Attachment 1 Performance Work Statement (PWS) - Mortgage Loan Servicing Support Services.pdf

ATTACHMENT 1

PERFORMANCE WORK STATEMENT (PWS)

Performance Work Statement (PWS)

Mortgage Loan Servicing Support Services

09/04/2019

Version 1.0

Performance Work Statement (PWS)

Mortgage Loan Servicing Support Services

Vision Statement

Protect the Department of Housing and Urban Development’s (HUD) interests by improving the mortgage loan servicing process and ensuring the quality of financial data.

1 General Information

1.1 Introduction

The Department of Housing and Urban Development (HUD)/Office of Asset Management and Portfolio Oversight (OAMPO) requires contractor support to provide Mortgage Loan Servicing (MLS) for Conventional, Mark-to-Market (M2M) / DEMO, Healthcare Notes; Property Disposition Portfolio Services; Risk Sharing and Direct Loan Services; as well as Accounting Services for all Multifamily and Healthcare HUD-Held notes.

MLS encompasses a broad but integrated set of functions for Multifamily and Healthcare HUD-

Held notes and properties. MLS is high priority and critical to the successful performance of mortgage loan servicing functions. MLS for mortgage and property servicing entails not only financial aspects of the Multifamily and Healthcare HUD-Held first, second and subordinate notes, mortgage portfolios and properties, but also requires response to a wide variety of incoming inquiries from HUD personnel, borrowers, auditors, billing agents, vendors, attorneys and local taxing authorities. The transactions in this program involve not only the financial management of the assets owned by the Department and managed under Federal legislation, regulation, and HUD’s program directives, but also responsiveness to local laws.

Servicing the asset involves much more than just the application of collections. It also involves the protection of the government’s ability to collect what is owed by establishing accurate, consistent, reliable and timely records along with monitoring, analyzing and reporting results.

The data and analysis from these activities are provided to several offices throughout the

Department to report on the assets financial results and the performance of the programs that

HUD administers. These data elements enable HUD to carryout important evaluations of program costs and solvency of the FHA insurance funds.

1.2 Background

HUD insures Multifamily and Healthcare mortgages under a variety of Federal Housing Administration (FHA) programs. The Department assumes the role of the mortgagee or lender when the borrower defaults on the loan. Defaulted loans become Multifamily and Healthcare HUD-Held loans under certain circumstances that include:

1. The borrower defaults and the FHA-insured mortgagee assigns the mortgage to HUD by filing a claim for insurance benefits;

2. A current mortgage is assigned to HUD by the mortgagee pursuant to 221(g)(4) of the

National Housing Act;

3. When a purchase money mortgagee is taken back by HUD to finance the sale of the property owned by HUD;

4. When an FHA-insured loan is backed by the Federal Financial Bank (FFB) a direct loan issued to a Housing Finance Agency under the 542(b) or 542(c) Risk Share Program; or

5. An FHA-insured or Multifamily HUD-Held first mortgage is restructured under the “Mark-to-Market” (or “DEMO”) program or the National Housing Act which results in one or more new subordinate Multifamily HUD-Held mortgages are originated.

Collectively, this portfolio is referred to as the Multifamily and Healthcare HUD-Held portfolio.

HUD also manages multifamily properties as Mortgagee-in-possession (MIP) or owner and relocates tenants from substandard multifamily or Healthcare properties. Accounting services are needed to support and track all property management and relocation financial transactions.

HUD utilizes a Minority Bank Program designed to invest excess cash from the project’s

Reserve for Replacement account into the minority banks in an effort to earn interest on these funds. Currently, there are seven small, minority banks participating in this program managing approximately $35 million.

1.2.1 Risk Share Program and Direct Loans

The legal authority of the Housing and Community Development Act of 1992, Section 542, allows HUD to provide a form of Federal credit enhancement for multifamily projects through a risk-sharing partnership with a state or local Housing Finance Agency (HFA), or with a Qualified

Participating Entity (QPE), such as Fannie Mae, Freddie Mac.

Section 542(c) enables HUD, State, and local HFA’s to provide new risk-sharing arrangements to help those agencies provide more insurance and credit for multifamily loans. Section 542(c) provides credit enhancement for mortgages of multifamily housing projects whose loans are underwritten, processed, serviced, and disposed of by HFA’s. HUD and the HFA share in the risk of the mortgage.

Under Section 542(b), HUD provides insurance on multifamily housing projects whose mortgage loans are originated, underwritten, serviced, and disposed of by QPE’s and/or approved lenders. Section 542(b) encourages the development and preservation of affordable housing.

