Last revised 3/5/2020

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Encompass Administrator Checklist for the New URLA

Table of Contents Admin Tools .......................................................................................................................................................................................1

Encompass Settings > Company User Setup ............................................................................................................................................4

Encompass Settings > Loan Setup ........................................................................................................................................................ 10

Encompass Settings > eFolder Setup .................................................................................................................................................... 17

Encompass Settings > Docs Setup........................................................................................................................................................ 21

Encompass Settings > Loan Templates ................................................................................................................................................. 22

Encompass Settings > Business Rules ................................................................................................................................................... 26

Encompass Settings > Dynamic Data Management ................................................................................................................................ 30

Encompass Settings > System Administration........................................................................................................................................ 32

Encompass Tabs ............................................................................................................................................................................... 33

Encompass Tools .............................................................................................................................................................................. 35

Services Integrations ......................................................................................................................................................................... 35

Custom Integrations and Custom Forms ............................................................................................................................................... 36

General Considerations and Business Decisions..................................................................................................................................... 39

AUS Testing ..................................................................................................................................................................................... 48

Encompass Consumer Connect ........................................................................................................................................................... 50

Encompass LO Connect...................................................................................................................................................................... 51

Encompass TPO Connect.................................................................................................................................................................... 52

Encompass Administrator Checklist for the New URLA Page 1 of 48

Encompass Administrator Checklist for the New URLA Ellie Mae recommends that your Encompass administrator or members of your company configuration team review and adjust the Encompass settings listed below to support the policies and procedures you use when working with URLA 2020 forms. This checklist is a supplement to the official Encompass Guide to New URLA, which is accessible in the Ellie Mae Resource Center. Most tasks listed below are performed in the Encompass Admin Tools or in the Encompass Settings:

To access the Encompass Admin tools, click the Start menu or Start icon on your Windows task bar, navigate to the Ellie Mae Encompass program folder, and then click Admin Tools.

To access the Encompass Settings, click Encompass on the menu bar in your Encompass application, click Settings, and then use the navigate panel on the left to navigate to a setting.

Admin Tools Settings Manager > Policies

Task User Impact Estimate Level of Effort Assigned To: Date Assigned: Date Completed:

The earliest the "Default to URLA 2020" date should be set to in your production environment is the policy effective date of 9/1/2020. This is the earliest date lenders may begin submitting the new URLA to GSEs’ AUS production environment. By default, this policy date is set to 11/1/2020, the mandated date lenders must use the new URLA and updated AUS datasets. Details can be found online at Fannie Mae’s website here.

This policy date determines when newly created loans are created by default with the new URLA 2020. Refer to New Default Date for Using URLA 2020 Forms in New Loans in the URLA release notes for instructions to manage this policy date.

Admin: 5 min

Encompass Administrator Checklist for the New URLA Page 2 of 48

Admin Tools (Cont’d)

Settings Manager > Printing

Task User Impact Estimate Level of Effort Assigned To: Date Assigned: Date Completed:

Set new "URLA Page Numbering" setting to: AllPages, None, or GroupByForm.

If All Pages or Group by Form are selected, page numbers are printed on the URLA pages based on the option selected. All Pages - All pages generated are numbered sequentially. Group by Form - Pages are numbered sequentially by the group they are in.

Admin: 1 min

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Admin Tools (Cont’d)

Reporting Database

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review the new fields for URLA and FHA Secondary Residences. Add fields to the reporting database and audit trail if needed for reporting, Pipeline Views and Dashboards. For example, add the Application Version (field ID 1825), which captures the application version. Review the Encompass Field List. For a list of new fields, refer to the 1003 to URLA tab on the DU/LPA MISMO 3.4 ULAD Mapping Guide in the Ellie Mae Resource Center. NOTE: Careful consideration should be taken when adding new fields to the reporting database and audit trail. It is recommended that the number of audit trail fields be kept below 200 fields.

Provides the ability to report, track, and drive workflow for the URLA transition (if applicable)

Admin: 1 hour Bus: 1 hour to review fields and provide the list to Admin Update: 3 seconds per loan file in each Loan Folder

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Encompass Settings > Company User Setup Encompass Settings > Company/User Setup > Organization/User Setting > Organization Section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Right-click each folder, click Edit Organization, and then move any unit details from the Street Address field to the fields for Unit Type and Unit #. Repeat this process for all organization folders.

Ensure addresses for all offices properly print on 2020 URLA, and other related documents. NOTE: The address concatenates on old forms to print properly as well.

Admin: 1 min per Organization edited

Encompass Settings > Company/User Setup > Personas Setting > Pipeline tab > Pipeline Views Section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Create or modify existing Pipeline views to add the new URLA fields as appropriate. For example: add the Application Version (field ID 1825) to new Pipeline views or include it in existing Pipeline Views for sorting and filtering.

Provide the ability to easily identify which loans are being processed via the 2009 vs. 2020 application, etc.

Admin: 5 min per view

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Encompass Settings > Company User Setup (Cont’d)

Encompass Settings > Company/User Setup > Personas Setting > Pipeline tab > Not Accessible Columns Section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If new fields were added to the reporting database within Admin Tools a review of this setting should be performed for each Persona to ensure that those fields are in the Not Accessible section as appropriate.

