PWS_FY19_Records_Management_Application_Draft.pdf

Performance Work Statement (PWS)

Housing’s Records Management Application

(RMA)

06/26/2018

Version 1.0

Vision Statement

1 General Information

1.1 Introduction

1.2 Background

1.3 Constraint

1.3.1 Project Planning and Management

1.4 Description of Services

1.5 Non-Personal Services

1.6 Period of Performance

1.7 Place of Performance

1.8 Hours of Operation

1.9 Special Qualifications

1.10 Post Award/Kickoff Conference

1.11 Status Meetings

1.12 Contractor Travel

1.13 Transition In

1.14 Transition Out

2 Definitions and Acronyms

2.1 Definitions

2.2 Acronyms

3 Government-Furnished Property and Services

3.1 Government Services

3.2 Facilities

3.3 Equipment

3.4 Materials

3.5 Quality Assurance (QA)

4 Contractor-Furnished Items and Services

4.1 Facilities

4.2 Equipment

4.3 Material

4.4 Contractor Responsibilities

4.5 Contractor Personnel

4.6 Identification of Contractor Employees

4.7 Quality Control

4.7.1 Quality Control Plan

5 Specific Tasks

5.1 Initial Plans

5.2 Migration

5.3 Housing’s Onboarding of New Archive Records Services

5.4 Independent Assessment of Business System

5.5 Delivery, Testing, and Validation of RMA

5.6 Office of Healthcare Programs

5.7 Office of Multifamily Programs

5.8 Office of Single Family Programs

5.9 Dashboard

5.10 RMA Administrative

5.11 RMA API for a Geographic Information Tool

5.12 Help Desk

5.13 Training

5.14 Program Management

5.15 Future Housing Program Offices services extending

5.16 Independent Audit of Operations

5.17 Records Management and Retention

6 Deliverables

6.1 Quality Control Plan

6.2 Acceptance Criteria

7 Performance Requirements Summary

8 Related Documents

Performance Work Statement (PWS)

Housing’s Records Management Application (RMA)

Vision Statement

The Office of Housing Program Offices support approximately twelve hundred (1200) users. The Records Division support staff for Headquarters and the field offices are responsible for the inventory and circulation management functions related to Single Family's case binders, Office of Healthcare Programs and Multi-Family Washington dockets. From a circulation management perspective, this responsibility requires the requesting, routing, and returning of case binders from a variety of sources.

The Record Division will handle about 125,000 binder requests by staff and external customers. For inventory management support, the Records Divisions both in Headquarters and its field offices will processes about 1,000,000 loan endorsements/year (which creates the case binder) and store them at the National Archives and Record Administration (NARA) facilities.

1 General Information

The Department of Housing and Urban Development (HUD), Office of Housing, Office of Operations, Office of Business Development, Communication and Marketing Division manages the Department's record properties for both Single Family Mortgage Insurance Case binders, Office of Healthcare Program and Multifamily Washington Documents. Records Management is the focal point for the administrative control of the Office of Housing Records for all Housing programs. This control includes the submission, receipt, classification, maintenance, protection, transfer, retirement, and/or disposal of such records, and the retrieval of records that have been transferred or retired to the Federal Records Center or the Iron Mountain Incorporated commercial storage facility.

1.1 Introduction

HUD’s Office of Operations (OHP) is seeking contractor services to provide and host the Commercial Off-the-Shell (COTS) application for the archive records management for the Offices of Single Family Housing, Office of Healthcare Program and Multifamily Housing Under the Office of Operations, the mission of the Records Division is to ensure that official records of the Office of Housing Program Offices are created, made available to the right people, when needed, for appropriate reasons, and then disposed of properly when their usefulness to the agency has ended. The Records Division is tasked with improving the security, availability, maintenance, effectiveness, and efficiency of Housing archived records, both paper and electronic, by establishing a Central Archived Records Repository (CARR) that is accessible to both Housing and its related authorized customers. The records management will be for the loan origination, closing, asset management and servicing records. This single point entry shall manage both electronic data and physical documents in a FEDRAMP certified environment. Contractor services must include an interface with the National Archives and Records Administration (NARA) ARCIS records computer system for transferring and retrieving case binders.

