IIPE PWS Draft -8-9-2023.pdf

DRAFT

PERFORMANCE WORK STATEMENT (PWS)

Internal Revenue Service (IRS)-International Information Processing & Exchange (IIPE)

Draft Version 1.0 Dated 8/9/2023

1.0 INTRODUCTION

The Application Development-Information Technology offices, of the Internal Revenue Service (IRS) seeks continued support for enhancements or modifications to the current processes of the “International Information Processing & Exchange” (IIPE) requirement. The Contractor shall work together with IRS to review, modify, develop, and maintain multiple programs in compliance with the IRS’ Software Development Life Cycle (SDLC) and Enterprise Life Cycle (ELC).

2.0 BACKGROUND

The provisions commonly known as the Foreign Account Tax Compliance Act (FATCA) became law in March 2010. The objective of FATCA is the reporting of foreign financial assets; withholding is the cost of not reporting. FATCA targets tax non-compliance by U.S. taxpayers with foreign accounts. FATCA focuses on reporting:

• By U.S. taxpayers about certain foreign financial accounts and offshore assets

• By foreign financial institutions about financial accounts held by U.S. taxpayers or foreign entities in which

U.S. taxpayers hold a substantial ownership interest.

Under U.S. tax law, U.S. persons are generally required to report and pay taxes on income from all sources. "U.S.

persons," in this case, include U.S. citizens and U.S. permanent residents residing outside of the United States.

Taxpayer identification numbers and source withholding are used to enforce foreign tax compliance. For example, mandatory withholding is often required when a U.S. payor cannot confirm the U.S. status of a foreign payee. The IRS previously instituted a Qualified Intermediary (QI) program under IRC §1441 which required participating foreign financial institutions to maintain records of the U.S. or foreign status of its account holders and to report income and withhold taxes. One report found that participation in the QI program was too low to have a substantive impact as an enforcement measure and was prone to abuse. An illustration of the weakness in the QI program was that UBS, a Swiss bank, had registered as a QI with the IRS in 2001 and was later forced to settle with the U.S. Government for $780 million in 2009 over claims that it fraudulently concealed information on its American account holders. Self-reporting of foreign financial assets was also found to be relatively ineffective.

Estimated loses to offshore tax non-compliance cost the U.S. Treasury as much as $100 billion annually.

Therefore, supplementing existing reporting regimes was deemed to be an effective means of increasing compliance and raising government revenue. Comprehensive FATCA reporting was established as part of the HIRE Act March 18, 2010.

The current International Information Processing & Exchange (IIPE) consists of four major FATCA applications:

Financial Institution (FI) Registration: FATCA Financial Institution Registration System (FATCAFI) is a web-based application that enables the IRS to enter into agreements with Financial Institutions to engage in withholding and reporting activities under the FATCA legislation. It enables FI users to securely submit the registration data and agreement forms, as well as to manage account information via an online portal. Key registration data will be published as a Foreign FI (FFI) List on the public portal with search and download capability. The FATCA FI Registration System project objectives align with the IRS's goal to enforce the law to ensure everyone meets their obligation to pay taxes, specifically aligning to the objective to meet the challenges of international tax administration. The FATCA legislation enhances the Service's ability to identify and monitor US income movement in Foreign Financial Institutions (FIs), ultimately improving international tax administration efforts. FI Registration provides the first step for this enhanced visibility by enabling the IRS to enter into agreements with large numbers of FIs as participating FIs (PFIs) under FATCA. The objectives also align with the IRS's goal to invest for higher performance by building and deploying advanced information technology systems, processes, and tools to improve IRS efficiency and productivity.

Qualified Intermediary (QI): FATCA Qualified Intermediary (FATCA QI) is a component of the Foreign Account Tax Compliance Act Information System (FATCAIS) reference system. It is a secure web-based platform that enables users to apply to become a QI, WP, or WT, renew, or terminate an existing QI, WP, or WT agreement and manage their QI, WP, or WT information. Through this system entities can create an account on the QI system and enter application information (if they are not yet a QI, WP, or WT) or renewal of agreement information (for existing QI, WP or WTs). The representative will submit their completed application or renewal of agreement for IRS review and approval. When an application is approved, QIs will be assigned a QI/WP/WT Employer Identification Number (EIN). When processing of the EIN is complete, an authorized IRS user will update the status of the assigned EIN, and the system will notify the QI of an account update via their message board at which point the EIN will be available for the QI to view in the QI system. Paper application and renewal of agreement options will also be available via form 14345. When a paper application or renewal is received, IRS staff supporting the QI function will enter the data into the QI system. Notifications regarding paper applications and renewals will be completed via mail. QIs with an existing agreement will also be able to provide a notice of termination to IRS via the QI system.

