Integrated_Underwriting_PWS_11.30.18.doc

Performance Work Statement (PWS)

Integrated Underwriting, Asset Management, and Document Management Solution

Version 4.0 4Vision Statement

1 General Information

1.1 Introduction

1.2 Background

1.3 Constraints

1.4 Description of Services

1.5 Non-Personal Services

1.6 Period of Performance

1.7 Place of Performance

1.8 Hours of Operation

1.9 Special Qualifications

1.10 Post Award/Kickoff Conference

1.11 Status Meetings

1.12 Contractor Travel

1.13 Transition In

1.14 Transition Out

2 Definitions and Acronyms

2.1 Definitions

2.2 Acronyms

3 Government-Furnished Property and Services

3.1 Government Services

3.2 Facilities

3.3 Equipment

3.4 Materials

3.5 Quality Assurance (QA)

4 Contractor-Furnished Items and Services

4.1 Facilities

4.2 Equipment

4.3 Material

4.4 Contractor Responsibilities

4.5 Contractor Personnel

4.6 Identification of Contractor Employees

4.7 Quality Control

4.7.1 Quality Control Plan

5 Specific Tasks

5.1 The Contractor shall provide an underwriting and asset management functions

5.2 System Security

5.3 The Contractor shall train and support account executives, OHP management, and other HUD users

5.4 The Contractor shall enhance OHF’s operational capabilities 6 Deliverables

6.1 Quality Control Plan

6.2 Acceptance Criteria

7 Performance Requirements Summary 8 Related Documents

Performance Work Statement (PWS) Integrated Underwriting, Asset Management, and Document Management Solution Vision Statement

To obtain contractor support services to integrate the Office of Hospital Facilities’ (OHF’s) underwriting and asset management functions. By obtaining these services, HUD will be able to coordinate underwriting and asset management activities and accomplish HUD's mission of improving the way it does business.

1 General Information

1.1 Introduction

The Department of Housing and Urban Development (HUD), Office of Healthcare Programs (OHP) requires contractor to support the integration of its underwriting and asset management services. Services shall include: providing a mechanism to review and retain mortgage insurance applications; developing a framework to analyze hospital financial statements, develop cash flow statements, and assess hospital-specific probability of defaults; tracking and retaining request and correspondence with portfolio hospitals; and documenting OHF’s asset management decisions and actions.

1.2 Background

The Office of Hospital Facilities currently manages its portfolio with the assistance of a contractor utilizing business risk tools to analyze the portfolio and deliver comprehensive financial risk management services. Our current service provides significant asset management enhancements including advanced financial analysis, analysis of cash flows, and probability of default analysis. While the service offers strong analysis capabilities, it lacks the ability to integrate underwriting functionality, document asset management activities, and store program documents. Historically, underwriting and asset management activities are separate and distinct processes. The effect of these siloed activities has been duplicate data entry, inefficient handoffs between underwriting and asset management, and poorly organized document storage.

1.3 Constraints

< This section contained symbol(s) that did not export. > The services identified in this PWS will adhere to the rules, regulations, laws, standards, and conventions identified by HUD as well as within the Federal Government

· HUD Handbook 4615.1 REV-1, Hospital Mortgage Insurance Program

· HUD Handbook 1325.01, Privacy Act Handbook

· HUD Handbook 2400.25, Information Technology Security Policy, Revision 4 (and subsequent revisions)

· HUD Handbook 732.3, Personnel Security/Suitability

· Statement on Standards for Attestation Engagements No. 16 (SSAE 16) Reporting on Controls at a Service Organization

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

· OMB Circular A130, Management of Federal Information Resources, Appendix III, Security of Federal Automated Information Resources

· Homeland Security Presidential Directive 12 (HSPD12)

· OMB Memorandum M-05-24, Implementation of Homeland Security Presidential Directive (HSPD) 12

· OMB Memorandum M-03-22, OMB Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002

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

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

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

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

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

· OMB Memorandum for Chief Information Officers: https://www.fismacenter.com/fedrampmemo.pdf