1.2 Background

The Federal Records Act of 1950, as amended and codified in Title 44 of the United States Code (U.S.C.)

places responsibility on agencies to adequately document their mission and functions, policies, procedures, decisions, and transactions and to preserve their historically valuable records. The National Archives and Records Administration (NARA), the Office of Management and Budget (OMB), and the General Services Administration (GSA) share oversight of Federal Records Management Programs. The Department seeks improved methods to meet its growing case binder records service demands while facing economic constraints and complying with legal and regulatory mandates.

The Office of the Deputy Assistant Secretary for Operations (A/OPR) has the operational responsibility for storing and retrieving Single Family Mortgage Insurance case binders, (approximately 18 million) as well as approximately 330,000 Multifamily Washington Dockets that are stored at HUD and various other locations nationwide. This operational responsibility includes the submission, receipt, classifying, maintenance, protection, transfer, retirement and/or disposal of such as records, and the retrieval of records that have been transferred or retired to the Federal Records Center or commercial storage facilities.

The Office of Business Development, Communication and Marketing Division, Records Management

Unit strives to provide an economical and efficient administrative process for managing case binders throughout their life cycle, from submission to HUD to their final designated disposition (destruction or preservation). It is also a process of maintaining information in a format that allows for timely access.

The Office of Business Development, Communication and Marketing Division, Records Management

Unit is currently using the services from TransAccess, which has several different application modules that are identified as follows: TransAccess Records, TransAccess Internal Tracking Management Services

(ITMS/TAPTRACK) TransAccess Record Retention and TransAccess Workflow Modules. The current

TransAccess applications is hosted and maintained by the contractor on an AWS FedRamp-certified platform at their location. HUD only owns the data. The Office of Business Development, Communication and Marketing Division, Records Management Unit, also utilizes the TransAccess interface with NARA’s ARCIS records computer system for transferring and retrieval of case binders.

The Office of the Chief Information Officer (OCIO) is responsible for assisting HUD's offices in establishing IT investments and promoting improvement and integrated efficiencies through HUD's IT enterprise and business processes. The OClO supports initiatives that enable HUD staff and clients to process less paper and move into a more customer-facing role that provides increased levels of service to citizens and business partners.

1.3 Constraint

The services identified in this PWS will adhere to the rules, regulations, laws, standards, and conventions identified by the National Archives and Records Administration (NAFA), HUD, FedRamp, the FAR, HUDAR, OFPP, OMB, and other Federal Government requirements. Constraints include the following:

The Contractor shall abide by all applicable regulations, publications, manuals, and policies, and procedures in the performance of this contract and any subsequent revisions, updates, and/or changes.

These include, but are not limited to, the following:

• Rules, proposed rules, and notices in the Federal Register http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR

• Healthcare Mortgage Insurance Program Handbook 4232

• E-mail Blast Link -https://www.hud.gov/federal_housing_administration/healthcare_facilities/residential_care/m ail_blast_index

• Handbook 1325.01, Privacy Act Handbook

• HUD Handbook 2400.25, Information Technology Security Policy, Revision 3

• Housing Handbook 4060.1, Mortgagee Approval Handbook

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

• OMB Circular A-123, Managements Responsibility for Internal Control

• OMB Circular A-125, Prompt Pay

• OMB Circular A-127, Financial Management Systems

• OMB Circular A-129, Policies for Federal Credit Programs and Non-Tax Receivables

• OMB Circular A-130, Management of Federal Information Resources

• OMB Circular A-136 (Revised), Financial Reporting Requirements

• OMB Memorandum M-05-24, Implementation of Homeland Security Presidential Directive

(HSPD) 12

• OMB Memorandum M-03-22, OMB Guidance for Implementing the Privacy Provisions of the E-

Government Act of 2002

• OMB Memorandum M-99-20, Security of Federal Automated Information Resources

• OMB Memorandum M-06-15, Safeguarding Personally Identifiable Information

• OMB Memorandum M-06-16, Protection of Sensitive Agency Information

• OMB Memorandum M-06-19, Reporting Incidents Involving PII

• OMB Memorandum M-06-20, Reporting Instructions for the Federal Information Security Act and Agency Privacy Management

• Federal Information Processing Standards (FIPS) Publications http://csrc.nist.gov/publications/PubsFIPS.html NIST Special Publications (800 Series) http://csrc.nist.gov/publications/PubsSPs.html

• Federal Information Security Management Act

• Federal Information Systems Controls Audit Manual (Government Accountability Office)

• Statements of Federal Financial Accounting Concepts and Standards, Federal Accounting

Standards Advisory Board (FASAB)

