Draft SOW nextgen efiling phase 2.docx

Federal Election Commission Enterprise Architecture NextGen eFiling Phase 2 Attachment 1: Draft Requirements

Description Introduction The Federal Election Commission (FEC) was created by Congress in 1975 to administer and enforce the Federal Election Campaign Act (FECA) - the law that governs the financing of federal elections. The duties of the FEC are to disclose campaign finance information, to enforce the provisions of the law such as the limits and prohibitions on contributions and to oversee the public funding of Presidential elections.

The current version of FECFile is a free Windows-based software system that committees can use to electronically file their compliance reports with the Federal Election Commission (FEC). FECFile allows users to file all required FEC reporting forms except Debt Settlement Plans (Form 8). Filers can upload into FECFile transaction-level data for itemized receipts, disbursements and independent expenditures (Schedules A, B and E). FECFile allows users to manage their contacts. FECFile manages user data. FECFile validates user data prior to upload to the FEC to reduce errors. FECFile provides filers with the option to generate a .pdf of their compliance report.

In 2017, the Commission published a study of its current electronic platform, including a survey of the existing functionality of the FEC’s free filing software and an in-depth investigation of needs expressed by filers.[footnoteRef:1] The initial work on the FEC’s new electronic filing platform relied on the recommendations of this study to improve functionality, flexibility for users and increase the consistency and accuracy of reporting. The FEC’s new electronic filing platform is expected to improve the process for validating filings prior to acceptance and generate modern file outputs that will provide for more flexibility in accessing data. [1: Available at https://www.fec.gov/about/reports-about-fec/agency-operations/e-filing-study-2016/.]

In July 2018, the FEC awarded a contract to begin work on modernizing our electronic filing platform. The outcome of this work was a Form 3X bundle or NextGen eFiling Phase 1. NextGen eFiling Phase 2 continues the work of developing a modern, state of the art, cloud-based, secure, platform-independent electronic filing data application.

Objectives The objectives of this development effort include but are not limited to:

· a modern, state of the art electronic filing data application,

· improved data quality,

· improve vendor community integration,

· a web/cloud based electronic filing data application,

· a cloud based electronic filing back-end infrastructure (EFI),

· eliminate user-facing OS dependencies,

· improve amendment processing and

· improve child transaction processing.

Requirements Development for Phase 2 must be fully integrated with development completed during Phase 1.

· Baseline functionality (excluding format specifications and contacts) FECFile and WebForms

· End product must be open source

· Candidate forms

· Form 1

· Form 2

· Form 3

· Form 3P

· Form 3L

· Form 6

· Form 99

· All associated schedules

· Other filer forms

· Form 4

· Form 5 and Forms 24/48

· Form 7

· Form 9

· Form 13

· All associated schedules

· User interface (UI) for entry, viewing and printing

· Ability to file reports outside of current calendar year

· Transaction uploads

· Amendments to any filing

· Database and API

· Format specifications

· External feedback and testing

· Cloud based electronic filing back-end infrastructure (EFI)

· Transition of operational knowledge and ownership of filing application (FECFile On-line) to FEC

· Transition of cloud infrastructure (EFI) to the FEC

· Transition of legacy (filer) data from old system to system new

· Preferred development methodologies: user centered design / agile

· Application programming interface (API)

· Technology stack: Python/JavaScript/PostgreSQL database

· Tier 4 (99.995% ) availability

· Quickly scalable

· Import and export transaction level data function which preserves all required compliance data inclusive of linked parent/child records (from Excel format and from FECFile .DCF format), quality of data must not deteriorate as a result of the import and export function

· Integrate with API Data Receiver

· Integrate with API Data Validator

· Integrate with API Data Report Image Generator

· Secure data transfer

· Real-time status indicator of transfer of data, results or confirmation, (Accepted/Failed reason why, etc.)

· Emailed filing confirmation receipt

· Accessible for use by software vendors

· On-demand data field validation

· Generate paginated sequential page by page PDF of report

· Employ data capture such as QR page codes Phase 1 resources Phase 1 development

· https://github.com/fecgov/fecfile-online

· https://github.com/fecgov/fecfile-ImageGenerator

· https://github.com/fecgov/fecfile-Validate Electronic filing study

· https://www.fec.gov/about/reports-about-fec/agency-operations/e-filing-study-2016/ Current electronic filing software (FECFile and WebForms)

· https://www.fec.gov/help-candidates-and-committees/filing-reports/fecfile-software/

· https://www.fec.gov/help-candidates-and-committees/filing-reports/electronic-filing/

· https://webforms.fec.gov/ Security Requirements The contractor and its employees must exercise the utmost discretion in regard to all matters relating to their duties and functions. They must not communicate to any person any information known to them by reason of their performance services under this contract which has not been made public, except in the necessary performance of their duties or upon written authorization of the Contracting Officer. All code, documents, and records (including photographs), generated during the performance of work under this contract shall be for the sole use of and become the exclusive property of FEC. Furthermore, no article, book, pamphlet, recording, broadcast, speech, television appearance, film or photograph concerning any aspect of work performed under this contract shall be published or disseminated through any media without the prior written authorization of the Contracting Officer. These obligations do not cease upon the expiration or termination of this contract. The Contractor must include the substance of this provision in all contracts of employment and in all subcontracts hereunder.

The Contractor shall follow the following guidelines while performing under this contract:

· Federal Information Security Modernization Act of 2014 (FISMA) as applicable,

· National Institute of Standards and Technology (NIST) SP 800-14, Generally Accepted Principles and Practices for Securing Information Technology Systems,

· National Institute of Standards and Technology (NIST) SP 800-53, Rev 4, Security and Privacy Controls for Federal Information Systems and Organizations as applicable,

· National Institute of Standards and Technology (NIST) SP 800-44, Guidelines on Securing Public Web Servers,

· National Institute of Standards and Technology (NIST) SP 800-171, Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations,

· OMB Circular A-130, Directive on Information Resources Management, Appendix III, Security of Federal Automated Information Resources,

· Federal Election Commission Information System Security Program Policy 58A as applicable,

· All applicable Federal Election Commission (FEC) OCIO security policies and

· All applicable Federal Election Commission (FEC) Physical Security policies.