· Federal Information Processing Standards (FIPS) Publications http://csrc.nist.gov/publications/PubsFIPS.html

· Federal Information Processing Standards 201 (FIPS 201), Sections 2.1 and 2.2

· NIST Special Publications (800 Series) http://csrc.nist.gov/publications/PubsSPs.html

· Federal Information Security Management Act (FISMA)

· Federal Information Systems Controls Audit Manual (FISCAM, Government Accountability Office)

· Statements of Federal Financial Accounting Concepts and Standards, Federal Accounting Standards Advisory Board (FASAB)

· Authoritative Documents from Accounting and Auditing Policy Committee Processes

Generally Accepted Government Auditing Standards (GAGAS)

1.4 Description of Services

HUD requires a Contractor who shall provide services to support the review, analysis, collaboration and decision-making process required during underwriting. The service will also, manage and store documents, streamline data entry, provide risk rating capabilities, generate portfolio-wide dash board reports and provide hospital-specific probability of default analysis. The services shall include:

· Support for the Underwriting Process

· Facilitate Financial Statement Spreading

· Model Financial Data

· Calculate OHF Defined Risk Ratings

· Facilitate Portfolio Monitoring

· Store and Manage Documents

· Provide Database Maintenance and Technical Support

· Train and Support Staff

· Enhance Operational Capabilities

Detailed descriptions of specific tasks are provided in Section 5 Specific Tasks and Deliverables.

1.5 Non-Personal Services

The Government will neither supervise Contractor employees nor control the method by which the Contractor performs the required tasks. Under no circumstances shall the Government assign tasks to, or prepare work schedules for, individual Contractor employees. It shall be the responsibility of the Contractor to manage its employees and to guard against any actions that are of the nature of personal services, or give the perception of personal services.

If the Contractor believes that any actions constitute, or are perceived to constitute personal services, it shall be the Contractor's responsibility to notify the Contracting Officer (CO) immediately. These services shall not be used to perform work of a policy, decision making, or management nature, i.e. inherently Government functions. All decisions relative to programs supported by the Contactor shall be the sole responsibility of the Government.

1.6 Period of Performance

The period of performance shall be for one base period of twelve (12) months and four (4) twelve (12) month option periods, if exercised.

1.7 Place of Performance

The services to be performed under this contract shall be performed at the contractor facility.

1.8 Hours of Operation

N/A

1.9 Special Qualifications

N/A

1.10 Post Award/Kickoff Conference

The Contractor shall attend any post award conference convened by the contracting activity or contract administration office in accordance with FAR Subpart 42.5. The Government intends to convene a Post Award Conference with the Contractor within ten (10) business days after contract award. The Contracting Officer will notify the Contractor of the specific date, location and agenda within five business days after contract award.

1.11 Status Meetings

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

1.12 Contractor Travel

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

1.13 Transition In

The Contractor shall, upon the Contracting Officer's written notice, furnish Transition-In services as required. As a successor, the Contractor shall have sufficient personnel on board during the one hundred eighty (180) day Transition-In period to ensure a smooth transition with the incumbent Contractor. The Contractor shall provide an orderly transition of work acceptance and accomplishment such that any impact to the program is minimized. During the Transition-In period, the Contractor shall become familiar with the requirements in order to commence full performance of services by the end of the contract Transition-In period. Transition-In is not required if the successor Contractor is the incumbent Contractor.

1.14 Transition Out

To minimize any decrease in productivity and to prevent possible negative impacts on additional services, the Contractor shall have sufficient personnel on board during the sixty (60) day Transition-Out period. The incumbent Contractor shall ensure a smooth transition with the successor Contractor during the Transition-Out period, prior to completion of contractual performance. The incumbent Contractor shall aid the successor in the development of plans, procedures, and methods for the assumption of all on going work. The Contractor shall provide an orderly transition of work acceptance and accomplishment, such that full control by the successor Contractor is achieved by the end of the new contract Transition-In period.