• Authoritative Documents from Accounting and Auditing Policy Committee Processes

• Generally Accepted Government Auditing Standards (GAGAS)

• Federal Financial Management Improvement Act (FFMIA) http://www.whitehouse.gov/omb/financial/fm_systems.html

• Federal Managers Financial Integrity Act (FMFIA)

• Government Management Reform Act

• Government Performance and Results Act (GPRA)

• GPRA Modernization Act

• Chief Financial Officers Act

• Improper Payments Information Act

• Privacy Act

• Prompt Payment Act

• Debt Collection Act

• Debt Collection Improvement Act

• E-Government Act

• Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification for

Federal Employees and Contractors United States Standard General Ledger http://www.fms.treas.gov

• Reports Consolidation Act

• Federal Credit Reform Act

• Information Technology Management Reform Act

• Government Paperwork Elimination Act

• Government Corporation Control Act

• Section 508 of the Rehabilitation Act

• Treasury Financial Manual (TFM) http://tfm.fiscal.treasury.gov

• Policies, procedures, and regulations promulgated by the Bureau of the Fiscal Service

The above publications, manuals, policies, and websites are believed to be the most current, but the

Contractor shall be required to conduct its own due diligence.

• Unrestricted Rights to Data - ORCF will retain unrestricted rights to all Government data and maintain the rights to request full copies in a format that is readily accessible through predominant industry and/or open data formats.

• Data Availability - National Archives and Records Administration (NARA) official records must be available to HUD and ORCF upon request no more than 30 days from initial request. Ad hoc requests for data must be available within 5 business days or within the timeframe negotiated on the task order and in a format to which the Federal agency agrees. Ideally, the official records will be available on line.

• Data Ownership - All data collected in the system is the property of the United States Federal Government, shall include account information, permissions, login activity, and other supporting data that enables the service to meet the objectives of RMA.

• Due to the Sensitive but Unclassified (SBU) nature of the program data and the Personally Identifiable Information (PII) contained therein, the Contractor shall ensure that its facilities are always secured.

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

1.3.1 Project Planning and Management

All HUD IT projects, including all information systems acquired, developed, enhanced, or maintained shall follow the policy, procedures, standards, and guidelines set forth within the IT Management Framework using the Project Planning and Management (PPM) Life Cycle located at HUDs PPM Life Cycle Website:

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

PPM was designed based on the best practices from Capability Maturity Model Integration (CMMI) for systems development and PMBok for project management. While at the foundation, PPM is designed as a Waterfall methodology, HUD encourages tailoring the PPM to use the many modern solution development methodologies available to enable the planning, development and delivery of useable functionality within 6-9-month increments.

Contractors are encouraged to propose a preferred methodology whether their solution(s) are for custom development, includes prototypes or pilots, Commercial Off the Shelf (COTS)/ Government Off the Shelf (GOTS) configuration, or Software as a Services. Working with the HUD Project Manager(s), the

Contractor will tailor PPM to take advantage of contractor proposed expertise in using other methodologies in a manner that will provide HUD the best value and address all the work necessary for successful project completion, on time, within budget, and delivering intended functionality.

The decisions of PPM tailoring are captured in the Project Tailoring Agreement (PTA), which documents the specific agreement for creating, combining, referring or omitting specific artifacts applicable to the project, as well as adjust project control gate reviews to be consistent with the tailoring. All tailoring of

PPM must be approved by HUDs Deputy Chief Information Officer (DCIO) for Business & IT

Modernization. As a default, any project without an approved project tailoring agreement is required to follow all PPM phases and artifacts as presented.

1.4 Description of Services

HUD is seeking contractor services to provide and host the Commercial Off-the-Shell (COTS) application for the electronic document and records management for the Housing Program Offices of Office of Single Family Housing, Office of Multifamily Housing, and Office of Healthcare Programs. The records services for these Housing Program Offices shall be under the oversight of the Office of Operations. The mission of the Records Management Unit is to ensure that official records of the Office of Housing Program Offices are created, made available to the right people, when needed, for appropriate reasons, and then disposed of properly when their usefulness to the agency and federal retention obligations have ended. The contractor shall provide services operations support of RMA. This includes, but is not limited to, completing backlog items identified during the initial deployment of the business application, ensure that the system calculations, data manipulation and processing, user interface and interaction with the application, and other specific functionality that shows how user requirements are satisfied.

