QASP Attachment 1.doc

Quality Assurance Surveillance Plan (QASP)

Reverse Mortgage Loan Servicing Requirement

07/02/2020 31 Vision

1 INTRODUCTION

1.1 Purpose

1.2 Performance Management Approach

1.3 Performance Management Strategy

2 ROLES AND RESPONSIBILITIES

2.1 The Contracting Officer

2.2 The Government Technical Representative

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

4 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 Surveillance Techniques

4.2 Customer Feedback

4.3 Acceptable Quality Levels

5.1 The Performance Management Feedback Loop

5.2 Monitoring Forms

6.1 Determining Performance

6.2 Reporting

6.3 Reviews and Resolution

6.4 Surveillance Matrix

Appendix 1 - Surveillance Matrix Appendix 2 - Corrective Action Report (CAR) Appendix 3 - Customer Complaint Record Appendix 4 - Performance Assessment Report (PAR)

Vision

To provide professional loan servicing for HUD’s nationwide Home Equity Conversion Mortgage (HECM) loan portfolio.

1 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) entitled Reverse Mortgage Servicing. This plan sets forth the procedures and guidelines HUD National Servicing Center will use in ensuring the required performance standards or service levels are achieved by the Contractor.

1.1 Purpose

1.1.1 The purpose of the QASP is to describe the systematic methods used to monitor performance and to identify the required documentation and the resources to be employed. The QASP provides a means for evaluating whether the Contractor is meeting the performance standards/quality levels identified in the PWS and the Contractor's Quality Control Plan (QCP), and to ensure that the Government pays only for the level of services received.

1.1.2 This QASP defines the roles and responsibilities of all members of the Integrated Project Team (IPT), identifies the performance objectives, defines the methodologies used to monitor and evaluate the Contractor's performance, describes quality assurance documentation requirements, and describes the analysis of quality assurance monitoring results.

1.2 Performance Management Approach

1.2.1 The PWS structures the acquisition around "what service or quality level is required", as opposed to "how the Contractor should perform the work" (i.e., results, not compliance). This QASP will define the performance management approach taken by HUD National Servicing Center to monitor and manage the Contractor's performance to ensure the expected outcomes or performance objectives communicated in the PWS are achieved. Performance management rests on developing a capability to review and analyze information generated through performance assessment. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management; this analysis yields information that indicates whether expected outcomes for the project are being achieved by the Contractor.

1.2.2 Performance management represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved and to what extent. This approach migrates away from scrutiny of compliance with the processes and practices used to achieve the outcome. A performance-based approach enables the Contractor to play a large role in how the work is performed, as long as the proposed processes are within the stated constraints. The only exceptions to process reviews are those required by law (federal, state, and local) and compelling business situations, such as safety and health. A "results focus" provides the Contractor flexibility to continuously improve and innovate over the course of the contract as long as the critical outcomes expected are being achieved and/or the desired performance levels are being met.

1.3 Performance Management Strategy

1.3.1 The Contractor is responsible for the quality of all work performed. The Contractor measures that quality through the Contractor's own Quality Control (QC) program. QC is work output, not workers, and therefore includes all work performed under this contract regardless of whether the work is performed by Contractor employees or by subcontractors. The Contractor's QCP will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The Contractor will develop and implement a performance management system with processes to assess and report its performance to the designated government representative. This QASP enables the Government to take advantage of the Contractor's QC program.

1.3.2 The Government representative(s) will monitor performance and review performance reports furnished by the Contractor to determine how the Contractor is performing against communicated performance objectives. The Contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2 ROLES AND RESPONSIBILITIES

The following personnel shall oversee and coordinate surveillance activities.

2.1 The Contracting Officer

The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration, and cost control and for resolving any differences between the observations documented by the Government Technical Representative (COR) and the Contractor. The CO will designate one full-time COR as the government authority for performance management. The number of additional representatives serving as technical inspectors depends on the complexity of the services measured, as well as the Contractor's performance, and must be identified and designated by the CO.

