Standard Agreement - Amendment, HCD-2240, 20-20-015
Summary
Amendment 2 to California standard agreement 20-20-015 (form HCD-2240) between the Department of Housing and Community Development and Horne LLP, which provides Federal COVID Emergency Rental Assistance Administration and Disbursement services. The scope of work explains Senate Bill 91, signed January 29, 2021, which uses federal funds to pay up to 80 percent of back rent owed between April 1, 2020 and March 31, 2021 by tenants earning less than 80 percent of area median income, if the landlord forgives the rest. The federal Consolidated Appropriations Act, 2021 allocated $25 billion to the Emergency Rental Assistance Program, about $2.65 billion of it to California, and at least 90 percent must go to rental assistance payments. Horne LLP runs the staffing, technology and banking for the payments. Five (5) percent of each invoice is withheld pending final completion.
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EXHIBIT A
SCOPE OF WORK
1. Horne LLP, hereafter referred to as the (“Contractor”), agrees to provide to the
Department of Housing and Community Development, hereafter referred to as (“HCD”
or “Department”) with Federal COVID Emergency Rental Assistance Administration and
Disbursement services (“Work”) as described herein.
2. Work shall be provided during the hours of 7:00 am to 7:00 pm, PST Monday through
Sunday.
3. The Representatives during the term of this Agreement will be:
Department of Housing and Community
Horne LLP
Development
Section/Unit: DFA Project Manager: Anna Stroble
*Contract Manager: Geoffrey M. Ross,
Deputy Director, Division of Federal Title: Partner
Financial Assistance
Address: 2020 West El Camino Avenue
Address: 1215 19th Street Northwest
Sacramento, CA 95833
3rd Floor
PO Box 952050
Washington, DC 20036
Sacramento, CA 94252-2050
Bus. Phone No.: (916) 263-1015 Bus. Phone No.: 301-260-5387
Email: geoffrey.ross@hcd.ca.gov Email: anna.stroble@hornellp.com
*HCD will have the right to change the Contract Manager from time to time throughout
the term of this Agreement. Such change will not require the consent of
Contractor. HCD will notify Contractor in writing of the name of the new Contract
Manager within 30 days of his or her appointment to such position. Such written notice
will not constitute, nor require, an amendment to this Agreement.
4. Purpose and Background
A. Purpose
The California Legislature introduced Senate Bill 91 on December 16, 2020. It
was signed into law on January 29, 2021. It sets the rules for the use of funds to
reimburse qualifying tenants and landlords for most unpaid rent accrued since
the COVID-19 pandemic shut down the economy last spring. Assembly Bill 81,
which took effect February 23, 2021, revised the law created by Senate Bill 91.
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EXHIBIT A
Senate Bill 91 and Assembly Bill 81 will be collectively referred to herein as “SB
91”.
SB 91 created the Program in order to serve non-entitlement jurisdictions and
jurisdictions wishing to opt-in to the Program to reduce administrative burdens,
standardize the fund reimbursement process, and more effectively deploy
resources consistent with California law and federal law. Funds will be reserved
for jurisdictions based on their population to ensure geographical coverage of the
entire State of California. Entitlement jurisdictions may also appropriate their
direct federal allocation to the State and opt-in to the Program. The State will
reserve the federally allocated amount with a portion of the State allocation for
that jurisdiction. This is collectively referred to as “Option A.”
Alternatively, if jurisdictions may commit to administer their direct federal
allocation and their block grant award in accordance with the provisions in SB 91.
Referred to as “Option B”, these conforming jurisdictions will enter into a
standard agreement as a grantee to HCD’s block grant award.
For entitlement jurisdictions a third option is available. In this instance, a local
public entitlement entity has the option to distribute its direct federal allocation of
ERAP funds and request that HCD administer the local public entity’s state
allocation of funds. This is referred to as “Option C.”
The following sections define specific services and technology solution(s) that the
Contractor will provide, in order to support:
1) Block Grant Program (Option B) activity and financial reporting
2) Data Exchange Services for Option C Jurisdictions
SB 91 uses federal funds to pay up to 80 percent of back rent accumulated
between April 1, 2020 and March 31, 2021, inclusive, per eligible household. A
landlord who accepts such funds is required to forgive the remaining unpaid rent
for that period. Additional if arrears have been largely covered, federal dollars are
available to help cover prospective payments not to exceed 25 percent from
March 31, 2021 until the completion of the program.
To qualify for the federal dollars, the unpaid rent must be owed by a tenant who
earned less than 80 percent of the area median income (AMI) in 2020 or at the
time of application. According to the Business, Consumer Services, and Housing
Agency, landlords and tenants are allowed to apply for those funds beginning in
March 2021.
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EXHIBIT A
B. Background
The federal Consolidated Appropriations Act, 2021 (the “Act”) was passed into
law on December 21, 2020. The Act included an allocation of $25 billion for the
Emergency Rental Assistance Program (ERAP) nationwide to be distributed to
states based on a state’s proportional rate of the total United States population
according to 2019 Census data.
The State of California was subsequently allocated approximately $2.65 billion in
rental assistance support; local governments may access up to 45 percent of a
state’s allocation. The United States Department of the Treasury (“Treasury”)
must disburse payments to states and local governments within 30 calendar days
of enactment of the Act. Under the Act, no less than 90 percent of ERAP funds
must be used to provide rental Housing Assistance Payments (HAP) or other
housing-related assistance by either states or local governments.
5. Summary
A. The Contractor will provide and oversee the staffing, technology, banking and
overall Program delivery required to properly disburse federally-funded HAP on
behalf of low income renters across the State, pursuant to the U.S. Emergency
Rental Assistance Program outlined in the Act and Chapter 17 of SB 91.
Based on current projections, it is possible that the Department may receive
between 750,000 and1 million at a minimum of 1,700,000 applications. These
projections are subject to change based on a variety of factors, such as the
extent to which local governments elect to administer their own funds. The
ERAP eligibility requirements and the structure of SB 91 help determine the
universe of eligible households. The Contractor will be required to show how
staffing costs will increase and change with corresponding changes in the
number of applications that come in that must be processed within the allowable
Program timeframe.
The Contractor will respond to inquiries, accept, and review applications, and
determine eligibility based on the requirements of the Act and SB 91, any rules or
guidance promulgated by the U.S. Department of the Treasury, and all other
applicable federal or state laws. It is the Contractor’s responsibility to remain
current on all such requirements. The number of applications, level of funding,
and households served are subject to change and could vary significantly based
on a wide variety of factors. However, the Contractor will be responsible for
delivering all necessary services to properly disburse the funding available in
compliance with the applicable rules and laws. The Program will provide HAP to
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EXHIBIT A
landlords on behalf of low-income families, including payment of rent arrears and
future rent obligations. Statutory eligibility requirements include:
• Renter households with incomes no more than 80 percent of AMI.
• One or more individuals in the household have qualified for unemployment
benefits or have experienced a reduction in household income, incurred
significant costs, or experienced other financial hardship due directly or
indirectly to the coronavirus outbreak; and
• One or more individuals in the household can demonstrate a risk of
experiencing homelessness or housing instability which may include: (i) a
past due utility or rent notice or an eviction notice; (ii) unsafe or unhealthy
living conditions; or (iii) any other evidence of such risk as determined by
the Department.
Households with income less than 50 percent of AMI and in which one or more
household members are unemployed and have been unemployed for 90 days
will be prioritized. Per SB 91, in instances where a landlord is unresponsive or
uncooperative, the tenant can be directly paid up to 25 percent of the eligible
household’s unpaid rental debt accumulated from April 1, 2020, to March 31,
2021.
The Contractor will design and maintain a secure, web-based portal available for
tenants and landlords according to the specifications in this SOW and in
compliance with the standards of the California Department of Technology. HCD
will set dates for the opening and closing of the application period and rounds as
specified in SB 91. Applications will only be accepted through the Contractor’s
applicant portal. A complete application will include responses to all required data
fields in the applicant portal plus uploaded attachments such as lease
documents, income verification, identification, etc.
The Contractor will provide customer service staff to operate a call center to
answer questions and assist applicants in completing the application in multiple
languages per Section 601 of Title VI of the Civil Rights Act of 1964, and any
other applicable State or federal law or policy. The Department will contract with
an education and outreach vendor and a statewide network of community-based
organizations through the local partner network vendor to promote the Program,
answer applicant questions, and assist applicants in completing the application.
The Contractor may propose strategies or materials to successfully drive
participation, but the Department will make the final determination.
The Program outlined in SB 91 includes tiers of prioritization as well as
reservations made by geographic areas (namely cities and counties) to make
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sure that geographic and equity targets are met. Eligible applications must be
sorted to fill geographic reservation set-asides and then prioritized within those
set-asides according to the prioritization set by the US Treasury and SB 91. The
Department will also apply additional criteria to support application selection to
manage award decisions should there be over-subscription to the Program. The
Contractor may utilize third- party data sources to verify identity, determine
whether applicants meet income eligibility requirements, and flag those who are
receiving duplicative forms of assistance. Third party data may also be used to
verify the applicant’s self-certified income, employer documentation (pay stubs),
tax returns, landlord and tenant banking information, pending additional
federal/state guidance. The Contractor may propose the utilization of a bot or
similar technology to search third party databases. Utilization of third-party data
will be Contractor directed and facilitated. The Department does not currently
have access to alternative datasets that may be used to cross-reference
eligibility.
Compensation parameters for rental arrears as provided in SB 91, both for
landlord participating and non-participating processes, respectively.
• For assistance provided through the participating landlord process,
pursuant to Health and Safety Code Section 50897.1(d), compensation
shall be limited to 80 percent of an eligible household’s unpaid rental debt
from April 1, 2020 to March 31, 2021. The landlord must forgive the
remaining unpaid rental debt in accordance with Health and Safety Code
Section 50897.1(d).
• For assistance provided through the non-participatory landlord process,
pursuant to Health and Safety Code Section 50897.1(e), compensation
shall be limited to 25 percent of an eligible household’s unpaid rental debt
from April 1, 2020 to March 31, 2021.
Funds will be administered in no less than three rounds, with each round
prioritized as follows:
• Round one priority shall be given to eligible households, as specified in
Section 501(c)(4) of Subtitle A of Title V of Division N of the Act, to
expressly target assistance for eligible households with a household
income that is less than 50 percent of AMI and/or eligible households
where at least one member of the household is currently unemployed and
has been unemployed for at least 90 days prior.
• (2) Round two priority shall be given to communities disproportionately
impacted by COVID-19, as determined by HCD.
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• (3) Round three priority shall be given to eligible households that are not
otherwise prioritized as described in paragraphs (1) and (2), to expressly
include eligible households with a household income that does not exceed
80 percent of AMI.
Individuals with income less than 50% of AMI will continue to receive
prioritization in the second and third rounds in line with Program requirements.
SB 91 further authorizes HCD to administer the Program in accordance with
applicable State and federal law. SB 91 also authorizes the Department to
contract with a Contractor to serve as the Program implementer to manage and
fund services, and to distribute emergency rental assistance resources. It is
HCD’s intention to find an implementer for this portion of the Program to
maximize efficiencies and leverage administrative force multipliers to ensure that
90 percent of all funds reach Californians in need.
SB 91 offers jurisdictions three options for fund disbursement. The Contractor
shall provide support to all jurisdictions that opt-in to the Program (Option A in the
Rental Assistance Program Reservation Table) rental-assistance-allocations-
table.pdf, (Option A in the Rental Assistance Program Reservation Table,
Round 2) https://www.hcd.ca.gov/grants-funding/active-
funding/erap/docs/rental-assistance-allocations-table-round-2.pdf as well as
the state portion of the jurisdictions allocation that elect to not conform their
federal allocation to the Program (Option C in the Rental Assistance Program
Reservation Table). Additional funding for the Program may become available.
The Program will provide HAP to landlords on behalf of low-income households,
including payment of rent arrears and prospective rent. In cases where the
landlord is non participatory or inaccessible payments may be made to the
tenant. The Program will also provide financial assistance for utilities payments
as defined by Health and Safety Code section 50897.
On March 11, 2021, the American Rescue Plan Act of 2021 (Public Law No.
117-2) added funding and expanded eligible uses to better address the
need for rental assistance in impacted communities. SB 91 was amended
by AB 832 in June of 2021 to incorporate the funding from the American
Rescue Plan Act of 2021. SB 91 also amended Health and Safety Code
section 50897.1, subdivision (a)(1), to authorize HCD to administer the
funds authorized by the American Rescue Plan Act of 2021 in accordance
with state and federal law. Health and Safety Code section 50897.2, which
was also amended by AB 832, allows localities of appropriate size and
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EXHIBIT A
capability to receive a block grant allocation from HCD for purposes of
administering local rental assistance programs.
6. Contractor Responsibilities
A. Call Center
1) The Contractor shall develop a Customer Service Plan that includes, but is
not limited to, the call center model, channels of support, service level
agreements (SLA), key performance indicators (KPI), roles and
responsibilities, monitoring, reporting, and continuous improvement. The
Contractor shall define KPI targets as discussed with and approved by
HCD per the requirements in Appendix C.
2) The Contractor will provide for staffing levels for the Call Center by the
date listed in this contract. After that date, staffing levels must be adjusted
as necessary to achieve the required KPIs. HCD is not prescribing
minimum staffing levels. HCD is not prescribing minimum staffing levels
and is not prescribing if the Call Center is a virtual environment or co-
located premise; however, the Call Center services shall be located and
occur within the United States.