The Portal must be reliable and remain operational over with an emphasis on error prevention. Also, the contractor shall maintain the RMA system to add or change services, features, and interfaces when http://portal.hud.gov/hudportal/HUD?src=/program_offices/cio/ppm/PPMV20HOME adding or changing the applications functionality. The RMA shall support interfaces necessary to exchange information and content with HUD systems including the enterprise document/records management capability currently hosted in Microsoft. RMA shall have 3 hosting options offered to each program area. The Options are as follows:

Option 1. Core Document Management Features out of the box with limited configuration that includes upload document with at least one key index and field and full OCR text search. This Option must have audit trail function with ability to email and share documents. The service must provide a mobile application version available. The contractor must provide a NARA ARCIS interface to support the SF 115 inventory, NARA circulation management, and destruction requirements. The service must provide the ability to track and manage both electronic document and paper documents.

Option 2. Core Document Management Features that includes limited configuration, uploading documents with one key index field and full OCR text search. This must include an audit trail function with the ability to email and share documents. The service must provide a mobile application version.

The contractor must provide a NARA ARCIS interface to support the SF 115 inventory, NARA circulation management, and destruction requirements. The service must provide the ability to track and manage both electronic document and paper documents. Features must include drag and drop, unlimited document tags, metadata fields, PDF converter, email integration, document imaging.

Option 3. Core Document Management Features that include upload document with unlimited key index field and full OCR text search. The service must provide audit trail function with ability to email and share documents. Features with drag and drop, unlimited document tags, metadata fields, PDF converter, email integration, document imaging. Must have audit trail function with ability to email and share documents. The contractor must provide a NARA ARCIS interface to support the SF 115 inventory, NARA circulation management, and destruction requirements. The service must provide the ability to track and manage both electronic document and paper documents. Service must provide audit trail function with ability to email and share documents. Features must include drag and drop, unlimited document tags, metadata fields, PDF converter, email integration, document imaging. Custom features with existing business process automation, SMART docs, electronic signatures, NARA ARCIS interface, inventory control, document imagine, records management and compliance. Ability to track and manage both physical and electronic records.

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 a 12-month base period with four 12-month option periods.

1.7 Place of Performance

The place of performance shall be at the contractor's facility.

1.8 Hours of Operation

The Contractor is responsible for providing services between the hours of 09:00AM until 05:30PM Monday thru Friday except for Federal holidays or when the Government facility is closed due to local or national emergencies, administrative closing, or similar Government directed facility closings. Weekly hours shall not exceed a forty (40) hour work week and a typical work day will be 8 hours each day Monday through Friday. The Government reserves the right to change hours of operation or restrict contractor access. Work outside of these daily hours is prohibited without Contracting Officer approval.

Government agencies will not be available during scheduled holidays, inclement weather, weekends, and after duty hours.

The Contractor shall, always, 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

The vendor shall maintain CMMI certification level II or higher during the execution of this contract.

1.10 Post Award/Kickoff Conference

The Contractor shall attend any post award conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award Conference with the Contractor within ten business days after contract award. The Contracting Officer will notify the Contractor of the specific date, location, and agenda within five (5) business days after contract award.

1.11 Status Meetings

The Contracting Officer, Contracting Officer Representative (COR) and other Government personnel, as appropriate may meet periodically with the Contractor to also review Contractor performance, requirement status, etc. At these meetings, the Contracting Officer will apprise the Contractor of how the Government views the Contractor's performance or progress of the requirement. The Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government. Post Award Conference and subsequent meetings may be held via teleconference.

1.12 Contractor Travel

Prior to travel, the Contractor shall coordinate with and receive Government authorization from the GTR for all travel. Reimbursement of travel costs will be in accordance with the Federal Travel Regulation and in accordance with FAR 31.205-46. The Contractor shall travel using the lower cost mode transportation commensurate with the mission requirements. When necessary to use air travel, the Contractor shall use the tourist class, economy class or similar lodging accommodations to the extent they are available and commensurate with the mission requirements. HUD will not reimburse Contractor's local travel. Local travel is defined as travel within fifty (50) miles of Washington, DC. All other travel will be reimbursed on a cost reimbursable basis; no profit or fee will be paid.

