Appendix A 2-25-11.pdf

SCHEDULE OF DELIVERABLES

Option Period III -- 7/01/2011 to 6/30/2012 Processing Year 2010 Operations, Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2011 through 6/30/2012 D301 Draft Project Risk Management Plan 1 8/1/2011 F301 Project Risk Management Plan 1 9/15/2011 C.24.10 302 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

303 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 304 Contact Center Daily Report 1 Daily C.18.18 305 PC Reports 1 Weekly C.6.5 306 Quality Control Reports 1 Monthly C.20.15.1 307 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 308 Large Plan Monthly Report 1 Monthly C.6.6 309 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 310 Record Retrieval 1 As Needed C.9.2 311 Documentation replacement pages 1 As Needed C.24.16 312 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 3 EBSA Annual XML Archive Files (Redacted and Unredacted) 1 7/2/2012 C.15.3.4, Attachment E 4 EBSA Annual E-Mail Archive File 1 7/2/2012 C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E

10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

313 Quality Assurance Plan 1 8/1/2011 C.19.18 314 Final Plan Year 2011 Form / Schedule Proofs

1 PDF Files 1 8/1/2011 C.17.3 2 Source Files 1 8/1/2011 C.17.3

315 Detailed System Design 1 8/1/2011 C.1.2.1.3 316 Configuration Management Plan 1 8/1/2011 C.25.8 317 System Security Plan 1 8/1/2011 C.22.4.2.1 318 Production Recruiting and Training Plan 1 8/15/2011 C.24.11 319 COOP Test Report -- Update II 1 9/1/2011 C.22.4.2.3 320 Quality Control Procedures Manual 1 10/1/2011 C.20.15.2 321 HW / SW Refresh Plan 1 10/1/2011 C.17.4 322 Implementation Plan 1 11/1/2011 C.21.3.2 323 Annual Requirements Analysis Report 1 11/1/2011 C.25.10 324 Contingency Plan (Continuity of Operations Plan) -- Update III

1 COOP 1 11/1/2011 C.22.4.2.3

2 Test Plan 1 11/1/2011 C.22.4.2.3

325 Operational Readiness Declaration 1 Checklist 1 11/17/2011 C.21.3.8 2 Certification 1 11/17/2011 C.21.3.9

326 SAT

1 Agency-specific distribution products 1 11/18/2011 E.8.3, E.8.5 2 Other SAT outputs 1 11/18/2011 E.8.1.3

327 Certification and Warranty 1 12/1/2011 H.12 328 IFILE Functional Specification 1 2/1/2012 C.10.5.14

D329 Draft IFILE / Test Filing Tool 1 1/15/2012

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Section J – Attachment 1

Batchelet.Doug Typewritten Text Attachment 1 includes a list of EFAST2 Vendor system development and operations deliverables that the Contractor may be required to review annually. This list is subject to change.

Option Period III -- 7/01/2011 to 6/30/2012 Processing Year 2010 Operations, Num Item Description of Deliverable Quantity Due Date Section Reference F329 IFILE / Test Filing Tool 1 3/1/2012 C.10.5.15 330 Requirements Traceability Matrix (RTM) 1 3/15/2012 C.25.9 331 IFILE User's Guide 1 3/15/2012 C.10.5.13 332 EFAST2 Guide for Filers & Service Providers 1 3/15/2012 C.10.6.4 333 Data Dissemination Service (DDS) User's Guide(s)

1 Public User Guide 1 3/15/2012 C.15.7 2 Government User Guide 1 3/15/2012 C.15.7

334 System Test Plan(s) 1 7/1/2011 C.21.3.1 335 System Test Report(s) 1 9/30/2011 C.21.3.3 336 Contact Center Operational Procedures Manual 1 4/15/2012 C.18.20 337 Service Level Agreement 1 4/15/2012 C.13.8.1 338 Software Developer Specification

1 Software Developer User's Guide and Specifications 1 4/15/2012 C.10.6.5 2 Transmission File Structure 1 4/15/2012 C.10.6.5 3 XML DER Vol 1 & 2 1 4/15/2012 C.10.6.5