If a field is in the Not Accessible Columns Section, the persona cannot use that field within a Pipeline, Report, or Dashboard

Admin: 1 hour Bus: 1 hour to review fields and provide the list to Admin Test: 5 min per Persona

Encompass Settings > Company/User Setup > Personas Setting > Pipeline tab > Pipeline Tasks Section > GSE Services

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review each Persona and select the Export ULAD check box when applicable.

This setting will allow the Persona to export the new DU ULAD 3.4 format file.

Admin: 2 min per Persona Bus: 30 min to review current configuration and provide list to Admin Test: 5 min per Persona

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Encompass Settings > Company User Setup (Cont’d)

Encompass Settings > Company/User Setup > Personas Setting > Pipeline tab > Pipeline Tasks Section > Manage Pipeline Services

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review each Persona and enable GSE Services. NOTE: This must be enabled for each Persona with permissions set for Personas > Pipeline > Pipeline Tasks > GSE Services.

With this setting enabled and Export ULAD enabled under Pipeline Tasks > GSE Services, users with this Persona will be able to export the ULAD from their Pipeline in Encompass.

Admin: 2 min per Persona Bus: 30 min to review current configuration and provide list to Admin Test: 5 min per Persona

Encompass Settings > Company/User Setup > Personas Setting > Pipeline tab > Pipeline Tasks Section > Import Loans

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review each Persona and select the ULAD (MISMO 3.4) check box as appropriate.

With this setting enabled users with this Persona will be able to import a ULAD 3.4 MISMO to create a new loan.

Admin: 2 min per Persona Bus: 30 min to review current configuration and provide list to Admin Test: 5 min per Persona

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Encompass Settings > Company User Setup (Cont’d)

Encompass Settings > Company/User Setup > Personas Setting > Loan tab > Other section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and configure Change URLA Form Version for each Persona. By default, this setting will be enabled for all Personas.

Users assigned Personas with this setting enabled will be able to toggle between the 2009 1003 and 2020 URLA form versions. NOTE: After a loan is disclosed users are prevented from toggling between versions.

Admin: 1 min per Persona Bus: 5 min to discuss feature and advise admin Test: 5 min per Persona

Encompass Settings > Company/User Setup > Personas Setting > Forms/Tools tab > Input Forms section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and ensure access is enabled for appropriate Personas for these new Input Forms. By default, they are enabled for all Personas with the 19.3 Release: 1003 URLA – Lender 1003 URLA - Continuation 1003 URLA Part 1 1003 URLA Part 2 1003 URLA Part 3 1003 URLA Part 4 VO Additional Loans VO Gifts & Grants VO Other Assets VO Other Income VO Oher Liabilities

This setting will allow the selected Personas to see the indicated forms within the loan file.

Admin: 1 min per Persona Bus: 5 min to discuss feature and advise admin Test: 5 min per Persona

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Encompass Settings > Company User Setup (Cont’d)

Encompass Settings > Company/User Setup > Milestones

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review the current milestones and milestone templates to ensure that none need to be added or adjusted.

More than likely, no Milestone workflow changes will be needed.

Admin: TBD depending on needed changes (if any)

Encompass Settings > Company/User Setup > User Groups > Loan Templates tab

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review User Groups, Templates and update if group specific Input Form Sets have been implemented or if new URLA Templates/Template Sets have been added. NOTE: Make your configuration changes after adding Templates and Template Sets (if applicable).

Adding or removing templates from this setting will enable or disable users from being able to use these templates.

Admin: TBD depending on needed changes (if any) Bus: 2 hours Test: 2 hours

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Encompass Settings > Company User Setup (Cont’d)

Encompass Settings > Company/User Setup > User Groups > Resources tab > Standard Print Forms section

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and update the URLA 2020 to the Standard Print Forms, for all necessary User Groups. 2020 URLA (1003/65) – All

Pages 2020 URLA (1003/65) – All

Pages (Legal) 2020 URLA (1003/65) –

Borrower Information Pages 2020 URLA (1003/65) –

Unmarried Addendum If users can print from the print menu or if using TPO Connect and publishing documents to the TPOC portal. NOTE: These forms were added to Standard Forms for all User Groups with Members as part of the 19.3 release. The ability to print the 1003 from the Pipeline has deliberately been disabled to ensure users do not print the wrong version inadvertently. Refer to the Option to Print 1003 Forms from the Pipeline Tab Has Been Removed entry in the Encompass 19.3 Release Notes.

If this step is not completed, the user will not be able to print the new URLA 2020 forms from the print menu inside the loan file. For TPO Connect, if publishing the URLA 2020 to the portal for the TPO, these forms must be added to the TPO User Group Standard Forms to provide access to users.

Admin: 5 min per User Group Bus: 15 min to determine which groups will have access to the forms Test: 5 min per User Group (test one user from each User group)

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Encompass Settings > Loan Setup Encompass Settings > Loan Setup > Loan Folders

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review folders if Loan Folders are added for URLA.