2.2 The Contracting Officer’s Representative

The COR is designated in writing by the CO to act as his or her authorized representative to assist in administering a contract. COR limitations are contained in the written appointment letter. The COR is responsible for technical administration of the project and ensures proper government surveillance of the Contractor's performance. The COR is not empowered to make any contractual commitments or to authorize any contractual changes on the Government's behalf. Any changes that the Contractor deems may affect contract price, terms, or conditions, shall be referred to the CO for action. The COR will have the responsibility for completing QA monitoring forms used to document the inspection and evaluation of the Contractor's work performance. Government surveillance may occur under the inspection of services clause for any service relating to the contract.

3 IDENTIFICATION OF REQUIRED PERFORMANCE STANDARDS/QUALITY LEVELS

The required performance standards and/or quality levels are included in the PWS and in Appendix 1, "Surveillance Matrix". If the Contractor meets the required service or performance level, it will be paid the monthly amount agreed on in the contract.

4 METHODOLOGIES TO MONITOR PERFORMANCE

HUD will develop a quality assurance plan to be used to provide contract oversight. The plan will include various methods of assessing performance, including 100% review of some documents and partial sampling of others. HUD also performs on-site, or desk reviews based upon the risk category assigned to the Contractor. Quarterly on-site desk reviews will be conducted. However, HUD reserves the right to perform an on-site review at any time on any performance requirement in the contract without notice.

4.1 Surveillance Techniques

In an effort to minimize the performance management burden, simplified surveillance methods shall be used by the Government to evaluate Contractor performance when appropriate. The primary methods of surveillance are:

· 100% Inspection - Each month, the COR, shall review the generated documentation and enter summary results into the Surveillance Activity Checklist.

4.2 Customer Feedback

The Contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of this communication is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints.

Performance management drives the Contractor to be customer focused through initially and internally addressing customer complaints and investigating the issues and/or problems. The customer always has the option to communicate complaints to the CO and/or COR, as opposed to the Contractor.

Customer complaints, to be considered valid, must set forth clearly and in writing the detailed nature of the complaint, must be signed, and must be forwarded to the COR.

Customer feedback may also be obtained either from the results of formal customer satisfaction surveys or from random customer complaints.

4.3 Acceptable Quality Levels

The Acceptable Quality Levels (AQLs) included in Appendix 1, "Surveillance Matrix", for Contractor performance are structured to allow the Contractor to manage how the work is performed.

Certain critical activities have a desired performance level established at 100 percent:

· Disbursements

· Servicing File Date Stamp/Imaging

· Routine Correspondence Response

· Misdirected Payments

· Property Charge Monitoring

· Insurance Monitoring

· HOA Monitoring

· Repayment Plans

· HUD Security Interest Lost

· Death Notice Monitoring

· Due and Payable Servicing

· Foreclosure

· Short Sales

· Deed In Lieu of Foreclosure

· Conveyance

· Title Review Post Foreclosure or Deed in Lieu

· Reporting

· Bankruptcy Monitoring

· Proof of Claims

· Notification of Non-sufficient Funds

· Payoff Request Processing

· Cash Reconciliation

· Release Processing

· Response Time

· Governmental Inquiries

· Phase One Deliverables

· Phase Two Deliverables Other levels of performance are keyed to the relative importance of the task to the overall mission performance.

5.1 The Performance Management Feedback Loop

The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS and are assessed using the performance monitoring techniques shown in Appendix 1.

5.2 Monitoring Forms

The Government's QA surveillance, accomplished by the COR, may be reported using the following monitoring forms: Appendix 2 - "Corrective Action Report (CAR)", Appendix 3 - "Customer Complaint Record", and Appendix 4 "Performance Assessment Report" (PAR). The forms, when completed, will document the Government's assessment of the Contractor's performance under the contract to ensure that the required results are being achieved. The COR will retain a copy of all completed QA surveillance forms.

6.1 Determining Performance

The Government will use the monitoring methods cited to determine whether the performance standards/service levels/AQLs have been met. If the Contractor has not met the minimum requirements, it may be asked to develop a corrective action plan to show how and by what date it intends to bring performance up to the required levels.

6.2 Reporting

At the end of each quarter, the COR will prepare a written report for the Contracting Officer, summarizing the overall results of the quality assurance surveillance of the Contractor's performance. This written report, which includes the Contractor's submitted monthly report and the completed quality assurance monitoring forms, will become part of the QA documentation. It will enable the Government to demonstrate whether the Contractor is meeting the stated objectives and/or performance standards, including cost/technical/scheduling objectives.