339 Participant Acceptance Testing System (PATS) Package 1 PATS Application 1 4/15/2012 C.10.6.6.3 2 PATS Procedures and Certification Criteria 1 4/15/2012 C.10.6.6.3 3 PATS Test Filings 1 4/15/2012 C.10.6.6.3

340 Third Party Software Developer Conference Materials 1 4/15/2012 C.10.6.3 D341 Draft Security Risk Assessment 1 4/15/2012 F341 Security Risk Assessment 1 6/1/2012 C.22.4.2.2 D342 Draft System Documentation 1 4/15/2012 F342 System Documentation 1 6/1/2012 C.17.2 343 Operating Capacity Report

1 Current Operating Capacity 1 6/30/2012 C.13.8.3.1 2 System Sizing Analysis 1 6/30/2012 C.13.8.3.2

344 Benchmark Report 1 6/30/2012 C.13.8.4 345 Government End User Customer Satisfaction Survey 1 6/30/2012 C.20.16 346 Option Period III Disposition/Closeout Plan

1 Transition Plan 1 6/30/2012 C.24.14 2 Source Code 1 6/30/2012 C.24.14 3 Program materials, documentation, media, GFI, and equipment 1 6/30/2012 C.24.14

Other Key Option Period III Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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Option Period IV -- 7/01/2012 to 6/30/2013 Processing Year 2011 Operations, Processing Year 2012 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2012 through 6/30/2013 D401 Draft Project Risk Management Plan 1 8/1/2012 F401 Project Risk Management Plan 1 9/15/2012 C.24.10 402 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

403 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 404 Contact Center Daily Report 1 Daily C.18.18 405 PC Reports 1 Weekly C.6.5 406 Quality Control Reports 1 Monthly C.20.15.1 407 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 408 Large Plan Monthly Report 1 Monthly C.6.6 409 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 410 Record Retrieval 1 As Needed C.9.2 411 Documentation replacement pages 1 As Needed C.24.16 412 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 3 EBSA Annual XML Archive Files (Redacted and Unredacted) 1 7/2/2013 C.15.3.4, Attachment E 4 EBSA Annual E-Mail Archive File 1 7/2/2013 C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E

10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

413 Quality Assurance Plan 1 8/1/2012 C.19.18 414 Final Plan Year 2012 Form / Schedule Proofs

1 PDF Files 1 8/1/2012 C.17.3 2 Source Files 1 8/1/2012 C.17.3

415 Detailed System Design 1 8/1/2012 C.1.2.1.3 416 Configuration Management Plan 1 8/1/2012 C.25.8 417 System Security Plan 1 8/1/2012 C.22.4.2.1 418 Production Recruiting and Training Plan 1 8/15/2012 C.24.11 419 COOP Test Report -- Update III 1 9/1/2012 C.22.4.2.3 420 Quality Control Procedures Manual 1 10/1/2012 C.20.15.2 421 HW / SW Refresh Plan 1 10/1/2012 C.17.4 422 Implementation Plan 1 11/1/2012 C.21.3.2 423 Annual Requirements Analysis Report 1 11/1/2012 C.25.10 424 Contingency Plan (Continuity of Operations Plan) -- Update IV

1 COOP 1 11/1/2012 C.22.4.2.3

2 Test Plan 1 11/1/2012 C.22.4.2.3

425 Operational Readiness Declaration 1 Checklist 1 11/19/2012 C.21.3.8 2 Certification 1 11/19/2012 C.21.3.9

426 SAT

1 Agency-specific distribution products 1 11/20/2012 E.8.3, E.8.5 2 Other SAT outputs 1 11/20/2012 E.8.1.3

427 Certification and Warranty 1 12/1/2012 H.12

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Option Period IV -- 7/01/2012 to 6/30/2013 Processing Year 2011 Operations, Processing Year 2012 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference 428 IFILE Functional Specification 1 2/1/2013 C.10.5.14