Admin: 10 min per added folder (review user groups and rules as well) Bus: 15 min to determine if additional folders are needed Test: 15 min per added folder

Encompass Settings > Loan Setup > Loan Duplication

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If using Loan Duplication Templates, this setting should be reviewed to add any new fields to the template(s) for URLA.

Using loan duplication templates allows the user to duplicate a loan without having to do all the data entry

Admin: 30 min per template added Bus: 1 hour to determine if templates are needed Test: 2 hours

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Alerts

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review existing custom alerts. For a list of new fields, refer to the 1003 to URLA tab on the DU/LPA MISMO 3.4 ULAD Mapping Guide in the Ellie Mae Resource Center.

If the decision is to not include the Lender Loan Info Pages with initial disclosures, you could provide the user with the notification to send this to the borrower, at the appropriate point in the loan process.

Admin: 5 min Bus: 30 min to understand the intent of the alert Test: ?? hours to test all scenarios – all alerts can be tested at the same time, but the user will have to move the loan through the milestones and workflow to properly test

Encompass Settings > Loan Setup > Tasks

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and update/add as necessary for URLA.

Using Tasks will prompt the user of items that need to be validated

Admin: 10 min per added task (add the task and create any needed rules) Bus: 3 hours to discuss possible tasks to be added Test: 30 min

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Default Input Forms

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If this setting has been implemented, review and update accordingly. The following are set as Yes on the Default List for the 19.3 release. 1003 URLA - Continuation 1003 URLA – Lender 1003 URLA Part 1 1003 URLA Part 2 1003 URLA Part 3 1003 URLA Part 4

NOTE: The following new verification input forms are not set by default to Yes. If this setting has been implemented, update these accordingly: Verification of Additional Loans Verification of Gifts & Grants Verification of Other Assets Verification of Other Income Verification of Other Liability

The forms in this setting that are set to NO will not appear in the form list menu within the loan if the loan was originated without a loan template set

Admin: 10 min Bus: 30 min to understand functionality and advise admin Test: 30 min

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Custom Print Forms

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review custom print forms to ensure that the merged data on them properly populates. If gaps identified, update and retest.

Ensure that Custom Print Forms printed or included in eDisclosure, Pre-closing or Closing packages contain complete merged, borrower and loan related information

Admin: 10 min for each form and if changes are needed, time TBD Bus: TBD depending on the number of custom forms Test: 30 min per custom

Encompass Settings > Loan Setup > Print Form Groups

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If this setting has been implemented, review and update accordingly with any of the new URLA or other print forms. For example, is the 1003 included in any print groups and does it need to be updated with the new 1003 URLA Part 1 - 4, Lender, and Continuation pages.

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Loan Custom Fields

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review custom fields and custom field calculations that use the original URLA fields to assess if calculations need to be updated or new fields added. Leverage Encompass > Settings > System Administration > Analysis Tools to search for and identify fields and calculations that need to be reviewed. NOTE: Care should be taken to determine sunset/sunrise dates for calculations that require changes.

Ensure that all Custom Fields and Custom Field Calculations continue to function properly.

Admin: 3 hours but will depend how extensively these are used Bus: 3 hours Test: TBD

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Change in Circumstance

Task User Impact Estimated Level of Effort Assigned To: Date Assigned:

Date Completed:

Review existing options and work with your compliance team to determine if new descriptions are needed. TIP: Do not remove items from the list if they have been previously used within loan files.

This setting drives the list of change descriptions available for selection on the Loan Estimate & Closing Disclosure page 1. These values are also captured and stored in Disclosure Tracking History.

Admin: 10 min Bus: 3 hours to review, discuss and provide list of updates to Admin Test: 4 hours

Encompass Settings > Loan Setup > Piggyback Loan Synchronization

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If implemented, review to understand if new URLA fields should be added to the list of synchronized fields between the first and second loan. NOTE: The new verification forms are not selected by default with the 19.3 release, but the original verifications are. Review and update accordingly. Use the Analysis Tools (Encompass > Settings > System Administration > Analysis Tools) to search for fields.

Ensure that the data being synched between piggyback loans is complete and accurate to reduce the need for the user to rekey data in each loan separately.

Admin: 1 hour Bus: 1 hour Test: 2 hours

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Encompass Settings > Loan Setup (Cont’d)

Encompass Settings > Loan Setup > Sync Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If implemented for construction loans, review their templates, note any changes, click the Default List to bring in the new URLA fields, and then add back the ones they added to their templates.

Ensure that the data being synched between construction & permanent loans is complete and accurate.

Admin: 1 hour Bus: 1 hour Test: 2 hours

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Encompass Settings > eFolder Setup Encompass Settings > eFolder Setup > Documents

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

The Document name of 1003 - URLA will remain the same and be used for the 2009 or 2020 version depending upon the application version that is captured in Application Version (field ID 1825). NOTE: All dynamically generated pages will be attached to the 1003 - URLA container including the Lender pages if you elect to include this in what is sent to the borrower. If checked, field ID URLA.X231 at the top of 1003 URLA - Lender will include these pages. The recommend best practice is to review this with your compliance and business teams. Refer to the Completing the 1003 URLA – Lender Form section in the Encompass Guide to URLA in the Resource Center.