2 Definitions and Acronyms

2.1 Definitions

Business/Work Days - Every official work day of the week which are days between and including Monday to Friday. This does not include public holidays and weekends.

Calendar Day - Any day of the week.

Contractor - A supplier or vendor awarded a contract to provide specific supplies or service to the Government. The term used in this contract refers to the prime.

Contracting Officer (CO) - A person with authority to enter into, administer, and/or terminate contracts and make related determinations and findings on behalf of the Government. Note: the only individual who can legally bind the Government.

Contracting Officers Representative (COR) - An employee of the U.S. Government appointed by the Contracting Officer to perform contract administration activities in regard to technical issues. This individual has authority to provide technical direction to the Contractor as long as direction is within the scope of the contract, does not constitute a change and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

Defective Service - A service output that does not meet the standard of performance associated with the Performance Work Statement.

Deliverable Anything that can be physically delivered, but may include non-manufactured things such as meeting minutes or reports.

Government Furnished Property (GFP) - Government-furnished property means property in the possession of, or directly acquired by, the Government and subsequently furnished to the Contractor for performance of a contract. Government-furnished property includes, but is not limited to, spares and property furnished for repair, maintenance, overhaul, or modification. Government-furnished property also includes contractor-acquired property if the contractor-acquired property is a deliverable under a cost contract when accepted by the Government for continued use under the contract.

Government Technical Monitor (GTM) - An individual designated by the Contracting Officer to assist in providing technical direction and monitoring performance under the contract.

Performance Requirements Summary (PRS) - A listing of the performance requirements under the contract that are to be evaluated by the Government on a regular basis, performance indicators for these requirements, performance standards for these requirement and surveillance methods to be used to determine if performance standards are met.

Performance Standard - The Contractor's performance level required by the Government.

Performance Work Statement (PWS) - A statement of work for performance based acquisitions that describe the required results in clear, specific and objective terms with measurable outcomes.

Physical Security - Actions that prevent the loss or damage of Government property.

Quality Assurance (QA) - Policies and procedures adopted by the Government to ensure that supplies and services acquired under Government contracts conform to the contracts quality requirements.

Quality Assurance Surveillance Plan (QASP) - A plan describing how the agency will survey, observe, test, sample, evaluate and document the Contractor's performance in meeting critical performance standards identified in the contract.

Quality Control (QC) - All necessary measures taken by the Contractor to assure that the quality of an end product of service shall meet contract requirements.

Work Week - Monday through Friday, unless specified otherwise.

2.2 Acronyms

AICPA - American Institute of Certified Public Accountants AQL - Acceptable Quality Level

ATO - Authorization to Operate

CISO - Chief Information Security Officer

CO - Contracting Officer

COR - Contracting Officer Representative

CPO - Office of the Chief Procurement Officer of HUD

CSAM - Cyber Security Assessment Management System

EST - Eastern Standard Time (U.S.)

FHASL - FHA Subsidiary Ledger System

FISCAM - Federal Information Systems Computer Audit Manual

GAAP - Generally Accepted Accounting Principles

GAO - Government Accountability Office

GASB - Governmental Accounting Standards Board

GTM - Government Technical Monitor

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

HUDAR - HUD Acquisition Regulation

ISSO - Information System Security Officer

OCPO - Office of the Chief Procurement Officer

OPIIS - Online Property Integrated Information Suite

PIA - Privacy Impact Assessment

PM - Project Manager

POA&M - Plan of Action & Milestones

POC - Point of Contact

PPM - Project Planning and Management

QA - Quality Assurance

QASP - Quality Assurance Surveillance Plan

QCP - Quality Control Plan SOC - Service Organizations Control

SORN - System of Record Notice

SSA - System Security Administrator

SSAE 16 - Statement on Standards for Attestation Engagements No. 16

SF - Standard Form

3 Government-Furnished Property and Services

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

3.1 Government Services

No Government services will be provided.

3.2 Facilities

No facilities will be provided by the Government.

3.3 Equipment

No equipment will be provided by the Government.