D429 Draft IFILE / Test Filing Tool 1 1/15/2013 F429 IFILE / Test Filing Tool 1 3/1/2013 C.10.5.15 430 Requirements Traceability Matrix (RTM) 1 3/15/2013 C.25.9 431 IFILE User's Guide 1 3/15/2013 C.10.5.13 432 EFAST2 Guide for Filers & Service Providers 1 3/15/2013 C.10.6.4 433 Data Dissemination Service (DDS) User's Guide(s)

1 Public User Guide 1 3/15/2013 C.15.7 2 Government User Guide 1 3/15/2013 C.15.7

434 System Test Plan(s) 1 7/2/2012 C.21.3.1 435 System Test Report(s) 1 10/1/2012 C.21.3.3 436 Contact Center Operational Procedures Manual 1 4/15/2013 C.18.20 437 Service Level Agreement 1 4/15/2013 C.13.8.1 438 Software Developer Specification

1 Software Developer User's Guide and Specifications 1 4/15/2013 C.10.6.5 2 Transmission File Structure 1 4/15/2013 C.10.6.5 3 XML DER Vol 1 & 2 1 4/15/2013 C.10.6.5

439 Participant Acceptance Testing System (PATS) Package 1 PATS Application 1 4/15/2013 C.10.6.6.3 2 PATS Procedures and Certification Criteria 1 4/15/2013 C.10.6.6.3 3 PATS Test Filings 1 4/15/2013 C.10.6.6.3

440 Third Party Software Developer Conference Materials 1 4/15/2013 C.10.6.3 D441 Draft Security Risk Assessment 1 4/15/2013 F441 Security Risk Assessment 1 6/1/2013 C.22.4.2.2 D442 Draft System Documentation 1 4/15/2013 F442 System Documentation 1 6/1/2013 C.17.2 443 Operating Capacity Report

1 Current Operating Capacity 1 6/30/2013 C.13.8.3.1 2 System Sizing Analysis 1 6/30/2013 C.13.8.3.2

444 Benchmark Report 1 6/30/2013 C.13.8.4 445 Government End User Customer Satisfaction Survey 1 6/30/2013 C.20.16 446 Option Period IV Disposition/Closeout Plan

1 Transition Plan 1 6/30/2013 C.24.14 2 Source Code 1 6/30/2013 C.24.14 3 Program materials, documentation, media, GFI, and equipment 1 6/30/2013 C.24.14

Other Key Option Period IV Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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Option Period V -- 7/01/2013 to 6/30/2014 Processing Year 2012 Operations, Processing Year 2013 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2013 through 6/30/2014 D501 Draft Project Risk Management Plan 1 8/1/2013 F501 Project Risk Management Plan 1 9/15/2013 C.24.10 502 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

503 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 504 Contact Center Daily Report 1 Daily C.18.18 505 PC Reports 1 Weekly C.6.5 506 Quality Control Reports 1 Monthly C.20.15.1 507 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 508 Large Plan Monthly Report 1 Monthly C.6.6 509 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 510 Record Retrieval 1 As Needed C.9.2 511 Documentation replacement pages 1 As Needed C.24.16 512 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 3 EBSA Annual XML Archive Files (Redacted and Unredacted) 1 7/2/2014 C.15.3.4, Attachment E 4 EBSA Annual E-Mail Archive File 1 7/2/2014 C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E

10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

513 Quality Assurance Plan 1 8/1/2013 C.19.18 514 Final Plan Year 2013 Form / Schedule Proofs

1 PDF Files 1 8/1/2013 C.17.3 2 Source Files 1 8/1/2013 C.17.3

515 Detailed System Design 1 8/1/2013 C.1.2.1.3 516 Configuration Management Plan 1 8/1/2013 C.25.8 517 System Security Plan 1 8/1/2013 C.22.4.2.1 518 Production Recruiting and Training Plan 1 8/15/2013 C.24.11 519 COOP Test Report -- Update IV 1 9/1/2013 C.22.4.2.3 520 Quality Control Procedures Manual 1 10/1/2013 C.20.15.2 521 HW / SW Refresh Plan 1 10/1/2013 C.17.4 522 Implementation Plan 1 11/1/2013 C.21.3.2 523 Annual Requirements Analysis Report 1 11/1/2013 C.25.10 524 Contingency Plan (Continuity of Operations Plan) -- Update V