HUD's mortgage credit enhancements are used to support the underwriting and production strengths of Fannie Mae, Freddie Mac, qualified Federal, State, and local public financial and housing institutions.

The Federal Financing Bank (FFB) is a unit within the Treasury Department that focuses on reducing the cost of federally assisted borrowing. The FFB Risk Share program is an inter-agency partnership between HUD, FFB and the Housing Development Corporations (HDC) to develop a Ginnie Mae like financing execution for HFA’s that are budget neutral and require no

Congressional action. Specifically, the FFB provides funding for multifamily mortgage loans insured by FHA under its Risk Sharing programs. FFB does not securitize the mortgages;

rather, FFB purchases certificates or securities backed by the FHA-insured mortgages. The funding is currently referred to as an FFB Direct Loan.

The services under this contract do not change the basic structure of Risk Sharing; it only substitutes FFB as the funding source. The HDC originates and services the loans and shares in any losses. Meanwhile, FHA would be liable to FFB for any claim payments of the mortgage insurance. Generally, the program has the same risks to the GI/SRI fund that are associated with the traditional risk share program.

1.2.2 Property Disposition Division

The Property Disposition Division (PDD) is responsible for the sale of HUD-Held and HUD-

Owned properties, management of MIP and HUD-Owned properties, the relocation of tenants when required, and post-foreclosure sale activities. Relocation is completed through a separate contract, but accounting processes are covered under this PWS. The current portfolio consists of approximately 2000 items identified by Property ID and/or FHA Case number, initially requiring approximately 15,000 servicing actions. PDD averages between 2400 and 4000 servicing actions yearly.

1.2.3 Current Environment

HUD services approximately 2000 Multifamily and Healthcare HUD-Held Notes, of which approximately 1150 are billed annually under the Mark-to-Market/DEMO (M2M) program.

Approximately 750 notes in the M2M/DEMO are subordinate notes and do not require payment until satisfaction of the senior position M2M/DEMO note.

Approximately 70 are pre-payments of claim notes (PPC) which have terms similar to the Mark-to-market notes. There are also approximately 200 conventional notes and approximately 40

Healthcare that are billed monthly. The current environment for the Risk Share Program is approximately 300 notes.

Note trends within this collective portfolio vary. For the fiscal year 2018 and into 2019 the

Department is servicing approximately 2000 notes. The portfolio can vary depending on the number of new assignments which adds notes to the portfolio and payoff and/or fully amortized notes which reduce the number of notes in the portfolio.

Currently, access to mortgage loan servicing data is provided to approximately 100 HUD internal employees and approximately 500 additional users nationwide.

1.3 Constraints

The services identified in this PWS will adhere to the rules, regulations, laws, standards and conventions identified by HUD. In the event, that there is a change to any rule, regulation, or Government system interface (i.e. Pay.gov, FHASL), the Contractor shall update the servicing system to comply with the changes.

Constraints include the list of regulations below. With changing and new regulations being issued, this list is not all inclusive of future regulations and guidance which may be issued. The Contractor shall adhere to new regulations and guidance as they are implemented.

Document Number Title & URL Released Mandatory/ Advisory

44 USC §3541 et seq.

Federal Information Security Management Act (FISMA, supersedes the Computer Security Act of 1987)

2002 M http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapIII.pdf

44 USC §3601 et seq.

E-Government Act of 2002

2002 M http://www.gpo.gov/fdsys/pkg/USCODE-2010-title44/pdf/USCODE-2010-title44-chap36.pdf

Pub. L. 101-508, 104

STAT. 1388-610, 2

USC §661

Federal Credit Reform Act of 1990

1990 M http://www.gpo.gov/fdsys/pkg/USCODE-2010-title2/pdf/USCODE-2010-title2-chap17A-subchapIII.pdf https://www.whitehouse.gov/omb/financial_fmfia1982

Pub. L. 103-62, 31

USC §1101

Government Performance and Results Act (GPRA) 1993 M https://history.nih.gov/research/downloads/PL103-62.pdf

Pub. L. 103-356, 31 USC §3301 et seq.

Federal Financial Management Act of 1994 Title IV – Financial Management

1994 M http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap33-subchapI.pdf

Pub. L. 104-208, 31

USC §3512

Federal Financial Management Improvement Act of 1996 1996 M http://www.gpo.gov/fdsys/pkg/PLAW-104publ208/pdf/PLAW-

104publ208.pdf

Pub. L. 104-106, 40 USC §1401 et seq.

Information Technology Management Reform Act of 1996 (Clinger-Cohen Act)

1996 M http://www.gpo.gov/fdsys/pkg/USCODE-1998-title40/pdf/USCODE-1998-title40-chap25.pdf

31 USC § 9101 ET

SEQ.