6.3 Reviews and Resolution

6.3.1 The COR may require the Contractor's project manager, or a designated alternate, to meet with the CO, PM and/or other Government IPT personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the Contractor, including appropriate self-assessments by the Contractor; however, if the need arises, the Contractor will meet with the COR as often as required or per the Contractor's request. The agenda of the reviews may include:

· Monthly performance assessment data and trend analysis,

· Issues and concerns of both parties,

· Projected outlook for upcoming months and progress against expected trends, including a corrective action plan analysis,

· Recommendations for improved efficiency and/or effectiveness,

6.3.2 The CO and COR must coordinate and communicate with the Contractor to resolve issues and concerns regarding marginal or unacceptable performance.

6.3.3 The COR and Contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics will be incorporated as a contract modification at the discretion of the CO.

6.4 Surveillance Matrix

The Surveillance Matrix (Appendix 1) is the list of performance objectives and standards that must be performed by the Contractor. This matrix details the method of surveillance the COR will use to validate and inspect these performance elements. Inspection of each element will be documented in the COR file.

Performance objectives define the desired outcomes. Performance standards define the level of service required under the contract to successfully meet the performance objective. The inspection methodology defines how, when, and what will be assessed in measuring performance. The Government performs surveillance, using this QASP, to determine the quality of the Contractor's performance as it relates to the performance element standards. The PRS should be used to form the foundation of the COR's inspection checklist.

In evaluating the quality of contractor’s performance, the following performance ratings may be used.

Performance

Rating Criteria

Appendix 1 - Surveillance Matrix

5.1.1 Phase One

a) notify the CO and COR upon establishment of its physical infrastructure.

AQL: Zero Deviation

b) certify to CO and COR that all staff has received instruction in system security issues, are familiar with the contents of the current version of HUD Handbook 2400.24 Rev. 2, Information Security Program, and have completed the HUD's Computer Based Training program or Rules of Behaviors.

AQL: Zero Deviation

c) provide a copy of the Limited Powers of Attorney to CO and COR.

AQL: Zero Deviation

d) deliver Quality Control Plan to CO and COR.

AQL: Zero Deviation

e) deliver management work plan to CO and COR.

AQL: Zero Deviation

f) deliver continuity of operations plan to CO and COR.

AQL: Zero Deviation

g) deliver customer relations/servicing guide to CO and COR.

AQL: Zero Deviation

h) shall submit zero-balance account information to the CO and COR.

AQL: Zero Deviation

i) deliver Loan Servicing Guide to CO and COR.

AQL: Zero Deviation

j) notification of phase one completion to CO and COR.

AQL: Zero Deviation What: Deliverables How: Visually

Frequency: Once Who: Co and COR Standard(s): Inspection applies to all standards

5.1.2 Phase Two

a) begin performing all contract servicing requirements.

AQL: Zero Deviation

b) commence file transfer and file reconciliation.

AQL: Zero Deviation

c) complete file transfer and deliver file inventory/reconciliation to CO and COR.

AQL: Zero Deviation

d) send a Welcome Letter to all mortgagors.

AQL: Zero Deviation

e) Notification to CO and COR of full servicing capacity.

AQL: Zero Deviation

What: Deliverables How: Visually

Frequency: Once Who: Co and COR

5.2.1 Disbursements

a) Pay scheduled HECM payments by the first (1) business day of a month or unscheduled payments and HUD Advance requests not later than five (5) business days of receipt of a LOC request in accordance with HUD guidelines.

What: Deliverables/System of Record How: Visual Inspection

Frequency: Continuous

Who: Monitoring Team

5.2.2 Servicing Files

a) date stamp all correspondence upon receipt, image into the servicing system of record and attach at loan level within 10 business days of receipt.

b) Standard: all request for funds from a borrower must be imaged within five (5) business days of receipt.

What: System of Record How: Visual

Frequency: Continuous

5.2.4 Routine Correspondence

a) responses to the COR on routine correspondence not later than five (5) business days, or sooner if urgent inquiries require a faster turnaround, including one (1) business day.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: Continuous

5.2.6 Misdirected Payments

a) Payment forwarded by Contractor within 24 hours of receipt.

AQL: Zero Deviation.

What: Servicing System of Record/Notifications How: Visually

Frequency: Randomly

5.3.1 Assignment Requests

a) review assignment request and issue a response letter to the servicing lender within fifteen (15) business days of receipt of the complete packages.