International Compliance Management Model (ICMM): The ICMM stack encompasses ICMM International Data Transfer (ICMMIDT), ICMM FATCA Internal Returns (ICMM-FIR) and ICMM FATCA Data Base (ICMMFDB). ICMMFIR is designed to ingest and store data obtained via paper and electronic forms 8966, 8938, and 1042S Recipient Copy; validate content and perform preliminary processing data received via transmissions via ICMMIDT and eventually stored in ICMM-FDB; prepare and send status notifications to data originators and other targeted parties; and make available selected validated data into other environment for use in creating reports via Business Objects Enterprise (BOE). The project objective is alignment with the IRS’s goal to enforce the law to ensure US citizens and green card holders meet their obligation to pay taxes; specifically, aligning to the objective to meet the challenges of international tax administration. The FATCA legislation enhances the Service's ability to identify and monitor US income movement in Foreign Financial Institutions (FIs), ultimately improving international tax administration efforts. In addition, ICMM enables the IRS to manage and utilize data made available by the FATCA legislation so that this data can augment tax compliance activities.

County by Country (CbC) Reporting: Country by Country Reporting (CbC) is part of Action 13 of the Organization for Economic and Cooperative Development (OECD)'s Base Erosion and Profit Shifting (BEPS) Action Plan. BEPS intends to promote greater transparency for tax administrations by providing them with relevant and reliable information to conduct high-level transfer pricing risk assessments through increased transfer pricing documentation requirements. U.S. Multinational Enterprises (MNEs) are required to provide relevant tax authorities with information on their global allocation of the income, economic activity, and taxes paid among countries using a common template. CbC Reporting allows for the exchange of tax data of MNEs between the United States (U.S.) and other OECD/G20 countries to assess transfer pricing risks. The ultimate parent entity of a U.S MNE group with $850 million or more of revenue in the relevant preceding reporting period will file Form 8975 and Schedules A (Form 8975) (i.e., the CbC Report). F8975 is used to report a U.S. MNE group's income, taxes paid, and other indicators of economic activity on a country-by-country basis. The CbC Report will be exchanged under bilateral Competent Authority Arrangements (CAAs) negotiated between the IRS and Foreign Tax Administrations (FTAs).

3.0 OBJECTIVES

The purpose of this PWS is to obtain Contractor technical, labor support services and subject matter expertise to design, configure, customize, develop, integrate, implement, and support the IRS International forms and applications based on Java and JBoss infrastructure which leverages approved open-source framework for rules-based form processing. Additionally, the ICMM Database is used directly by external clients, using several different tools as mentioned herein to receive, transform, store, report and reciprocate data. The business users have access to the database through Business Objects Enterprise (BOE) and Tableau which includes but is not limited to ICMM FATCA Internal Returns (ICMM-FIR), Bulk Upload, Financial Institution Registration (FI- Reg), Qualified Intermediaries (QI), Customer Service Domain (CSD), Foreign Financial Institution (FFI) List Search and Download Tool and Country-by-Country (CbC) and makes use of the data through Enterprise Informatica Platform (EIP) interfaces. The International forms and applications interface with external partners to process receive, transform, store, report and reciprocate data. The desired end state is a new International Data Exchange system and database to include multiple applications and supporting processes required to collect, validate, and store all related data received by the IRS. All International forms and applications will reside in the existing database and infrastructure, while some data is ingested from other IRS sources, such as Integrated Production Module (IPM) and Information Return Master File (IRMF).

The Contractor shall provide technical services and subject matter expertise to support requirements defined below. Further development of requirements will be performed during the tailored Enterprise Life Cycle (ELC).

These services and expertise will include the following:

• Provide general project management oversight and reporting: i.e., Conducting the Integrated Project Team Meetings (IPT), User stories and design meetings, managing and maintaining Integrated Master Schedule for all FATCA projects.

• Participate in the IRS requirements gathering process to develop and define business system-level requirements and business rules.

• Determine data validation, correction, return error notice processing, or augmentation required by IRS.

• Design the International forms and applications for receipt and processing of high volume foreign financial data in alignment with existing IRS security, reliability, performance and capacity requirements.

• Ensure International forms and applications mutually agreed upon Application Programming Interfaces

(APIs) to enable integration with Current Processing Environment (CPE)/Legacy systems, including Service Center Recognition Image Processing System (SCRIPS) and/or Integrated Submission and Remittance Processing (ISRP), Modernized Tax Return Data Base (MTRDB), Compliance Data Warehouse (CDW), Enterprise Security Audit Trail/Security Audit and Analysis System (ESAT/SAAS), Enterprise System Management (ESM) and Integrated Enterprise Portal (IEP) components.

• Work with IRS CPE/Legacy IIPE to analyze suitability of existing and candidate data interfaces to transfer or retrieve data.

• Design and validate enterprise security features, reliability, performance, and capacity requirements.