1.13 Transition In

The Contractor shall, upon the Contracting Officer's written notice, furnish Transition-In services as required. As a successor, the Contractor shall have sufficient personnel on board during the 90-dayTransition-In period to ensure a smooth transition with the incumbent Contractor. The Contractor shall provide an orderly transition of work acceptance and accomplishment such that any impact to the program is minimized. During the Transition-In period, the Contractor shall become familiar with the requirements to commence full performance of services by the end of the contract Transition-In period.

Transition-In is not required if the successor Contractor is the incumbent Contractor. The contractor shall provide a Transition-In workplan within 15 days after contract award that describes the process, details, and schedule for providing an orderly transition during the contracts transition term. The objectives of the Transition Plan are: to minimize the impacts on continuity of operations;

communications with staff and affected communities; identify key issues; and overcome barrier to transition. The contractor is responsible for performing due diligence to ensure that all transition activities are identified, negotiated, and completed during the transition term. The contractor transition-in plan shall include a MS-Project Schedule with labor category(s) and hours displayed per activities listed/included, resources identified and loaded, it must demonstrate a logical executable method for completing activities discussed during the kick-off meeting for Tasks 5.1 thru 5.17.

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 90-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. 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 ninety (90) days Transition-Out period. The plan shall be submitted to the COR/Business PM no later than 180 days prior to the expiration date of the final performance period. Access shall be provided to the extent required to carry out any information security program activities; investigation and audit to safeguard against threats and hazards to the integrity, availability, and confidentiality of HUD data and systems or to the function of information systems operated on behalf of HUD; and to preserve evidence of computer crime.

The Contractor shall include an inventory of all materials developed that will be required to fully integrate the information and systems developed under the contract in its Transition-Out plan.

The incumbent Contractor shall ensure a transition with the Government or a 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 is achieved by the end of the Transition-Out period.

The Contractor shall ensure as part of its Transition-Out responsibility that the data shall be transferred to the successor with no loss of information, data, or functional capability, in a machine-readable format.

The Contractor shall provide a transition from its SaaS/ITaaS/ITaaS environment to the successor

Contractor.

The Contractor shall ensure that any technology refreshments are leveraged and provided to the

Government. Technology refreshments include technology for data entry, document and output imaging, storage and retrieval of electronic images, software, and hardware.

The Contractor and its employees shall not divulge, or release data or information developed or obtained during performance of this contract without written approval of the Contracting Officer.

Information contained in all source documents and other media provided by HUD is the sole property of

HUD.

The Contractor shall provide annually "Best Practices examples of the current innovative industry. The plan shall include the below details:

• A schedule of briefings, including dates and time and resources allotted, that will be required to fully transition all materials developed to the Government and/or its designee.

• An inventory of work in progress.

• An inventory of all intellectual property.

• An inventory of all Government-furnished property, including any hardware, software, firmware, and other materials except for consumable items, either provided directly by the Government or purchased with contract funds.

• The names of individuals that will be responsible for the execution of the transition plan, including those identified to fully brief their follow-on counterparts. The plan is to ensure that the Government and/or its designee will receive these materials and be fully briefed at least 60 calendar days prior to the expiration date of the contract.

• The Transition-Out Plan shall be in a format acceptable to the Government.

• An Independent Assessment of Business System process

• The RMA web platform that replaces the Healthcare Portal and interfaces with HUD legacy systems and updates the ORCF document management repository.

• If requested, the Transition-Out plan shall be delivered in a mobile capability to support RMA, Delivery, Testing, and Validation of RMA

• Shall have Parallel Testing

• Insurance Application Processing

• Loan Production

• Asset Management and Servicing; Management and Budgetary Reporting

• Help Desk Support

• Training

• System Security

• Meetings

• Reports

• Independent Audit of Operations

• Transition-Out.

2 Definitions and Acronyms

2.1 Definitions

Business/Work Days - Every official work day of the week (i.e., between and including Monday to Friday, excluding 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.

Contracting Officer Representative (COR)- An employee of the U.S. Government appointed by the

Contracting Officer to perform contract administration activities regarding technical issues. This individual has authority to provide technical direction to the Contractor provided 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.

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, which 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.

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.

Subordinate Contracting Officer Representative (SCOR) - An individual designated by the Contracting

Officer to assist in providing technical direction and monitoring performance under the contract.

Work Week - Monday through Friday, unless specified otherwise.