3) The Contractor will provide a Training Plan acceptable to HCD for all
Contractor staff working in the Call Center that meet the requirements per
Appendix C. This training plan will include sensitivity training to all staff
interacting with the public to prepare them for appropriate communication
with customers from different and diverse backgrounds who may be
calling in times of personal duress.
4) The Contractor will produce daily metrics reports that will, at a minimum,
include updates on all KPIs and other required fields per the requirements
set forth in Appendix C.
5) Customer Service staff shall be accessible through a toll-free number
which shall be operational from 7 am- 7 pm PST Monday through Sunday,
except State and federal holidays, during the application period; hours
may shift after that period based on the written approval of HCD.
6) Personal Identification Information (PII) may not be transferred from
applicants or landlords by email; the Contractor will provide a secure
method to receive documents with PII, utilizing a portal, encrypted emails,
etc.
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EXHIBIT A
7) The Contractor will establish a 1-800 number to support incoming calls to
the Call Center.
B. Case Management
The Contractor shall develop Application Review Procedures that will include the
process for case management staff and supervisors to review applications and
documentation, verify eligibility, validate income and rent calculations, collect
landlord payment data, and approve subsidy payments under the oversight of
HCD. This will include developing process flow diagrams, policies and
procedures, and other documents as necessary. The Contractor will recommend
quality control protocols and internal controls to ensure accuracy, prevent fraud,
and minimize error. The Contractor shall define methods and workflow and
establish KPI targets with HCD approval. The Case Management Plan should
include, but not be limited to:
1) Case managers will perform a Primary Review to determine applicant
eligibility as determined by the Act, SB 91, and based on the eligibility
criteria agreed upon with HCD. As a result of the Primary Review,
applications will be approved, denied or paused due to
insufficient/incomplete information; applications that are paused will
receive a Secondary Review for remediation, where case managers will
request and review missing or clarifying documentation. Applicants may
also appeal a denial, which would trigger one additional review.
2) The Contractor will provide for the staffing levels for Case Management,
Financial Management and Quality Control proposed in Contractor’s
Proposal by the date listed in the Timeline of Deliverables. After that date,
staffing levels will be adjusted as necessary to achieve the required KPIs
based on written approval by HCD and as stated in the requirements
found in Appendix C.
3) The Contractor is responsible for ensuring that no duplicate payments are
issued and may be held financially responsible for duplicate payments or
overpayments that must be recaptured by the Contractor. The Contractor
will, at a minimum, ensure that:
a) No individual is able to submit and have approved more than one
application to the Program on behalf of the same eligible household
over the same time period;
b) No individual who submits an application is also listed as a
household member on another application;
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EXHIBIT A
c) No individual is counted as a household member on more than one
application;
The landlord and the tenant are not the same person. The Contractor will,
at a minimum, be expected to cross-reference names, addresses and
social security numbers (if available) of applicants and household
members. It is anticipated that the Contractor’s technology solution (see
requirements below) will automate this function and flag duplicate
applications to the greatest extent possible. Case managers will work
Monday through Saturday from 7 a.m. to 7 p.m. PST, except State and
federal holidays. Case managers’ hours should be staggered to ensure
sufficient coverage.
4) The Contractor shall provide HCD with a daily case manager performance
report in a mutually agreed format. These reports shall document
performance over the past 24 hours, including but not limited to the
current case manager Staffing Level, the number of initial and secondary
reviews completed, landlord W-9s collected and matched, number of
applications in approved, denied and paused status, the average
application processing times, and common reasons for denial of
assistance.
5) The Contractor will be responsible to ensure that its services rendered
include responsibility for implementing measures and systems to prevent
the illegal and improper payment of funds (hereafter Wrongful Payments)
to putative tenants or landlords (hereafter Wrongful Recipients). This must
include measures, that among other matters, prevent fraud resulting from:
tenant applicants; landlord applicants; collusion or cooperation among
tenants, landlords and third parties; intrusion into the Contractor’s
technological and evaluation system and process; and intrusion into the
payment system or methodology. The Contractor will be required to
indemnify, defend and save harmless the State, HCD, their officers,
agents and employees from any and all claims and losses accruing or
resulting from Wrongful Payments, whether resulting from the intentional
misrepresentation, negligent misrepresentation, or deceit of the Wrongful
Recipients, Contractor or its agents, or any other third party.
6) The Contractor’s technology solution shall meet or exceed the functional
and nonfunctional requirements set forth in appendices A, B, and C, which
are hereby incorporated hereto by this reference.
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EXHIBIT A
7) The Case Management Team will be divided into the service teams
as noted directly below in Section B.7. Percentages listed below will
remain the same no matter the final number of case management
staff; however, depending on various Program trends and in
collaboration with HCD, Contractor may at times shift team members
between the teams.
a) Tenant Case Management Team - 55%
b) Landlord Case Management Team - 20%
c) QAQC Team - 15%
d) Utilities Team - 2%
e) Appeals Team - 4%
f) Fraud Team - 4%
C. Application Portal
1) The Contractor shall ensure the development and implementation of the
application portal to securely accept applications.
2) Pursuant to Health and Safety Code section 50897.3, the portal must
begin accepting applications no later than March 15, 2021.
3) The Contractor will provide secure, web-based applicant and landlord
portals to accept applications for tenants, landlords and utility providers.
4) The customer facing portal must be accessible to individuals with vision
impairments (i.e., usable by screen reader) and translatable into non-
English languages in accordance with Section 601 of Title VI of the Civil
Rights Act of 1964, USDT Guidance as outlined here
https://www.federalregister.gov/documents/2007/01/22/07-217/final-
guidance-to-federal-financial-assistance-recipients-regarding-title-vi-
prohibition-against , and any and all other applicable State and federal
laws and policies.
5) The Technology Solution shall also have a feature that notifies tenants
and landlords through multiple formats (i.e. email, SMS, physical mail,
etc.) when an action is needed to advance the application. Further, the
Technology Solution should also notify the landlord and/or tenant when
one of these parties initiates an application through multiple formats (i.e.
email, SMS, physical mail, etc.). The data shall be available for the use of
the Department in a form that is usable and exportable.
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EXHIBIT A
D. Fund Disbursement
1) The Contractor’s fund disbursement process shall include:
a) The Contractor shall verify and validate the landlord or tenant’s
bank account in a “pre-note confirmation process”.
b) The Contractor shall manage a safe and secure transfer of rental
assistance funds to the landlord or tenant’s bank account. ACH
transfers will be most common, but the Contractor should also have
check printing services to support unbanked payees.
c) The Contractor must monitor for any failed payments and
coordinate to resolve such failures with the landlord or tenant.
d) The Contractor must notify the landlord or tenant of the payment
processing status with automated notifications.
e) The Contractor must track payment distributions and report to HCD
in writing per the Program requirements.
f) Similarly, the same standards will apply if a landlord or tenant does
not have a bank account and requires alternative methods of
payment.
g) The Contractor will maintain and report to HCD weekly on the
budget for the Program allocation, and will at a minimum track:
i. The total dollar value requested for the applications received
ii. The total dollar value for applications approved but not yet
paid
iii. The total dollar value of applications paid
iv. The amount of funding remaining
v. Projections of how many applications may be funded
vi. Total expenses to date and projected future expenses for the
Contractor
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vii. In addition to being shown in the aggregate, data should be
shown based on the Geographic Reservation Tables
outlined in the State’s Rental Assistance Program
Reservation Table
viii. Program funds disbursed to the Contractor shall be applied
to the eligible uses set forth in this contract. Payment for any
cost which is not authorized by this contract or the applicable
law referenced herein, or which cannot be adequately
documented shall be disallowed and must be reimbursed to
the Department or its designee.
E. Block Grant Program Participant Activity and Financial Reporting - Weekly and
Quarterly
1) SB 91 offers jurisdictions three options for fund disbursement. The
Contractor shall collect specified data and create reports related to the
performance of all jurisdictions that elect to receive a State Block Grant for
Direct Financial Assistance (Option B in the Rental Assistance Program
Reservation Table rental-assistance-allocations-table.pdf).
2) The Contractor will provide an online portal, website, and/or secure file
transfer site that permits jurisdictions participating in Block Grant funding
to enter data and/or submit data files in support of required performance
reporting. Regardless of approach used, Contractor must provide the
following:
a) A user registration process to identify and authenticate specified
users authorized by each jurisdiction to provide, edit, review, and
validate data.
b) User authentication at each session, visit, or data upload prior to
granting the ability to create, read/review, update, or delete data
i. Authentication may occur uniquely to the data entry portal or
may occur as part of a single sign-on authentication process
for authorized users
ii. Authorized jurisdictional users must be limited to add, edit,
read/review, report, and download data only related to their
own locality/jurisdiction
iii. Authorized HCD users must be permitted to add, edit, view,
report, download, delete, recover, backup, and move data
for all jurisdictions
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c) Date-specific data reporting periods
i. Data must be collected from each jurisdiction beginning from the
date the Standard Agreement is executed by the Department
and the respective jurisdiction (“Effective Date”) and continuing
until such time as the jurisdiction’s Agreement terminates
ii. Each jurisdiction’s data must be collected at a level of detail no
less granular than weekly timeframes
d) Field-level data type validation
i. Contractor must provide automated and effective data validation
routines to ensure data adheres to standards agreed to with the
Department prior to being included in reporting results
ii. Data must be validated at a level of detail no less granular than
field level
e) The ability for jurisdictions to review, edit, replace, and augment
data for prior reporting periods
f) Identification and indication of reporting periods prior to the current
date with missing, incomplete, or invalid data records (e.g., via
highlighted fields, warning messages, links, pointers, exception
reports, or similar)
i. Such identification and indication must be provided by
jurisdiction in a manner that is readily available/visible to
authorized users of the respective jurisdiction
ii. Such identification and indication must be provided by
jurisdiction and in aggregate in a manner that is readily
available/visible to authorized users of the Department
g) Identification and indication of reporting periods prior to the current
date with complete and valid data records
i. Such identification and indication must be provided by
jurisdiction in a manner that is readily available/visible to
authorized users of the respective jurisdiction
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EXHIBIT A
ii. Such identification and indication must be provided by
jurisdiction and in aggregate in a manner that is readily
available/visible to authorized users of the Department
3) The Contractor will store all data per the requirements set forth in
Appendix A “TECHNOLOGY SOLUTION NON-FUNCTIONAL
REQUIREMENTS.”
4) The Contractor will produce weekly reports that, at a minimum, include
updates on all jurisdictional metrics and other required fields per the
requirements set forth herein. Weekly reports must include the following
data in aggregate and per jurisdiction for all Block Grant participating
jurisdictions:
a) Total Block Grant funding disbursed by the State to the jurisdiction
to date
b) Total funding obligated per jurisdiction and in aggregate for
payment of costs for Eligible Households for each week
c) Total obligated funding to date per jurisdiction and in aggregate
d) Total expenditures for each week per jurisdiction and in aggregate
e) Total expenditures to date per jurisdiction and in aggregate
f) Projected obligations for the next week based on applications
received and processed to date per jurisdiction and in aggregate
5) The Contractor will produce quarterly reports that, at a minimum, include
updates on all jurisdictional metrics and other required fields per the
requirements set forth herein. Quarterly reports must include the following
data in aggregate and per jurisdiction for all Block Grant participating
jurisdictions:
a) Total Block Grant funding disbursed by the State to the jurisdiction
to date
b) The number of eligible households that receive assistance from
such payments;
• Number of eligible households at <=30% AMI receiving
payments
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• Number of eligible households at >30 and <=50% AMI receiving
payments
• Number of eligible households at >50 and <=80% AMI receiving
payments
c) The acceptance rate of applicants for assistance;
i. Total number of households at <=30% AMI applying for
assistance
ii. Total number of households at >30 and <=50% AMI applying for
assistance
iii. Total number of households at >50 and <=80% AMI applying for
assistance
d) The type or types of assistance provided to each eligible
household;
i. Assistance by amount in each category of assistance provided
to eligible households at <=30% AMI
ii. Assistance by amount in each category of assistance provided
to eligible households at >30 and <=50% AMI
iii. Assistance by amount in each category of assistance provided
to eligible households at >50 and <=80% AMI
e) The average amount of funding provided per eligible household
receiving assistance;
i. Average amount of funding provided per eligible household
receiving assistance at <=30% AMI
ii. Average amount of funding provided per eligible household
receiving assistance at >30 and <=50% AMI
iii. Average amount of funding provided per eligible household
receiving assistance at >50 and <=80% AMI
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f) Household income level, with such information disaggregated for
households with income at the following levels:
i. Average income level for households applying for assistance at
<=30% AMI
ii. Average income level for households receiving assistance at
<=30% AMI
iii. Average income level for households applying for assistance at
>30 and <=50% AMI
iv. Average income level for households receiving assistance at
>30 and <=50% AMI
v. Average income level for households applying for assistance at
>50 and <=80% AMI
vi. Average income level for households receiving assistance at
>50 and <=80% AMI
g) The average number of monthly rental or utility payments that were
covered by the funding amount that a household received, as
applicable:
i. Average number of rental payments covered by funding
provided for households at <=30% AMI
ii. Average number of utility payments covered by funding
provided for households at <=30% AMI
iii. Average number of rental payments covered by funding
provided for households at >30 and <=50% AMI
iv. Average number of utility payments covered by funding
provided for households at >30 and <=50% AMI
v. Average number of rental payments covered by funding
provided for households at >50 and <=80% AMI
vi. Average number of utility payments covered by funding
provided for households at >50 and <=80% AMI
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h) DISAGGREGATION — Each report under this subsection shall
disaggregate the information relating to households by the gender,
race, and ethnicity of the primary applicant for assistance in such
households in the following categories:
i. Gender (Female, Male, Non-binary, decline to state)
ii. Ethnicity (Hispanic/Latino, Not Hispanic/Latino, decline to state)
iii. Race (American Indian or Alaska Native, Asian, Black, or
African American, Native Hawaiian or Other Pacific Islander,
White, decline to state)
6) The Contractor will recommend quality control protocols to ensure
accuracy and minimize error. The Contractor shall define methods and
workflow and establish KPI targets with HCD approval.