• Design and implement validation processing requirements and routines from foreign account data sources and existing CPE/Legacy International forms and applications.

• Analyze the suitability of existing and candidate data interfaces to transfer, retrieve, and store data

• Support the resolution of any potential Privacy Impact issues and changes related to international forms and applications processing of Form 8966, Form 8938, and Form 1042 series data to include but not limited to design and changes of additional International Data Exchange system forms for the Operations and Maintenance (O&M) tasks.

• Design, configure, and develop database/storage capability for transmitted/submitted international forms and applications in an external database, per specified and approved system requirements for a pre-determined period and act as the single submission storage capability for new and/or CPE/Legacy International forms and applications required for use by the IRS.

• Configuration data for international forms and applications are available once access is gained to IRS systems to utilize with Government Furnished Information (GFI) and Government Furnished Property

(GFP).

• Support ELC documentation updates, if required.

• Support 508 development and testing for front-end application, if required.

• Support and integrate with latest Configuration Management (CM)/Ansible/DevOps/Continuous Integration and Continuous Development Pipeline (CICD) processes.

• Provide verification support after application patching in all environments, including after hours, Sunday Build Window and weekends.

• Provide support on Penetration Testing & Code Analysis (PTCA) and (Advanced Application Analysis) (AAA) Code scans and resolve and findings.

• Support review, assessment and resolve any security findings reported on security reports, i.e., Tenable, BigFix, Splunk and Guardium Report.

• Coordinate and provide support for filing season readiness activities, including, SSL certificate renewal, Service Accounts password resets, etc.

• Fix all systems and software defects for application improvement & efficiency.

• Support all infrastructure concurrency and environment upgrade activities.

• Respond to IIPE’s systems & software related technical data calls.

• Provide ETL / Informatica support as needed including ETL DRIVE deployments & execution.

• Initiate KISAM tickets, including Request for Fulfillment (RF) RF, Change Requests (CR), DRIVE, etc.

• Support all systems & software deployment activities.

• Support IDES Open International Testing activities.

• Support CLM activities to open user stories for product business log.

The Contractor will employ a tailored ELC development path and methodology, as determined by IRS. The Contractor shall coordinate all development, testing and integration work through the IRS Program Manager (PgM), Project Manager (PjM) or designee. The Contractor will modify IIPE to receive, validate and ingest form modifications as provided by Submission Processing.

The Contractor will collaborate with the designated IRS PgM/PjM to establish and maintain an appropriate schedule that meets the needs of the IRS. The Contractor shall compose a development and testing schedule identifying IRS or third-party dependencies to meet mutually agreed schedules. In this context, the Contractor shall provide weekly reports on their design, configuration, development, integration, testing, and operation and maintenance work. In the event, Contractor dependencies are not met in accordance with the due dates for each, as identified in the schedule, the designated IRS PgM or PjM will provide notification to the Contractor regarding any issues which impact final delivery dates and coordinate schedule updates with the Contractor accordingly. In the event, delays persist they will be escalated through the appropriate channels for resolution.

4.0 SCOPE OF WORK

The contractor shall provide technical support personnel and supervision necessary for the definition, development, and implementation, operations, and support (O&M) of the international forms and applications and Database. The Contractor will accommodate changes and enhancements to business processes, including but not limited to FI and QI Registration, Submission Processing system, CbC Reporting, ICMM-FIR and ICMM-IDT application and projects within FATCA Application Development domains. This support for the business processes and their interrelated systems/services for IIPE shall include the following task areas:

Task # Description TASK AREA 1 Project & Program Management TASK AREA 2 Agile Portfolio Management Support TASK AREA 3 Development, Modernization and Enhancement (DME) Support TASK AREA 4 Operations & Maintenance (O&M) Support TASK AREA 5 Transition Services (optional) TASK AREA 6 Earned Value Management (EVM) Support

TASK AREA 7 FFP CAF

Design and development of submission processing components of the IIPE configuration and enterprise reporting to support the following incoming form processing including, but not limited to:

• FATCA Report, Form 8966 (via IDT and ISRP systems)

• Statement of Specified Foreign Financial Assets, Form 8938

• Foreign Persons’ U.S. Source Income Subject to Withholding, Form 1042-S Recipient Copy

• FATCA Form 8957, 1042NR

• CbC Forms 8975, 990-T and Schedule A with the 1120, 1120-C, 1120-S, 1120-L, 1120-PC, 1120-REIT, 1065, 1065-B, 1041, and 990T

• QI Form 14345

Update and maintain the Interface Control Document (ICD) and related international forms and applications interface development and integration with the following IRS systems, but limited to:

• International Data Transfer (IDT) (import of Form 8966 electronic submissions

• ISRP (import of Form 8966, 893s8, and 1042-S Recipient Copy paper submissions data)

• Enterprise Service Bus (ESB) (TIN, Name Control, and GIIN validations)

• Security Audit and Analysis System (SAAS)

• Form 1042NR

• Form 8975 and 990-T for domestic reporting

• Any future upstream or downstream IRS system as required

Design and development of IIPE to implement the requirements in scope as mutually agreed to for each Release.