Government Corporation Control Act 1948 M http://www.gpo.gov/fdsys/pkg/USCODE-2008-title31/pdf/USCODE-2008-title31-subtitleVI-chap91.pdf

Pub. L. 101-235, 12 USC 1709(f-16)

HUD Reform Act, amending the National Housing Act

1989 M http://www.gpo.gov/fdsys/pkg/USCODE-2011-title12/pdf/USCODE-2011-title12-chap13-subchapII-sec1709.pdf

Government Paperwork Elimination Act 1998 M http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapIII.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapIII.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title44/pdf/USCODE-2010-title44-chap36.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title44/pdf/USCODE-2010-title44-chap36.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title2/pdf/USCODE-2010-title2-chap17A-subchapIII.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title2/pdf/USCODE-2010-title2-chap17A-subchapIII.pdf https://www.whitehouse.gov/omb/financial_fmfia1982 https://history.nih.gov/research/downloads/PL103-62.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap33-subchapI.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap33-subchapI.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap33-subchapI.pdf http://www.gpo.gov/fdsys/pkg/PLAW-104publ208/pdf/PLAW-104publ208.pdf http://www.gpo.gov/fdsys/pkg/PLAW-104publ208/pdf/PLAW-104publ208.pdf http://www.gpo.gov/fdsys/pkg/USCODE-1998-title40/pdf/USCODE-1998-title40-chap25.pdf http://www.gpo.gov/fdsys/pkg/USCODE-1998-title40/pdf/USCODE-1998-title40-chap25.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title31/pdf/USCODE-2008-title31-subtitleVI-chap91.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title31/pdf/USCODE-2008-title31-subtitleVI-chap91.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title12/pdf/USCODE-2011-title12-chap13-subchapII-sec1709.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title12/pdf/USCODE-2011-title12-chap13-subchapII-sec1709.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title12/pdf/USCODE-2011-title12-chap13-subchapII-sec1709.pdf

Advisory

Pub. L. 105-277 (112

STAT. 2681-749-751),

44 USC §3504

http://www.gpo.gov/fdsys/pkg/PLAW-105publ277/pdf/PLAW- 105publ277.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapI-sec3504.pdf

Pub. L. 105-220, 29 USC 701 et seq.

Section 508 of the Rehabilitation Act of 1998

1998 M http://www.gpo.gov/fdsys/pkg/PLAW-105publ220/pdf/PLAW- 105publ220.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap37.pdf

Pub. L. 113-101, 31 USC §3716(c)(6)

Digital and Transparency Act of 2014 2014 M http://www.gpo.gov/fdsys/pkg/PLAW-113publ101/pdf/PLAW-

113publ101.pdf

Pub. L. 97-177, 31 USC §3901 et seq.

Prompt Payment Act 1982 M http://uscode.house.gov/statutes/pl/91/177.pdf

Pub. L. 107-300, 31

USC §3321

Improper Payments Information Act of 2002

2002 M http://www.gpo.gov/fdsys/pkg/USCODE-2011-title31/pdf/USCODE-2011-title31-subtitleIII-chap33-subchapII-sec3321.pdf

Pub. L. 112-248, 31

USC§3321

Improper Payments Elimination and Recovery Improvement Act of 2012

2012 M http://www.gpo.gov/fdsys/pkg/PLAW-112publ248/pdf/PLAW- 112publ248.pdf

OMB Circular A-11 Preparation, Submission and Execution of the Budget

Latest version

M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-11, Part 3

Planning, Budgeting, and Acquisition of Capital Assets Latest version

M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-34 Instructions on Budget Execution

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OMB Circular A-123 Management Accountability and Control

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M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-125 OMB Circular A-125, Prompt Pay

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M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-127 Policies and Standards for Financial Management Systems

Latest version

M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-130 Security of Federal Automated Information Resources (Appendix III)

