PWS.docx

Performance Work Statement (PWS) On-line OGE-450 Financial Disclosure Filing 3/21/2017 Version 1.0

Performance Work Statement (PWS) On-line OGE-450 Financial Disclosure Filing Vision Statement

Provide a web based service application for electronic filing, tracking, and reviewing of the 450 financial disclosure form for all HUD staff required to file this form.

1 General Information

1.1 Introduction

The U.S. Department of Housing and Urban Development (HUD) / Office of General Counsel is seeking a contractor to provide and maintain a web accessible electronic OGE-450 federal financial filing system.

1.2 Background

HUD's mission is to increase homeownership, support community development and increase access to affordable housing free from discrimination. The Office of General Counsel (OGC) serves as the Chief Legal Office of HUD and provides legal advice to the Secretary and other principal staff within the Department. It is the responsibility of OGC to provide legal advice, and services with respect to all HUD programs and activities; to provide counsel and assistance in the development and administration of the Department's programs and policies; and to pursue enforcement of HUD program requirements. In addition, OGC has responsibility for the development of HUD program regulations and assists in the development of HUD programs and policies. One of OGC's functions is to certify the Confidential and Public Financial Disclosure Reports filed by certain employees. It is part of OGC's function to ensure that there are no conflicts of interest.

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:

· 44 USC 3541 et seq. Federal Information Security Management Act http://csrc.nist.gov/drivers/documents/FISMA-final.pdf

· 44 USC 3601 et seq. E-Government Act of 2002 https://www.gpo.gov/fdsys/pkg/PLAW-107publ347/pdf/PLAW-107publ347.pdf

· Pub. L. 105-277, 44 USC 3504 Government Paperwork Elimination Act http://www.whitehouse.gov/omb/fedreg/gpea2.html

· Pub. L. 105-220, 29 USC 701 et seq. Section 508 of the Rehabilitation Act of 1998 https://www.section508.gov/section-508-of-the-rehabilitation-act

· OMB Circular A-130 Management of Federal Information Resources http://www.whitehouse.gov/omb/circulars/index.html

· OMB Circular A-130 "Security of Federal Automated Information Resources" (Appendix III) (see also 34 FR 6428) http://www.whitehouse.gov/omb/circulars/index.html

· OMB Memorandum 99-20 "Security of Federal Automated Information Resources" http://www.whitehouse.gov/omb/memoranda/index.html

· OMB Memorandum 06-15 "Safeguarding Personally Identifiable Information http://www.whitehouse.gov/omb/memoranda/index.html

· OMB Memorandum 06-16 "Protection of Sensitive Agency Information http://www.whitehouse.gov/omb/memoranda/index.html

· OMB Memorandum 06-19 "Reporting Incidents Involving PII http://www.whitehouse.gov/omb/memoranda/index.html

· HSPD-12 "Policy for a Common Identification Standard for Federal Employees and Contractors, Homeland Security Presidential Directive-12 https://www.dhs.gov/homeland-security-presidential-directive-12

· NIST Special Publication 800-292 "NIST Cloud Computing Reference Architecture (SP 500-292) http://ws680.nist.gov/publication/get_pdf.cfm?pub_id=909505

· NIST Special Publication 800-34 "Contingency Planning Guide for Federal Information Systems (SP 800-34 Revision 1) http://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-34r1.pdf

1.4 Description of Services

HUD needs an end-to-end, paperless solution for the annual filing of the official OGE-450 financial disclosure form. The solution must secure and protect all privacy data in accordance with federal regulations while fully supporting the filing, review and certification of the financial disclosure forms in accordance with federal regulations.

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 12 months and four 12-month option periods.

1.7 Place of Performance

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

1.8 Hours of Operation

NA

1.10 Post Award/Kickoff Conference

The Contractor shall attend any post award conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award Conference with the Contractor within ten business days after contract award. The Contracting Officer will notify the Contractor of the specific date, location, and agenda within 10 business days after contract award.

1.11 Status Meetings

The Contracting Officer, Government Technical Representative (GTR) 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

No Contractor travel is anticipated during the performance of this contract.

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 60-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, such that full control by the successor Contractor is achieved by the end of the new contract Transition-In period.

The incumbent Contractor shall provide an extract of HUD's data to the Government in compliance with HUD Acquisition Regulation 2452.227-70. After HUD confirms a successful transfer of HUD's data, the Contractor shall delete all of HUD's data from their system. The Contractor shall provide written confirmation that all HUD data has been deleted from their system to the Contracting Office no later than 30 business days after HUD confirms a successful transfer of HUD's data.

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 OGC - Office of General Counsel OGE - Office of Government Ethics 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 There is no government-furnished property (GFP) under this contract.

3.1 Government Services

No Government services will be provided.

3.2 Facilities

No facilities will be provided by the Government.