3.4 Materials

Copies of required materials may be provided to the Contractor in hard copy or soft copy. All materials will remain the property of the Government and will be returned to the COR upon request or at the end of the contract period.

3.5 Quality Assurance (QA)

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

4 Contractor-Furnished Items and Services

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

4.1 Facilities

The contractor shall furnish all facilities required to perform the work under this contract that are not listed under Government Furnished Property and Services.

4.2 Equipment

The contractor shall furnish all equipment required to perform the work under this contract that are not listed under Government Furnished Property and Services.

4.3 Material

The contractor shall furnish equipment and supplies required to perform the work under this contract that are not listed under Government Furnished Property and Services.

4.4 Contractor Responsibilities

The Contractor shall only conduct business with designated Government personnel listed as points of contact (POCs). Names of authorized personnel shall be provided to the Contractor by the Government, in writing and updated as necessary throughout the contract period.

U.S. Government records, copies of original results and reports, verified original data, corrected data and corrected supporting final reports which are maintained by the Contractor remain the property of the U.S. Government. These files/results must be surrendered to the COR upon request.

4.5 Contractor Personnel

The Contractor shall provide a Contract/Project Manager who shall be responsible for the performance of work. An alternate shall also be designated to act in the absence of the Contract/Project Manager. These Contractor personnel (main point of contact and alternate point of contact) are considered Key Personnel by the Government and shall be listed as such in accordance with HUDAR 2452.237-70, "Key Personnel. The Contract/Project Manager and alternate shall have full authority to act on all contact matters relating to daily operations of this contract. Accordingly, at a minimum, the points of contact shall have the technical knowledge of the requirement and be in the position to actually receive assignment, guidance and direction from the COR, GTM and CO per HUDAR 2452.237-73, "Conduct of Work and Technical Guidance" and shall be allocated enough hours to the requirement to ensure successful performance. These points of points of contact shall each be an employee of the Contractor. An employee of a subcontractor is not acceptable for either of these positions. The Contract/Project Manager or alternate shall be available between the hours of 8:00am to 4:30pm Monday through Friday EST, except Federal Holidays or when the Government facility is closed for administrative reasons.

4.6 Identification of Contractor Employees

All Contractor/subcontractor personnel shall wear company picture identification badges as to distinguish themselves from Government employees. When conversing with Government personnel during business meetings, over the telephone, or via electronic mail, Contractor/subcontractor personnel shall identify themselves as such to avoid situations arising where sensitive topics might be better discussed solely between Government employees. Contractors/subcontractors shall identify themselves on any attendance sheet or any coordination documents they may review. Electronic mail signature blocks shall identify their company affiliation. Where practicable, Contractor/subcontractors occupying collocated space with their Government program customer shall identify their work space area with their name and company affiliation or at a minimum, "Contractor" after name.

4.7 Quality Control

The Contractor shall establish and maintain a complete quality control program that shall ensure services are performed in accordance with this contract. The Contractor shall develop and implement procedures to identify, prevent, and ensure non reoccurrence of defective services. The Contractor's quality control program is the means by which he assures himself that his work complies with the requirements of the contract. The Contractor shall provide the associated Quality Control Plan to the Government as directed.

4.7.1 Quality Control Plan

The Contractor shall develop, maintain, enforce and document a Quality Control Plan (QCP). The QCP shall ensure the Government receives the level of quality that is consistent with the requirements specified in this contract. The QCP shall be sufficiently detailed to provide the Contractor's methodology for identifying and recruiting qualified personnel. The QCP shall also provide the Contractor's methodology for resolving problems identified by the Government during reviews conducted in accordance with its Quality Assurance Surveillance Plan (QASP). The QCP shall also provide the Contractor's methodology for establishing an internal feedback system for support personnel, and for resolving problems identified by that feedback system. The QCP shall demonstrate and validate that the services or deliverables to be provided under the contract are completed with a level of quality that meets the minimum performance threshold established in the Government's QASP. The QCP shall address Quality Management Approach, Quality Assurance, Quality Control and Quality Standards.