There should be limited impact to users.

Admin: 15 min Bus: 30 min to understand functionality Test: 2 hours

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Encompass Settings > eFolder Setup (Cont’d)

Encompass Settings > eFolder Setup > Document Groups

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If used, test to ensure the new URLA 2020 pages and supporting documents are captured in each applicable group. The correct form version will be presented in the eFolder based on the Application Version (field ID 1825).

This setting allows the Encompass user to more easily view the documents in the eFolder as it groups like documents together

Admin: 1 hour Bus: 30 min Test: 30 min

Encompass Settings > eFolder Setup > Document Stacking Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

The new 1003 URLA pages will be captured via the same container so no action should be needed. However, if containers are added for the new verification forms, the recommended best practice is to review existing stacking templates or creating new stacking templates as needed.

Allows the user to apply the stacking template to the documents in the eFolder for ease in viewing.

Admin: 1 hour Bus: 1 hour Test: 30 min

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Encompass Settings > eFolder Setup (Cont’d)

Encompass Settings > eFolder Setup > Conditions and Conditions Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review Conditions and Conditions Sets to determine whether changes/additions are needed in support of URLA and the new verification forms for both Preliminary and Underwriting Conditions.

Provide users with current Conditions and Condition Sets for use in generating an approval letter for the borrower and closing conditions for the settlement agent.

Admin: 5 min per Condition & 10 min per Condition Set Bus: 3 hours to review all Conditions & Condition Sets and advise on updates/additions Test: 1 hour

Encompass Settings > eFolder Setup > Post-Closing Conditions

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If implemented, review Post-Closing Conditions to determine whether changes/additions are needed in support of URLA and the new verification forms.

Provide users with current Conditions for use in tracking and clearing Post-Closing follow-ups.

Admin: 5 min per condition Bus: 2 hours to review all conditions and advise on updates/additions Test: 1 hour

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Encompass Settings > eFolder Setup (Cont’d)

Encompass Settings > eFolder Setup > Post-Closing Condition Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If implemented, review Post-Closing Conditions Sets to determine whether changes/additions are needed in support of URLA and the new verification forms.

Provide users with current Condition Sets for use in tracking and clearing Post-Closing follow-ups.

Admin: 10 minutes per Condition Set Bus: 2 hours to review all conditions and advise on updates/additions Test: 1 hour

Encompass Settings > eFolder Setup > HTML Email Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review each HTML Email Template and test to ensure the existing merge codes still populate data. If any gaps, update with new fields accordingly.

These are the email templates with merge codes in them that are used to request eConsent, request documents, and send eDisclosures and pre-closing disclosures.

Admin: 10 minutes per template Bus: 30 min to understand functionality and TBD depending if anything needs to be added Test: 2 hours

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Encompass Settings > Docs Setup Encompass Settings > Docs Setup > eDisclosure Stacking Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add eDisclosure Stacking Templates if needed to include the new verification forms. The new URLA will be attached to the same 1003 URLA container so no additional change should be needed unless the Lender and Continuation pages are stored separately.

This setting controls the order that the initial disclosures will be placed in when delivering to the borrower

Admin: 1 hour Bus: 1 hour Test: 1 hour

Encompass Settings > Docs Setup > Closing Doc Stacking Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add Closing Document Stacking Templates if needed with the new verification forms. The new URLA will be attached to the same 1003 URLA container so no additional change should be needed unless the Lender & Continuation pages are stored separately.

This setting controls the order that the closing documents will be placed in when delivering to the closing agent.

Admin: 1 hour Bus: 1 hour Test: 1 hour

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Encompass Settings > Loan Templates Encompass Settings > Loan Templates > Loan Programs

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If Loan Program Templates implemented, the impact for URLA should be minimal.

Loan Program Templates aid users by populating consistent information into the loan file so they do not need to enter the data manually.

Admin: 10 min per Loan Program Bus: 2 hours to understand functionality and advise on settings Test: 2 hours

Encompass Settings > Loan Templates > Closing Costs

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If Closing Cost Templates are implemented, review, update, add, and fully test as necessary.

Closing Cost Templates populate standard core fees and other key values into the 2015 Itemization so that users do not need to enter the manually.

Admin: 10 min per Loan Program Bus: 2 hours to understand functionality and advise on settings Test: 2 hours

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Encompass Settings > Loan Templates (Cont’d)

Encompass Settings > Loan Templates > Input Form Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Add the new 1003 URLA Part 1 - 4, Lender, and Continuation pages and new verification forms to each Input Form Set as applicable.

This setting puts the forms menu within the loan file in a logical workflow order for the end user.

Admin: 10 min per template Bus: 2 hours to understand functionality and advise on settings Test: 2 hours

Encompass Settings > Loan Templates > Document Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and add documents as needed. For example, if containers were added for the new verifications, do they need to be added here.