Latest version

M http://www.gpo.gov/fdsys/pkg/PLAW-105publ277/pdf/PLAW-105publ277.pdf http://www.gpo.gov/fdsys/pkg/PLAW-105publ277/pdf/PLAW-105publ277.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapI-sec3504.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapI-sec3504.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2008-title44/pdf/USCODE-2008-title44-chap35-subchapI-sec3504.pdf http://www.gpo.gov/fdsys/pkg/PLAW-105publ220/pdf/PLAW-105publ220.pdf http://www.gpo.gov/fdsys/pkg/PLAW-105publ220/pdf/PLAW-105publ220.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap37.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2010-title31/pdf/USCODE-2010-title31-subtitleIII-chap37.pdf http://www.gpo.gov/fdsys/pkg/PLAW-113publ101/pdf/PLAW-113publ101.pdf http://www.gpo.gov/fdsys/pkg/PLAW-113publ101/pdf/PLAW-113publ101.pdf http://uscode.house.gov/statutes/pl/91/177.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title31/pdf/USCODE-2011-title31-subtitleIII-chap33-subchapII-sec3321.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title31/pdf/USCODE-2011-title31-subtitleIII-chap33-subchapII-sec3321.pdf http://www.gpo.gov/fdsys/pkg/USCODE-2011-title31/pdf/USCODE-2011-title31-subtitleIII-chap33-subchapII-sec3321.pdf http://www.gpo.gov/fdsys/pkg/PLAW-112publ248/pdf/PLAW-112publ248.pdf http://www.gpo.gov/fdsys/pkg/PLAW-112publ248/pdf/PLAW-112publ248.pdf https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/

Advisory https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-130 Management of Federal Information Resources

Latest version

M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Circular A-130

Security of Federal Automated Information Resources (Appendix III) (see also 34 FR 6428) Latest version M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 99-20

Security of Federal Automated Information Resources 1999 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 06-15

Safeguarding Personally identifiable Information 2006 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 06-16

Protection of Sensitive Agency Information 2006 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 06-19

Reporting Incidents Involving PII 2006 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 06-20

Reporting Instructions for the Federal Information Security Act and Agency Privacy Management

2006 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

OMB Memorandum 12-11

Reducing Improper Payments through the “Do Not Pay List” 2012 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/

PDD-63

Critical Infrastructure Protection,” Presidential Decision Directive-63 1998 M http://fas.org/irp/offdocs/pdd/pdd-63.htm

HSPD-12

Policy for a Common Identification Standard for Federal Employees and Contractors, Homeland Security Presidential Directive-12 2004 M http://www.dhs.gov/homeland-security-presidential-directive-

JFMIP-SR-02-01

Joint Financial Management Improvement Program, Core Financial System Requirements (GAO Checklist for Core Financial Systems Requirements) Nov 2001 M http://www.gao.gov/assets/210/201925.pdf http://www.gao.gov/new.items/d05225g.pdf

JFMIP-SR-00-01

Joint Financial Management Improvement Program, Guaranteed Loan System Requirements (GAO Checklist for Guaranteed Loan System Requirements)

Mar 2000 M https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ https://www.whitehouse.gov/omb/information-for-agencies/circulars/ http://fas.org/irp/offdocs/pdd/pdd-63.htm http://www.dhs.gov/homeland-security-presidential-directive-12 http://www.dhs.gov/homeland-security-presidential-directive-12 http://www.gao.gov/assets/210/201925.pdf http://www.gao.gov/new.items/d05225g.pdf

Advisory http://www.gao.gov/assets/210/200098.pdf http://www.gao.gov/assets/80/76573.pdf

JFMIP-SR-99-8

Joint Financial Management Improvement Program, Direct Loan System Requirements (GAO Checklist for Direct Loan System Requirements) Jun 1999 M http://www.gao.gov/assets/200/199756.pdf http://gao.gov/assets/80/76463.pdf

JFMIP SR-02-02

Joint Financial Management Improvement Program, Acquisition/Financial System Interface Requirements (GAO Checklist for Acquisition/Financial System Interface Requirements)

Jun 2002 M http://archive.gao.gov/f0302/a02712.pdf http://www.gao.gov/assets/80/76817.pdf

CFO

U.S. Government Chief Financial Officer’s (CFO) Council, Financial Management Systems Compliance Review Guide Oct 1999 M https://cfo.gov/

NIST Special Publication 800-12, Series

An Introduction to Computer Security: The NIST Handbook Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-14, Series

Generally Accepted Principles and Practices for Securing Information Technology Systems

Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-18, Series

Guide for Developing Security Plans for Federal Information Systems

Latest Version

A http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-30, Series

Guide for Conducting Risk Assessments Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-34, Series

Contingency Planning Guide for Information Technology Systems

Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-35, Series

Guide to Information Technology Security Services Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-37, Series

Guide for the Security Certification and Accreditation of Federal Information Systems

Latest Version

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NIST Special Publication 800-47, Series

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Latest Version

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NIST Special Publication 800-53, Series

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NIST Special Publication 800-55, Series

Performance Measurement Guide for Information Security Latest Version

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NIST Special Publication 800-60, Series

Guide for Mapping Types of Information and Information Systems to Security Categories (Appendices)

Latest Version

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NIST Special Publication 800-64, Series