5 Specific Tasks

5.1 The Contractor shall support the underwriting and asset management functions.

Performance Standards

a) Standard: The Contractor shall provide a reliable integrated underwriting and asset management service.

AQL: Zero deviation from the standard.

Deliverables A001 Financial Reports

5.1.1 The contractor shall support the underwriting process.

Automate the origination process, to include standardized workflows and management of electronic application documents.

Standardize the credit write-up process; to include credit memo templates, which automatically incorporate data from the financial reviews.

Track the status of each application and provide standard reports on all pipeline activity.

5.1.2 The Contractor shall collect and store all administrative, financial, and utilization data.

Develop a systematic process to collect hospital administrative data, hospital financial statement data, and hospital utilization statistics.

Provide the capability to create, edit, and delete hospital administrative, financial, and utilization information.

Import existing electronic historical data;

5.1.3 The Contractor shall store and manage all electronic documents.

Store various document types, including word-processing files, emails, portable document formats (PDFs), and spreadsheets;

Provide secure storage for underwriting application documents;

Provide secure storage for asset management documents;

Provide framework for organizing all digital documents.

Provide search capabilities including optical character recognition for PDF documents;

Facilitate the control and regulation of when out-of-date documents can be deleted.

5.1.4 The Contractor shall analyze and report interim and annual financial and utilization data

Spread hospital financial and non-financial data (balance sheet, profit/loss statements, ratios, cash flows, and utilization statistics);

The data will be configured to meet common hospital accounting standards such as generally accepted accounting principles (GAAP) and Governmental Accounting Standards Board (GASB).

Build and model financial projections;

Model financial statement data for underwriting new deals and managing existing credits;

Model and analyze UCA Cash Flow for both historical data and future projections;

Provide configurable financial ratios for dashboard reporting of individual hospitals and the overall portfolio;

Benchmark performance to comparable hospitals and regions;

Develop hospital industry-specific probability of default analysis and/or shadow rating capabilities;

Create configurable risk ratings on individual hospitals based on OHF-specific methodologies;

Make regular updates to the customized financial ratios and risk ratings to meet OHF’s changing needs.

Run multiple projection scenarios (i.e. feasibility, budget, etc.) and perform sensitivity analysis based on changing economic and legislative issues;

Allow the creation and analysis of "family entities” based on parent, subsidiary, holding companies, etc;

Generate hospital-level and portfolio-level financial and statistical reports;

Develop processes to minimize data entry errors;

Provide updated data in real-time;

Incorporate financial data from the spreads into asset management memos and other narrative documents.

5.1.5 The Contractor shall provide system administration and data maintenance.

Allow significant time and provide a dedicated professional services team to meet HUD specific transition requirements for implementation, customizations, model deployments, data migration, and advisory services. The amount of time necessary will be determined by OHP.

Provide user manuals

Provide ongoing technical support;

Provide ongoing customization as necessary;

Operate all software on the most recent version of the software available;

Maintain analytic data;

Facilitate and support ongoing data and information exchanges from Account Executives;

Provide flexible data storage capabilities;

Ensure scalability in services to accommodate any potential future program or user growth;

Incorporate data from HUDs FHA Subsidiary Ledger (FHASL) system. This data is provided in a Microsoft Excel based file on a monthly basis and contains loan level information including: FHA project numbers, closing dates, interest rates, unpaid principal balances, etc.;

Export financial data on a monthly basis to HUDs Online Property Integrated Information Suite (OPIIS) to manage individual financial information on borrowers;

Provide security and technical controls outside of HUDs firewall. It is expected that 75 HUD employees in multiple geographic locations will access the data and information provided by the contractor;

Possess the flexibility to possibly manage the future data requirements of the Office of Residential Care Facilities (Section 232).

5.2 System Security

The Contractor shall provide the Office of Healthcare Programs business services that fully support federal information systems security standards.

The Contractor shall be governed by HUD and federal information security policies.

