Amendment System

BAA - Business Area Analysis Study

CBT - Computer-Based Training

CCB - Change Control Board

CCMB - Configuration Change Management Board

CMMI - Capability Maturity Model Integration

CFO or OCFO - Office of the Chief Financial Officer of HUD

CFR - Code of Federal Regulations

CIO or OCIO - Office of the Chief Information Officer of HUD

CO - Contracting Officer

COR - Contracting Officer Representative

COTS - Commercial Off-the-Shelf

CPO - Office of the Chief Procurement Officer of HUD

EST - Eastern Standard Time (U.S.)

ETC - Estimate to Completion

GAO - U.S. General Accounting Office

GTM - Government Technical Monitor

GTR - Government Technical Representative

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

HUDAR - HUD Acquisition Regulation

HUD/ISG - Internet Services Group within the Telecom Processing Division

HUD Web - HUDs Intranet Web Site and related WEB pages.

IG or OIG - Inspector General (Office of)

IT - Information Technology

IV&V - Independent Validation and Verification

LOOCS - Line of Credit Control System

OCPO - Office of the Chief Procurement Officer

OIG - Office of Inspector General

OMB - Office of Management and Budget

PL Public Law

PM - Project Manager

POC - Point of Contact

PPM - Project Planning and Management

QA - Quality Assurance

QASP - Quality Assurance Surveillance Plan

QCP - Quality Control Plan

SF - Standard Form

TBD - To be determined

U.S.C - United States Code

3 Government-Furnished Property and Services

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

3.1 Government Services

The Government will not provide any services.

3.2 Facilities

The Government will not provide any facilities.

3.3 Equipment

The Government will not provide any equipment.

3.4 Materials

The Government will not provide any 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 all facilities necessary to perform the tasks identified in the PWS.

4.2 Equipment

The contractor shall furnish all equipment necessary to perform the tasks identified in the PWS.

4.3 Material

The contractor shall furnish all materials necessary to perform the tasks identified in the PWS.

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 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 GTR, 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 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

The Contractor shall establish and maintain a complete quality control program that shall ensure services are performed in accordance with this contract. The Contractor shall develop and implement procedures to identify, prevent, and ensure non reoccurrence of defective services. The Contractor's quality control program is the means by which he assures himself that his work complies with the requirements of the contract. The Contractor shall provide the associated Quality Control Plan to the Government as directed.

4.7.1 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 Verification of Lender Eligibility (VOLE) Requirements and On-line Access.

The contractor will establish accounts by location and/or Office. The service will provide for unlimited queries on agencies/entities and individuals applying to participate in the FHA programs. The contractor shall provide to HUD staff secure internet-based access to records compiled from various data sources acceptable to HUD to perform criminal background checks, verify Tax ID of each agency, and identify all administrative sanctions (including proposed sanctions) related to an agency, related company, agency’s key personnel and principals. The service shall extend beyond public record information to include information found on social network pages. The service shall provide real time access to current data. The information shall be available on the agency by searches using their legal and DBA names, Tax ID number, business address, websites and phone numbers. The service shall provide for the ability to search for an agency’s key personnel/principals by name, current and previous employer(s), Social Security Number, residential address, phone number and date of birth, etc. The search should provide information such as Real Property Reports, SEC Filings, Experian Business Credit Reports, Real-Time Incarceration & Arrest Records, and Deed Images & Parcel Maps. The service shall provide users with dashboard tools with the ability to create reports, save those reports to a designated personal workspace, and run searches like web analytics. The service shall provide the capability to perform batch searches and reporting.

5.1.1 Unlimited Queries.

The contractor shall provide unlimited queries on a secure internet-based system for all designated FHA staff to access. These queries shall be on agencies/entities and individual key personnel/principals participating in FHA programs as described in this PWS.

Performance Standards

a) Standard: No later than three days after the effective date of the contract, the contractor shall establish accounts by location and/or Office and provide the user ID and passwords for all authorized FHA designees.

AQL: 100%

b) Standard: The ability to conduct on-line queries shall be available Monday through Friday between 6:00am Eastern time and 7:00pm Hawaii-Aleutian Time.

AQL: 100% of the time.

5.1.2 Data Source Updates.

Each time the contractors data sources are updated with new information the contractor shall determine whether the new information has been previously searched by FHA; When a match is found the contractor shall notify FHA within one (1) business day of the match and send an updated report for such matched names information to FHA in a manner prescribed by FHA.

Performance Standards

a) Standard: Notify FHA of updates to information within one (1) business day of the match and send updated reports for such matched names to FHA in a manner prescribed by FHA.

AQL: 100% of the time.