F. Data Exchange Services for Option C Jurisdictions
The Contractor will perform services in the following areas to support program
coordination with option C jurisdictions to reduce the potential for duplication of
benefits and improve applicant experience in seeking rent relief.
1) Duplication of Benefit File Exchange
a) Contractor to provide services and necessary technology product(s)
to:
i. Facilitate the transfer of applications processed or paid by
the State program falling within the local jurisdictional
boundary. This may include data transfer in the form of:
• Secure data file available via secure file transfer protocol
for jurisdictions to retrieve data.
• Real time web service for authenticated jurisdictions to
call and retrieve data.
ii. Facilitate the transfer of applications paid by the local
program to the State. This resembles the current DOB data
file collected for option A jurisdictions. This includes the
exchange of data file via secure file transfer protocol for
jurisdictions to upload data.
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b) Contractor to provide services and necessary technology product(s)
to:
i. Receives an input file from the jurisdiction containing the
following data elements.
Jurisdiction City or County name
# Sort order of applicants
Applicant First Name First name
Applicant Last Name Last name
Rental Unit Address 1 Address line 1
Rental Unit Address 2 Address line 2
Rental Unit City City
Rental Unit County County
Rental Unit State State
Rental Unit Zip Code 5-digit zip code
Applicant Date of Birth Applicant date of birth in MM/DD/YYYY
Applicant Contact Email Valid contact email
ii. Based on the provided data elements, contractor will match
records based on applicant name, address, applicant DOB,
and contact email (secondary).
iii. The return file will return the file with additional data
elements to indicate for matched records if the State
Program has a tenant/landlord application and a field
indicating the status of the application in the State program if
applicable.
2) Possible return values may include:
State Program Match Status
Case ID
One of the following values:
1. No match found
2. Application In-Progress
3. LL Submitted
4. LL Paid
5. Tenant Submitted
123456 6. Tenant Paid
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7. Effective Date and Term
A. This Agreement is effective on March 4, 2021 (“Effective Date”). This Agreement
shall be for one (1) year and may be amended only by a written agreement
signed by both parties.
1) The effective date of Amendment 2 is September 1, 2021.
B. This Agreement may be amended for up to two (2) one-year extensions, using
the same hourly rates in Exhibit B if Contractor is in compliance with its
obligations under this Agreement and additional funds are both needed and
available.
8. Incorporation by Reference
Contractor agrees that in carrying out the duties and obligations set forth in this
Agreement it shall do so as set forth in greater detail in Exhibit F, which is incorporated
hereto as if set forth in full herein. In particular Exhibit F shall inform and make more
particular the meaning of the terms and matters set forth in this Exhibit A. Contractor
shall perform all matters set forth herein by the times and dates, and in the manner, set
forth in: that portion of Exhibit F entitled “Quick Launch Timeline” (beginning at
approximately the eight physical page thereof, and labeled Section A Page 4); and that
portion of Exhibit F entitled “Section D, Work Plan and Work Schedule” (beginning at
approximately the two hundred and twenty-sixth physical page thereof, and labeled
Section D Page 1).
9. It is mutually understood that demand for California’s COVID-19 Rent Relief
Program is difficult, if not impossible, to forecast. Accordingly, an additional staff
augmentation option shall be available should the Program demand outpace the
current staffing model set forth herein. Should HCD need increased staffing
levels to process applications for any reason, the Contractor will add an
additional team of 200 total staff upon 3 weeks’ written notice from HCD. The
additional team members added under this mechanism will support the Program
for a minimum of two (2) months. Any such team shall include:
A. 131 Case Management Team Members
B. 14 Case management Leads
C. 55 Quality Assurance/Quality Control Team Members
Should this option be properly invoked, the flat fixed fee shall be $4,000,000 per
month. If HCD elects a different total team number, then the fixed fee would be
prorated proportional to the final total number of staff to augment the Program. A
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contract amendment is required to increase funding under this option should it
be necessary to increase staffing levels.
10. Contract Transition/Data Conversion Requirement
A. The objective of the transition/changeover requirement is to ensure the
orderly, timely, and accurate transfer of essential data and documents from
the ERAP administrator to the subsequent contractor (if applicable) and
HCD, prior to termination or expiration of this Agreement. Contractor is
agreeing to comply with this requirement that, Contractor will fully
cooperate with the HCD and any potential successor awardee to correctly
transfer essential data and documents to the new successor prior to
termination or expiration of the awarded contract.
B. During the contract transition/changeover period, prior to expiration of this
Agreement, the Contractor shall:
1) Continue to provide ERAP services under the terms and conditions
of this Agreement and RFP.
2) Work with HCD and the new successor awardee to completely
transition ERAP services (data, documents, etc.) over to the
successor awardee. All transferred data is subject to review,
approval and confirmation by HCD.
i. Contractor shall provide HCD all procedure documentation
including, but not limited to, Standard Operating Procedure and
checklists for:
• case management
• quality assurance/quality control
• fraud detection
• landlord management
• finance
• appeal
• recapture
ii. Transfer all information from Application Portal if requested by
HCD including, but not limited to, the following:
• Application data
• Data dictionary
• Uploaded documentation
iii. Jurisdiction duplication of benefits data
iv. 1099 forms, 1042 forms and any other required IRS reporting
documents (for tenant and landlords)
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v. Upon HCD’s sign-off on the completion of data transfer Horne
must certify the destruction of all Program data based on the
following standard. This data destruction standard applies to data
housed in the application portal as well as in other supporting
data repositories (e.g. PowerBI, ArcGIS, and ShareFile) where
confidential data is stored for the purpose of supporting Program
operations.
Horne must certify in writing that all source data, including, but
not limited to PII, and other confidential data, are destroyed using
the Gutmann or US Department of Defense (DoD) 5220.22-M (7
Pass) standard, or by degaussing. Media may also be physically
destroyed in accordance with NIST Special Publication 800-88.
Other methods require prior written permission of HCD
Information Security Office (ISO).
3) Submit a report to HCD describing the data and documents to be
transferred. All reports shall be accompanied by a letter, signed by
the Contractor, attesting to the accuracy and completeness of the
material supplied. The report shall be received by the Contract
Manager at least sixty (60) days prior to the termination or expiration
of this Agreement.
4) Transfer all data and documents identified in the report plus
additional relevant data and documents requested by the Contract
Manager thirty (30) days prior to expiration of this Agreement. If any
of the additional data or documents are unavailable for transfer, the
Contractor shall notify the Contract Manager within five (5) working
days of receipt of such a request. Within ten (10) days of receipt, the
Contract Manager shall notify the Contractor in writing that the
proposed data and documentary transfer is satisfactory or that
additional data/documents are required.
5) Provide all data from the database and/or source(s) to the HCD
Contract Manager in the agreed upon format with complete file
descriptions. The Contract Manager shall retain the authority to
designate the secure manner and method by which the data and
documentary material shall be transferred.
6) Coordinate with HCD on the timing to decommission program 800
call center number (833-430-2122) and program email domain (CA-
RentRelief.com).
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7) All financial documentation related to the closeout shall be provided
to the Contract Manager not later than 60 days following final
disbursement of funds to program recipients including the following:
i. Any pending financial transactions shall be submitted with a
detailed report justifying the pending transaction.
ii. All final banking statements
iii. HCD accepted Reconciliation Report
iv. Remittance of Recaptured Funds
v. All overpayments shall be cleared and returned as required
8) Final Program Closeout Reporting shall be submitted not later than
60 days following final disbursement of funds including the
following:
i. Final United States Treasury Reporting (UST) (closeout report)
ii. Final Joint Legislative Budget Committee Reporting (JLBC)
(closeout report)
iii. Data Transition Plan/checklist
iv. Completed data transition
C. The Contractor shall not be reimbursed for any outstanding invoices until
HCD has received all data and documents in the proper format.
Appendix A
TECHNOLOGY SOLUTION NON-FUNCTIONAL REQUIREMENTS
The technology solution (the “System”) shall remain in full compliance with all federal and
state data security requirements.
Information Security and Privacy
1 The Vendor is required to implement the privacy requirements stated in the federal
Consolidated Appropriations Act, 2021, Title V, Subtitle A. which can be found at
the following link:
https://rules.house.gov/sites/democrats.rules.house.gov/files/BILLS-116HR133SA-
RCP-116-68.pdf [rules.house.gov] , as well as the privacy requirements set forth by
the State of California’s Attorney General. These State requirements can be found
at the following:
https://oag.ca.gov/privacy/privacy-laws and https://oag.ca.gov/privacy/privacy-
legislation/leg.
2 The System shall provide a customizable User Access Management capability that
enables authorized users to assign user access at application, use case, and field
level, as needed, by employee role.
3
The System must comply with California State Administrative Manual (SAM) section
5300 which can be found at:
(https://www.dgs.ca.gov/Resources/SAM/TOC/5300)
4 The System must comply with NIST 800-53 and 800-171 standards which can be
found at:
(https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r4.pdf)
5 The System shall comply with FIPS PUB 199
(https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.199.pdf)
6 If System manages Personally Identifiable Information (PII), the Vendor must:
-Complete Privacy Threshold Assessment & Privacy Impact Assessment: SIMM-
5310C (https://cdt.ca.gov/wp-content/uploads/2019/11/SIMM-5310C_2019-1108-
ADA-locked-fillable.docx [cdt.ca.gov])
-Comply with applicable laws regarding PII data collection
-Encrypt PII data in transit, database, server file system, user devices, and removable
storage devices
-Comply with HCD’s policies regarding PII security breach incident reporting
Secure Software Development
1 The Vendor must implement a Secure System Development Lifecycle (SDLC) (SIMM
5300-B Foundation Framework (https://cdt.ca.gov/wp-
content/uploads/2019/09/Foundational-Framework_EXCEL_10-17-1.xlsm
[cdt.ca.gov])) using a proven framework such as NIST Mitigating the Risk of Software
Vulnerabilities by Adopting a Secure Software Development Framework (SSDF)
(https://csrc.nist.gov/publications/detail/white-paper/2020/04/23/mitigating-risk-of-
software-vulnerabilities-with-ssdf/final [csrc.nist.gov]) or OWASP practices.
2 The security SDLC must include:
-Store all developmental assets (e.g., source code, product configuration files,
environment configuration files, and libraries) in a code repository
-Restrict access to developmental assets
-Version control developmental items to track all changes made with accountability to
the individual developer account
-All changes made to the developmental assets (e.g., peer reviews) shall be reviewed
and approved by HCD.
-Store all release files in a repository (e.g., code, package files, third-party libraries,
documentation) and restrict access
-Use a static analysis tool to automatically check code for vulnerabilities and
remediate high, critical, and medium risks
-Use separate development, test, and production environments with quality gates for
software promotion
-Implement software quality gates that may include smoke tests, code quality scans,
and/or peer reviews
-All new or updated software (open source or vendor software) changes shall be
reviewed and approved by HCD prior to implementation.
System Security Plan (SSP)
1 The Vendor must develop and maintain an up-to-date System Security Plan (SSP)
(NIST PL-2 and NIST PL-8) prior to each production release that includes:
-Explicit definition of the System boundary
-Description of the operational context of business organizations and processes
-Description of the System and relationships with or connections to other information
systems
-Description of the overall philosophy, requirements, and approach to be taken to
protect the confidentiality, integrity, and availability of organizational information
-Description of how the information security architecture is integrated into and
supports the enterprise architecture
-Description of any information security assumptions about, and dependencies on,
external services
-Description of the security controls in place or planned for meeting the security
requirements
SSP: Access Control
1 The SSP must describe the System capabilities that address these access control
requirements.
-Restricts access to information assets (e.g., functions, data, reports and workflows)
to only authorized users, systems, and devices (NIST AC-3)
-Enforces authorizations (e.g., current user privilege set) throughout the thread of
execution (e.g., between processes and interconnected systems) (NIST AC-4)
-Enforces separation of duties through assigned access authorizations (NIST AC-5)
-Implements role-based access control (RBAC). to support the principle of least
privilege, allowing only authorized accesses for users which are necessary to
accomplish assigned tasks in accordance with organizational missions and business
functions (NIST AC-6)
-Requires explicit authorization of security functions (NIST AC-6 (1))
-Automatically locks a user account if the number of consecutive invalid logon
attempts exceeds 5. The locked account remains locked until released by an
administrator or account unlocked after 24 hours (NIST AC-7)
-Prevents further access to the System by initiating a session lock after 15 minutes of
inactivity. The user reestablishes access using established identification and
authentication procedures (NIST AC-11)
SSP: Auditing
1 The SSP must describe the System capabilities that address these auditing
requirements.
-The System generates audit records containing information that establishes what
type of event occurred, when the event occurred, where the event occurred, the
source of the event, the outcome of the event, and the identity of any individuals or
subjects associated with the event (NIST AU-3).