1 COOP 1 11/1/2013 C.22.4.2.3

2 Test Plan 1 11/1/2013 C.22.4.2.3

525 Operational Readiness Declaration 1 Checklist 1 11/18/2013 C.21.3.8 2 Certification 1 11/18/2013 C.21.3.9

526 SAT

1 Agency-specific distribution products 1 11/19/2013 E.8.3, E.8.5 2 Other SAT outputs 1 11/19/2013 E.8.1.3

527 Certification and Warranty 1 12/1/2013 H.12

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Option Period V -- 7/01/2013 to 6/30/2014 Processing Year 2012 Operations, Processing Year 2013 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference 528 IFILE Functional Specification 1 2/1/2014 C.10.5.14

D529 Draft IFILE / Test Filing Tool 1 1/15/2014 F529 IFILE / Test Filing Tool 1 3/1/2014 C.10.5.15 530 Requirements Traceability Matrix (RTM) 1 3/15/2014 C.25.9 531 IFILE User's Guide 1 3/15/2014 C.10.5.13 532 EFAST2 Guide for Filers & Service Providers 1 3/15/2014 C.10.6.4 533 Data Dissemination Service (DDS) User's Guide(s)

1 Public User Guide 1 3/15/2014 C.15.7 2 Government User Guide 1 3/15/2014 C.15.7

534 System Test Plan(s) 1 7/1/2013 C.21.3.1 535 System Test Report(s) 1 9/30/2013 C.21.3.3 536 Contact Center Operational Procedures Manual 1 4/15/2014 C.18.20 537 Service Level Agreement 1 4/15/2014 C.13.8.1 538 Software Developer Specification

1 Software Developer User's Guide and Specifications 1 4/15/2014 C.10.6.5 2 Transmission File Structure 1 4/15/2014 C.10.6.5 3 XML DER Vol 1 & 2 1 4/15/2014 C.10.6.5

539 Participant Acceptance Testing System (PATS) Package 1 PATS Application 1 4/15/2014 C.10.6.6.3 2 PATS Procedures and Certification Criteria 1 4/15/2014 C.10.6.6.3 3 PATS Test Filings 1 4/15/2014 C.10.6.6.3

540 Third Party Software Developer Conference Materials 1 4/15/2014 C.10.6.3 D541 Draft Security Risk Assessment 1 4/15/2014 F541 Security Risk Assessment 1 6/1/2014 C.22.4.2.2 D542 Draft System Documentation 1 4/15/2014 F542 System Documentation 1 6/1/2014 C.17.2 543 Operating Capacity Report

1 Current Operating Capacity 1 6/30/2014 C.13.8.3.1 2 System Sizing Analysis 1 6/30/2014 C.13.8.3.2

544 Benchmark Report 1 6/30/2014 C.13.8.4 545 Government End User Customer Satisfaction Survey 1 6/30/2014 C.20.16 546 Option Period V Disposition/Closeout Plan

1 Transition Plan 1 6/30/2014 C.24.14 2 Source Code 1 6/30/2014 C.24.14 3 Program materials, documentation, media, GFI, and equipment 1 6/30/2014 C.24.14

Other Key Option Period V Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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Option Period VI -- 7/01/2014 to 6/30/2015 Processing Year 2013 Operations, Processing Year 2014 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2014 through 6/30/2015 D601 Draft Project Risk Management Plan 1 8/1/2014 F601 Project Risk Management Plan 1 9/15/2014 C.24.10 602 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

