Best Practices in Vendor Management. How to Drive Performance and Compliance in Your Vendor Network
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1 Best Practices in Vendor Management How to Drive Performance and Compliance in Your Vendor Network
2 Moderator and Panel Oscar Posadas VP, Property Preservation, Vendor Management, Wells Fargo Jim Vaca VP, Vendor Management Operations, Altisource Keith O Donnell VP and General Manager, Laudan Properties Chuck Sockol VP, Industry Relations and Account Management, Aspen Grove Timothy Meyer VP, Field Services, Altisource 2016 Annual Conference of Mortgage Field Services
3 Session Goals Discuss tested processes, approaches and technologies to efficiently manage your vendor networks at any level in property preservation to: Improve performance and compliance Promote community stabilization and revitalization Obtain perspectives from all levels of mortgage field services: servicer, national provider, regional provider and technology provider 2016 Annual Conference of Mortgage Field Services
4 Technology Enablement Managing the Value Chain Regulators, Investors, States, Counties and Cities Servicers Servicer A Servicer B Servicer C Servicer Regulators expect an effective process for managing the risks of 3 rd party relationships. National s National A National B National C National D National Regional s Regional A Regional B Regional C Regional D Regional E Regional F Regional Local s Local A Local B Local C Local D Local E Local F Local G Local Asset / Public
5 Servicer Perspective
6 Key Objectives: Mission, Vision and Goals Property Preservation s mission is to care for the communities we serve by compliantly maintaining vacant and abandoned properties to promote safer neighborhoods and protect against blight. Caring for our customers homes and needs of our communities Supporting the investment made by the servicer and its investors to promote homeownership nationwide Helping stabilize the communities where our family and friends live and work Minimizing losses by our investors, customers and communities Managing risk and continuously improving the outcomes in the important work that you do each day
7 Quality Control Field Quality Control (QC) Inspections: Provide a QC check through inspecting properties in at-risk markets The property inspections conducted by team members or another third party vendor will review work completed by vendors to ensure inspection results, maintenance/securing and repairs are completed appropriately to avoid code violations and in a continued effort to preserve the asset The results from the inspections will be continually identified and analyzed, to identify issues at a higher level for continuous improvement
8 Quality Control (cont.) QC Desk Audits: QC team ensures the appropriate preservation actions are taken by the vendor to best preserve and protect assets and to ensure compliance with investor/insurer guidelines, as well as servicer procedures The goal of the QC team is to identify defects/inconsistencies within the vendors process and expedite improvement for each attribute through monthly calls and vendor action plans
9 Quality Control (cont.) Conveyance Condition (HUD requirements): Specialized internal teams ensure property is in conveyance condition to avoid risk of re-conveyance prior to submittal to HUD For post conveyance properties, specialized internal teams process and manage re-conveyed properties from HUD, until either requisitioned back to HUD or sent to REO GSE or other Investor-Specific Requirements: Specialized internal teams ensure compliance with applicable GSE or other investor-specific preservation requirements and timelines
10 Current Servicer Focus Points Improve internal servicer quality controls and change control processes Drive vendor performance through enhanced partnerships, heightened expectations and detailed performance reviews Enhance data collection and efficiencies through mobile technologies and system integrations Continuously assess operational processes to improve community stabilization and reduce business risks in key areas: Securing Property Registrations Code Violations Complaint Management Best Practices in Key Activities (utilities/sump pumps, pools and tarps/roofs)
11 National Perspective
12 Role of Nationals Stability Maintain Network Health and Depth Consistency Communications, Training, Scoring and Quality Control (field and desk) Risk Mitigation Strong Controls, Audit Infrastructure and Compliance Systems Efficiency Technology Utilization / Integration and Economies of Scale Performance Drive Higher Standard Trusted Partnership Solving Issues Together; Best Practices from Network Performance Improvement Plans as Platform to Improve Vendor Operations 2016 Annual Conference of Mortgage Field Services