Security Considerations in the Information System Development Life Cycle

Latest Version

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NIST Special Publication 800-65, Series

Integrating Security into the Capital Planning and Investment Control Process

Latest Version

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NIST Draft Special Publication 800-82, Series

Guide to Industrial Control Systems (ICS) Security Latest Version

A http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-84, Series

Guide to Test, Training and Exercise Programs for IT Plans and Capabilities

Latest Version

M http://csrc.nist.gov/publications/PubsSPs.html

NIST Special Publication 800-100, Series

Information Security Handbook: A Guide for Managers Latest Version

A http://csrc.nist.gov/publications/PubsSPs.html

US SGL

United States Standard General Ledger Latest Version

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SF-224

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Version M http://tfm.fiscal.treasury.gov/v1/p2/c330.html

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A http://www.gao.gov/assets/240/232993.pdf

GAO/AIMD-00-33

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FASAB

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IEEE 730-2014

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IEEE 828-2012

IEEE Standard for Configuration Management in Systems and Software Engineering

Latest Version

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Advisory http://standards.ieee.org/findstds/standard/828-2012.html

IEEE 830-1998

IEEE Recommended Practice for Software Requirements Specifications

Latest Version

M http://standards.ieee.org/findstds/standard/830-1998.html

IEEE 1012-2012

IEEE Standard for System and Software Verification and Validation

Latest Version

M http://standards.ieee.org/findstds/standard/1012-2012.html

IEEE 1016-2009

IEEE Standard for Information Technology--Systems Design-- Software Design Descriptions

Latest Version

M http://standards.ieee.org/findstds/standard/1016-2009.html

IEEE 12207-2008

Systems and software engineering -- Software life cycle processes

Latest Version

M http://standards.ieee.org/findstds/standard/12207-2008.html

IEEE 15288-2015

ISO/IEC/IEEE International Standard - Systems and software engineering -- System life cycle processes

Latest Version

M http://standards.ieee.org/findstds/standard/15288-2015.html

IEEE 16326-2009

ISO/IEC/IEEE International Standard Systems and Software Engineering--Life Cycle Processes--Project Management

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M http://standards.ieee.org/findstds/standard/16326-2009.html

IEEE 23026-2015

ISO/IEC/IEEE International Standard - Systems and software engineering - Engineering and management of websites for systems, software, and services information

Latest Version

M http://standards.ieee.org/findstds/standard/23026-2015.html

IEEE 29148-2011

Systems and software engineering -- Life cycle processes -- Requirements engineering

Latest Version

M http://standards.ieee.org/findstds/standard/29148-2011.html

IEEE 42010-2007

ISO/IEC Standard for Systems and Software Engineering - Recommended Practice for Architectural Description of Software-Intensive Systems

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HUD Handbook

1325.01, REV-01

Privacy Act Handbook

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HUD Handbook 2400.25

Information Technology Security Policy Latest Version

M http://portal.hud.gov/hudportal/documents/huddoc?id=240025 CIOH.pdf

HUD Handbook 3255.1

Enterprise Architecture Policy Latest Version

M http://portal.hud.gov/hudportal/documents/huddoc?id=32551C IOH.pdf

HUD Handbook 3410.1

HUD Policy For IT Project Planning and Management (PPM) Latest Version

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Advisory

HUD Project Planning and Management

(PPM)

HUD Project Planning and Management (PPM) Site: Project Type Guides, Tools and Artifact Templates Latest

Versions M http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ ppm/PPMV20HOME

HUD Handbook 2225.6

HUD Records Disposition Schedules https://www.hud.gov/program_offices/administration/hudclips/ handbooks/admh/2225.6

Latest Versions

M

HUD Handbook 2228.1

Disposition Management https://www.hud.gov/program_offices/administration/hudclips/ handbooks/admh/2228.1

Latest Versions

M

HUD Project Planning and Management

(PPM)

Latest Version

M

HUD Enterprise Architecture Program http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ ea/newea

HARTS

HUD Application Release Tracking System http://intraportal.hud.gov/Harts/faces/mainMenu/allDocuments .jspx

Latest Version

M

HUD Project Planning and Management

(PPM)

HUD Enterprise Test Center (HTC) Policy http://hudatwork.hud.gov/HUD/cio/po/i/it/sd/devlife/bld/testcent er/tcpolicy_toc

Latest Version

M

12 USC Chapter 38 §3701-3717 et seq.

Multifamily Mortgage Foreclosure https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap38-sec3701

Latest Version

M

12 USC § 3706

Notice of default and foreclosure sale; condition and term of sale https://www.govinfo.gov/app/details/USCODE-2014-title12/USCODE-2014-title12-chap38-sec3706