603 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 604 Contact Center Daily Report 1 Daily C.18.18 605 PC Reports 1 Weekly C.6.5 606 Quality Control Reports 1 Monthly C.20.15.1 607 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 608 Large Plan Monthly Report 1 Monthly C.6.6 609 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 610 Record Retrieval 1 As Needed C.9.2 611 Documentation replacement pages 1 As Needed C.24.16 612 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 3 EBSA Annual XML Archive Files (Redacted and Unredacted) 1 7/2/2015 C.15.3.4, Attachment E 4 EBSA Annual E-Mail Archive File 1 7/2/2015 C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E

10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

613 Quality Assurance Plan 1 8/1/2014 C.19.18 614 Final Plan Year 2014 Form / Schedule Proofs

1 PDF Files 1 8/1/2014 C.17.3 2 Source Files 1 8/1/2014 C.17.3

615 Detailed System Design 1 8/1/2014 C.1.2.1.3 616 Configuration Management Plan 1 8/1/2014 C.25.8 617 System Security Plan 1 8/1/2014 C.22.4.2.1 618 Production Recruiting and Training Plan 1 8/15/2014 C.24.11 619 COOP Test Report -- Update V 1 9/1/2014 C.22.4.2.3 620 Quality Control Procedures Manual 1 10/1/2014 C.20.15.2 621 HW / SW Refresh Plan 1 10/1/2014 C.17.4 622 Implementation Plan 1 11/1/2014 C.21.3.2 623 Annual Requirements Analysis Report 1 11/1/2014 C.25.10 624 Contingency Plan (Continuity of Operations Plan) -- Update VI

1 COOP 1 11/1/2014 C.22.4.2.3

2 Test Plan 1 11/1/2014 C.22.4.2.3

625 Operational Readiness Declaration 1 Checklist 1 11/17/2014 C.21.3.8 2 Certification 1 11/17/2014 C.21.3.9

626 SAT

1 Agency-specific distribution products 1 11/18/2014 E.8.3, E.8.5 2 Other SAT outputs 1 11/18/2014 E.8.1.3

627 Certification and Warranty 1 12/1/2014 H.12

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Option Period VI -- 7/01/2014 to 6/30/2015 Processing Year 2013 Operations, Processing Year 2014 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference 628 IFILE Functional Specification 1 2/1/2015 C.10.5.14

D629 Draft IFILE / Test Filing Tool 1 1/15/2015 F629 IFILE / Test Filing Tool 1 3/1/2015 C.10.5.15 630 Requirements Traceability Matrix (RTM) 1 3/15/2015 C.25.9 631 IFILE User's Guide 1 3/15/2015 C.10.5.13 632 EFAST2 Guide for Filers & Service Providers 1 3/15/2015 C.10.6.4 633 Data Dissemination Service (DDS) User's Guide(s)

1 Public User Guide 1 3/15/2015 C.15.7 2 Government User Guide 1 3/15/2015 C.15.7

634 System Test Plan(s) 1 7/1/2014 C.21.3.1 635 System Test Report(s) 1 9/30/2014 C.21.3.3 636 Contact Center Operational Procedures Manual 1 4/15/2015 C.18.20 637 Service Level Agreement 1 4/15/2015 C.13.8.1 638 Software Developer Specification

1 Software Developer User's Guide and Specifications 1 4/15/2015 C.10.6.5 2 Transmission File Structure 1 4/15/2015 C.10.6.5 3 XML DER Vol 1 & 2 1 4/15/2015 C.10.6.5

639 Participant Acceptance Testing System (PATS) Package 1 PATS Application 1 4/15/2015 C.10.6.6.3 2 PATS Procedures and Certification Criteria 1 4/15/2015 C.10.6.6.3 3 PATS Test Filings 1 4/15/2015 C.10.6.6.3

640 Third Party Software Developer Conference Materials 1 4/15/2015 C.10.6.3 D641 Draft Security Risk Assessment 1 4/15/2015 F641 Security Risk Assessment 1 6/1/2015 C.22.4.2.2 D642 Draft System Documentation 1 4/15/2015 F642 System Documentation 1 6/1/2015 C.17.2 643 Operating Capacity Report