-Audits events (NIST AU-3):
- User account creation, modification, disabling, and termination actions (NIST
AC-2 (4))
- External interface communications (e.g., web service calls and file transfers)
(NIST AC-17 (1))
- user login and logout
- failed login attempts, logging IP address or other location information
- user role creation and deletion
- user role to privilege assignment additions, deletions, or modification
- user role to user assignment changes
Appendix C
BUSINESS FUNCTIONAL REQUIREMENTS
COMPONENT 1: PROGRAM MANAGEMENT AND STAFFING
PART 1A: PROGRAM MANAGEMENT
STAFFING OVERSIGHT
1 The Vendor will hire and train Program Management staff and provide an updated
organizational chart and management structure immediately upon contract execution.
Suggested positions to be included with this cost are below. However, the Vendor may
propose a different structure.
1. Program Director (1)
2. Financial Administrator (1)
3. Program Technology Officer (1)
4. Quality Control Officer (1)
5. Coordination Officer to support cross-vendor work (1)
2 The Vendor will provide for the following staffing levels for the Call Center indicated in
their cost proposal by the date listed in the Timeline of Deliverables. After that date,
staffing levels will be adjusted as necessary to achieve the required KPIs. HCD is not
prescribing minimum staffing levels. However, if the Vendor is proposing less than the
numbers listed below, they should be prepared to explain in their Staffing Plan what
unique strategies they will utilize to meet the KPIs listed in the Call Center portion of
this SOW with less employees. HCD reserves the right to require additional contractual
guarantees for KPIs. The following staffing levels are effective for all services
provided from March 4, 2021 through August 31, 2021:
1. Customer Service Representatives (100)
2. Customer Service Supervisors (10)
3. Call Center Coordinator (1)
3 The Vendor will provide for the staffing levels for Case Management, Financial
Management and Quality Control proposed in their cost proposal by the date listed in the
Timeline of Deliverables. After that date, staffing levels will be adjusted as necessary to
achieve the required KPIs. HCD is not prescribing minimum staffing levels. However, if
the Vendor is proposing less than the numbers listed below, they should be prepared to
explain in their Staffing Plan what unique strategies they will utilize to meet the KPIs in of
this SOW with less employees. HCD reserves the right to require additional contractual
guarantees for KPIs. The following staffing levels are effective for all services
provided from March 4, 2021 through August 31, 2021:
1. Case managers (80)
2. Case manager Supervisors (8)
3. Case Management Coordinator (1)
4. Quality Control Supervisor/Specialists (5)
5. Financial Supervisor/Specialists (3)
4 The Vendor will provide for the staffing levels for Fund Disbursement proposed in their
cost proposal by the date listed in the Timeline of Deliverables. After that date, staffing
levels will be adjusted as necessary to achieve the required KPIs. HCD is not
prescribing minimum staffing levels or titles and requests the Vendor propose the
appropriate staffing, the below serve as examples. HCD reserves the right to require
additional contractual guarantees for KPIs.
1. Funds Transfer Manager
2. Payment Officers
3. Financial Specialists
5 HCD and Vendor agree that staffing levels will fluctuate based on the Program
needs but shall at a minimum meet the following levels effective September 1, 2021
through expiration of the contract:
Case
Fund
Management Call Center
Disbursement
Staffing Staffing Levels
Staffing Levels
Levels
Sep-21 1190 340 19
Oct-21 1190 340 19
Nov-21 650 190 16
Dec-21 650 190 16
Jan-22 600 190 15
Feb-22 525 90 12
Mar-22 300 90 7
Apr-22 200 90 7
May-22 200 55 7
Jun-22 150 55 7
Jul-22 150 55 7
Aug-22 150 55 7
Sep-22 150 55 7
56 Other/different labor categories may be proposed by the Vendor and approved by HCD
as needed throughout the contract period. Staffing levels as approved by HCD shall be
flexible and adjustable in accordance with project and program tasking. The Vendor shall
provide a weekly schedule of anticipated staffing levels by noon on Friday prior to the
start of the week.
67 The Vendor’s Program Director will have discretion to adjust how hours are budgeted and
assigned among the labor categories; unused hours in one labor category may be
transferred to another where there is a greater need; however, the Vendor will strive to
limit the total number of hours to only what is necessary to achieve the desired KPIs; The
Vendor will assign tasks to the lowest cost labor category that is qualified to capably
perform the work; labor hours will be reduced where volume is lower than expected or as
tasks become no longer necessary.
78 HCD may request that the Vendor hire additional staff, create new labor categories not
listed in this SOW, and negotiate labor rates for new roles as necessary.
89 The Vendor will provide an Operating Plan, including organizational chart, job
descriptions, a list of subcontractors, reporting roles, internal control procedures, etc.
Positions may be filled with Vendor staff and subcontractors including temp firms.
Target staffing levels are subject to change at HCD’s discretion.
9 10 Where possible, the Vendor will strive to fill positions with staff who reside in the State
of California and are located in areas impacted by Covid-19. Call Center and other task
areas are required to be located in the United States.
10 11 The Vendor will recommend staffing levels for Financial Administration, Program
Technology, Quality Control/Fraud Detection and any other teams/positions
recommended at HCD’s approval.
11 12 After the initial staff up, the volume of calls and inquiries, as well as the flow of
applications, is expected to vary greatly and is hard to predict. The Vendor will assess
staffing levels daily and will make recommendations to add or subtract staff as necessary
based on the desired KPIs.
12 13 The Vendor will train any HCD staff assigned to the project as necessary, and will include
assigned HCD staff in meetings, communications, guidance, etc.
13 14 The volume of applications and phone/email inquiries is expected to surge within the first
2-4 weeks of the program. All teams should be prepared to increase in size significantly if
necessary.
14 15 The Vendor will conduct background checks in compliance with California law for all
employees working on this program according to procedures approved by HCD and in
accordance with California law, and at the Vendor’s sole expense. Background checks
shall include:
o Social Security Number Trace and Address History
o Federal Criminal Conviction Report
o Nationwide Criminal Conviction Report
o Statewide Criminal Conviction Report
o National Sex Offender Registry
o State Sex Offender Registry - All states in which the individual has resided
o College/University Degree – May be performed based on position
This requirement must be complete within 15 days of employee start date.
15 16 All employees of the Vendor and Vendor’s subcontractors (herein referred to as Vendor
Staff) will sign Non-Disclosure and confidentiality agreements in a form prescribed by
HCD. No Vendor employee is permitted to discuss this contract or any part of this
program to a member of the press, social media, or on any publicly available platform
without prior written authorization from HCD.
16 17 The Vendor will provide Data Security Procedures for ensuring the safe and secure
transmission of all program data to employees, including policies and procedures for
handling Personal Identification Information (“PII”). The Vendor or its subcontractors will
provide all technology equipment necessary for Vendor’s employees to work securely,
including laptops, cell phones, Internet access etc. All hardware, software and Internet
access solutions shall comply with CDT requirements. HCD will ensure HCD staff have
appropriate equipment. The cost of purchasing any equipment shall be included with the
Vendor’s bid.
17 18 The Vendor will select and provide access to an Integrated Virtual Response and Contact
Center or similar recommended system to route calls; Vendor will develop workflow,
routing logic and scripts for automated attendant in at least English and Spanish. The
scripts should be in alignment with a SMS-Text service to be provided by the vendor.
18 19 The Vendor will ensure that a sufficient number of Vendor staff are Spanish speaking and
bilingual and are available to respond to all inquiries; The Vendor shall have a plan for
providing translation services for inquiries in other languages, including but not limited to,
Chinese, Korean, Vietnamese, and Tagalog. At all times the Vendor must comply with
Section 601 of Title VI of the Civil Rights Act of 1964, U.S Department of the Treasury
guidance, and other applicable laws and policies, The Vendor shall maintain a
subcontract with language translation services to ensure adequate coverage and to
provide for other languages not listed here.
19 20 The Vendor shall provide for TTY or other technology to assist people who are hearing
impaired if routing to a Local Partner in the Network is not a viable option.
20 21 No Vendor Staff will save any program data or PII on a hard drive, thumb drive or other
external device unless otherwise approved by HCD. Employees will only interface with
program data using the technology approved by HCD. Where documents must be
downloaded in order to be viewed, Vendor staff will be required to immediately delete any
files saved once no longer needed for application review. The Vendor shall describe the
protocol for safeguarding digitally stored PII in their Proposal Narrative.
21 22 Vendor will ensure that all staff with access to PII have been trained on applicable PII
Confidentiality and Security requirements and require staff to sign nondisclosure
agreements. Staff found to be violating confidentiality protocols or compromising
applicant data shall be immediately terminated. The Vendor will inform the HCD in writing
immediately of any breach in data security.
TRAINING
1 The Vendor will provide a Training Plan acceptable to HCD for all Vendor Staff working
in the Call Center; This plan will include:
1. Call Scripts for Frequently Asked Questions
2. Instructions for using the phone system established to support the Call Center
operations
3. Instructions for using the Vendor’s technology solution (the “System”)
4. A review of the requirements in the Act and SB 91 and Administrative Plan to
allow call center staff to take applications over the phone
5. Data security and confidentiality
6. Best practices for managing difficult customers, resolving disputes, etc.
7. Procedures to access applicant data, check applicant status and upload
documents
8. Confidentiality rules for disclosing applicant data
9. A plan for ongoing training and staff communication to identify vulnerabilities
apply lessons learned, update staff on policy changes, and promote best
practices.
10. The Vendor shall provide sensitivity training to all staff interacting with the
public to prepare them for appropriate communication with customers from
different and diverse backgrounds who may be calling in times of personal
duress.
2 The Vendor will provide a Training Plan acceptable to HCD for all Vendor staff on the
Case Management Team and any assigned state staff; Topics for this plan shall include:
1. A summary of the Act and SB 91 and its requirements
2. Administrative Plan Requirements
3. Use of the System.
4. Determining applicant eligibility and calculating HAP
5. Assessment of third-party income and lease documentation.
6. Verification of income using state and federal data
7. Data security and confidentiality
8. Best practices for managing difficult customers, resolving disputes, etc.
3 The Vendor will provide a Training Plan acceptable to HCD for all Vendor staff on the
Financial Disbursement Team and any assigned staff supporting the disbursement of
rental assistance funds.
4 The Vendor will schedule, and host team meetings and best practice sessions as
requested by HCD with team members from the various Vendors supporting this Program
and HCD staff to exchange information, update procedures and learn from common
experiences.
5 As part of the training plans, the Vendor will produce written training materials in
electronic form to be distributed to new Vendor Staff employees for the Case
Management, Customer Service and Fund Disbursement Teams. Training materials will
be made available in digitally in a secure format, easily accessible and capable of being
amended. Training materials shall become the property of HCD upon acceptance.
6 The Vendor may use a Train the Trainer method to orient Vendor Staff hired after the
initial training deadlines. HCD may audit or participate in training sessions as necessary
to ensure proper interpretation of program rules.
7 HCD is also contracting with a network of local, community based non-profit partners.
HCD may require the Vendor to include Nonprofit staff in trainings and orientation
meetings as necessary and provide applicant data to nonprofit partners upon request.
The Vendor will not be contractually responsible for the performance of nonprofit staff.
8 Training of HCD staff on the Vendor System will be very limited. Training for other
partners is expected to be set for small teams (10-15 people at a given time) up front to
support their content creation for the Marketing and Local Partner Network support.
POLICY AND OPERATIONS
1 The Vendor will deliver the Program in accordance with requirements in the Act and SB
91, the Administrative Plan, and all applicable federal and state rules and requirements.
HCD may amend the Administrative Plan as necessary. In that event, HCD will notify the
Vendor within the 24 hours of any amendments adopted, and the Vendor will be required
to update all procedures and training materials, notify all Vendor and subcontractor
employees, and implement the changes as soon as reasonably possible.
2 HCD will categorize amendments to the Administrative Plan as one of the following at its
discretion:
1. Emergency Amendment – must be implemented immediately.
2. High Priority Amendment – must be implemented within 24 hours.
3. Medium Priority Amendment – must be implemented within 48 hours.
4. Low Priority Amendment – must be implemented within 72 hours or a length of
time to be specified.
3 The Vendor may be asked to provide data to inform changes to the Administrative Plan,
as well as comments and suggestions regarding potential implications and unanticipated
outcomes.
4 The Vendor may be asked to provide guidance and recommendations regarding various
technology needs, requirements, and process flow, and suggest ways to streamline and
improve functionality.
5 The Vendor will produce written policies and procedures for case management, quality
control, fraud detection, collection of landlord documentation, appeals, etc. within 21 days
of contract execution.
6 The Vendor will produce daily metrics reports that will, at minimum, include updates on all
Key Performance Indicators and other required fields such as:
# of calls received in the call center
# average hold/wait times broken down for English, Spanish and other
languages/ASAs/CAR as required by Section 601 of Title VI of the Civil Rights Act of
1964, USDT Guidance, and all applicable California and Federal law and policy
#categories of calls received/disposition
Breakdown of calls requiring translation # of calls awaiting call-backs
# of applications started but not completed
# of applications received/# of applications entered by each nonprofit partner as proxy
# of applications with Primary Review completed/Case Curing/Secondary Review
required/completed/# of cases in appeals Total applications approved/paid and dollar
value of payments/Dollars remaining
Approved applicants awaiting W9s; length of time for landlord to reply # of appeals filed,
and determinations rendered
Other categories as requested by HCD
7 The Vendor will provide data upon request to fulfill reporting requirements for the U.S.
Treasury Department, SB 91, federal or state elected officials, and in response to any
monitoring or audit requirements.
8 The Vendor will create a log to track inquiries from HCD nonprofit partners, federal and
state elected officials, the Governor’s Office, etc.