Admin: 30 min per template Bus: 1 hour Test: 30 min per added template

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Encompass Settings > Loan Templates (Cont’d)

Encompass Settings > Loan Templates > Task Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update and add tasks as necessary for URLA and the new verification forms. For example, are new Tasks required for the new verification forms.

Ensure users have visible reminders where necessary to support workflow tasks that are not document or data driven.

Admin: 10 min per Task Bus: 1 hour Test: 30 min per added template

Encompass Settings > Loan Templates > Data Templates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update and add any needed default data for URLA.

Ensure base level data for loans is set correctly so users do not need to enter manually.

Admin: 1 hour per template Bus: 2 hours Test: 3 hours (depending on how much is added or changed within each template)

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Encompass Settings > Loan Templates (Cont’d)

Encompass Settings > Loan Templates > Loan Template Sets

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review Loan Template sets, for any possible updates to support the new URLA.

Admin: 10 min per added template Bus: 2 hours Test: 3 hours

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Encompass Settings > Business Rules Encompass Settings > Business Rules

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

TIP: In your TEST environment, deactivate all business rules. Once deactivated, perform baseline testing. The purpose of this testing is to understand if Ellie Mae added base functionality that my render current business rules unnecessary or in need of updating. Use the Analysis Tools to search for fields used in existing Business Rules. Settings > System Administration > Analysis Tools.

Admin: Varies based on number of business rules Bus: TBD Test: 16 hours

Encompass Settings > Business Rules > Loan Folder Business Rules

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review if any new loan folders were created. Add or modify as needed.

Should be minimal impact unless new loan folders are created.

Admin: TBD Bus: TBD Test: TBD

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Encompass Settings > Business Rules (Cont’d)

Encompass Settings > Business Rules > Milestone Completion

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add rules as needed. Are there new Required Docs, Required Tasks, Required Fields or Advanced Conditions needed for URLA and verifications?

Ensure users provide required documents, data and complete necessary tasks before moving the loan to the next step in the workflow.

Admin: TBD Bus: TBD Test: TBD

Encompass Settings > Business Rules > Field Data Entry

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add rules for URLA and the new verification forms as needed TIP: Additional button names have been provided for use in business rules. Review these rules and the new buttons to determine if rules need to be updated or added.

Provide support for users to control the values entered in fields or to create prerequisites before values can be entered or buttons pressed to ensure accurate data entry/results.

Admin: TBD Bus: TBD Test: TBD

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Encompass Settings > Business Rules (Cont’d)

Encompass Settings > Business Rules > Field Triggers

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add field triggers for URLA and verification forms as needed. If using to apply templates, complete tasks, etc., be sure to review each rule and update accordingly if changes were made to these other settings.

Provide support for users that execute custom actions to populate values, complete tasks, apply templates, send emails, etc. to ensure accuracy of data and to reduce manual processes.

Admin: TBD Bus: TBD Test: TBD

Encompass Settings > Business Rules > Automated Conditions

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add any related conditions for URLA and verification conditions, if applicable. If implemented, recommend reviewing against the URLA and verification form updates to determine if updates or additions are needed.

Present a preset of conditions to the user on button click to be added to the loan file. These rules are based on loan level data.

Admin: TBD Bus: TBD Test: TBD

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Encompass Settings > Business Rules (Cont’d)

Encompass Settings > Business Rules > Persona Access to Fields

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add to disable or enable fields for URLA and verification forms as needed.

Manages access to fields and buttons by Persona on input forms.

Admin: TBD Bus: TBD Test: TBD

Encompass Settings > Business Rules > Persona Access to Loans

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add if needed for URLA and verification forms.

Manages access to loan files by Persona to control access to specific areas and functionality with the loan file.

Admin: TBD Bus: TBD Test: TBD

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Encompass Settings > Business Rules (Cont’d)

Encompass Settings > Business Rules > Input Form List

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If implemented, review, update, and add applicable Input Form Rules.

Use of these rules make specific input forms available to users within a loan file when conditions are met.

Admin: TBD Bus: TBD Test: TBD

Encompass Settings > Dynamic Data Management Encompass Settings > Dynamic Data Management - Testing

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

TIP: In your TEST environment, deactivate all Dynamic Data Management rules. Once deactivated, perform baseline testing. The purpose of this testing is to understand if Ellie Mae added base functionality that may render current rules unnecessary or in need of updating. Use the Analysis Tools to search for fields used in existing Business Rules. Settings > System Administration > Analysis Tools.

Admin: 3 hours Bus: TBD Test: 16 hours

Encompass Administrator Checklist for the New URLA Page 31 of 48

Encompass Settings > Dynamic Data Management (Cont’d)

Encompass Settings > Dynamic Data Management > Data Tables

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, add Data Tables for URLA and verification forms as applicable. Recommend reviewing the Data Tables first to assess what, if any impacts there are or if additions are needed. The Data Tables can be exported out to Excel for ease of searching.

Contains values used in DDM Fee and Field rules to automate the population of information into the loan file dynamically as loan level data changes.

Admin: 1 hour per DDM Table Bus: 1 hour Test: 16 hours for all DDM Rules

Encompass Settings > Dynamic Data Management > Fee Rules

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, add Fee Rules for URLA and verification forms if applicable.