2.2 Acronyms

APPS- Active Partners Performance System (APPS)

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

CLIN - Contract Line Item Number

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

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

HUDAR - HUD Acquisition Regulation

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

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

IG or OIG - Inspector General (Office of)

IT - Information Technology

IV&V - Independent Validation and Verification

LOOCS - Line of Credit Control System

OCPO - Office of the Chief Procurement Officer

OIG - Office of Inspector General

OMB - Office of Management and Budget

PL Public Law

PM - Project Manager

POC - Point of Contact

PPM - Project Planning and Management

QA - Quality Assurance

QASP - Quality Assurance Surveillance Plan

QCP - Quality Control Plan

SF - Standard Form

SCOR - Subordinate Contracting Officer Representative

TBD - To be determined

U.S.C - United States Code

3 Government-Furnished Property and Services

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

3.1 Government Services

The Government will provide to the Contractor the accessible to HUD Local Area Network/E-Mail.

3.2 Facilities

The Government will provide to the Contractor a facility to conduct HUD employees and stakeholders training on the RMA tool, and, the NARA approves location imaging and scanning at HUD Building.

3.3 Equipment

No Government furnished equipment will be provided.

3.4 Materials

The Government will provide all data related to perform the services. Copies of required data may be provided to the Contractor in hard copy or soft copy. All data shall remain the property of the Government and shall be returned to the COR upon request or at the end of the contract period.

3.5 Quality Assurance (QA)

The Government shall evaluate the Contractor's performance under this contract in accordance with the Quality Assurance Surveillance Plan. This plan is primarily focused on what the Government must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable quality level.

4 Contractor-Furnished Items and Services

The Contractor shall furnish, all facilities, equipment, and supplies required to perform the work under this contract that are not listed under Government-Furnished Property and Services.

4.1 Facilities

The Contractor shall furnish, all facilities, equipment, and supplies required to perform the work under this contract that are not listed under Government-Furnished Property and Services.

4.2 Equipment

The contractor shall furnish all necessary equipment, hardware, computers, desks, telephones, copiers, and other appropriate office equipment necessary to meet the requirements set forth in this PWS.

4.3 Material

The contractor shall furnish all necessary training material, software and software licenses and other appropriate office materials necessary to meet the requirements set forth in this PWS 4.4 Contractor Responsibilities.

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 contact matters relating to daily operations of this contract. Accordingly, at a minimum, the points of contact shall have the technical knowledge of the requirement and be in the position to 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 how 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 Initial Plans

5.1.1 Management Plan.

The Contractor shall submit a Management Plan within 10 business days after contract award describing how it shall meet the objectives and requirements contained within the Performance Work Statement tasks. The Contractor shall provide evidence of his/her organization's ability to manage the work required here within the Plan. The Contractor shall describe how the work will be organized, the proposed staffing and the responsibilities and existing commitments of proposed staff in the Plan.

The Management Plan shall be revised as circumstances dictate to reflect approved changes during the contract.

The MP shall include a detailed work flow chart reflecting the process and steps the ORCF would follow which clearly reflect the Contractors strategy for timely completion and how work deadlines shall be met including how adjustments in staffing and workload shall be made when there are fluctuating demands. The Management Plan shall include a Preliminary Quality Control Plan. The Management Plan shall also address training and Help Desk operations.

Performance Standards

a) Standard: Plan is submitted 10 business days after contract awarded AQL: Plan is submitted 15 business days after contract awarded Deliverables

A001 Management Plan

5.2 Migration.

The Contractor shall migrate existing paper or electronic records to the business service application platform and records for records depositories utilized by OHP, MF and SF within 180 business days after the kickoff meeting. The business service application shall include the current functionalities of the existing business service tool and Section 5.3. The existing tool functionalities shall include:

1. Records management.

2. Reports.

3. Workload management

4. Helpdesk support.

5. System security

The Contractor shall address deficiencies identified in the Deficiency Plan in the RMA. The Contractor shall have Independent Assessment of Business System in accordance with 5.4. The Contractor shall conduct Parallel Testing in accordance with RMA Hosting Options (see Appendix A for the details). The

Contractor shall ensure that its business services accept, track, capture, display, calculate, replicate, report, and interface with HUD, FHA, and Treasury IT systems throughout each of the functions, timelines, steps, and processes even if not explicitly stated.

Performance Standards

a) Standard: Migrate the RMA platform within 270 days from kick off meeting.