AQL: 98%

b) issue Preliminary Title Approval letter within two (2) business days of determination, but in no case, shall the process be greater than fifteen (15) business days from receipt of the complete packages.

AQL: 98%

c) issue a denial letter to the servicer within two (2) business days of determination if the package is incomplete or there are title defects.

AQL: 98%

d) the preliminary title approval letter or denial letter shall be issued to the servicer within fifteen (15) business days of the loan balance reaching 98 percent of the maximum claim amount.

AQL: 98%

e) If an assignment request is placed into a pending status due to the loan balance having not yet reached 98 percent of the maximum claim amount, the preliminary title approval letter or denial letter shall be issued to the servicer within fifteen (15) business days of the loan balance reaching 98 percent of the maximum claim amount.

AQL: 98%

What: Loan Servicing System of Record

How: Visually

Frequency: Continuous

5.3.2 Routine Lender Requests

a) review lender request and provide recommendation to COR for approval/denial not later than five (5) business days from receipt of complete package.

AQL: 98%

What: Loan Servicing System of Record

Frequency: Continuous

5.3.3 Partial Releases

a) The Contractor shall review partial releases and provide recommendation to COR for approval/denial not later than five (5) business days from receipt of complete package.

AQL: 98%

What: Loan Servicing System of Record

How: Visually

Frequency: Continuous

5.4.1 Annual Occupancy Certification

a) send Annual Certification Letters to mortgagors or approved NBS, if applicable at least thirty (30) calendar days prior to the anniversary of the occupancy certification due date. If the mortgagor or approved NBS does not respond no later than thirty (30) calendar days from the date of the initial letter, the Contractor shall send a follow up Certification Letter marked "Second Request."

AQL: 98%

b) attempt to contact the borrower within two (2) business days. If unsuccessful, the Contractor shall have two (2) business days to order an occupancy inspection. HUD approval is not needed to order the inspection.

AQL: 98%

What: Loan Servicing System of Record

How: Visually

Frequency: Continuous

5.4.2.1 Property Charges

a) monitor property charges on the Assigned HECM portfolio and determine when property charges are current, have not been paid or are delinquent.

AQL: Zero Deviation.

b) where property charges are delinquent, the contractor shall generate and send the borrow a delinquency letter within thirty (30) days of the delinquency date.

What: Loan Servicing System of Record

Frequency: Continuous

5.4.2.2 Insurance

a) Standard: monitor insurance on the Assigned HECM portfolio and determine if insurance is current and follows FHA guidelines.

AQL: Zero Deviation.

b) where the insurance is not current or does not meet FHA guidelines, the contractor shall generate and send the borrower a delinquency letter within five (5) business days of expiration or cancellation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

5.4.2.3 Property Charges – Available Funds

a) make all property charge payments prior to the penalty date and shall pay by an earlier discount date if such option exists.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: Continuous

5.4.2.4 Property Charges – Insufficient Funds

a) notify the borrower in writing no later than 90 days prior to the date the property charge is due that the borrower has insufficient funds available for the Contractor to pay the property charge and that the borrower must pay the charge themselves.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

5.4.2.5 Property Charges – Due and Payable

a) call the loan due and payable and pay the property charge within 30 calendar days of the penalty date where the borrower has failed to make payment.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

5.4.2.6 Repayment Plan

a) contact the borrower within 30 days of the loan being called due and payable to attempt to engage the borrower in a repayment plan. The contractor shall review the repayment plan documentation, issue an approval/disapproval to the borrower by mail, and note the system of record within five (5) business days of receipt.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

5.4.2.7 HOA Monitoring

a) monitor HOA dues monthly on properties located in super-lien states.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: Continuous

5.4.2.8 HUD Security Interest Lost

a) reimburse HUD the loan balance within 30 days of notice of the sale or notification of interest lost, whichever comes first.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: Continuous

5.4.2.9 Death Notice Monitoring

a) monitor death notices on a monthly basis.

AQL: Zero Deviation.

b) Upon notice of death of a borrower, the contractor shall update the Contacts information in the servicing system of record with the date of death within two (2) business days of notice.