Impact should be minimal Admin: 1 hour per DDM Rule Bus: 2 hours to review Test: 3 hours per rule

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Encompass Settings > Dynamic Data Management (Cont’d)

Encompass Settings > Dynamic Data Management > Field Rules

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, add Fee Rules for URLA and verification forms if applicable.

Impact should be minimal Admin: 1 hour per DDM Rule Bus: 2 hours to review Test: 3 hours per rule

Encompass Settings > System Administration Encompass Settings > System Administration > Analysis Tool

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Recommend using the Analysis Tool to research where and how legacy fields are used in Business Rules, DDM Rules, Alerts, etc.

None Admin: 30 min to understand functionality Bus: N/A Test: N/A

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Encompass Tabs Encompass Reports Tab

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add as needed for URLA and verification forms. Review reports for items that will be changed due to new URLA (example any report that references fields on 1003 P2 - such as Alimony / Child Support, Vested Interest in Retirement Account, Net Worth of Business Owned, etc). For a list of new fields, refer to the 1003 to URLA tab on the DU/LPA MISMO 3.4 ULAD Mapping Guide in the Ellie Mae Resource Center. NOTE: It is recommended that fields being added to reports should first be added to the Reporting Database and reviewed and updated in the list of Not Accessible Fields in the Personas setting.

Admin: 1 hour per added / modified report Bus: 1 hour per report Test: 1 hour per report

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Encompass Tabs (Cont’d)

Encompass Dashboard Tab

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review, update, and add as needed for URLA and verification forms. NOTE: It is recommended that fields being added to reports should first be added to the Reporting Database and reviewed and updated in the list of Not Accessible Fields in the Personas setting. Recommend reviewing reports that will be changed due to new URLA such as 1003 Pg2 - Alimony/Child Support, Vested Interest in a Retirement Account, Net Worth of Business Owned, etc. Recommend reviewing the 2020 URLA tab on the Encompass Field List and DU/LPA MISMO 3.4 ULAD Mapping Guide posted on the URLA Support page in the Resource Center.

Admin: 1 hour per added / modified dashboard Bus: 1 hour per dashboard Test: 1 hour per dashboard

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Encompass Tools Encompass Loan File > Tools tab > Lock Request Form and Secondary Registration Tool

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

When URLA 2020 is selected the following new fields are available on both the Lock Request & Secondary Registration Tools: Street Address, Unit Type & Unit # -

address will be concatenated into the old fields (field IDs 2942 and 11)

FHA Secondary Residence - if a qualified FHA secondary residence will be enabled. If not, FHA will be displayed but disabled.

Refer to the Added New Fields to the Lock Request Form entry in the Encompass 19.3 release notes.

Should be minimal impact to users since the address values will be concatenated into the new. If loans are promoted from 2009 to 2020, users may need to manually update these fields

Admin: 1 hour Bus: 1 hour Test: 1 hour

Services Integrations Services Integration

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Incorporate testing of key services integrations used such as credit, flood, fraud, 4506-T, mortgage insurance, document providers, etc. NOTE: The AUS integrations will be available for testing in the September - October timeframe. Notification will be sent when they are ready.

Ensure that all key services are functioning properly, and data is passed / populated correctly.

Admin: 2 hours Bus: N/A Test: TBD

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Custom Integrations and Custom Forms SDK

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

If using the SDK in the test or lower environments, all work should be reviewed and the SDK should be updated to the current version.

This should happen automatically with the upgrade but must be reviewed to validate the upgrade.

Admin: 2 hours Bus: N/A Test: TBD

SDK

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Anything using the SDKs will need to be assessed to look for any changes due to new or updates fields, calculations, and documents.

Admin: TBD Bus: N/A Test: TBD

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Custom Integrations and Custom Forms (Cont’d)

API

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Anything using the APIs will need to be assessed to look for any changes due to new or updates fields, calculations, and documents.

Admin: TBD Bus: N/A Test: TBD

New APIs in LoanService/BAM

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Updates to LoanService/BAM to retrieve URLA Verif Data New APIs in LoanService/BAM: int GetNumberOfAdditionalLoans(); int GetNumberOfGiftsAndGrants(); int GetNumberOfOtherIncomeSources(); int GetNumberOfOtherLiabilities(); int GetNumberOfOtherAssets();

Encompass Administrator Checklist for the New URLA Page 38 of 48

Custom Integrations and Custom Forms (Cont’d)

New APIS in SDK

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

New APIs to retrieve URLA Verif data New APIS in SDK: LoanURLAAdditionalLoans LoanURLAGiftsGrants LoanURLAOtherAssets LoanURLAOtherIncome LoanURLAOtherLiabilities

Custom Input Forms

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and test all custom input forms to ensure fields in use function as expected. Evaluation and testing should include testing of Encompass fields, custom fields, custom fields with calculations, custom in-line code used in forms and business rules designed to interact with the custom input form(s). Recommend reviewing the 2020 URLA tab on the Encompass Field List and DU/LPA MISMO 3.4 ULAD Mapping Guide posted on the URLA Support page in the Resource Center.