13 Vendor Governance Vendor Sourcing Preserves network health through ongoing sourcing process based on demand planning model that takes into account: Vendor coverage Volume of orders Vendor replacement (performance/attrition) Vendor Oversight Ensures that vendors and subcontractors are rigorously screened with due diligence requirements commensurate with the level of risk and complexity of the third-party relationship. Engagement Due Diligence Vendor Search Demand Planning Quality Monitoring SLA Control Vendor Management Functions Certification Risk Mitigation Vendor Scoring Regulatory Compliance 2016 Annual Conference of Mortgage Field Services
14 Strategic Risk Reputational Risk Operational Risk Transactional Risk Credit Risk Compliance Risk Know Your Vendor Vendor Oversight commensurate with the level of risk and complexity of the third-party relationship is key Due diligence could include: Validation of Professional Licenses Tax Id and Business Details Review (W-9) Valuations of Business Status Social Security Number Trace Criminal Records Search Business Reference Checks Validation of Insurances OFAC Checks Background Checks Financial Statements Review Subcontractor Due Diligence Policies and Procedures Review Information and Physical Security Reviews Service Organization Controls Review On-Site Audits Quality and Performance Scoring 4 th Party Mgmt Human Capital Licensing Financial Stability Operations Training Time to Process Technology Quality Complaints/Legal Proceedings Specific Metrics Vendor Oversight Risk Pillars Insurance
15 Order Volume Performance Reporting Scorecards and Performance Improvement Plans based on peer rankings of scorecards with prescriptive requirements and goals which are monitored and tracked. Vendor Performance Analysis Metric based scorecards Performance Improvement Plans Review/Improvement Meetings Off-boarding % 6% <61.33% 61.33% to 68.04% Sample Vendor Performance Score 10% 68.04% to 74.75% 24% 74.75% to 81.45% 44% 81.45% to 88.16% 10% 88.16% to 94.87% 3% >=94.87% 50% 45% 40% 35% 30% 25% 20% 15% 10% 5% 0% >1, to 1, to to 200 <=30 Percentage of orders
16 Regional Perspective
17 Vendor Management Compliance Contractor Agreements Background Checks Must set Thresholds with Individual Assessments Verification of GL and E&O Insurance 2016 Annual Conference of Mortgage Field Services
18 Vendor Management Training Industry Standard Training NAMFS Certification Training Client Requirements 3 rd Party System Training Tools Use of a Learning Management System (LMS) Tracks Training by Vendor Tests on Content Field Training
19 Vendor Management Ongoing Capacity Management Volume Changes Vendor Turnover Quality Control Desk QC Field QC Scorecards Timeliness Quality Updated Documentation and Background Checks 2016 Annual Conference of Mortgage Field Services
20 Technology Perspective
21 What should your Vendor Management (VM) technology do for you? Control all vendor information in one easy to use location Track communication about your onboarding and relationship Store pertinent documents such as references, licenses, certifications, insurance, agreements, etc. Collect pertinent diversity information Collect industry standard background check information Provide tracking of expiry dates for required documentation Provide initial and ongoing training on industry and client guidelines and requirements 2016 Annual Conference of Mortgage Field Services
22 What should your VM Technology do for You? Document the services they perform and where they perform them Apply business rules for their utilization Offer work volume management by proximity, qualification, capacity and performance Monitor KPIs via dashboards Collect and utilize QC data to populate dashboards and drive performance (continuous improvement) Offer access to your data in a data mart with canned and customizable reporting 2016 Annual Conference of Mortgage Field Services
23 What is New in VM Technology Today? Recent Technology Developments Finding and connecting with qualified vendors Qualified vendors putting themselves in view of work providers Supply chain management being improved at all levels Line of sight capability offering increased visibility into third-party relationships at all levels Monitoring of vendor qualification and activity at point of service Key benefits include: Compliance Risk management Consumer safety Efficiency Quality 2016 Annual Conference of Mortgage Field Services
24 What is New in VM Technology Today? (cont.) Integration Across Platforms Data must be sharable among systems Clients must be able to communicate with vendors and vice versa Verifiable automation is a key to quality Total system replacement not always an option Experienced integration leaders and teams are assets Documentation and standardization are required 2016 Annual Conference of Mortgage Field Services
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