What: Servicing System of Record

How: Visually

Frequency: Continuous

AQL: Zero Deviation.

b) order occupancy inspection within two (2) business days of failed attempts to contact borrower.

What: Loan Servicing System of Record

Frequency: Continuous

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: Continuous

AQL: Zero Deviation.

b) recommend foreclosure to HUD within five (5) business days of repayment letter expiration (if no request to sell or execute a deed-in-lieu was received).

AQL: Zero Deviation.

c) mail Notice of Intent (NOI) to Foreclose letter to borrower/estate within five (5) business days from receipt of foreclosure approval from HUD.

AQL: Zero Deviation.

d) refer to Foreclosure within forty-five (45) business days from the date of the NOI if no attempt to cure is made.

What: Loan Servicing System of Record

Frequency: Continuous

AQL: Zero Deviation.

b) If marketing attempts are unsuccessful after six (6) months and no extension has been granted, the Contractor shall recommend to the COR for foreclosure within five (5) business days.

What: Loan Servicing System of Record

Frequency: After completion of each inventory

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

status that are not in custodial care.

AQL: Zero Deviation.

b) occupied inspections shall be noted in HERMIT with the inspection results not later than five (5) business days from receipt of inspection.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

Who: Monitoring Team CO and COR

AQL: Zero Deviation.

b) notify COR by email within two (2) business days of additional unsuccessful attempts to obtain access to the property.

AQL: Zero Deviation.

What: Loan Servicing System of Record How: Visually

Frequency: After completion of each inventory

5.4.3.1 Foreclosure Packages

a) prepare and submit NJF packages to the NJF Commissioner in accordance with Housing Notices 2020-4 and 2020-19 within forty-five (45) days from the date of the NOI.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.4.3.3 Short Sales

a) submit complete short sale packages to the COR or designee not later than five (5) business days from determining eligibility or notification from the COR or designee.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.4.4 Deed In Lieu of Foreclosure (DIL)

a) refer the Deed in Lieu of Foreclosure requests to an attorney within 5 business days of receipt of Letter of Intent.

AQL: Zero Deviation

b) Complete Deed in Lieu of Foreclosure requests no later than ninety (90) calendar days from receipt of Letter of Intent.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.4.5 Title Review Post Foreclosure or Deed in Lieu

a) review the title work received from the foreclosure attorney within ten (10) business days of receipt of package after foreclosure, or deed-in-lieu of foreclosure and advise COR of any title defects found.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.4.6 Conveyance

a) prepare conveyance packages and process for conveyance all vacant properties that have been foreclosed or a DIL completed, not later than five (5) business days from receipt of original or copy of the recorded deed.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.5.1 Standard Reports

a) deliver all standard reports to the COR via email accordingly, but not later than the fifth (5th) business day after the end of each month unless otherwise noted, except for Ad Hoc Reports and Accounting Reports.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.5.1.1 Special Reports

a) develop Special Reports as requested by the COR, delivered within three (3) business days of request, unless otherwise agreed to by the COR or their designee.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.5.2 Accounting Reports

a) prepare and submit the Accounting reports to the COR via email not later than the close of business on the 2nd business day of the month.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.1 Bankruptcy Monitoring

a) monitor the HECM Assigned portfolio to determine where bankruptcy has been filed or notices received.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.1.1 Proof of Claims

a) prepare and file Proof of Claims not later than five (5) business days from notification of bankruptcy filing. The proof of claim shall be imaged both prior to filing and upon receipt of recorded proof of claim.

What: Loan Servicing System of Record

Frequency: After completion of each inventory

5.6.4.1 Notification of Non-sufficient Funds

a) notify the COR or designee of the receipt of payoff funds not later than two (2) business days after payoff funds are received where the property is in custodial care.

AQL: Zero Deviation.

What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.5 Payoff Request Processing

a) process payoff requests not later than two (2) business days from receipt of a request.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.9 Cash Reconciliation

a) post and research schedules sent by the Treasury Department.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.10 Release Processing

a) prepare, execute and record releases and/or satisfactions including any ancillary documents required to effectuate the releases, or facilitate the recordation, not later than fifteen (15) business days from receipt of a request that a release is required.

AQL: Zero Deviation

b) document release activity and send all corrected releases for recording within two (2) business days of receipt.

