IRS TEGE AI Assistor RFI Questions.pdf
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- Attached to
- TE/GE Employee Plans AI Assistor RFI
- Solicitation number
- 26-40-APMO
About this file
This is a Request for Information (RFI) document from the Internal Revenue Service (IRS) Tax Exempt and Government Entities (TE/GE) Division seeking information about AI-assisted solutions for analyzing qualified retirement plans and ensuring compliance with Internal Revenue Code provisions.
The RFI contains twenty evaluation questions addressing the technical, operational, and compliance capabilities required of prospective solutions. Key technical requirements include the ability to interpret and analyze retirement plan documents under IRC Sections 401(a), 403(b), 457, 401(k), and related Treasury Regulations; identify qualification failures and document defects; ingest and standardize large volumes of unstructured retirement plan data; and perform complex retirement plan calculations including discrimination testing, coverage testing, and funding requirements. The solution must provide explainable and traceable AI-generated findings with transparent methodology, incorporate and update changes to tax laws and regulatory guidance on a defined cycle, and identify both document-based and operational compliance failures. Additional requirements address AI governance frameworks including model validation, bias testing, accuracy measurement, and human oversight protocols; configurable workflows supporting human review and approval before final compliance determinations; and the ability to generate examination workpapers, compliance summaries, audit reports, and correction recommendations with supporting legal citations. The RFI also requires integration capability with PegaSystems, Salesforce, and other federal case management platforms via APIs or middleware; FedRAMP authorization and FISMA compliance with NIST SP 800-53 controls and Federal Tax Information (FTI) protection; Section 508 accessibility requirements; deployment flexibility across cloud-hosted, hybrid, on-premises, or government-controlled environments; and demonstrated federal agency deployment experience with measurable outcomes. Respondents must also provide detailed cost analysis including licensing, implementation, integration, training, maintenance, model updates, cloud hosting, and user scaling assumptions supporting their rough order-of-magnitude estimate.
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| File | Type | Posted |
|---|---|---|
| TEGE AI Assistor RFI Questions and Responses.pdf | ||
| TEGE Employee Plans AI Assistor RFI.pdf |
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IRS TE/GE Employee Plans AI Assistor – RFI Questions
1. Describe your solution's experience and demonstrated capability in interpreting and analyzing qualified retirement plan documents under Internal Revenue Code (IRC) Sections 401(a), 403(b), 457, 401(k), and related Treasury Regulations. Provide specific examples.
2. How does your solution identify potential plan document qualification failures, document defects, or nonconforming provisions? Explain the methodology, AI models, and legal reference framework utilized.
3. Describe how your solution ingests, standardizes, and analyzes large volumes of unstructured retirement plan-related data, including plan documents, trust agreements, participant census files, actuarial reports, and correspondence.
4. Explain how your solution evaluates and assigns compliance risk levels. What factors, models, and decision criteria are used to generate risk scores and recommended dispositions?
5. How does your solution ensure that AI-generated findings, recommendations, and risk assessments are explainable, transparent, and traceable to specific statutory, regulatory, and factual sources?
6. Describe how your solution incorporates and updates changes to tax laws, Treasury Regulations, IRS guidance, Revenue Procedures, Notices, and other Employee Plans compliance requirements. What is the typical update cycle?
7. How does your solution identify operational failures that may jeopardize plan qualification or tax-favored status? Provide examples involving eligibility, vesting, compensation, allocation, contribution limits, or distribution compliance.
8. Describe the solution's ability to perform multiple scenario analyses and 'what-if' calculations. How are alternative compliance correction methods compared, documented, and retained for future reference?
9. Provide examples of the retirement plan calculations your solution can perform, including discrimination testing, coverage testing, top-heavy determinations, vesting calculations, allocation formulas, funding requirements, and correction calculations.
10. Describe your AI governance framework, including model validation, bias testing, accuracy measurement, version control, human oversight, and procedures for handling incorrect or incomplete outputs.
11. How does your solution support human review and approval of AI-generated findings before final compliance determinations are made? Describe configurable workflows and review controls.
12. Describe your solution's ability to integrate with PegaSystems, Salesforce, and other federal case management platforms. What APIs, middleware, or integration standards are supported?
13. Describe your solution's ability to meet federal security requirements, including FedRAMP authorization, FISMA compliance, NIST SP 800-53 controls, encryption standards, audit logging, and protection of Federal Tax Information (FTI).
14. What data sources, legal references, regulatory materials, and training methodologies are used to support retirement plan-related analyses? How do you ensure accuracy and currency of the knowledge base?
15. Describe the reports your solution can generate. Can the system produce examination workpapers, compliance summaries, audit reports, correction recommendations, proposed tax adjustments, and supporting legal citations?
16. Provide information regarding the volume of documents, records, and users your solution can support. Include performance metrics, processing times, and scalability considerations for enterprise-wide deployment.
17. Describe how your solution complies with Section 508 accessibility requirements and interoperates with assistive technologies such as screen readers, voice recognition software, and keyboard navigation tools.
18. Describe available deployment options, including cloud-hosted, hybrid, on-premises, or government-controlled environments. What are the infrastructure requirements and associated implementation timelines?
19. Provide examples of federal agencies or large regulated organizations where your solution has been deployed to support compliance, enforcement, audit, regulatory review, or investigative functions. Include measurable outcomes and lessons learned.
20. Provide a detailed explanation of the primary cost drivers associated with your proposed solution, including licensing, implementation, integration, training, maintenance, model updates, cloud hosting, and user scaling assumptions that support your rough order-of-magnitude estimate.
IRS TE/GE Employee Plans AI Assistor – RFI Questions
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