PART 1B: STAFFING
CALL CENTER
1 The Vendor shall develop a Customer Service Plan that includes, but is not limited to, the
call center model, channels of support, service level agreements (SLA) and key
performance indicators (KPI), roles and responsibilities, monitoring and reporting, and
continuous improvement. The Vendor shall define KPI targets as discussed with and
approved by HCD, including but not limited to Average Speed of Answer (ASA) and Call
Abandonment Rate (CAR).
2 The Vendor will provide staffing solutions to meet the following KPIs at minimum:
1. Each Customer Service Representative should respond to and satisfactorily
resolve an average of 7 calls per hour. If the Vendor would like to propose different
KPIs to manage the call center they may, but changes to KPIs must be approved
by HCD prior to being used.
2. ASA for a caller shall not exceed 10 minutes. A function to let callers know the
wait time and a feature to be called back if wait times exceed 10 minutes should
be included within the design. Vendor will be held accountable to an average wait
time by caller at 10 minutes at any time.
Each email inquiry should receive a substantive response within 24 hours.
3 The Vendor will utilize a State provided toll-free 1-800 number and a program email on
HCD’s website and the Application Portal that will route inquires to Customer Service
Staff who are working remotely; The Vendor will be responsible for recording greetings,
automated messages and features for callers as approved by HCD.
4 The Vendor will generate daily call center metrics that may include, but not be limited to,
response times, number of incoming and outgoing calls, and outcomes/resolutions.
Vendor should propose metrics and HCD will approve. Comments and disposition for
each call will be logged.
5 Customer Service staff shall be accessible through a toll-free number and shall be
operational from 7 am- 7 pm PST Monday through Sunday, except State and federal
holidays, during the application period; Hours may shift to Monday through Friday after
the application period and may be shifted again at HCD’s discretion depending on call
volume and the need for outgoing calls. The Vendor will schedule staff sufficiently to
ensure adequate phone coverage to meet KPI at all times to comply with the above listed
KPIs. HCD reserves the right to require staffing on Sundays and holidays as well as
extended hours on other days if necessary. Staff hours will be staggered to ensure
sufficient coverage at all times while avoiding overtime if possible.
6 Customer Service staff shall be accessible by phone and email for follow up with callers.
The Vendor will schedule staff sufficiently to ensure adequate email coverage to meet
required KPI at all times.
7 Customer Service representatives will perform the following duties:
1. Respond to phone calls and emails; answer basic questions about the application
process and use of the portal.
2. Transfer calls and forward emails involving more complex, policy questions to a
Case manager.
3. Assist applicants who, based on phone and email inquiries, may be struggling
to complete the application; serve as proxy for applicants who require
someone to enter data and upload documents on their behalf. If additional
support is needed the applicant should be referred to a Local Partner in the
Network.
4. Provide for escalation of difficult callers to a supervisor.
5. Print and mail written correspondence to applicants and landlords who do not have
access to email or text.
6. Refer callers who requiring greater assistance to nonprofit partners; track and
follow up on status of referrals.
7. Send and receive W-9s from landlords and upload them to landlord portal.
8. Identify any coding errors or loss of service in the applicant portal or administrative
portal and report to HCD.
9. Participate in outgoing call campaigns to collect information and documentation
from applicants and landlords.
10. Respond to applicant inquiries about the status of their application and provide
direction on next steps.
Other duties as necessary to assist applicants and landlords in applying for assistance in
a timely manner.
8 Personal Identification Information may not be transferred from applicants or landlords by
email; the Vendor will provide a secure method to receive documents with PII, utilizing a
portal, encrypted emails, etc.
9The Call Center shall have procedures for referring callers to other available services in
California; including but not limited to Local Partners in the Program Network, the 211
County Services, Continuums of Care, Housing Authorities, other rental assistance
programs in the area, state programs such as CalFresh, etc.
10 The Call Center shall have procedures for routing, elevating, and reporting calls from
callers who threaten harm or who pose an immediate danger to themselves or others.
CASE MANAGEMENT
1 The Vendor shall develop Application Review Procedures that will include the process for
case management staff and supervisors to review applications and documentation, verify
eligibility, validate income and rent calculations, collect landlord payment data, and
approve subsidy payments under the oversight of HCD. This will include developing
process flow diagrams, policies and procedures, and other documents as necessary. The
Vendor will recommend quality control protocols and internal controls to ensure accuracy,
prevent fraud, and minimize error. The Vendor shall define methods and workflow and
establish KPI targets with HCD approval.
2 The Vendor is responsible for ensuring that no duplicate payments are issued and may
be held financially responsible for duplicate payments or overpayments that must be
recaptured due to Vendor error. The Vendor will, at minimum, ensure that:
1. No individual is able to submit and have approved more than one application to this
program on behalf of the same eligible household over the same time period.
2. No individual who submits an application is also listed as a household member on
another application.
3. No individual is counted as a household member on more than one application.
4. The Landlord and the Tenant are not the same person. The Vendor will at minimum
be expected to cross reference names, addresses and social security numbers (if
available) of applicants and household members. It is anticipated that the System
(see requirements below) will automate this function and flag duplicate applications
to the extent possible.
3 Case managers will work Monday through Saturday from 7 a.m. to 7 p.m. PST, except
State and Federal holidays. Case managers hours should be staggered to ensure
sufficient coverage.
4 Case managers will perform a Primary Review to determine applicant eligibility as
determined in The Act, SB 91, and based on the eligibility criteria agreed upon with HCD.
Upon contract award the Vendor will be provided a copy of the Administrative Plan which
provides detailed criteria for eligibility. As a result of the Primary Review, applications will
be approved, denied or paused due to insufficient/incomplete information; applications
that are paused will receive a Secondary Review for case curing, where case managers
will request and review missing or clarifying documentation. Applicants may also appeal a
denial, which would trigger one additional review. Tasks performed by case managers
include, but is not limited to:
• Check the lease rent, as applicable and confirm that it is the same as the rent
listed on the application.
• Verify that the tenant household information listed on the lease matches the
information provided by the tenant.
• Confirm that the total income provided by the tenant on the application is
consistent with the income documentation provided.
• If there is a discrepancy in the income calculation, verify that the discrepancy is
within the allowable limits as stated in the Administrative Plan.
• Calculate and confirm that the HAP calculation is correct and aligns with the SB 91
compensation structure.
• Receive calls and emails forwarded by Customer Service Representative.
• Contact an applicant by phone, email or mail who require additional
documentation or information in order to determine eligibility.
• Collect, cross reference, and validate landlord W-9 data for payment.
• Contact applicants whose file requires additional documentation.
• Flag documents that look forged, altered, or inaccurate.
• Utilize third party data sources as approved by HCD to verify applicant data.
• Other validation as determined necessary.
Flag and follow up to request additional documentation, attestations, etc. as per the
Administrative Plan for applicant’s reporting questionable data – such as unusually high
rent burden (rent greater than 80% of household income) or zero income.
5 HCD The Vendor may be requested to link the System or support an exchange of
Program data to the California Homeless Data Integration System (HDIS). Data
exchange would be an export of program data only.
6 Case managers will also receive calls and emails routed from the Customer Service
Team and answer more complex questions regarding eligibility and subsidy calculation.
7 The Vendor shall provide HCD with a daily Case manager performance report in a
mutually agreed format. These reports shall document performance over the past day,
including but not limited to the current Case manager Staffing Level, the number of initial
and secondary reviews completed, landlord W-9s collected and matched, number of
applications in approved, denied and paused status, , the average application processing
times, and common reasons for denial of assistance.
FINANCIAL MANAGEMENT
1 The Vendor will produce a payment file to the Vendors Fund Distribution Partner for direct
deposit transfers (and in rare cases paper checks), as stipulated by HCD. Payment files
will take place at least weekly.
2 The payment files will include all applications approved for payment for that week/pay
period and will group payments to the same landlord/corporate entity.
3 The Vendor will ensure the proper withholding amount as required by State and Federal
law. The Vendor will be responsible for ensuring that it complies with all applicable laws.
This includes tax law, which the state cannot provide advice on. The vendor will be
responsible for ensuring that all its employees and its subcontractors’ employees have
proper withholding amounts withheld from their respective paychecks. Additionally,
vendor will be responsible for providing any tax information or documentation to landlords
that receive payments under the program, whether or not they are resident or otherwise.
4 The payment file will include an IPT file and payment reconcile file in formats to
recommended by the Vendor. These files will be delivered to the Fund Distribution
Partner for processing.
5 The Vendor will maintain and report weekly on the budget for the program allocation, and
will at minimum track:
• The total dollar value requested for the applications received
• The total dollar value for applications approved but not yet paid
• The total dollar value of applications paid
• The amount of funding remaining
• Projections of how many applications
may be funded.
• Total expenses to date and projected
future expenses for the Vendor
In addition to being shown in the aggregate, data should be shown based on the
Geographic Reservation Tables outlined in the Rental Assistance Program Reservation
Table: https://www.hcd.ca.gov/grants-funding/active-funding/erap/docs/rental-assistance-
allocations-table.pdf and Round 2 https://www.hcd.ca.gov/grants-funding/active-
funding/erap/docs/rental-assistance-allocations-table-round-2.pdf
6 The Vendor will be responsible for ensuring the landlord portal properly links W-9
information from landlords with their respect tenant applicants and ensure that the correct
landlord and corporate entity are paid for each applicant. The Vendor Fund Distribution
Partner will include identifying information on the ACH transfer so Landlords will multiple
Eligible Tenants are able to reconcile which household rental arrearages have been
covered under the Program.
7 The Vendor will report any overpayment of HAP funds that is discovered, regardless of
the cause, to HCD within 24 hours. The Vendor will identify the reason for the
overpayment, including but not limited to applicant or staff error, fraud, etc.
8 The Vendor will generate 1099s, 1042s and any other required IRS reporting documents
on behalf of HCD in compliance with federal and state law for all landlords for 2021 by the
date required by law.
9 The Vendor will generate reports demonstrating Verification of Awardees Bank Account
(pre-note testing).
10 The Vendor will generate reports demonstrating the completion of safe and secure
payment disbursements of rental assistance funds to the Landlord or Tenant. Information
should be provided on failure rates as well and how many transactions were able to be
remediated.
QUALITY CONTROL/FRAUD DETECTION
1 Supervisory ratios shall not exceed 10:1 unless otherwise approved by HCD. At least one
supervisor shall be on duty at all times for both the Call Center and Case Management
Team.
The Vendor will provide quality control staff to review the determinations of the Case
2
managers. Quality control staff will audit no less than 10% of all applications reviewed by
the Vendor. This Quality Control is in addition to case manager and supervisor reviews.
3 The Vendor will establish a plan for ruling on applicant appeals that is consistent with the
Administrative Plan. An appeal may be reviewed by a Case manager, provided that the
person hearing the appeal did not also complete or approve the initial determination. A
supervisor or quality control specialist may also be used for this purpose.
4 The Vendor will provide staff to follow up on complaints regarding fraud, waste and abuse
received from applicants, landlords, staff, or the public. Investigation and prevention of
future fraud is intended to be the Vendor’s responsibility.
5 The Vendor shall provide to HCD weekly Quality Control report detailing the number of
files audited and the most common errors.
6 The Vendor will report any overpayment of HAP funds that is discovered, regardless of
the cause, to HCD within 24 hours. The Vendor will identify the reason for the
overpayment, including but not limited to applicant or staff error, fraud, etc.
7 The Vendor will report any allegation of illegal activity by any Vendor Staff to HCD
immediately. The State may separately pursue criminal investigations notwithstanding.
COMPONENT II: TECHNOLOGY SOLUTION
FUNCTIONAL REQUIREMENTS
PART IIA: CUSTOMER FACING PORTALS
The Vendor will design, build and host an interactive, web-based solution that shall enable the
capture and storage of an Application to the Program that will be added to the waiting list,
prioritized and reviewed, while also verifying landlord identity and collecting payment/tax
documentation. The Vendor will be responsible for ensuring that it complies with all applicable
laws; this includes tax law, which the state cannot provide advice on. The portal must allow
either landlords or tenants to initiate the Application for a given Household. The portal must allow
applicants to check application status. The portal shall provide for a mobile application. The
Vendor shall propose a strategy for utilizing technology to communicate with tenants and
landlords that should include some combination of automated emails and texts, message
postings within the portal, etc.
All customer facing portals shall be screen reader accessible and ADA compliant.
Applicant Portal
1 The Vendor will create a pre-screening tool that requires a tenant, landlord or utility
provider applying on behalf of a tenant to enter the tenant’s city, county, income, status as
a renter, and unemployment status to determine if they meet the basic criteria for this
program.
2 The portal must accept applications from landlords, tenants and utility providers.
Given the sensitive nature of some tenant information, the Vendor will work closely
with HCD in the program design to determine what information is sensitive tenant
household information and to put in place reasonable safeguards so that landlords
are not seeing more tenant data than necessary.
3 The portal shall prompt and allow the applicant to upload attachments by required
category as prescribed in the Administrative Plan. This may include:
o Lease and proof of tenancy
o Income documentation
o Acceptable identification
The attachments shall be linked to the application.
4 The portal must allow an Applicant to save an application, and later return to
complete it. The portal must also allow an applicant to check the status of their
application once submitted.
5 The application must allow for applicants and household members to self-certify
income, and to certify the accuracy of income provided by third party sources
including other State data systems.
6 The applicant shall enter the name, address, phone number, and email address of
the landlord; The solution shall generate an email and/or text message to
landlord, when provided, notifying them that an application has been received and
prompting them to access the Landlord Portal (see below).
7 The portal shall enable the tracking of various eligible incomes, such as from
wages, from welfare assistance (such as Temporary Assistance for Needy
Families [TANF]), from pension and social security benefits, and from other
sources such as child support and unemployment insurance.