The Contractor shall ensure that all applicable security guidelines, policies, and regulations are met at all times during the execution of the tasks and requirements of this PWS.

The Contractor shall ensure that the requirements of HUD Handbook 2400.25 REV 4, Information Technology Security Policy, dated August 2014 (and subsequent revisions) are incorporated into the Contractors business services and operations.

Performance Standards

a) Standard: 100% compliance with FISMA, NIST, and HUD security and privacy policies.

AQL: No deviation from standard

5.2.1 Security Procedures

The Contractor shall comply with applicable federal and HUD statutes, regulations, policies, and procedures governing the security of the system(s) to which the contractors employees have access including, but not limited to:

(i) The Federal Information Security Management Act (FISMA);

(ii) OMB Circular A130, Management of Federal Information Resources, Appendix III, Security of Federal Automated Information Resources;

(iii) HUD Handbook 2400.25, Information Technology Security Policy;

(iv) HUD Handbook 732.3, Personnel Security/Suitability;

(v) Federal Information Processing Standards 201 (FIPS 201), Sections 2.1 and 2.2;

(vi) Homeland Security Presidential Directive 12 (HSPD12);

(vii) OMB Memorandum M0524, Implementing Guidance for HSPD12; and

(viii) OMB Memorandum for Chief Information Officers: https://www.fismacenter.com/fedrampmemo.pdf The HUD Handbooks are available online at: http://www.hud.gov/offices/adm/hudclips/ or from the COR.

The contractor shall develop and maintain a compliance matrix. The contractor shall identify an accountable person for each requirement, the date upon which actions/procedures were initiated/completed, and certify that information contained in this compliance matrix is correct. The contractor shall ensure that information in this compliance matrix is complete, accurate, and up-to-date at all times for the duration of this contract. Upon request, the contractor shall provide copies of the current matrix to HUD. The compliance matrix shall complete the Risk Management Framework lifecycle (NIST SP800-37) including without being limited to:

(i) Implementation of controls in accordance with NIST 800-53 and documentation of those controls using HUDs Computer Security Assessment and Management (CSAM) system;

(ii) Annual self-assessment of controls in accordance with NIST 800-53A and documentation of those assessment using CSAM;

(iii) Maintenance and reporting of Plans of Action and Milestones to remedy control deficiencies and documentation of same using CSAM;

(iv) Documentation of security and system management procedures and required to complete the System Security Plan in CSAM including without being limited to documentation covering configuration management, access control, and all internal and external interfaces and system interconnections.

(v) Technical and procedural documentation to support classification for system security and privacy purposes including but not limited to NIST FIPS 199, major system classification in accordance with HUD policy, financial system designation in accordance with OMB Circular A-123, Appen dix D, and Privacy Threshold Analysis in accordance with HUD policy.

(vi) Timely implementation, maintenance, assessment, and remediation of controls in CSAM to assure timely completion of an initial Authority to Operate prior to the start of operation and timely renewals.

The Contractor shall ensure that its employees, in performance of the contract, receive annual training (or once if the contract is for less than one year) in HUD information technology security policies, procedures, computer ethics, and best practices in accordance with HUD Handbook 2400.25.

A002 Compliance Matrix

5.2.2 Incident Response Notification

An incident is defined as an event, either accidental or deliberate, that results in unauthorized access, loss, disclosure, modification, or destruction of information technology systems, applications, or data. The contractor shall immediately notify HUD-CERT and the COR and the Contracting Officer of any known or suspected incident, or any unauthorized disclosure of the information contained in the system(s) to which the contractor has access.

5.2.3 Access to Contractor’s Systems

The Contractor shall afford HUD, including the Office of Inspector General, access to the Contractor's facilities, installations, operations, documentation (including the compliance matrix required under section 5.2.1), databases, and personnel used in performance of the contract. Access shall be provided to the extent required to carry out, but not limited to, any information security program activities, investigation, and audit to safeguard against threats and hazards to the integrity, availability, and confidentiality of HUD data and systems, or to the function of information systems operated on behalf of HUD, and to preserve evidence of computer crime.