5.0 PERFORMANCE REQUIREMENTS

The contractor shall successfully integrate and coordinate all activity needed to execute the contract requirements as described below. The contractor shall manage the timeliness, completeness, and quality of the following four

(4) services:

• FI and QI Registration

• CbC Reporting

• ICMM-FIR and ICMM-IDT application and projects within FATCA Application Development domains

5.1 Task Area 1: Project and Program Management

The contractor shall support the stand up of Program Management Office/Technical Integration Services in support of new legislative mandates and/or requirements for strategic direction to work identified under this PWS.

The contractor shall provide support to Program Management Office/Technical Integration Services for schedule management, communication across multiple workstreams, track changes to project delivery and scope, continuous project level reporting (e.g., delivery progress, risk/issues, UWR status, accomplishments, milestones, environment readiness), executive level reporting (e.g., project status, milestones, roadblocks), Enterprise Lifecycle (ELC) artifact documentation and coordination, risk management support, configuration and change management support, and UWR tracking and traceability. The contractor will serve the role as a bridging mechanism between project and program management, on the one hand, and IT and enterprise strategy, on the other. The contractor shall leverage principles and practices such as Lean and Agile Portfolio Management to ensure modernization programs and projects at the IRS are managed for strategic alignment.

5.1.1 Program/Project Planning and Management Support

a) Provide general project management oversight on a day-to-day basis and reporting for work under this task

b) Partner with the Program Office, Delivery Partners (e.g., EOPS, AD, ES) and Business Customers (e.g., SB/SE, W&I, etc.) with requirements and scope analysis in the effort to define and clarify business capabilities and Use Cases

c) Work with Delivery Partners to establish and maintain the framework, structure and operating model (e.g., roles / responsibilities) for the Integrated Project Team (IPT), scope analysis for the effort (e.g., Inflation Reduction Act(IRA)) to define and clarify required business capabilities and Use Cases

d) Support integration with other IRS organizations (e.g., Engineering Services (ES), Enterprise Program Management Office (EPMO), Technical Integration Office (TIO), support efficient and aligned execution of project deliverables, executive reporting, and stakeholder communications

e) Develop an integrated project plan using the project priorities to sequence activities. Monitor progress against the plan on a weekly basis. Identify execution issues/risks and track to closure.

f) Participate and contribute to the Daily Leadership Stand-up, Daily Development Team SCRUMs, Weekly IPTs, Weekly Executive Briefing, Executive Steering Committee (ESC) reporting as required.

g) Development and Management of the requirements process (Business Process Management (BPM) Development, Scheduling, Requirement Traceability)

h) Development and Management of the requirements process (BPM Development, Scheduling, Requirement Traceability)

i) Align processes, operating model, and delivery framework with the Agile Scrum methodology where possible and use of the Rational Team Concert (RTC) to manage backlog

j) Perform approximately 12 monthly sprints per year each at 2-4 weeks sprint cycles.

k) Create a set of monthly sprint metrics and dashboards that allows the team to measure their progress related to the execution of agile/scrum delivery; Metrics to understand the Development velocity that shows the speed at which the team is producing. Sprint metrics should not be limited to Sprint Burn Down Chart, Sprint Velocity Chart, Sprint Status Chart, Stories accomplished by Category, O&M vs New Development Metrics, # of changes.

l) Support integration with other IRS organizations (e.g., EOPS, AD, ES etc.) to support efficient and aligned execution of project deliverables, code deliveries, executive reporting, and stakeholder communications o Developing of the Executive reporting and Stakeholder communications include but are not limited to the weekly Project Production Status Briefing, bi-weekly Project Status Update, monthly Project Priority Project Dashboard, Governance Board review for decisions/approval.

m) Develop the integrated master schedule (IMS) on project planned releases.

n) Develop Project Roadmap for Project Releases which contain critical delivery milestones as well as ELC milestones

o) Identify execution issues/risks and work with project management team to enter risks/issues into ITRAC if required. Provide mitigation plans on risks and resolution plans on issues

5.1.2 Program Development Support

All tasks identified in Project Management shall be completed throughout the lifecycle of the project to include project close-out. The Contractor shall validate and update the strategic direction for the International Information Processing & Exchange (IIPE) and database by communicating and keeping up-to-date with new emerging technologies within and outside of the Government. The Contractor shall assist in the development of new programs as identified by the program office to deliver emerging technology solutions to Treasury. Work products shall include business case development, customer requirements development, and implementation plan development.