8 The portal shall enable the tracking of an authorized individual (“proxy”) who
would act on behalf of Applicants who cannot handle program obligations on their
own. This authorized individual would be able to perform all the same functions as
the Applicant; this may include Call Center staff as well as staff working for
nonprofit partners.
9 The portal shall track how many applications were entered by or within each Local
Network Partner’s jurisdiction.
10 At the close of the application period, the Solution shall generate a waiting list
based on the priorities in the Administrative Plan. This Waiting List will determine
the order in which applications are reviewed.
11 The portal will prompt an Applicant to validate all amounts entered at time of entry and
shall provide
an “assistance calculator” to show applicants how much subsidy they may be
eligible to receive.
12 The portal will display and compare total amounts against monthly amounts as
applicable.
13 The portal will be available in at English, Spanish, Tagalog, Vietnamese, Korean,
Chinese and any other languages as applicable under Section 601 Title VI of the Civil
Rights Act, USDT guidance, and any other applicable State or Federal law or policy. The
portal must prompt applicant to indicate their preferred language.
14 The portal must validate that the address provided in the application for assistance is a
valid USPS address. If the address is a valid
USPS address, the system must allow the applicant to proceed. If the address is not a
valid USPS address, the system must ask the Applicant to validate their address. Not all
addresses are valid USPS addresses and support to ensure eligibility must be made
available to assist in validation, to include coordination with the Local Partner Network
Provider operating in the applicant’s area. Non-USPS validated addresses must be
validated as a real physical place being used as a residence.
15 Duplicate account: An application in which a Tenant Household’s address appears across
two or more applications for the program, and in which the same household members
names or social security numbers also appear is a duplicate application. The solution will
flag and reject the application from an individual who attempts to enter a duplicate social
security number that has already been entered by a previous applicant.
16 The applicant shall certify that they are not presently receiving Section 8 or another form
of federal, state, or local rental assistance for the same time period. If the applicant is
receiving Section 8 or another form of federal assistance, it must be determined if they
have recertified with the Public Housing Authority or applicable Government Entity to
determine eligibility.
17 The landlord shall report if, the amount, and by how many months they are currently
owed rent by the tenant(s) they are applying on behalf of. If a landlord does not
participate in the program, a tenant shall report if, the amount, and by how many months
they are currently behind in rent in the landlord’s place.
18 The portal shall generate and send an email Receipt of Application notification and an
auto-generated confirmation number to the tenant and the landlord upon completion of an
application. The documents must be sent in English and the tenant/and or landlord’s
primary language(s). HCD will provide templates for the required forms.
19 The portal shall capture and maintain a 50% and 80% of median income eligibility limit by
geographic location listed in the State’s Funding Distribution Table. This includes Cities
and Counties over 200,000 in population as well as Counties with populations below
200,000.
20 The portal shall identify whether the tenant meets income eligibility and prioritize the
tenant household by whether they are below 50% of median, and according to other
priorities in the HCD Administrative Plan. In some jurisdictions a local program may be
operating concurrently, and other median income categories may need to be tracked to
bifurcate eligibility between programs.
21 The portal shall permit the applicant to upload additional documents required in response
to a case curing notice or appeal, after the application period has closed; these
documents will become a part of the application. Upon logging in, the Portal should list for
the applicant what documents are presently missing or require clarification.
22 The portal shall provide a method for an applicant to enter an appeal of a notice of denial.
23 The portal shall not allow an Applicant to appeal an application denial if not received
within the timeframe in the HCD Administrative Plan.
24 The portal shall enable an Applicant to view the Application they have submitted.
25 The portal shall enable an Applicant to access, view, download, and print their Receipt of
Application notification.
26 The portal shall enable an Applicant to update their contact information.
27 The portal shall enable an Applicant to request modification of their Application
information.
28 The portal shall not allow the update of data fields on their Application beyond contact
information. (Business Rule); Applicants may upload additional attachments upon request
in response to case cure/appeal notifications.
29 The portal shall enable an Applicant (the tenant in cases where tenant applying and the
landlord and tenant in cases where landlord applying on applicant’s behalf) to digitally
sign and affirm the truthfulness of their application.
30 The portal shall enable the Applicant to request a reasonable accommodation and track
the status of such request.
31 The portal and all its functionality shall be accessible through a mobile device.
32 The portal shall allow the tenant applying on behalf of the household to sign the
application and provide consent for HCD to access any income data that other California
State Departments (i.e. Child Support, SCO, FTB, BOE) may have related to them.
33 In all cases, the Vendor should take reasonable steps to ensure Landlords and Tenants
are not seeing unnecessary sensitive data input by or produced for the other party
including but not limited to W-9's, Tenant disability status, and Tenant Race and Ethnicity.
The Vendor will work with HCD in the design phase to limit the sharing of sensitive
Landlord and Tenant information between the parties.
34 The Vendor shall design the portal and documentation requirements in consultation with
HCD and the Local Partner Network Partner to ensure the portal is easily accessible by
Californian’s most impacted by the COVID-19 Pandemic, under 50% AMI, and historically
underserved by State and Federal resources.
35 The portal shall require users to access the portal through use of a login and password
and shall support Multi-Factor Authentication (MFA).
36 The portal shall enforce password security.
37 The portal shall allow for password self-service reset (i.e., after lockout) for external
users, after authentication of user by challenge response processes or equivalent.
38 The portal shall include mechanisms to prevent Internet bots from creating fake accounts
and accessing the portal.
39 The portal must perform an automated check at the beginning of the application that the
address falls within the geographies covered by the CDFI, and if not, a redirect to a local
jurisdiction that opted for a block grant and is administering their own CRF Rental
Assistance Program. The names of the Cities or Counties that are participating is listed in
the Rental Assistance Program Reservation Table: https://www.hcd.ca.gov/grants-
funding/active-funding/erap/docs/rental-assistance-allocations-table.pdf
If changes to the Reservation Table are made, the Vendor will be notified in program
management meetings immediately upon a city/county notifying HCD of its plan to opt
into the state run program. The process would be managed through a contract
amendment to add resources and scope to the contract to reflect a change of this nature.
40 The portal must perform a check within the review that ensures periods of arrears
covered by CRF, either CARES or the Rental Assistance Program were not already
covered by federal rental assistance funds
41 The portal shall automatically save to avoid loss of entered data on entry forms and ability
to save incomplete submissions and return to them later.
42 The portal shall present a simplified application questionnaire to the applicant and
generate a score based on the responses provided by the applicant. The scoring system
will be provided to the Awardee in the Administrative Plan upon award. The scoring may
include elements such as Area Medium Income (0-80%); Address located in an area
disproportionately impacted by Covid19 (Y/N), etc.
43 The portal must flag an application for an internal user review if the criteria for duplication
of benefits are met.
44 The portal must flag an application for an internal user review if the criteria for Fraud are
met.
45 The portal shall identify possible duplicate records and perform error checking.
46 The portal shall have an internal communication function between Case Management
staff and the applicant.
47 The portal shall allow internal users to create/customize letter and email templates that
mail‐merge data from the portal.
48 The System must provide the ability to verify awardee's bank account
49All System generated documents and web pages must comply provisions included in
California AB 434 State Web Accessibility
50 The System shall create reportable audit trails tracking including data points such as
user, action (read, write, delete), and timestamp.
Landlord Portal
1 The solution shall include a secure portal to support self-service capabilities for Landlords
who participate in the program; the solution shall prompt landlords to agree to the terms
for receiving assistance prior to processing payments.
2 The portal shall enable the Landlords to maintain limited demographic/contact information
and request other changes such as for bank account information, and TIN. The Vendor
will work closely with HCD in the program design to determine what information is
sensitive Tenant household information and to put in place reasonable safeguards.
3 The portal shall enable the Landlords to view their year-to-date payments
4 The portal and all its functionality shall be accessible through a mobile device.
5 The portal shall enable the Landlords to view their IRS required documentations (e.g.
1099, 1042). Note: IER-001 is notices on portal.
6 The portal shall identify a unique ID for each landlord, and associate that with IDs for
individual corporate entities.
7 The portal shall link landlord ID with tenant confirmation numbers.
8 The portal shall allow a landlord to track multiple properties with tenants eligible for the
Program.
9 The portal shall allow landlords to see previously uploaded documents. However, at no
time will Landlords be able to access sensitive Tenant household information. The
Vendor will work closely with HCD in the design phase to determine what information is
sensitive Tenant household information and to put in place reasonable safeguards.
10 The portal shall provide a display for landlord to see a list of applicants who have been
approved for payment in their properties.
11 Technical support for landlords shall be available in the Call Center.
12 The portal shall display text in multiple language including but not limited to English,
Chinese, Spanish, Korean, Vietnamese, Tagalog, and any other languages as required
by Section 601 of Title VI of the Civil Rights Act of 1964, USDT Guidance, and any other
applicable State or Federal law or policy.
PART IIB: BACK OFFICE SOLUTION FOR CASE MANAGEMENT, PAYMENT PROCESSING
& WORKFLOW
In addition to external facing portals for landlords and applicants, the Vendor will also provide a
variety of back office solutions to assist case managers in tracking application status,
performing eligibility determinations, calculating subsidy, processing appeals, requesting
documentation from applicants, and processing payment.
1 Once an application is submitted through the portal, the back-office solution shall:
o In partnership with local Housing Authorities, run section 8 and public housing
Verification or comparable process to verify Section 8 recipient eligibility to receive
assistance.
o Verify Application information with data from third party systems and when
applicable participating local jurisdictions.). This should include the State
Controller’s Office Death roll and Prison data. There is no existing interface
with the Controllers office. The State has a flat file of inmate data for
comparison.
o Prioritize Cases
o Assign Cases (both automatically and allow case manager supervisors to make
assignments)
o Determine applicant eligibility
o Update information provided by applicant
o Calculate subsidy for approved applications
o Link and access application attachments
o Record and track applicant status
o Manage a one-time Appeal process
o Provide categories regarding the reasons for a denial.
o Generate approval, denial and case curing notices individually or in bulk
o Process requests for and track appeals
o Enable quality control
o Link landlord W9 submissions in the Landlord Portal with Applications
submitted through the Landlord Portal
o Generate payment files
o Receive returned/voided payments and re-issue/adjust payments as necessary
Case Management
1 HCD may require the Vendor to link its solution to access and upload data from other
state or federal agencies. This data will be used to verify applicant-supplied data and
identify ineligible households in advance of case management. The specific path for
linking systems may vary depending on the
configuration of the Vendor’s data solution. The Vendor and HCD will work collaboratively
to establish a link that is streamlined and secure.
2 The Solution shall provide the ability to enter and maintain verification results for other
income sources.
3 The Solution must alert case manager if the applicant has indicated communication in a
preferred
language and which language.
4 The Solution must allow identified case managers or call center staff to scan and upload
documents to
an associated case and generate a notification to the assigned case manager
5 The Solution must allow Case managers to see and process assigned cases.
6 The Solution must provide for different roles and level of access, such as: case manager,
supervisor,
program manager, QC staff, call center, and other roles as recommended by the Vendor.
7 The Solution must generate a unique confirmation number for each successfully
submitted application.
8 The Solution must be capable of transferring data to HCD in a useable format upon
request.
Data may either be for individual applicants, a partial subset of applicants and landlords,
or a full data set.
9 The Solution must track case status using the following Cases
statuses: New
Open/Assigned
Pending LL Verification
Case Approved/Payment in-progress (ITP file generated and sent to
HCD finance) Check Issued (Payment Dispersed in excel)
Case Denied/ineligible Case
Closed
Case in Appeal
The Solution must case manager the following sub-statuses for Cases
in Appeal Pending Appeal Determination
Pending Appeal Approved
Pending Appeal Denied
The Solution must case manager the following sub-statuses for Cases
under Audit QC Pass
QC Fail
10 The Solution must allow case managers to set due dates for receipt of documents for
individual cases.
Case Manager supervisors will have ability to set due dates for multiple cases or
categories of cases.
11 The Solution must allow authorized case managers to manually update case
statuses. The status should be visible to staff in the Call Center as well as notes
regarding the reason for the status,
including missing documents, reasons for applicant denials, etc.
12 The Solution must allow authorized case managers to indicate the applicant has
requested “reasonable
accommodations.”
13 The Solution must allow case managers to extend the due date of the application or the
time frame for
appeal if a household with a member with a disability requests such extension as a
reasonable accommodation, per the requirements in the Administrative Plan.
14 The solution shall provide configurable alerts for approaching case curing and appeals
deadlines. The Solution must notify case managers when due dates have passed.
15 The solution shall enable the geocoding of the address of the housing unit for purposes of
reporting and data visualization.
16 Where HCD is able to facilitate secure data sharing with local governments; the solution
shall enable the tracking of Applicants who are entering the program and are participating
in other State programs.
17 The solution shall automatically calculate the Housing Assistance Payment (HAP)
amount for the Applicant based on information about the Applicant.
18 The solution shall allow for the auto generation of individual and bulk email and text
notices for approval, denial, case curing and appeals; these notices shall be able to pull
data from individual applications to provide reasons for denial. Letters shall be generated
in English as well as preferred language of applicant. Copies of the notices should be
logged with the applicant file.
19 The solution shall record the date of request for an Appeal if such is received
20 The solution shall allow case managers and supervisors to conduct an additional review
in response to an appeal, record the date a decision is rendered, and change the
applicant status as necessary.
21 The solution shall enable the creation, display, and update of Applicant information.
22 The solution shall allow for quality control staff to review a file, both prior to and following
payment, change status, and report any fraud or need to recapture funds.