5.2 Training.

The Contractor shall provide on-line and/or live training to FHA staff within 5 days of contract award. Additional training throughout the length of the contract will be provided during a frequency determined by FHA.

Performance Standards

a) Standard: On-line and/or live training shall be provided within 5 days of contract award.

AQL: 100% of time

b) Standard: Additional on-line and/or live training shall be provided as determined by FHA.

AQL: 100 % of the time.

5.3 On-line User Manual and Help Desk.

The Contractor shall provide an on-line user manual and access to a help desk for use by all authorized HUD designees.

Performance Standards

a) Standard: Within three days from contract award the Contractor shall have the on-line user manual and access to the help desk available to all authorized HUD designees.

AQL: 100% of the time.

b) Standard: Throughout the duration of the contract, access to the on-line user manual and the help desk shall be available during 8:00am and 5:00pm.

AQL: 100% of the time.

5.4 Reports.

The Contractor shall provide on-line usage reports, by location, of all searched that should include but is not limited to the type of search, data, and time of the search, the companies and individuals that were subject of the searches along with the FHA staff who conducted the search. The on-line report must be made available on the first business day of each month for the entire period of the contract.

Performance Standards

a) Standard: Monthly usage report AQL: 100% complete.

5.4.1 System Administrator's Report.

The contractor shall provide an Administrative Usage Report by location for FHA System Administrators monthly. This Administrative Report should provide the following information. The FHA Staff/System Users First and Last Name, the Domain name of the search, The Transaction or Search Report Used Name, The Transaction Timestamp and the Search Criteria, and the Amount or Cost of the Search and or Transaction.

Performance Standards

a) Standard: System Administrator's Report shall be delivered no later than the 3rd business day of each month.

AQL: 100% complete.

6 Deliverables

The Contractor shall complete all work and submit all deliverables as specified herein. The Government reserves the right to make changes to delivery dates.

The contractor shall provide to FHA staff unlimited queries on lenders/entities and individuals participating in the FHA programs and shall provide to HUD staff secure internet-based access to records compiled from various data sources acceptable to HUD to perform criminal background checks, verify Tax ID of each company, and identify all administrative sanctions (including proposed sanctions) related to a housing counseling agency, related company, agency's key personnel and principals. The service shall extend beyond public record information and include information found on social network pages. The service shall provide real time access to current data. The information shall be available on lenders by searches using their legal and DBA names, Tax ID number, address, web sites and phone numbers. The service shall search for an agencies key personnel by name, employer(s), Social Security Number, residential address, phone number and date of birth, etc.

Data updates 6:00 AM Eastern time to 7:00 PM Hawaii-Aleutian Time Monday thru Friday.

Within five business days from contract award. Additional training shall be provided throughout the contract period as determined by FHA

Helpdesk shall be available between the hours of 8:00am and 5:00 pm EST

online usage reports of all searches that should include but is not limited to the type of search, date and time of the search, the companies and individuals that were subject of the searches along with the FHA staff who conducted the search. The online report must be available on a monthly basis for a period the entire option year.

No later than the 3rd business day each month the monthly usage report shall be available.

6.1 Quality Control Plan

The Contractor's QCP shall be delivered to the COR within 30 days after contract award (or with the Contractor's proposal if it is an evaluation factor). The QCP shall be submitted to the COR within five business days when changes are made thereafter. After acceptance of the QCP, the Contractor shall receive the Contracting Officer's acceptance in writing of any proposed change to its quality control system.

6.2 Acceptance Criteria

All deliverables shall be submitted in a draft format agreed upon by the Contractor and the Government. Upon review and acceptance by the Government, the contractor shall address all Government comments and submit a final deliverable within 5 business days of Government notification.

7 Performance Requirements Summary

The summary 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. Additionally, HUD reserves all rights and remedies under the provisions and clauses of the contract when performance of any contract requirement, whether or not listed below, is unacceptable.

HUD 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 GTR and GTM may perform on-site reviews and/or other types of verification to determine that the specified target performance requirements have been met.

Regular review of Contractor performance is critical to the overall success of the contract. On a monthly basis, the GTR will evaluate the quality of the product or services.

AQL: 100%

2% reduction of invoice payment for this task.

AQL: 100% of the time.

AQL: 100% of time

b) Additional on-line and/or live training shall be provided as determined by FHA.

AQL: 100 % of the time.

2% reduction of invoice payment for this task.

AQL: 100% of the time.

2% reduction of invoice payment for this task

AQL: 100% complete.

2% reduction of invoice payment for this task.

AQL: 100% complete 2% reduction of invoice payment for this task.

8 Related Documents

The Contractor shall abide by all applicable regulations, publications, manuals, policies, and procedures in the performance of this contract.