1 Current Operating Capacity 1 6/30/2015 C.13.8.3.1 2 System Sizing Analysis 1 6/30/2015 C.13.8.3.2

644 Benchmark Report 1 6/30/2015 C.13.8.4 645 Government End User Customer Satisfaction Survey 1 6/30/2015 C.20.16 646 Option Period VI Disposition/Closeout Plan

1 Transition Plan 1 6/30/2015 C.24.14 2 Source Code 1 6/30/2015 C.24.14 3 Program materials, documentation, media, GFI, and equipment 1 6/30/2015 C.24.14

Other Key Option Period VI Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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Option Period VII -- 7/01/2015 to 6/30/2016 Processing Year 2014 Operations, Processing Year 2015 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2015 through 6/30/2016 D701 Draft Project Risk Management Plan 1 8/1/2015 F701 Project Risk Management Plan 1 9/15/2015 C.24.10 702 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

703 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 704 Contact Center Daily Report 1 Daily C.18.18 705 PC Reports 1 Weekly C.6.5 706 Quality Control Reports 1 Monthly C.20.15.1 707 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 708 Large Plan Monthly Report 1 Monthly C.6.6 709 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 710 Record Retrieval 1 As Needed C.9.2 711 Documentation replacement pages 1 As Needed C.24.16 712 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 3 EBSA Annual XML Archive Files (Redacted and Unredacted) 1 7/2/2016 C.15.3.4, Attachment E 4 EBSA Annual E-Mail Archive File 1 7/2/2016 C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E 10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

713 Quality Assurance Plan 1 8/1/2015 C.19.18 714 Final Plan Year 2015 Form / Schedule Proofs

1 PDF Files 1 8/1/2015 C.17.3 2 Source Files 1 8/1/2015 C.17.3

715 Detailed System Design 1 8/1/2015 C.1.2.1.3 716 Configuration Management Plan 1 8/1/2015 C.25.8 717 System Security Plan 1 8/1/2015 C.22.4.2.1 718 Production Recruiting and Training Plan 1 8/15/2015 C.24.11 719 COOP Test Report -- Update VI 1 9/1/2015 C.22.4.2.3 720 Quality Control Procedures Manual 1 10/1/2015 C.20.15.2 721 HW / SW Refresh Plan 1 10/1/2015 C.17.4 722 Implementation Plan 1 11/1/2015 C.21.3.2 723 Annual Requirements Analysis Report 1 11/1/2015 C.25.10 724 Contingency Plan (Continuity of Operations Plan) -- Update VII

1 COOP 1 11/1/2015 C.22.4.2.3

2 Test Plan 1 11/1/2015 C.22.4.2.3

725 Operational Readiness Declaration 1 Checklist 1 11/17/2015 C.21.3.8

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Option Period VII -- 7/01/2015 to 6/30/2016 Processing Year 2014 Operations, Processing Year 2015 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference 2 Certification 1 11/17/2015 C.21.3.9

726 SAT

1 Agency-specific distribution products 1 11/18/2015 E.8.3, E.8.5 2 Other SAT outputs 1 11/18/2015 E.8.1.3

727 Certification and Warranty 1 12/1/2015 H.12 728 IFILE Functional Specification 1 2/1/2016 C.10.5.14

D729 Draft IFILE / Test Filing Tool 1 1/15/2016 F729 IFILE / Test Filing Tool 1 3/1/2016 C.10.5.15 730 Requirements Traceability Matrix (RTM) 1 3/15/2016 C.25.9 731 IFILE User's Guide 1 3/15/2016 C.10.5.13 732 EFAST2 Guide for Filers & Service Providers 1 3/15/2016 C.10.6.4 733 Data Dissemination Service (DDS) User's Guide(s)

1 Public User Guide 1 3/15/2016 C.15.7 2 Government User Guide 1 3/15/2016 C.15.7

734 System Test Plan(s) 1 7/1/2015 C.21.3.1 735 System Test Report(s) 1 9/30/2015 C.21.3.3 736 Contact Center Operational Procedures Manual 1 4/15/2016 C.18.20 737 Service Level Agreement 1 4/15/2016 C.13.8.1 738 Software Developer Specification