AQL: Migrate the RMA platform within 30 days past the standard level

b) Standard: Deficiency plan due to COR/Business PM within 15 business days after contract awarded

AQL: Deficiency plan due to COR/Business PM within 20 business days after contract awarded Deliverables

A002 Deficiency Plan

A003 RMA platform

5.3 Housing’s Onboarding of New Archive Records Services.

The Contractor shall ensure that the onboarding process for new archive services includes:

1) Determination of Information collect includes:

a) Record Series Information.

b) Creating office

c) Title

d) Description/function

e) Medium

f) Arrangement

g) Volume

h) Disposition

i) Record Series Information.

Creating office

Title

Description/Function

Medium

Arrangement

Volume

Disposition

2) Determine Survey Tool

a) Questionnaire

b) Interview

c) Site survey

3) Create Inventory Forms

a) Series inventory form

b) Audiovisual Records Form

c) Information System Description Form

d) Spreadsheet (to be used while conducting an inventory, or for entering and sorting later)

Identify HUD staff to conduct inventory.

Records Liaison Officers or experienced staff members oversee and coordinate the inventory.

Subject matter experts provide majority of the inventory effort.

Additional personnel may assist the subject matter experts, as needed.

In many cases, the agency has existing descriptions and collections of information.

Document location of Housings archive files, both physically and organizationally.

Review agency’s business functions.

Review agency’s recordkeeping requirements.

Review records schedules

Review file plans or existing inventories

Conduct the inventory and collect records

Survey Office Cabinets or central file area and capture records series on the Records Series Inventory form.

Suggested Tips-Start with records or offices you are most familiar or where files are arranged in logical sequence with adequate labeling

Capture folder listings.

Complete one records series inventory form for each records series identified, arranged by fiscal year/Calendar year

Label each shelf or cabinet indicated it has been inventoried.

Note if records have been pulled for audit or legal matter as they may be returned some time for future filing.

Transfer key inventory record data to spreadsheet for sorting and analysis.

Verify and analyze the results. Check questionnaires for errors:

Failing to indicate location

Exaggerating volume

Intermixing record series under one title

Omission of date ranges for the material inventoried

Use of ambiguous subject titles such as "miscellaneous correspondence

Compare records inventory data with Housing's records schedules to identify:

Records on the inventory which are not covered Housings record schedule;

Records which can be destroyed immediately;

Inactive Records which are eligible for off-site storage;

Permanent records which must be transferred to NARA

Performance Standards

a) Standard: The Contractor shall develop and provide the tools within 14 business days. The Contractor shall verify and analyze the results within 45 business days after completion of the performance of task.

AQL: Zero deviation Deliverables

A004 Survey tool

A005 Inventory form

A006 Analyze report

5.4 Independent Assessment of Business System.

The Contractor shall engage an independent third-party Contractor selected by HUD official (CO, COR, designee) to conduct an independent assessment of the Contractors business services 60 days from contract award. The Contractor shall submit an Assessment Summary Report that shall ensure that the following criteria is met:

• conduct independent verification and validation of operations, procedures, processes, and reporting not only during initial implementation, delivery, testing, validation, and parallel testing of the Contractors Web-based Business Services, but throughout the period performance of this contract to include full performance of all tasks and all subsequent modifications and changes made in accordance with the requirements of the PWS.

The Contractor shall provide, as part of its proposal, an Organizational Conflict of Interest (OCI)

Mitigation Plan 60 days after contract award describing how it plans to avoid any conflicts potentially arising from the contractual relationship between the prime Contractor and the third-party Assessment

Contractor.

The Contractor shall submit to the COR/SCOR the selection of an independent Assessment Contractor within 60 business days after contract award. The COR will select a Contractors selection from a list independent assessment Contractor within 30 days after submission.

The Contractor shall develop an assessment Plan that describes the approach for the independent third party to determine if its business services/service meets specifications and fulfills its intended purpose.

The Contractor shall provide access to all systems, facilities, information, and personnel required to conduct assessment testing.

The Contractor shall submit monthly written assessment Status Reports to the COR that describes the suitability of the design and operating effectiveness of the Contractors business services controls.

The Contractor shall develop and execute an Assessment Corrective Action Plan to remediate any deficiencies and exceptions resulting from the Assessment Status Report within five business days of receipt of the Assessment Status Report.

The Contractor shall remediate all Assessment Corrective Action Plan deficiencies and exceptions within

30 days. If the Contractor does not remediate within 30 days, the Past Performance will be documented in CPARS as not delivering on schedule.

The Contractor shall provide as part of its proposal an Organizational Conflict…