The deliverables shall include, but are not limited to:

• Complete Requirements Traceability Matrices (RTMs) that capture service requirements for the planned service and that will be used for monitoring and reporting test results

• Program/service development project plans delineating the steps,

• Milestones and processes that will be used in developing the program;

• Presentations on relevant topics for consideration in developing service requirements;

• Research on industry best practices and commercial service offerings;

• Facilitation of special topic and consensus meetings to develop program requirements;

• Facilitation of industry exchange meetings to discuss the state of commercial service offerings;

• Requirements consensus briefings, meeting minutes, and reports; and

• Preliminary program and service concept of operations (CONOPS).

5.1.3 Project Management Services/Oversight & Reporting

The Contractor shall provide management and technical support services to the IRS ensuring effective delivery of services. The Contractor shall implement a best practice program management methodology consistent with Project Management Institute’s (PMI) Book of Knowledge (PMBOK) to ensure that all tasks are completed on time, within budget with the approved scope and quality. Contractor support shall include, but is not limited to, the following:

• Staff assignment tracking

• Monthly tracking and reporting of costs

• Creation of processes to enhance the IT and FM program(s)

• Prototyping

• Minimal Viable Product (MVP)

• Periodic program management review briefings for program and executive staff

• Configuration management support

• Quality assurance plan development

• Risk management and risk mitigation plan development

• Schedule management

• Communications Management

• Lessons Learned

The Contractor shall organize, establish, and manage the functions to ensure comprehensive coverage of all requirements and integration of the management functions for efficient, effective project operations.

The Contractor shall manage the communications, interactions, and agendas of applicable IIPE stakeholders and work closely with business and technical stakeholders to manage the complex interdependencies.

5.1.4 Stakeholder Coordination & Management

The Contractor shall perform tasks on-schedule and on-budget, integrate efforts with designated IRS project team(s), and conform to the IRS Enterprise Life Cycle (ELC) Iterative development path and methodologies.

5.1.5 Quality Management & Support

The Contractor shall utilize designated IRS ELC processes, in compliance with IRS guidelines and influenced by our CMMI Level 3 appraised standards. With quality gate reviews defined throughout the ELC including production support, IRS will use defect data from quality assurance activities to control quality defect levels and performance.

5.1.6 Risk Management

The Contractor shall pro-actively identify, document, analyze, prevent, or mitigate risk throughout the project lifecycle.

5.1.7 Status Reports & Meetings

The Contractor agrees to attend any post award conference (i.e., Kickoff Meeting) convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation Subpart 42.5.

The Contractor shall monitor, manage, and report the multifaceted release development efforts and provide updates to the integrated master schedule maintained by the FATCA Program Office and technical stakeholders.

The Contractor shall also support bi-weekly status meetings, reporting of all functional areas, identifying progress, accomplishments schedule/resource changes, and discuss any unresolved issues and action items.

Project data shall be reported in meeting presentation decks one day prior to the scheduled meeting. The Contractor shall work with the FATCA Program Office and technical stakeholders to support any additional status reporting requirements that result from subsequent ELC milestone reviews.

Specific tasks shall include the following:

• The Contractor Project Manager (PjM) shall report to an IRS Program Manager (PgM) or Project Manager (PjM), as designated. The Contractor PjM shall provide guidance, oversight, and control on the work performed under this contract.

• The Contractor shall manage the deliverables, activities, and costs for the project team to ensure timely delivery of services.

• Develop a Project Management Plan addressing Contractor tasks that provides at a minimum, Project Management, Configuration Management, Quality Management, Communications Management

• Conduct customer status meetings on a bi-weekly basis

• The Contractor shall monitor, report and provide input related to project status using IRS agreed reporting formats and schedules, to include project Work Breakdown Structure (WBS); Integrated Master Schedule (IMS); and other IRS requested program management information

• The Contractor shall adhere to all IRS Privacy Information Protection and Data Security standards as referenced in IRM 10.5. Detailed information about IRS IRM 10.5 will be provided to the Contractor upon Contract award

• The Contractor shall adhere to IRM 2.25.2, Web Services, IRS Portal and Extranet Usage Standard.

Detailed information about IRS IRM 2.25.2will be provided to the Contractor upon Contract award.

DESIRED OUTCOMES – The Contractor shall perform tasks on-schedule and on-budget, integrate efforts with FATCA Program Office, business and technical stakeholders and conform to the designated IRS Enterprise Life Cycle (ELC) development path and methodology, as tailored for this program. The Contractor shall complete the tasks and provide the deliverables based upon agreed schedule at the expected level of detail and quality.