Admin: 1 hour per custom input form Bus: N/A Test: 1 hour per custom input form

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Custom Integrations and Custom Forms (Cont’d)

Custom Integrations

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review all custom integrations for proper field mapping and calculations

Admin: TBD Bus: 2 hours Test: TBD

General Considerations and Business Decisions Business Decision - Initial Disclosures

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Will the Lender Information Page be sent with initial Disclosures? For married borrowers, will the co-borrower be sent borrower info forms or additional borrower forms?

Admin: TBD Bus: 2 hours Test: TBD

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General Considerations and Business Decisions (Cont’d)

Business Decision - Initial Disclosures

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Will the ULI or ULI/NULI and Loan # print on URLA?

The checkbox for this should be defaulted so users do not need to know what to choose and recommend locking fields down so users do not mistakenly change it.

Admin: 1 hour Bus: 1 hour Test: 30 min

General Consideration - Workflow Considerations

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

With URLA and the new verifications, and choices around disclosures to include, are there any changes in workflow needed? If yes, what, when and how will you implement them?

Admin: TBD Bus: 2 hours Test: TBD

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General Considerations and Business Decisions (Cont’d)

Business Decision - 1003 URLA - Lender

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

What, if anything, will be defaulted via Templates, Business Rules or Dynamic Data Management Rules vs. entered manually by the user?

Admin: TBD Bus: TBD Test: TBD

Business Decision - 1003 URLA – Part 1 – Military Service

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

What, if any, supports do your users need to ensure this information is completed? What are the conditions for when and what?

Admin: N/A Bus: 1 hour Test: 1 hour

Encompass Administrator Checklist for the New URLA Page 42 of 48

General Considerations and Business Decisions (Cont’d)

Business Decision - 1003 URLA – Part 1 – Preferred Language

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Pending the GSE final stance on this section, how will you handle this section and what supports are needed for users?

Admin: N/A Bus: 30 min Test: 1 hour

Business Decision - 1003 URLA – Part 1 – Unmarried Borrower Information & Addendum

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

What, if any, supports do your users need to ensure this information is completed? What are the conditions for when and what?

Admin: TBD Bus: 2 hours Test: 4 hours

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General Considerations and Business Decisions (Cont’d)

Business Decision - Does Not Apply Check Boxes

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review the purpose of these checkboxes and ensure the loan originators know when, why and where to complete these to ensure an accurate complete application. What types of supports, if any, can you leverage to provide support to users? Review any business rules or workflows to control functionality or user behavior.

Beginning with Encompass 19.4, the Does Not Apply check boxes on the 1003 URLA Part 2, 1003 URLA Part 3, and 1003 URLA Part 4 (Income, Assets, Liabilities, Real Estate, and Gifts or Grants) are cleared and disabled for appropriate parties when data for the borrower, co-borrower, or both is entered in a section or in a verification form for the section. The check box remains disabled until all data is deleted from the record.

Business Decision - 1003 URLA – Lender

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

What, if anything, will be defaulted via Templates, Business Rules or Dynamic Data Management Rules vs. entered manually by the user?

Encompass Administrator Checklist for the New URLA Page 44 of 48

General Considerations and Business Decisions (Cont’d)

Business Decision - 1003 URLA Part 2 – Military Entitlements

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

What, if any, supports do your users need to ensure this information is completed? What are the conditions for when and what? Review any business rules or workflows to control functionality or user behavior.

Updates have been made to address differences in the way Military Entitlements are recorded on the new URLA 2020 input forms and the way Military Entitlements are treated for ATR/QM purposes. Refer to the Encompass 19.4 Release Notes for details.

Admin: TBD Bus: 1 hour Test: 3 hours

Business Decision - Name Change for Other Income

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Make sure loan originators know about changes in the pop-up window for Other Income (field ID 1168) on the Borrower Summary – Origination, Borrower Summary – Processing, Underwriter Summary, and 92900LT FHA Loan Transmittal input forms when a loan is using the URLA 2020 forms,

The drop-down list for the Description field in the pop-up window has been renamed Income Source and the list of options in the list has been updated to match the Income Source options in section 1e. Income from Other Sources on the 1003 URLA Part 2 input form and in the Verification of Other Income input form.

Admin: TBD Bus: TBD Test: TBD

Encompass Administrator Checklist for the New URLA Page 45 of 48

General Considerations and Business Decisions (Cont’d)

Business Decision – Updates to Project Type Drop-Down List

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Make sure loan originators know that the Project Type drop-down list (field ID 1012) on the Transmittal summary input form has been updated to include new Freddie Mac and Fannie Mae options. All options on the list begin with one of the three identifying prefixes, and are arranged in groups based on the identifier: Freddie Mac Fannie Mae Other

The list includes three new options: Freddie Mac: Exempt From

Review Fannie Mae: 1 Full Review - Co-

op Project Fannie Mae: 2 Fannie Mae

Review through PERS - Co-op Project

The prefixes and reorganized list make it easier to identify options that are specific to Freddie Mac and Fannie Mae.