Latest Version

M

12 USC §1701z-11 et seq.

Management and Disposition of Multifamily housing projects https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-sec1701z-11

Latest Version

M

12 USC §1715z – 11aet seq.

Mortgage modification data collecting and reporting https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-subchapII-sec1715z- 11a

Latest Version

M

24 CFR Part 5 General HUD Program Requirements; Waivers https://www.govinfo.gov/app/details/CFR-2012-title24-vol1/CFR-2012-title24-vol1-part5

Latest Version

A

24CFR Part 27

Nonjudicial Foreclosure of Multifamily and Single Family Mortgages- Subpart A https://www.govinfo.gov/app/details/CFR-2011-title24-vol1/CFR-2011-title24-vol1-part27

Latest Version

M

24 CFR 50 Subpart B

Protection and Enhancement of Environmental Quality, Subpart B- General Policy: Responsibilities and Program Coverage https://www.govinfo.gov/content/pkg/CFR-2018-title24-vol1/xml/CFR-2018-title24-vol1-part50.xml

Latest Version

A http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ppm/PPMV20HOME http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ppm/PPMV20HOME https://www.hud.gov/program_offices/administration/hudclips/handbooks/admh/2225.6 https://www.hud.gov/program_offices/administration/hudclips/handbooks/admh/2225.6 https://www.hud.gov/program_offices/administration/hudclips/handbooks/admh/2228.1 https://www.hud.gov/program_offices/administration/hudclips/handbooks/admh/2228.1 http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ea/newea http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ea/newea http://intraportal.hud.gov/Harts/faces/mainMenu/allDocuments.jspx http://intraportal.hud.gov/Harts/faces/mainMenu/allDocuments.jspx http://hudatwork.hud.gov/HUD/cio/po/i/it/sd/devlife/bld/testcenter/tcpolicy_toc http://hudatwork.hud.gov/HUD/cio/po/i/it/sd/devlife/bld/testcenter/tcpolicy_toc https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap38-sec3701 https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap38-sec3701 https://www.govinfo.gov/app/details/USCODE-2014-title12/USCODE-2014-title12-chap38-sec3706 https://www.govinfo.gov/app/details/USCODE-2014-title12/USCODE-2014-title12-chap38-sec3706 https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-sec1701z-11 https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-sec1701z-11 https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-subchapII-sec1715z-11a https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-subchapII-sec1715z-11a https://www.govinfo.gov/app/details/USCODE-2011-title12/USCODE-2011-title12-chap13-subchapII-sec1715z-11a https://www.govinfo.gov/app/details/CFR-2012-title24-vol1/CFR-2012-title24-vol1-part5 https://www.govinfo.gov/app/details/CFR-2012-title24-vol1/CFR-2012-title24-vol1-part5 https://www.govinfo.gov/app/details/CFR-2011-title24-vol1/CFR-2011-title24-vol1-part27 https://www.govinfo.gov/app/details/CFR-2011-title24-vol1/CFR-2011-title24-vol1-part27 https://www.govinfo.gov/content/pkg/CFR-2018-title24-vol1/xml/CFR-2018-title24-vol1-part50.xml https://www.govinfo.gov/content/pkg/CFR-2018-title24-vol1/xml/CFR-2018-title24-vol1-part50.xml

Advisory

24 CFR Part 200 Introduction to FHA Programs https://www.govinfo.gov/app/details/CFR-2012-title24-vol2/CFR-2012-title24-vol2-part200

Latest Version

M

24 CFR Part 290

Disposition of Multifamily Project and Sale of HUD-Held Multifamily Mortgages https://www.govinfo.gov/app/details/CFR-2010-title24-vol2/CFR-2010-title24-vol2-part290

Latest Version

M

24 CFR Part 882 Section 8 Moderate Rehabilitation Programs https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part882

Latest Version

M

24 CFR Part 886 Section 8 Housing Assistance Payments Program – Special Allocations https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part886

Latest Version

M

42 CFR Part 24 et seq.

Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-Assisted Programs https://www.govinfo.gov/app/details/CFR-2009-title49-vol1/CFR-2009-title49-vol1-part24

Latest Version

M

Records Management Handbook

Records Management Handbook http://www.archives.gov/records-mgmt/handbook.