5.1.8 Investment Funding

a) Contractor shall focus on existing assets and distinctive competencies resident in the product and service solutions that derive from each portfolio.

b) Contractor shall work with project and financial managers to develop lean budgets, which eliminate the need for traditional project-based funding and cost accounting.

c) Contractor shall perform analysis and define value streams particular to the program. These value streams such as the sequence of activities required to design, produce, and deliver a specific product or service, along with information, materials, and work flows – support investment funding by enabling the AD and ES to define and analyze the current state and design a future state for the series of events that will take product or service from its beginning through to the customer.

d) Contractor shall work with Government and other stakeholders to know the total capacity for each release in the portfolio, as well as understanding how much funding is available for new development work, versus ongoing maintenance and support activities. With this is understood, the AD and ES shall be an improved position to evaluate and originate portfolio level initiatives in a logical, objective, practical sequence, and at less cost. The contractor shall work to ensure strategic alignment and reduce enterprise and program risks and costs.

http://irm.web.irs.gov/Part2/Chapter25/Section2/IRM2.25.2.asp

Desired Outcomes: The Contractor shall perform all Program Management Office/Technical Integration support services associated with this task in accordance with IRS requirements outlined in the PWS. The Contractor shall submit all associated work products and deliverables associated with this task to the IRS timely and within the acceptable level of quality.

5.2 Task Area 2 : Agile Portfolio Management Support

The contract shall leverage principles and practices such as Lean and Agile Portfolio Management to ensure FATCA and CbC programs and projects at the IRS are managed for strategic alignment.

5.2.1 Portfolio Guidance and Execution

The contractor shall:

a) Support the transition to a leaner, more agile form of portfolio management by strengthening the organization’s ability to serve as center-of-excellence in developing the skills, practices, stake-holder engagements, and oversight to define, align, and authorize portfolios in a lean and agile context.

b) Work with Government in developing a financial roadmap, which describes the approach to estimating, forecasting, and longer-term planning described in a financial roadmap.

c) Coordinate continuous compliance which may include internal or external financial audit, industry, and legal and/or regulatory requirements.

d) Work with Government to limit the imposition of significant constraints on solution development and operations.

e) Measure portfolio performance to establish the minimum metrics needed to assure that strategy is being implemented, portfolio spending aligns with agreed boundaries, and results are constantly improving.

5.2.2 Portfolio Management

The contractor shall:

a) Work with Government to strategically align the projects into meaningful portfolios

b) Increase transparency into how funding is being spent

c) Manage programs and constituent projects for improved effectiveness

d) Limit the Applications Development, Enterprise Services, and agency’s exposure to risk

e) Control costs of technology investments.

Desired Outcomes: The desired outcome of the agile portfolio management support is to optimize Government’s investment in projects and initiatives while aligning them with strategic objectives, maximizing value delivery, and improving overall process agility.

5.3 Task Area 3: Development, Modernization and Enhancement (DME) Support

All tasks identified in Project Management shall be completed throughout the lifecycle of the project to include project close-out. The Contractor shall validate and update the strategic direction for the International Information Processing & Exchange (IIPE) and database by communicating and keeping up-to-date with new emerging technologies within and outside of the Government. The Contractor shall assist in the development of new programs as identified by the program office to deliver emerging technology solutions to Treasury. Work products shall include business case development, customer requirements development, and implementation plan development.

The deliverables shall include, but are not limited to:

• Complete Requirements Traceability Matrices (RTMs) that capture service requirements for the planned service and that will be used for monitoring and reporting test results

• Program/service development project plans delineating the steps,

• Milestones and processes that will be used in developing the program;

• Presentations on relevant topics for consideration in developing service requirements;

• Research on industry best practices and commercial service offerings;

• Facilitation of special topic and consensus meetings to develop program requirements;

• Facilitation of industry exchange meetings to discuss the state of commercial service offerings;

• Requirements consensus briefings, meeting minutes, and reports; and

• Preliminary program and service concept of operations (CONOPS).

5.3.1 Project Management Services/Oversight & Reporting

The Contractor shall provide management and technical support services to the IRS ensuring effective delivery of services. The Contractor shall implement a best practice program management methodology consistent with Project Management Institute’s (PMI) Book of Knowledge (PMBOK) to ensure that all tasks are completed on time, within budget with the approved scope and quality. Contractor support shall include, but is not limited to, the following:

• Staff assignment tracking

• Monthly tracking and reporting of costs

• Creation of processes to enhance the IT and FM program(s)

• Prototyping

• Minimal Viable Product (MVP)

• Periodic program management review briefings for program and executive staff

• Configuration management support

• Quality assurance plan development

• Risk management and risk mitigation plan development

• Schedule management

• Communications Management

• Lessons Learned

The Contractor shall organize, establish, and manage the functions to ensure comprehensive coverage of all requirements and integration of the management functions for efficient, effective project operations.