3.3 Equipment

No equipment will be provided by the Government.

3.4 Materials

No materials will be provided by the Government.

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 the web-based cloud solution that is securely accessible to authorized HUD users over the Internet. The contractor is responsible for ensuring the cloud solution is maintained in FedRAMP certified facilities.

4.2 Equipment

The contractor shall furnish all equipment required to provide a web-based cloud solution that is securely accessible to authorized HUD users over the Internet.

4.3 Material

The contractor shall furnish all materials required to provide a web-based cloud solution that is securely accessible to authorized HUD users over the Internet.

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 GTR.

4.5 Contractor Personnel

The Contractor shall provide a Contract/Project Manager who shall be responsible for the performance of work. An alternate shall also be designated to act in the absence of the Contract/Project Manager. These Contractor personnel (main point of contact and alternate point of contact) are considered Key Personnel by the Government and shall be listed as such in accordance with HUDAR 2452.237-70, "Key Personnel." The Contract/Project Manager and alternate shall have full authority to act on all contract matters relating to daily operations of this contract. Accordingly, at a minimum, the points of contact shall have the technical knowledge of the requirement and be in the position to 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 work space 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 Provide web accessible electronic OGE-450 form filing system for HUD filers.

The Contractor shall provide a web-accessible electronic filing system for HUD staff required to file the OGE-450 financial disclosure form.

Performance Standards

a) Standard: The electronic filing system will be available to HUD filers between the hours of 7:00am and 8:00pm Eastern Time, Monday through Friday except on Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closing, or similar Government directed facility closings.

AQL: 98% of the time Deliverables A004 Electronic OGE-450 Filing Application

5.1.1 The Contractor shall host the application on a FedRAMP certified cloud.

The Contractor shall host and maintain a scalable electronic form OGE-450 filing application for use by approximately 2,800 specified HUD staff in completing their required federal financial disclosure obligations. This application shall be maintained in a FedRAMP certified Cloud environment that protects the confidentiality of HUD's financial filing data. This includes compliance with the Privacy Act and other regulations before releasing any personal information that is on the system.

Performance Standards

a) Standard: Application hosted on FedRAMP Certified Cloud AQL: Certification achieved/maintained no later than October of each filing season.

Deliverables A001 FedRAMP Certification Statement

5.1.2 The Contractor shall comply with the established federal records retention schedule for OGE-450 financial disclosure filings.

The application shall maintain individual users' prior year filing data in accordance with the federal records retention schedule for these filings. This is currently six-years worth of data.

Performance Standards

a) Standard: Available prior years' filings comply with established federal records retention schedules AQL: No deviation Deliverables A002 Maintain accessible prior years' filings

5.1.3 The Contractor shall provide HUD filer, reviewer and application administrator accounts.

Access to the system shall require each user to have a separate User Account and a password that complies with the National Instituted of Science and Technology (NIST) requirements for securing federal IT systems. Application access will be role based, providing for individual filing submissions and elevated access for designated filing reviewers.

The contractor shall provide up to five Application Administrator accounts to individuals designated by HUD. Application Administrators shall be able to create or disable accounts, and add or remove the role of reviewer. At HUD's request, the contractor shall create or disable accounts, or add or remove the role of reviewer. Application Administrators shall be able to modify the text of automated notifications to HUD users.

Performance Standards

a) Standard: Accounts are created by the contractor within two business days of request AQL: 95% of the time Deliverables A003 Application Accounts

5.1.4 The Contractor shall provide functionality that facilitates the efficient filing and certification of OGE-450 forms relevant for each year's fling season.

The application shall include

· A table of publicly traded stocks and mutual funds linked to Yahoo Finance to aid conflicts review.

· A list of prohibited holdings to flag potential conflicts.

· The ability to compare filer's forms from prior years to aid conflicts review by accessing the PDF version of any prior year forms for that filer that have been entered into the system by HUD or its filers.

· The ability for specified HUD Ethics Officials to electronically review and sign completed forms.

· Dashboards to provide status of filings, so workload can be balanced between reviewers using that data.

· The ability for filers to electronically sign then route the form to the appropriate legal office for review.

· The ability to save or print each filing as a PDF file.

· The ability to send automated notifications to HUD users, such as when a new filing is due, has been successfully submitted or has been certified.

· The ability for specified application administrators to configure wording of automated notifications.

· Guidance for ethics policy questions by incorporating the instructions to filers from OGE forms and making the information available to filers.

· Annual updates to the filing form whenever the Office of Government Ethics updates the 450 Form.

All of this is done in the electronic system. No forms need to be mailed, filed, or otherwise physically handled.