Latest Version

M

Data Act of 2014

Data Act Digital Accountability and Transparency Act of 2014.

https://www.congress.gov/113/plaws/publ101/PLAW-

113publ101.pdf 2014 M

UCC

Article 9 of the Uniform Commercial Code https://www.law.cornell.edu/ucc/9

Latest Version

M

HUD Handbook 4350.1

Multifamily Asset Management and Project Servicing Guide https://www.hud.gov/program_offices/administration/hudclips/ handbooks/hsgh/4350.1

Latest Version

M

HUD Handbook 4315.1

Multifamily Property Disposition - Management Handbook, https://www.hud.gov/program_offices/administration/hudclips/ handbooks/hsgh/43151

Latest Version

M

HUD Handbook 4350.3

Occupancy Requirements of Subsidized Multifamily Housing

Programs, https://www.hud.gov/program_offices/administration/hudclips/ handbooks/hsgh/4350.3

Latest Version

M

Pub. L. 97-255, 31

USC §3512

Federal Managers’ Financial Integrity Act (FMFIA) https://obamawhitehouse.archives.gov/omb/financial_fmfia198

1982 M

Pub. L. 93-344, 2

USC §661

Federal Credit Reform Act of 1990 http://www.fms.treas.gov/ussgl/creditreform/fcratoc.ht

1990 M

Pub. L. 101-576, 31 USC §501 et seq.

Chief Financial Officer’s Act of 1990 http://www.fda.gov/oc/reform/cfoagmra2/cfoagmra.ht

1990 M

Pub. L. 103-62, 31

USC 1101

Government Performance and Results Act (GPRA) https://obamawhitehouse.archives.gov/omb/mgmt-gpra/gplaw2m

1993 M https://www.govinfo.gov/app/details/CFR-2012-title24-vol2/CFR-2012-title24-vol2-part200 https://www.govinfo.gov/app/details/CFR-2012-title24-vol2/CFR-2012-title24-vol2-part200 https://www.govinfo.gov/app/details/CFR-2010-title24-vol2/CFR-2010-title24-vol2-part290 https://www.govinfo.gov/app/details/CFR-2010-title24-vol2/CFR-2010-title24-vol2-part290 https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part882 https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part882 https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part886 https://www.govinfo.gov/app/details/CFR-2012-title24-vol4/CFR-2012-title24-vol4-part886 https://www.govinfo.gov/app/details/CFR-2009-title49-vol1/CFR-2009-title49-vol1-part24 https://www.govinfo.gov/app/details/CFR-2009-title49-vol1/CFR-2009-title49-vol1-part24 http://www.archives.gov/records-mgmt/handbook https://www.law.cornell.edu/ucc/9 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/4350.1 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/4350.1 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/43151 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/43151 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/4350.3 https://www.hud.gov/program_offices/administration/hudclips/handbooks/hsgh/4350.3 https://obamawhitehouse.archives.gov/omb/financial_fmfia1982 https://obamawhitehouse.archives.gov/omb/financial_fmfia1982 http://www.fms.treas.gov/ussgl/creditreform/fcratoc.ht http://www.fda.gov/oc/reform/cfoagmra2/cfoagmra.ht https://obamawhitehouse.archives.gov/omb/mgmt-gpra/gplaw2m https://obamawhitehouse.archives.gov/omb/mgmt-gpra/gplaw2m

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USC 3301

Federal Financial Management Act of 1994 https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/fin ancial/ffs_ffmia.html

1994 M

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1.3.1 Physical and Environmental Protection Security Controls

The Contractor shall implement the Physical and Environmental Protection security controls for a Moderate Control Baseline found in National Institute of Standards and Technology Special

Publication SP-800-53, Security and Privacy Controls for Federal Information Systems and

Organizations. Additional information may be found at the following link:

http://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r4.pdf

1.3.2 FHA Subsidiary Ledgers Posting Models

All accounting transactions shall be recorded in accordance with the latest updated HUD

General Ledger Posting Models.

1.3.3 System Requirements

The Contractor’s servicing system shall interface with the following integrated information management systems in production on ORACLE, Legacy or SYBASE infrastructure or platforms:

Collections Information Repository (CIR) Interface – A database that provides users with an easy method of reconciling the daily deposit tickets and miscellaneous debit vouchers. Lockbox servicers enter returned checks and rental receipts into the CIR database.

Electronic Line of Credit Control System (ELOCCS) - A web-enabled module in

LOCCS, which allows authorized Contract Administrators (CA), or representatives, to access the Line of Credit Control System (LOCCS).

Federal Financing Bank (FFB) Loan Information System - Used to obtain amortization schedule, loan history and interest on borrowing transactions

FHA Subsidiary Ledger Interface (FHASL) – HUD’s financial system that supports all

FHA mortgage insurance programs. The system interfaces with several other independent systems that support HUD programs. Included within FHASL are General https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/financial/ffs_ffmia.html https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/financial/ffs_ffmia.html http://www.whitehouse.gov/omb/financial/fm_systems.