The Contractor shall manage the communications, interactions, and agendas of applicable IIPE stakeholders and work closely with business and technical stakeholders to manage the complex interdependencies.

5.3.2 Stakeholder Coordination & Management

The Contractor shall perform tasks on-schedule and on-budget, integrate efforts with designated IRS project team(s), and conform to the IRS Enterprise Life Cycle (ELC) Iterative development path and methodologies.

5.3.3 Quality Management & Support

The Contractor shall utilize designated IRS ELC processes, in compliance with IRS guidelines and influenced by our CMMI Level 3 appraised standards. With quality gate reviews defined throughout the ELC including production support, IRS will use defect data from quality assurance activities to control quality defect levels and performance.

5.3.4 Risk Management

The Contractor shall pro-actively identify, document, analyze, prevent, or mitigate risk throughout the project lifecycle.

5.3.5 Status Reports & Meetings

The Contractor shall monitor, manage, and report the multifaceted release development efforts and provide updates to the integrated master schedule maintained by the FATCA Program Office and technical stakeholders.

The Contractor shall also support bi-weekly status meetings, reporting of all functional areas, identifying progress, accomplishments schedule/resource changes, and discuss any unresolved issues and action items.

Project data shall be reported in meeting presentation decks one day prior to the scheduled meeting. The Contractor shall work with the FATCA Program Office and technical stakeholders to support any additional status reporting requirements that result from subsequent ELC milestone reviews.

Specific tasks shall include the following:

• The Contractor Project Manager (PjM) shall report to an IRS Program Manager (PgM) or Project Manager (PjM), as designated. The Contractor PjM shall provide guidance, oversight, and control on the work performed under this contract.

• The Contractor shall manage the deliverables, activities, and costs for the project team to ensure timely delivery of services.

• Develop a Project Management Plan addressing Contractor tasks that provides at a minimum, Project Management, Configuration Management, Quality Management, Communications Management

• Conduct customer status meetings on a bi-weekly basis

• The Contractor shall monitor, report and provide input related to project status using IRS agreed reporting formats and schedules, to include project Work Breakdown Structure (WBS); Integrated Master Schedule (IMS); and other IRS requested program management information

• The Contractor shall adhere to all IRS Privacy Information Protection and Data Security standards as referenced in IRM 10.5. Detailed information about IRS IRM 10.5 will be provided to the Contractor upon Contract award

• The Contractor shall adhere to IRM 2.25.2, Web Services, IRS Portal and Extranet Usage Standard.

Detailed information about IRS IRM 2.25.2will be provided to the Contractor upon Contract award.

DESIRED OUTCOMES – The Contractor shall perform tasks on-schedule and on-budget, integrate efforts with FATCA Program Office, business and technical stakeholders and conform to the designated IRS Enterprise Life Cycle (ELC) development path and methodology, as tailored for this program. The Contractor shall complete the tasks and provide the deliverables based upon agreed schedule at the expected level of detail and quality.

5.3.6 Testing Support

Contractor shall:

• Conduct unit tests on all system-level and application specific changes

• Conduct DIT and DSIT testing prior to transmittal to SAT

• Create Unit Test Reports in such a way that it can be easily associated with the software version provided in the transmittal and listed in the Transmittal Memorandum.

• Plan and conduct Application Quality Testing (AQT) on FI Registration and the associated batch applications (i.e. Sponsored Entity Status Update, Sponsored Subsidiary Branch Condition Update);

Testing will be coordinated with other impacted stakeholders, International Information Processing & Exchange (IIPE)and will be completed prior to transmittal to EST

• Document the Unit Testing in such a way that it can be easily associated with the software version provided in the transmittal and listed in the Transmittal Memorandum. The IRS reserves the right to review the Unit Test reports. The IRS will notify the Contractor, in writing via the assigned contract COR, three (3) working days prior to the requested review

• Provide support during Unit Testing, including an orientation session, as necessary to familiarize IRS test personnel with the functionality of the software in accordance with the requirements and any process/application/system changes required for the new software version

• Create and maintain Test Cases and Test Case traceability mappings to verify functionalities have met stated requirements in the Requirements Traceability Verification Matrix (RTVM) and Rational CLM during testing of the application.

• Provide development support and project level testing of application functionalities through defect resolution.

5.4 Task Area 4 : Operations and Maintenance (O&M) Support

Contractor shall provide support to Applications Development (AD) to sustain the IIPE applications and the multiple International Forms Submission Processing and Storage Support. Operations and Maintenance (O&M) provides continuous, high-availability services as established by operating agreements. Contractor shall supply technical expertise to identify, document and implement disciplined, repeatable procedure to operate sustain and manage the IIPE applications in support for the International Forms Submission Processing and Storage Support.

The operations and maintenance processes shall include, but not be limited, to the following:

• Knowledge transfer of technical skills and lessons learned to IRS staff upon completion of deliverables and work products.