23 The solution shall enable an association to be created and maintained between an
Applicant and a Case Manager. This includes the ability to transfer Applicants from one
Case Manager to another, individually and in bulk.
24 The solution shall enable the maintenance of supervisory relationships between Case
Managers and supervisors.
25 The solution shall enable the searching of program Applicants based on criteria such as
name, address, phone number, and tax identification number (TIN).
26 The solution shall include an appointment scheduling capability for meetings between
case managers and Applicants/Landlords or their designated representative.
27 The Solution shall generate data tables that can display a full or partial list of the
applicant universe that are accessible and allow for editing by a limited number of high
level ‘super users.’
28 The solution shall enable the maintenance of bank account information for the Applicant
and the Landlord.
29 The solution shall track claims of Violence Against Women (VAWA) protections from an
Applicant, which prevents them from being penalized as a result of being a victim of
VAWA-protected crimes.
30 The System shall create reportable audit trails tracking including data points such as
user, action (read, write, delete), and timestamp.
Financial Transaction Management
General
1 The solution shall support payments by both check and Automated Clearing House (ACH).
2 The solution shall exchange financial transaction information with the Vendors’ Fund
Distribution solution and the Vendor’s Application/Case Management software utilizing
the most efficient data transfer mechanism available at the time.
3 The solution shall maintain all currency information, down to the cents. All payments will
be made in US Dollar.
4 The solution shall track detailed information around all payments as required.
4A The solution shall track data validation, log changes, and include help text.
Payments
1 Payee funds will be held in trust in a defined account until disbursement not to be
comingled for any other purpose than disbursement to specific payees. The solution shall
track each payment, including amount, date paid, returned status, and repayment status.
2 The solution shall process Housing Assistance Payment (HAP) amount check
payments and send to the Vendor’s Financial Distribution Partner at a minimum on a
weekly basis.
3 The solution shall process Housing Assistance Payment (HAP) amount Automated
Clearing House (ACH) payments and exchange the corresponding transaction
information with the Vendors’ Fund Distribution solution and the Vendor’s
Application/Case Management software, at a minimum on a weekly basis.
4 The solution shall process individual stop payments on check transactions, as needed,
and exchange the corresponding transaction information with the Vendors’ Fund
Distribution solution and the Vendor’s Application/Case Management software.
5 The solution shall process Automated Clearing House (ACH) returns and Notification of
Change (NOC) information received from the S Vendors’ Fund Distribution solution and
the Vendor’s Application/Case Management software.
6 The solution shall process Automated Clearing House (ACH) reversals as needed so
that a previously issued ACH payment can be canceled within 5 business days and
exchange the corresponding
transaction information with the Vendors’ Fund Distribution solution and the Vendor’s
Application/Case Management software.
7 The solution shall process Housing Assistance Payment (HAP) Withholdings, at a
minimum on a weekly basis, as a result of the Notice action as per IRS guidelines, and
exchange the corresponding transaction information with the Vendors’ Fund
Distribution solution and the Vendor’s Application/Case Management software.
8 The solution shall process additional payments, credit or debit, to the Landlords, as
needed, and exchange the corresponding transaction information with the Vendors’
Fund Distribution solution and the Vendor’s Application/Case Management software.
9 The solution shall track payments that are not actually received by the Landlord, or are
returned by the Landlord, and deducted for 1099 purposes.
10 The solution shall have the ability to consolidate multiple payments to the same
Landlord into a single payment, if requested by the Landlord. All payments made to the
Landlord must include identifying information on which Household arrearages are being
paid.
11 The solution shall allow for the classification of landlords as non-resident aliens and
facilitate the placement of any mandatory withholding percentage upon Housing
Assistance Payment (HAP) payments that is needed to adhere to IRS regulations
and/or provisions of any established tax treaties between the United States and the
Landlord’s home country.
12 The Solution will track when a landlord has failed to provide the required tax
documentation or has not accepted the terms of the assistance within the timeframe
required in the Administrative Plan, and shall instead issue the payment to the tenant.
13 The solution shall identify overpayment on Repayment Agreements to determine if a
refund is called for. The solution shall process one-time payments to the Applicant for
adjustments needed for payments made in error.
14 The solution must allow case managers to indicate a payment needs to be reissued
(reprinted).
o The reissued payment amount must be added back into the Available Funds.
o The Case Status must be reverted to “Supervisor Approved / Pending Payment”
o The solution must include the reissued amounts in the next IPT file sent to
Vendors’ Disbursement Partner
o The solution must generate a new check or payment number for the reprint
o The solution must associate the reissued payment information to the applicable
landlord and applicant records.
The solution must track all repayments associated to the landlord for proper 1099
generation.
15 The solution must allow case managers to indicate if a specific payment is being
returned.
If multiple applicants are associated with the payment, the solution must require case
managers to indicate which associated applicant(s) and their specific payment(s) are
being returned.
The solution must require case managers to indicate if it’s a full payment
return, or partial payment return for each applicant selected.
If a partial payment is returned the solution must require case
managers to: Indicate which applicant, the money is being
returned for
Provide the returned payment amount.
The solution must generate correspondence for each applicant selected.
The solution must provide the ability to generate paper copy for physical
mailing or send via email if an email address is provided.
If an email address is provided, the solution must generate an automated email.
16 The solution must allow case managers to regenerate payment(s) for applicants whose
funds are not being returned but who’s award amount was part of the original check in
the next IPT file generation
for reissuance.
17 If a payment is being returned, the solution must add the returned payment amount
back into the total available funds.
The reissued check amount must be added back into the available funds.
The case status must be reverted to “Case Approved / Supervisor Reviewed
Pending” -- - To allow for Landlord editing as needed.
- Once file is in “Supervisor Approved/Pending Payment”
The solution must generate a new check number
The solution must associate the reissued payment information to the applicable
landlord and
applicant records.
18 Stop Payment after no cashing within 180 days
Program staff outreach to owner – The Financial Disbursement Partner will run their
report and inform the Landlord Team when checks are outstanding at 30, 60, 90-day
intervals. Case managers will conduct outreach to landlords.
Stop Payment on checks that are not cashed or deposited after 180 days
and multiple attempts at outreach.
- Financial Disbursement Partner can stop payments outside of the
Backoffice solution if there are less than 10 checks.
- The solution will need to generate the IPT file if there are more than 10
checks.
The solution shall enable the case manager to indicate that a stop payment has been
issued on a check and link this to a Landlord.
19 The solution shall process incoming payments as checks, cashier’s checks, or money
orders for returned funds.
20 The solution shall allow for bulk voiding of checks. Voiding checks may be needed, for
example, to stop payments on checks issued in error, lost, stolen or destroyed.
21 The solution shall enable the generation of Housing Assistance Payment (HAP)
overpayment electronic notification and electronic payment slip for the Landlord to
download on the Landlord’s Portal.
22 The solution shall track Housing Assistance Payment (HAP) overpayments that the
Landlords have been notified about, but the money has not been returned to HCD.
23 The solution shall process receivables received from Landlords, along with the
corresponding payment slip.
24 The solution shall process check payments made by Landlords through the Lock Box and
shall track them for 1099/1042 purposes, tying it to the correct tax year.
25 The solution shall process payments from another entity acting on behalf of an Applicant
through the Lock Box, such as the California Office of the Attorney General or a local
government body.
1 The solution shall import B-Notice information received from the IRS annually, compare
against Section 8 information, and create first B-Notice letters to notify the Landlords.
The first B-Notice letters shall be electronic and available either for printing and mailing
or for sharing via the Landlord Portal.
Note: IRS sends electronically if >250 Landlords, otherwise paper.
2 The solution shall track the deadline of 15 business days from Vendor’s receipt of the IRS
B-Notice information for when the B-Notice letters must be sent to the Landlords, provide
reminder. (Business Rule)
3 The solution shall track the deadline of 30 business days from Vendors’ receipt of the
IRS B-Notice information for Landlords to respond to first B-Notices. (Business Rule)
4 The solution shall put Landlord on withhold status and withhold Housing Assistance
Payments (HAPs) from Landlords who have not responded to their B-Notices within the
deadline.
5 The solution shall take a Landlord off withhold status once the Landlord satisfactorily
responds to their B-Notice and track this date.
6 The solution shall track if a Landlord receives two B-Notices over a period of three
years and send a second B-Notice in that scenario. The second B-Notice shall be
electronic and available either for printing and mailing or for sharing via the Landlord
Portal.
7 The solution shall remove withhold status from a prior year when the Landlord has not
received a B- Notice in the following three calendar years.
8 The solution shall track Landlords who are exempt from B-Notices withholding, so that
B-Notices are not sent to them. Exemption selection options shall adhere to the
exemption codes and entity-types listed in the W-9 instructions.
9 The solution shall enable the maintenance of Lien Notice information about a Landlord,
as received from the IRS.
10 The solution shall generate and transmit to the IRS, as needed, a list of Landlord
information, including but not limited to Name and Tax Identification Number.
11 The solution shall import Landlord verification information received from the IRS, as
needed.
12 The solution shall generate 1099 information about payments and withholdings for
each Landlord and transmit to the IRS annually via the Vendors' Fund Disbursement
Partner.
13 The solution shall generate 1042 information about payments and withholding for each
Non-Resident Landlord and transmit to the IRS annually via the Vendors' Fund
Disbursement Partner in order to fulfill any 1042 withholding summarization reporting
requirements.
14 The solution shall enable the regeneration of 1099 information about payments for a
specific Landlord, as a replacement 1099, if the first 1099 was deemed undeliverable
by the Vendors' Fund Disbursement Partner.
15 The solution shall enable the generation of 1042 information about payments for a
specific Non- Resident Landlord, as a replacement 1042, if the first 1042 was deemed
undeliverable by the Vendors' Fund Disbursement Partner.
16 The solution shall allow for the designation of Landlords as Non-Residents and capture
the type of W- 8 form submitted by such Landlords.
17 The solution shall track the length of time since a submitted W-8 has been signed, and
will issue an alert prior to the end of the third succeeding calendar year.
Reporting and Data Analytics
1 The solution shall have configurable dashboard capability on the home page for each role,
to display metrics and notifications that are relevant to the role, using numeric or graphical
components. The dashboard components shall include active links that will support drill-
down capability to navigate to more detailed queries or reports.
2 The solution shall have parametrized canned reports to meet decision support needs for
program operations.
3 The solution shall have a robust ad-hoc reporting capability that will allow the end user to
design the content, layout, and calculated values included on the report.
4 The solution shall enable the sorting of data that is displayed as a result of an online
query.
5 The solution shall enable Copy, Customize, and Save-As functions on an existing canned
report. The solution shall enable the user to optionally share this saved report with other
users.
6 The solution shall enforce access to data included in online queries and reports, based
on the organizational structure of which the end user is a part. (Business Rule)
7 The solution shall have the ability to export all data shown in online queries and reports
into multiple formats, such as PDF and MS Excel.
8 The solution shall have the ability to overlay program data on spatial data utilizing
geocode at a granular level to be determined, such as county, congressional district,
opportunity zone, or property address, to drive online queries and reports.
9 The solution shall enable the generation of scheduled batch reports on different
periodicity, such as monthly or quarterly.
10 The solution shall enable trend analytics queries to detect program performance trends,
such as landlords with chronic problem patterns, tracking of timeliness goals, etc.
11 The solution shall enable online queries and reports for workload analysis for Case
Managers.
12 The Vendor should estimate that 20 HCD staff will need access to the reporting and
analytical functionalities in the Vendor’s system.
13 Vendor should provide executive level dashboards that can be used by approximately 30
state employees at one time to monitor the progress of the program.
Document Imaging and Content Management
1 The solution shall enable the scanning, photographing from a mobile phone and upload of
paper documents.
2 The solution shall track every document generated or uploaded, through a barcode
identifier and supporting metadata, that associate them with transactional data.
3 The solution shall enable the generation of all letters, text messages, electronic
notifications, and documents needed for the program.
4 The solution shall enable the generation of ad-hoc documents in real time, using
transactional data from the solution, and pre-designed document templates stored in the
content management repository.
5 The solution shall enable the maintenance and tracking of multiple draft versions of the
same document.
6 The Solution will provide for a master user or program manager role who will have the
ability to re- assign cases, select case for quality control, add and remove users, and
change staff roles.
7 HCD may require the Vendor to provide access to the solution for state staff for any role
requested.
8 The solution will cross reference names, addresses and social security numbers of
applicants, household members, and landlords; flag duplicate applications and situations
where a household member name or social security number appears on more than one
application; allow for purge of duplicate applications.
9 The solution will provide search functionality to search and sort the applicant population
by flag, check status (voided checks, check returned), payment amounts, W9 status,
applicant address, landlord, landlord address, and TIN; generate reports with this data.
- user account lock and unlock events
- financial transactions
- Audit record storage capacity must accommodate the organization’s audit
record storage requirements (NIST AU-4)
- Provides an export and/or report of the audit events (NIST AU-6)
- Uses internal system clocks to generate time stamps for audit records, ensuring
consistent timestamps across all system functions (NIST AU-8)
- Protects audit information and audit tools from unauthorized access,
modification, and deletion (NIST AU-9)
- Should provide an interface for a security analyst to search and filter the audit
events (NIST AU-12)
SSP: Identification & Authentication
1 The SSP must describe the System capabilities that address the identification and
authentication requirements:
-Uniquely identifies and authenticates users (or processes acting on behalf of users).
(NIST IA-2)
-Must provide multi-factor authentication (MFA) (NIST IA-2 (1)) for internal users. It is
not expected that landlords, tenants and utility providers accessing the System would
require MFA.