Admin: TBD Bus: TBD Test: TBD

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General Considerations and Business Decisions (Cont’d)

Business Decision - Self-Employment & Employment by Party

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review sections 1b and 1c on the 1003 URLA Part 2 input form. The two Check if check boxes associated with employment have been moved above the Gross Monthly Income section.

The Monthly Income (or Loss) (field ID FEXX56) is now editable only when the business owner/self-employed check box (field ID FEXX15) is selected.

Admin: TBD Bus: TBD Test: TBD

Business Decision – Construction Method Type

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Make sure loan originators know that the Construction Method Type drop-down list (field ID ULDD.X187) now displays on the 1003 URLA Part 4 input form.

Adding the field to this form makes it easier to enter or change the construction method type directly from this form without having to navigate to the ULDD/PDD form to select an option for the field.

Admin: TBD Bus: TBD Test: TBD

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General Considerations and Business Decisions (Cont’d)

Business Decision – Construction Loan Update

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and test regarding changes made for Construction-to-Permanent loans when Purpose of Loan (field ID 19) is the selected option. Evaluate any business rules and workflows configured to control affected fields.

To help underwriters qualify construction-to-permanent loans and submit them to Desktop Underwriter (DU) and automated underwriting systems (AUS), two changes have been made on the 1003 URLA - Lender input form when the Construction-Perm option is selected for the Purpose of Loan (field ID 19): The Construction-

Conversion/Construction-to-Permanent check box (field ID URLA.X133) is selected by default and disabled for editing.

The Single-Closing and Two-Closing check boxes (field ID URLA.X134) are enabled for editing.

Admin: TBD Bus: TBD Test: TBD

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AUS Testing Encompass > Settings > Additional Settings > FNMA and Freddie MAC settings

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Utilize new DU & LPA links that run via EVP instead of ePass. If you limit any personas from managing their own underwriting service provider list, you will need to add these to your "My Service Provider" under the main admin account: * Freddie Mac Loan Product Advisor System to System New!! * Fannie Mae DU new

None

Encompass > Input Forms > Freddie Mac LPA Support

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review Feature: To support future new URLA integration with Freddie Mac ’s Loan Product Advisor (LPA) automated underwriting system, a Number of Units field has been added to the Verification of Mortgage input form.

None Admin: TBD Bus: TBD Test: TBD

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AUS Testing (Cont’d

Encompass > Input Forms > Freddie Mac LPA Support

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review Feature: To support future new URLA integration with Freddie Mac ’s Loan Product Advisor (LPA) automated underwriting system, in section L4 of the 1003 URLA - Lender input form, a MI Premium Refund option has been added to the drop-down lists for Other Credits (lines M3-M6 in the Total Credits section).

None Admin: TBD Bus: TBD Test: TBD

Encompass Administrator Checklist for the New URLA Page 50 of 48

Encompass Consumer Connect Consumer Connect Admin Portal > URLA 2020 Effective Date

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

In the Encompass Consumer Connect Admin Portal, review the Lender Admin Settings for URLA: Ability to set effective date for use of

URLA 2020 Option to toggle between URLA

2009 and URLA 2020 prior to reaching 11/1/2020 effective date

New feature to turn on progressive enablement of URLA 2020

Ability to migrate loan application workflows before and after URLA 2020 effective date

Updates to Incomplete Apps and Borrower Portal views

Review all settings and release notes regarding each option.

Consumer Connect Admin Portal > Application Workflows

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review existing workflows and update for URLA 2020. Create new URLA 2020 application workflows using the new blended application style.

Encompass Administrator Checklist for the New URLA Page 51 of 48

Encompass Consumer Connect (Cont’d)

Consumer Connect Admin Portal > Loan Application Updates

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review each Loan Application Workflow for hidden, required, and new fields and update accordingly.

Encompass LO Connect TPO Connect Admin Portal

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Encompass LO Connect updates are scheduled for release with Encompass 19.4 and 20.1.

Encompass Administrator Checklist for the New URLA Page 52 of 48

Encompass TPO Connect Encompass TPO Connect > Admin Portal > Left Nav link

Task User Impact Estimated Level of Effort Assigned To: Date Assigned: Date Completed:

Review and configure new URLA Import Options Option 1: Disable URLA 2020 and Disable MISMO 3.4 Import Default option for business as

usual. Not accepting URLA 2020 or 3.4 Import

Option 2: Disable URLA 2020 and Enable MISMO 3.4 Import Not accepting URLA 2020 but will

accept either 3.2 or 3.4 Import Warning message displayed about

lost or inaccurate data due to downgrading or upgrading

Option 3a: Enable URLA 2020 and Enable MISMO 3.4 Import without downgrade option Accepting URLA 2009/2020 and

3.2/3.4 Import until mandatory use date of 11/1/2020

Warning message displayed to notify user that data may be lost or inaccurate if downgrading or upgrading

Option 3b: Enable URLA 2020 and Enable MISMO 3.4 Import with downgrade option enabled Accepting URLA 2009/2020 and

3.2/3.4 Import until mandatory effective date of 11/1/2020

Recommend that all testing be done in a test environment