Ledger Transactions, Cash Transactions, Commitments & Obligations, Daily Activities, and Transmission of financial data.

File Transfer Repository (FTR) - HUD's financial systems server.

Financial Data Mart - HUD’s system which contains information on all contracts that are tracked within the CFO’s accounting systems. Property management requirements are submitted to the Data Mart. The information relates to certain property management contracts that are tracked in HUD's Acquisition Management System by the CFO.

HUD Automated Release Tracking System (HARTS) - Used to initiate and track testing of new hardware/software.

Integrated Real Estate Management System (iREMS) - An internal HUD system for managing multifamily projects. It is a single source of project level data and activity. Data is sent daily and includes, at a minimum, unpaid principal balance, last date of payment, and status.

Internal Revenue Service (IRS) Interface – An IRS system used to transfer data based on 1099 reporting.

Line of Credit Control System (LOCCS) - An on-line multi-user disbursement and cash management system.

Minority Bank Online Systems – Interfaces used by 7 minority banks affiliated with the

Minority Bank Program to exchange financial information.

Multifamily Warehouse Interface - HUD’s Multifamily Housing Data Warehouse is a single source of analytic data. The Warehouse contains project life cycle data pertinent to project operations that is retrieved monthly from source systems and stored in a database. Each month new data is loaded leaving the prior month's data accessible.

Online Property Integrated Information Suite (OPIIS) Data Mart Interface - OPIIS is

HUD’s single source of analytic data. OPIIS contains project life cycle data pertinent to project operations that is retrieved bi-weekly from source systems and is stored in a data mart.

Pay.gov – Treasury’s collection system used by customers for payment of mortgage billing statements. The system has the capability to upload to and from Treasury.

Revenue Management System – A module located within FHASL that houses all information for insured notes.

Tenant Rental Assistance Certification System (TRACS) - Tracks tenant data requirements and contains computer-generated file copies of tenant and owner certifications.

1.3.4 Document Storage Requirements

Loan servicing documents and correspondence must be stored in a facility which meets National

Archives and Records Administration (NARA) storage facility requirements and be certified by

NARA to store Government records. Refer to §1234 Facility Standards for Records Storage

Facilities - §1234.10-14 Facility Standards §1234.30-34 Facility Approval and Inspection

Requirements.

1.3.5 Hosting Platform

The Contractor’s servicing system shall be approved by the Federal Risk& Authorization

Management Program (FEDRAMP) and Govcloud.

1.4 Description of Services

The Contractor shall perform all notes servicing tasks for all HUD-Held notes, accounting for the property disposition portfolio, and all accounting functions required to service the entire Multifamily and Healthcare HUD-Held Portfolio. Tasks shall include the following:

New Note Set-up and Take-Down Note Servicing Risk Share Direct Loan Program (Module Setup) Property Disposition Portfolio Services Document Retention and Storage Accounting Services Audit and Internal Controls Support

Detailed descriptions of all tasks are provided in Section 5 - Specific Tasks and Deliverables.

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

See Section II – Continuation of Block 20 of SF 1449, Period of Performance.

1.7 Place of Performance

The work shall be performed at the Contractor’s facility.

1.8 Hours of Operation

The Contractor shall provide services between the hours of 7:00am and 9:00pm EST, Monday thru Friday except 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. Government agencies will not be available during scheduled holidays inclement weather, weekends, after duty hours.

The Contractor shall 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 / Kickoff 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 and the Contracting Officer’s Representative (COR) may meet periodically with the Contractor to review Contractor performance, requirement status, and any other issues identified by the Government. At these meetings, the Contracting Officer may 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 at the Contracting Officer’s discretion.

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 HUDAR 2452.251-70, the Federal Travel Regulation, and 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

The Contractor shall furnish Transition-In services. As a successor, the Contractor shall have sufficient personnel on board during the180-day 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 a program is minimized. During the transition-in period, the Contractor shall become familiar with the requirements in order to commence full performance of services by the end of the contract transition-in period.

Transition-In is not required if the successor Contractor is the incumbent Contractor.

1.14 Transition Out

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 180-day transition-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.

2 Definitions and Acronyms

2.1 Definitions

Annual Financial Statements (AFS) - Filed electronically by the owner with REAC in the FASS system. The annual payment amount on M2M and DEMO notes are derived from AFS data.

Authority to Operate (ATO) - Security assessment and validation that is performed in conjunction with HUD’s OCIO that reviews and analyzes system controls of any Contractor doing business with…