5.2.4 Contractor Compliance with this Section

Failure on the part of the contractor to comply with the terms of section 5.2 may result in termination of this contract for default.

5.3 The Contractor shall train and support account executives, OHP management, and other HUD users

Performance Standards

a) Standard: 100% compliance

AQL: Zero deviation

5.3.1 Initial User Training and Ongoing User Support

The Contractor shall prepare training materials specific to the underwriting and asset management services. The Contractor will provide initial staff-led training for OHP Account Executives, OHP management and other HUD users via a variety of classroom, electronic, and self-study techniques.

The Contractor shall develop and maintain efficient and effective methods for providing ongoing guidance, training, and support to OHP Account Executives, OHP management, and other HUD users of the underwriting and asset management services.

A003 Initial User Training and Ongoing User Support.

5.3.2 Credit Analysis and Risk Management Training

The Contractor shall assess OHP staff skills and one annual training on topics related to credit analysis and risk management. Topics might include, financial statement analysis, UCA cashflow analysis, credit risk analysis, credit rating analysis, etc. Training topics are subject to OHP approval.

A004 Credit Analysis and Risk Management Training.

5.3.3 Rating Agency Reports

As an additional resource, the Contractor shall provide access to a rating agency subscription service. The information obtained through an on-line rating service will enable HUD to conduct a thorough financial review of potential client hospitals and health facilities. This subscription will enable HUD to download reports on selected hospitals and related entities. It also will entitle HUD to access the rating agencies' healthcare analytical teams with questions about the reports, participate in healthcare sector conference calls, and receive periodic reports assessing the healthcare sector.

A005 Rating Agency Reports.

5.4 The Contractor shall enhance OHF’s operational capabilities

The Contractor shall conduct ad hoc special analyses upon request of the COR, using annual financial statement data, program data, and other available data sources to (a) improve OHF underwriting, asset management, resource management, or portfolio analysis, and/or to (b) improve methods for analyzing these activities.

Performance Standards

a) Standard: 100% compliance with FISMA, NIST, and HUD security and privacy policies.

AQL: No deviation from standard

A006 Ad Hoc Written Reports

6 Deliverables

The Contractor shall complete all work and submit all deliverables as specified herein. The Government reserves the right to make changes to delivery dates.

Classroom, electronic, and self-study

Classroom

6.1 Quality Control Plan

The Contractor's QCP shall be delivered to the COR within thirty (30) days after contract award (or with the Contractor's proposal if it is an evaluation factor). The QCP shall be submitted to the COR within ten (10) business days when changes are made thereafter. After acceptance of the QCP, the Contractor shall receive the Contracting Officer's acceptance in writing of any proposed change to its quality control system.

6.2 Acceptance Criteria

All deliverables shall be submitted in a draft format agreed upon by the Contractor and the Government. Upon review and acceptance by the Government, the Contractor shall address all Government comments and submit a final draft within 5 (five) business days of Government notification.

7 Performance Requirements Summary

The summary chart below lists the contract's primary requirements, the associated performance standards, the expected target performance, and the methods of surveillance. While some contract requirements may not be listed in the chart below, requirements not appearing on the PRS chart do not negate the Contractor's obligation to perform all requirements as specified in the contract. Additionally, HUD reserves all rights and remedies under the provisions and clauses of the contract when performance of any contract requirement, whether or not listed below, is unacceptable.

HUD will develop a Quality Assurance Surveillance Plan to be used to provide contract oversight. In conjunction with the Contractor's Quality Control Plan and various other methods of assessing performance, the COR and GTM may perform on-site reviews and/or other types of verification to determine that the specified target performance requirements have been met.

Regular review of Contractor performance is critical to the overall success of the contract. On a monthly basis, the COR will evaluate the quality of the product or services.

8 Related Documents

The Contractor shall abide by all applicable regulations, publications, manuals, policies and procedures in the performance of this contract.