AQL: Zero Deviation What: Loan Servicing System of Record

How: Visually

Frequency: After completion of each inventory

5.6.11 Partial Releases, Consent of Lienholders, and Substitution of Collateral

a) review partial releases, consent of lienholder, and substitution of collateral requests and provide recommendation to COR for approval/denial not later than five (5) business days from receipt of complete package.

AQL: 98% of the requests were issued a recommendation within five (5) business days from receipt of complete package.

5.8.1.1 Response Time

a) respond to telephone inquiries not later than 12 noon or one (1) business day of the date the call was placed to the Contractor's office or the expiration of such shorter or longer period as expressly authorized or required by this PWS.

AQL: Zero Deviation

b) respond to written and electronic inquiries no later than two (2) business days following receipt of the inquiry or the expiration of such shorter or longer period of time expressly authorized or required by this PWS.

AQL: Zero Deviation

c) respond and provide resolution to CRM tickets not later than two (2) business days of the date the ticket was assigned to the Contractor's office.

What: Deliverables

Frequency: After completion of each inventory

5.8.1.2 Governmental Inquiries

a) notify the COR not later than twenty-four (24) hours following receipt of any request for information from an elected or public official and shall, not later than two (2) business days of said request, provide written information to assist HUD in preparing a response.

AQL: Zero Deviation What: Deliverables How: Visually

Frequency: After completion of each inventory

Appendix 2 - Corrective Action Report (CAR)

CORRECTIVE ACTION REPORT (CAR)

(If more space is needed, use reverse and identify by number)

1. CONTRACTOR

2. CONTRACT NUMBER

3. TYPE OF SERVICES

4. FUNCTIONAL AREA

5. SUSPENSE DATE

6. CONTROL NUMBER

7. DEFICIENCY FORMCHECKBOX

MAJOR FORMCHECKBOX

MINOR

FINDING:

FINDING IMPACT:

Please respond with a written corrective action plan that details the corrective action of the cited deficiency, the cause of the deficiency, and actions taken to prevent recurrence by Suspense Date in Block 5. If date was not entered in Block 5, the contractor is not required to provide a response.

8. QUALITY ASSURANCE PERSONNEL (COR)

TYPED NAME AND GRADE

SIGNATURE AND DATE

9. ISSUING AUTHORITY

TYPED NAME AND GRADE

SIGNATURE AND DATE

10. COR RESPONSE TO CONTRACTOR CORRECTIVE ACTION AND ACTION TAKEN TO PREVENT RECURRENCE

11. COR DETERMINATION

FORMCHECKBOX

ACCEPTED FORMCHECKBOX

REJECTED

12. CLOSE DATE

Appendix 3 - Customer Complaint Record

SOURCE OF COMPLAINT

ORGANIZATION

BUILDING NUMBER

INDIVIDUAL

PHONE NUMBER

NATURE OF COMPLAINT

CONTRACT REFERENCE

VALIDATION

DATE/TIME CONTRACTOR INFORMED OF COMPLAINT

ACTION TAKEN BY CONTRACTOR

RECEIVED/VALIDATED BY

Appendix 4 - Performance Assessment Report (PAR)

PERFORMANCE ASSESSMENT REPORT (PAR)

(If more space is needed, use reverse and identify by number)

4. QUALITY ASSURANCE PERSONNEL (COR) SIGNATURE AND DATE

I. PERFORMANCE

7. FORMCHECKBOX

DEFICIENCY (CHECK ALL BOXES THAT APPLY)

FORMCHECKBOX

NEW

FORMCHECKBOX

REPEAT

FORMCHECKBOX

NO DEFICIENCY NOTED

8. SERVICES SUMMARY or PWS PARAGRAPH ITEM REVIEWED

II. CONTRACTOR VALIDATION

11. CONTRACTOR REPRESENTATIVE FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR

12. CORRECTIVE ACTION ESTIMATED COMPLETION DATE

13. CONTRACTOR REPRESENTATIVE CORRECTIVE ACTION AND PREVENTION OF RECURRENCE OR REASON FOR NON-CONCURRENCE OF COR CITED DEFICIENCY

III. ACTION CORRECTED

14. FORMCHECKBOX

CONCUR FORMCHECKBOX

NON-CONCUR COR SIGNATURE AND DATE

15. COR REMARKS (REQUIRED)

6. CONTRACTOR REPRESENTATIVE REMARKS