-Must provide single sign-on (SSO). SSO is limited to internal users. HCD will not
require enterprise identity and access management integration.
SSP: Architecture
1 The SSP must describe the system capabilities that address these architecture
requirements.
-System layered architecture that separates user functionality from system
management functionality (NIST SC-2)
-Ensures System interconnections and intercomponent usage (e.g., shared
resources) prevents unauthorized and unintended information transfer and
information access is within the context of the user or system session (NIST SC-4)
-Protects against or limits the effects of denial-of-service attacks by employing
security safeguards (NIST SC-5)
-Implements subnetworks for publicly accessible System components that are
separated from internal networks (NIST SC-7)
-Connects to external networks/systems only through managed interfaces consisting
of boundary protection devices (NIST SC-7)
-Protects the confidentiality and integrity of transmitted information through use of
cryptographic mechanisms (NIST SC-8)
-Implements cryptographic uses and type of cryptography required for each use in
accordance with applicable federal laws, Executive Orders, directives, policies,
regulations, and standards (NIST SC-13)
-Terminates the network connection associated with a communications session at the
end of the session or after 15 minutes of inactivity (NIST SC-10).
-Recovers to a known state after a disruption, compromise, or failure (NIST CP-10)
-Implements transaction recovery for systems that are transaction-based (NIST CP-
10 (2))
-Checks the validity of all information inputs against established business rules (NIST
SI-10)
-Generates error messages that provide information necessary for corrective actions
without revealing information that could be exploited by adversaries and reveals error
messages only to authorized organization personnel or roles (NIST SI-11)
Interoperability
1 The System shall be interoperable with other technology solutions utilizing
modern, industry-standard technologies such as web services and/or Secure
File Transfer Protocol (SFTP) interface standards.
2 The System shall provide users the ability to send secure messages,
including documents, to other authorized users of the System who may be
part of different organizations.
3 The System shall provide the capability to import data extracted from other systems.
4 The System shall be compatible with scanners to support the document imaging
functional requirement DCM-001.
5 The Vendor shall provide a complete and detailed list of peripheral devices, such as
scanners and mobile phone cameras, that are compatible with their solution.
Performance
1 The System shall have seamless navigation and meet the two seconds metric for
page loads 99% of the time.
2 The System shall support at least 1,000 1,500 internal concurrent users and 20,000
external concurrent users, at a minimum with no service and performance
degradation.
3 The System shall support, at a minimum, a database of 1,000,000 1,700,000
application records.
Maintenance & Operations Plan
1 The Vendor must develop, maintain, and implement a Maintenance & Operations
Plan that includes:
-System monitoring of all critical system components and inbound and outbound
traffic for unusual or unauthorized activities or conditions (NIST SI-4 (4))
-Vulnerability management procedures to comply with the SIMM5345-A Vulnerability
Management Standard (https://cdt.ca.gov/wp-content/uploads/2021/01/SIMM5345-A-
Vulnerability_2021-0126.pdf [cdt.ca.gov]).
-Alerts authorized personnel or roles if the System indicates a compromise or
potential compromise (NIST SI-4 (5))
-Procedure for monitoring all system-to-system interfaces, auditing messages,
transactions, and files exchanged
-Information retention procedures in accordance with applicable federal laws,
Executive Orders, directives, policies, regulations, standards, and operational
requirements (NIST SI-12)
-Procedures for System alerts to authorized staff in the event of an audit processing
failure and provides capabilities for the System Administrator staff to troubleshoot and
fix the problem, limiting impact on the solution availability (NIST AU-5)
-Procedures for providing an export or report of audit events on a periodic basis and
on-request to support security incidents
-The Vendor is expected to provide all technical components.
Plan of Action and Milestones
1 The Vendor must develop and maintain a plan of action and milestones (POAM)
(NIST CA-5) for the System to document the organization's planned remedial actions
to correct weaknesses or deficiencies noted during the assessment of the security
controls and to reduce or eliminate known vulnerabilities in the System. The POAM
instructions (https://cdt.ca.gov/wp-content/uploads/2018/01/SIMM-5305_B_03-
2019_CURRENT.pdf [cdt.ca.gov]) provides guidance and expectations.
Capacity/Scalability
1 The System shall be scalable to support expected future growth and expansion of the
program.
Availability
1 The System, including all Portal components, shall be available at all times outside of
planned and HCD approved maintenance windows.
2 The System shall achieve a system uptime of 99.9% of 24 x 7 x 365, other than
downtime for scheduled maintenance that has prior approval by HCD.
Usability
1 The System shall incorporate industry best practices for usability.
2 The System shall support electronic signature capability that is compliant with the
following State of California policy:
https://www.sos.ca.gov/administration/regulations/current-
regulations/technology/digital-signatures
Accessibility
1
The System including generated documents must comply to provisions included in
Web Content Accessibility Guidelines (WCAG) version 2.1, level “AA”.
2 The System must comply with Section 508 of the Rehabilitation Act of 1973
Auditing
1 The System shall perform audit logging to build a historical record of all user actions,
including user authentication attempts, and critical System processes.
2 The System shall store audit logs on a server separate from the System that
generates the log.
Branding
1 The System shall be fully compliant with California State branding guidelines.
2 The platform shall allow for a ca.gov URL for entry into the platform and all navigation.
3 The Vendor shall allow a third party contracted by the State to perform web
application penetration testing and vulnerability scanning from an external, non-
authenticated origin and an internal, authenticated origin. The Vendor shall facilitate
all required access to perform such tests. The Vendor shall expose a production or
production-like environment to the third-party vendor that matches the targeted go-live
configuration.
Data Entry and Editing
1 The System shall incorporate data entry and editing capabilities such as autofill, spell-
check, and formatting/validation.
2 The System shall implement all deletes of transactional data as “soft deletes” so that
no data is ever physically deleted.
Multilingual Support
1 The System’s portal components shall remain in full compliance with the Section 601
of Title VI of the Civil Rights Act of 1964:, including but not limited to supporting the
following languages: English, Spanish, Chinese, Tagalog, Vietnamese, and Korean.
Use via Mobile Devices
1 The System shall incorporate responsive design to enable its use via mobile devices.
2 The mobile app shall be fully functional on mobile devices with industry leading
operating systems, such as iOS and Android.
Workflow/Alert/Notification
1 The System shall provide workflow and notification capability that can be configured
per functional requirements.
2 The System shall assist users with completing pre-defined work steps employing a
wizard-based user interface.
3 The System shall enable users to assign a priority to messages/alerts (High
Importance, Low Importance, etc.).
4 The System shall enable users to schedule appointments with Landlords or Tenants
who are seeking support in completing their application and may request a telephone
appointment with a member of the Vendor’s Case Management team.
Vulnerability Management
1 The Vendor must comply with the SIMM5345-A Vulnerability Management Standard
(https://cdt.ca.gov/wp-content/uploads/2021/01/SIMM5345-A-Vulnerability_2021-
0126.pdf [cdt.ca.gov]). The Vendor must develop, implement, and maintain a
vulnerability management plan that includes:
-Implementation of security scans (static and/or dynamic) against development assets
(NIST RA-5)
-Identification of vulnerabilities in software dependencies (e.g., open-source software)
using scans (NIST RA-5), security bulletins, or national vulnerability databases (NIST
SI-5)
-Tracking of all critical, high, and medium vulnerabilities (NIST RA-5)
-Implementation of security controls in the operational environment to identify
vulnerabilities (NIST SI-4)
-Remediation of critical and high severity vulnerabilities prior to software release or
within 30 days of discovery in a production environment (NIST RA-5)
-Establishment and implementation of security incident reporting procedures (NIST
IR-4)
-Tracking vulnerabilities and provides on-going vulnerability reporting (NIST IR-5, IR-
6)
Technology Recovery Plan
1 The Vendor must develop and implement a Technology Recovery Plan (TRP)
compliant with TRP Template (https://cdt.ca.gov/wp-
content/uploads/2018/06/SIMM5325_A_June-2018.pdf [cdt.ca.gov]).
Data Classification
1 The Vendor must:
-Classify data assets (SAM 5305.5; SIMM-5305_A)
(https://www.dgsapps.dgs.ca.gov/documents/sam/SamPrint/new/sam_master/sam_m
aster_File/Chap5300/5305.5.pdf [dgsapps.dgs.ca.gov] ; https://cdt.ca.gov/wp-
content/uploads/2018/01/SIMM-5305_A_2018-0108.pdf [cdt.ca.gov])
-Authorize access to the information in accordance with the classification of the
information, and legitimate business need for access to the information
-Protect the data in accordance with the classification
Data Retention
1 The System shall be fully compliant with federal and California data retention
guidelines.
Data Transfer and Archiving
1 The System shall have the capability to archive bulk data on demand.
2 The System shall have the ability to send and receive data to and from local
jurisdiction’s databases used for 2020 Rent Relief Program. Data uploads can be
SFTP (or similar)
The Vendor shall provide data in a form prescribed by California Department of Technology
(CDT) or HCD to migrate to a yet to be determined final data warehouse. HCD/CDT will
identify a data migration SME for the data source. HCD will approve the Data Migration plan
and related artifacts identified below. The Vendor will provide a Data Migration plan and
dedicated resource to coordinate data migration activities, including:
• Analysis of Data Source
o Gather requirements related to the data source, number of
records and specific fields
o Gather requirements related to the field type, length and
sequence
o Produce a Data Source report showing the tables and fields that will serve as
the basis for the data conversion specification.
• Data Mapping and Translation Analysis
o Guide HCD/CDT in the mapping of source fields to target fields and identifying
any gaps
o Produce the Data Mapping tables in an MS Excel spreadsheet for migrating data
to their corresponding objects and fields in the new System
• Migration and Validation
o Migrate test data as defined in the Data Mapping tables
o Coordinate user acceptance testing with HCD/CDT to validate results Migrate all
required data as defined in the Data Migration Plan Provide hypercare support to
ensure all data mapping is supported
Horne LLP
20-20-015, Am. 2
Page 1 of 2
(Rev. 4/27/21)
EXHIBIT B
BUDGET DETAIL AND PAYMENT PROVISIONS
1. Agreement Amount
The total amount of this Agreement shall not exceed
$1,200,248,000.00 $2,746,814,405.00.
The Agreement Amount is inclusive of the Administrative Costs and the Direct Financial
Assistance; the Standard Form 213 will include the full Agreement Amount.
The Budget Act of the current year and subsequent years covered under this
Agreement have sufficient funds for this contract.
2. Budget Breakdown
$19,643,600.00
Call Center $16,726,860.00
$22,936,800.00
Case Management $113,058,080.00
Application Portal
(0.59% fee for ERA 1 Program Fund of $1,200,000,000) $7,080,000.00
Application Portal
(0.54% fee for ERA 2 Program Fund of $1,184,985,000) $6,398,919.00
Application Portal
(0.44% fee up to the remaining estimated Program Fund of
$215,015,000) $946,066.00
$1,798,480.00
Fund Disbursement $2,356,480.00
Block Grant Reporting and Option Data Exchange $248,000.00
$51,706,880.00
ADMINISTRATIVE SUBTOTAL
$146,814,405.00
$1,148,541,120.00
Rental Assistance – Landlord and Tenant Payments $2,600,000,000.00
*Travel N/A
$1,200,248,000.00
TOTAL $2,746,814,405.00
Horne LLP
20-20-015, Am. 2
Page 2 of 2
(Rev. 4/27/21)
EXHIBIT B
3. Invoicing and Payment
A. For services satisfactorily rendered, and upon receipt and approval of the
invoices, HCD agrees to compensate the Contractor the invoiced amount, as
specified herein, which is attached hereto and made a part of this Agreement.
B. Invoices must include the Agreement number (handwritten Agreement number is
not acceptable) and shall be submitted in triplicate, not more frequently than
monthly, in arrears, to:
Department of Housing and Community Development
Accounting Division
2020 West El Camino Avenue, Suite 350
Sacramento, CA 95833
Accounts.Payable@hcd.ca.gov
C. Invoices must include this Agreement number and a Purchase Order number.
The Purchase Order number is 5626.
4. Budget Contingency Clause
A. It is mutually agreed that if the Budget Act of the current year and/or any
subsequent years covered under this Agreement does not appropriate sufficient
funds for the contract, this Agreement shall be of no further force and effect. In
this event, HCD shall have no liability to pay any funds whatsoever to Contractor
or to furnish any other considerations under this Agreement and Contractor shall
not be obligated to perform any provisions of this Agreement.
B. If funding for any fiscal year is reduced or deleted by the Budget Act for purposes
of this contract, HCD shall have the option to either cancel this Agreement with
no liability occurring to the Department, or offer an agreement amendment to the
Contractor to reflect the reduced amount.
5. Prompt Payment Clause
Payment will be made in accordance with Chapter 4.5 (commencing with Section 927)
of Part 3 of Division 3.6 of Title 1 of the Government Code.
6. PROGRESS PAYMENTS: Progress payments are required by law for the
production and research portions of this Agreement, as well as for any work
performed toward an end product or plan completed under this Agreement. Five
(5) percent of the invoiced amount shall be withheld pending final completion.
However, funds withheld in regard to a particular task, product, or plan, may be
released to the Contractor upon completion of that task, product, or plan if a
tangible stand-alone product results. Progress payments shall not apply to the
application portal.
File and source
- File
- 20-20-015_a2_std213_executed_combined.pdf
- Size
- 1,549,249 bytes
- SHA-256
- 7a0fc11e8c5f1925e014fc53a73f079a4df3f4d5ad67ee1c931140f11d1caec3
- Original
- s3.documentcloud.org