Performance Standards

a) Standard: Demonstrates efficiencies in filing and reviewing AQL: 95% of the time

b) Standard: No substantive or repeated flaws AQL: 98% of the time

c) Standard: Accurate filing information is maintained and reflects the data entered by the filer or reviewer AQL: No Deviation

d) Standard: Reports are accurate AQL: 98% of the time Deliverables A004 Electronic OGE-450 Filing Application

5.2 Provide Project Management for duration of the contract.

The Contractor shall provide Project Management and oversight for the electronic filing application for the duration of the contract. The Project Management will ensure all deliverables meet the standards and acceptable quality levels (AQLs) established in this performance work statement. The Contractor shall meet quarterly, in person or via conference call, with the HUD Application Administrators to review application performance and requirements.

Performance Standards

a) Standard: Kickoff Meeting held no later than 10 business days of award of contract.

AQL: No deviation allowed

b) Standard: Quarterly Review Meetings held no later than 10 business days after the end of the quarter AQL: 98% of the time Deliverables A006 Kickoff Meeting A007 Quarterly Project Meetings

5.3 Provide annual training for HUD filers and reviewers.

The Contractor shall provide annual training for all HUD administrators, filers and reviewers with authorized HUD accounts. The training shall be provided either in-person or remotely via Web-accessible, on-line delivery. In-person training will be delivered at the HUD headquarters building at 451 7th Street, Southwest in Washington, DC.

The Contractor shall provide the following training sessions during each annual contract performance period:

· Minimum of 2 administrator sessions

· Minimum of 3 reviewer sessions, and

· Minimum of 6 filer sessions.

The Contractor shall deliver a training plan that includes an outline of training content and proposed session dates and times for all annual training no later than 45 business days after award of the contract performance period. The HUD PM shall approve or disapprove the plan no later than 10 business days after receipt of the plan. If the HUD PM disapproves the plan, the Contractor shall work the HUD PM to resolve any issues and resubmit a revised plan within 15 business days of receipt of the disapproval.

If the HUD PM does not respond within 10 business days of receipt of the training plan, the training plan will be considered approved.

Performance Standards

a) Standard: Provide annual training plan to HUD Project Manager no later than 45 business days after contract award.

AQL: No deviation.

b) Standard: The annual training plan must include a separate outline of training content for each of the three types of training: administrator, reviewer, and filer.

AQL: No deviation.

c) Standard: Deliver at least two (2) administrator, three (3) reviewer, and six (6) filer training sessions.

AQL: No deviation.

d) Standard: Training session delivery method, dates and times are approved by the HUD Project Manager.

AQL: No deviation.

Deliverables A008 Training Plan A009 Training Session for Administrators A010 Training Session for Reviewers A011 Training Session for Filers

5.4 Provide an extract of all HUD data upon HUD's request.

At HUD's request, the Contractor shall provide an extract of all HUD's data in xml or other format approved by HUD on an encrypted drive. Any such provision of data will be in compliance with HUD Acquisition Regulation 2452.227-70.

Performance Standards

a) Standard: Complete extract of all data AQL: No deviation

b) Standard: XML format AQL: No deviation unless HUD agrees to alternate machine readable format proposed by the contractor

c) Standard: Within two calendar weeks of receiving the request AQL: 95% of the time Deliverables A005 Extract of HUD Data

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.

6.1 Quality Control Plan

The Contractor's QCP shall be delivered to the GTR 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 GTR within 10 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 no later than five business days after the acceptable time period listed in the performance requirements summary. The Government will notify the contractor of acceptance or rejection within five business days of receipt. Deliverables shall be considered accepted after five business days unless otherwise notified by the Government. Acceptance criteria for each deliverable is listed in the performance requirements summary.

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.

Performance Requirement Summary (PRS)

AQL: 98% of the time

If there are no factors beyond the Contractors control that have caused a failure to meet this standard, the Contractor shall add sufficient resources, at no additional cost to the government, to remedy this failure.

AQL: Certification achieved/maintained no later than October of each filing season.

AQL: No deviation

AQL: 95% of the time

AQL: 95% of the time

b) No substantive or repeated flaws AQL: 98% of the time

c) Accurate filing information is maintained and reflects the data entered by the filer or reviewer AQL: No Deviation

d) Reports are accurate

AQL: No deviation allowed

b) Quarterly Review Meetings held no later than 10 business days after the end of the quarter

AQL: No deviation.

b) The annual training plan must include a separate outline of training content for each of the three types of training: administrator, reviewer, and filer.

AQL: No deviation.

c) Deliver at least two (2) administrator, three (3) reviewer, and six (6) filer training sessions.

AQL: No deviation.

d) Training session delivery method, dates and times are approved by the HUD Project Manager.

AQL: No deviation.

AQL: No deviation

b) XML format AQL: No deviation unless HUD agrees to alternate machine readable format proposed by the contractor

c) Within two calendar weeks of receiving the request AQL: 95% of the time