1 Software Developer User's Guide and Specifications 1 4/15/2016 C.10.6.5 2 Transmission File Structure 1 4/15/2016 C.10.6.5 3 XML DER Vol 1 & 2 1 4/15/2016 C.10.6.5

739 Participant Acceptance Testing System (PATS) Package 1 PATS Application 1 4/15/2016 C.10.6.6.3 2 PATS Procedures and Certification Criteria 1 4/15/2016 C.10.6.6.3 3 PATS Test Filings 1 4/15/2016 C.10.6.6.3

740 Third Party Software Developer Conference Materials 1 4/15/2016 C.10.6.3 D741 Draft Security Risk Assessment 1 4/15/2016 F741 Security Risk Assessment 1 6/1/2016 C.22.4.2.2 D742 Draft System Documentation 1 4/15/2016 F742 System Documentation 1 6/1/2016 C.17.2 743 Operating Capacity Report

1 Current Operating Capacity 1 6/30/2016 C.13.8.3.1 2 System Sizing Analysis 1 6/30/2016 C.13.8.3.2

744 Benchmark Report 1 6/30/2016 C.13.8.4 745 Government End User Customer Satisfaction Survey 1 6/30/2016 C.20.16 746 Option Period VII Disposition/Closeout Plan

1 Transition Plan 1 6/30/2016 C.24.14 2 Source Code 1 6/30/2016 C.24.14 3 Program materials, documentation, media, GFI, and equipment 1 6/30/2016 C.24.14

Other Key Option Period VII Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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Option Period VIII -- 7/01/2016 to 7/31/2016 Processing Year 2015 Operations, Processing Year 2016 Rollover and Operations

Num Item Description of Deliverable Quantity Due Date Section Reference

7/1/2016 through 6/30/2017 802 Monthly Work and Management Report 1 Monthly C.24.12

1 Report on progress, problems, schedule, and plans 1 Monthly C.24.12 2 Security Progress Report 1 Monthly C.24.12, C.22.4.1 3 Quality Assurance Report 1 Quarterly C.24.12, C.19.19 4 Contact Center Call Report 1 Monthly C.24.12, C.18.17 5 List of Third Party Software Developer Certifications 1 Monthly C.24.12, C.10.6.6.4

803 Notification to COTR of Problems, Errors, or Breach of Security 1 As Needed C.24.13 804 Contact Center Daily Report 1 Daily C.18.18 805 PC Reports 1 Weekly C.6.5 806 Quality Control Reports 1 Monthly C.20.15.1 807 System Performance Report 1 Monthly C.13.8.5, C.14.4.3 808 Large Plan Monthly Report 1 Monthly C.6.6 809 Listing of Government & Contractor Users with Credentials 1 Monthly C.10.3.4 810 Record Retrieval 1 As Needed C.9.2 811 Documentation replacement pages 1 As Needed C.24.16 812 Transmission of Structured Data Records to End Users

1 EBSA XML Return Transaction File 1 Daily C.15.3.4, Attachment E 2 EBSA Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 5 IRS Structured Return Transaction File 1 Daily C.15.3.4, Attachment E 6 IRS Control File 1 Daily C.15.3.4, Attachment E 7 IRS Tracking Database snapshot 1 Monthly C.15.3.4, Attachment E 8 PBGC XML Return Transaction File 1 Daily C.15.3.4, Attachment E 9 PBGC Structured Return Transaction File 1 Daily C.16.3, Attachment E 10 PBGC Control File 1 Daily C.16.3, C.18.9, Attachment E 11 IRS Tracking Control File 1 Monthly C.15.3.4, Attachment E

Other Key Option Period VIII Activities Third Party Software Developer Conference C.10.6.3 Quarterly Quality Control Briefings C.20.7 Personnel Clearances C.22.3 Government Testing and Reviews E.8.2 Processing Compliance Reviews E.9 Systems Acceptance Test E.8.1.3

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DOL111RP21227