• Deploy and maintain IDT code hosted on the Integrated Enterprise Portal (IEP).

• Monitor and report system performance and workload.

• Provide Tier II and III support for system administration and help desk services, as needed.

• Transfer of complete documentation for all delivered functionalities. Deliverables shall be in softcopy and hardcopy format and shall be the sole property of the FATCA Database Federal government. The format of deliverables will be provided in a format which will allow the government to modify and update when/if necessary.

• Knowledge transfer of configurable data including user names and passwords and application settings.

• Support planning activities, staff management, schedule management, issue and risk tracking and reporting, report generation, configuration management, quality assurance, and management and technical review support.

• Provide 24x7x365 support services and routine system operations. Services included are sustaining engineering, help desk and system administration. Sustaining engineering includes engineering support for the operations, including analysis of operational data, performance of special studies, and user group support.

• Support e-Help Desk services to address system-level issues in accordance with the provided IRS Service Level Agreement(s) (SLA) as described in IRM 2.148.2 - Information Technology Asset Management Enterprise Incident Management Standards

• Support System Administration support/services during designated Core Hours, and the services are on-call at other times to support the Information Return submission processing management system.

The System Administration support/services may include but not limited to; system server analysis, network administration, and Database administration essential to system operations.

http://core.publish.no.irs.gov/irm/p02/pdf/irm02-014-002--2010-03-17.pdf

• Gather and update existing system documentation and standard operating procedure (SOPs), review all documentation, and enhance the documentation as necessary.

• Lead, support, and complete yearly failover of IIPE applications from Production to Alternate Site Processing (ASP) and failback to Production as part of FISMA compliance for Filing Season preparation.

• Provide support to complete database updates of ad-hoc request to have the latest lists available.

• Provide support for yearly Federal Information Security Modernization Act (FISMA) Annual Security

Control Assessment (ASCA) and activities.

• The Contractor shall provide program cost modeling and analysis, service level agreements, tracking and analysis metrics, maintaining performance scorecards, documenting and maintaining service inventories, and providing periodic updates, analyses, and recommendations of the Operations Administration and Maintenance Plan. Performance management reports shall be generated for those areas of International forms and applications requiring oversight.

• In addition, the Contractor shall provide cost modeling and comparison analyses of new technology, service, and management initiatives. White papers and position papers shall be developed in the areas of International Forms Submission Processing and Storage Support. Also, recommended pricing policies and cost recovery mechanisms will be developed and documented.

• The Contractor shall assist in the analysis of potential program upgrades and enhancements. This includes, but is not limited to, developing technical evaluations, identifying and documenting requirements, and performing preliminary architectural designs.

• The Contractor shall develop alternative analyses and business cases. Business cases shall be properly documented and briefings and presentations will be authored summarizing the analyses and business cases.

• The Contractor shall develop, document, and maintain program, project, and transition plans during the life of the plan. When tasked within a WR, the Contractor shall edit existing data and create or write code so that applications, programs, or software are capable of interfacing with IRS specific applications, programs, or software for analytical and statistical purposes.

• The Contractor shall provide project support for the transition and implementation of International

Forms Submission Processing and Storage Support. The Contractor shall conduct assessments of implementation and operations requirements, testing, and assist in providing implementation planning, program management, and the development of test and acceptance criteria. The Contractor shall maintain and update a contract-based list of documents, schedules, and information needed to assist in tracking and achieving operational and other transitional activities. The Contractor shall also develop Concepts of Operations (COOPS) documentation for International Forms Submission Processing and Storage Support.

Deliverables shall include, but are not limited to:

Site Survey Template(s) Report(s) that capture current state of International Information Processing & Exchange

(IIPE) and equipment Gap Analysis and Mitigation Plan(s) capturing IT and FM service gaps Transition Site and Project Plan(s). Plan(s) shall include transition template(s), detailed steps, schedules and phases of transition.

Test and acceptance Plan(s) Quality and Security Assurance Plan(s) Disaster Recovery Plan(s)

Risk Management Plan(s) Staffing and Training Plan(s)

• Facilitate stakeholder meetings and working sessions focused on developing a consensus on program management and technical transition topics, prepare materials for these meetings, and document results.

• Create a charter capturing the program management roles, responsibilities, and functions vested in the FATCA program management office(s).

• Develop operational guides that will be used to implement program management roles, responsibilities and functions.

• Create a transition for International Information Processing & Exchange (IIPE) marketing plan that advises stakeholders of the pending transition and relevant information.

• Provide business management planning documents, a balanced scorecard to measure program effectiveness and a program management gap analysis to identify differences between program management services performed on behalf of stakeholders within the organization.

• The Contractor shall provide market survey support, plans, and materials for IRS programs to include but not limited to customer and market surveys. The development of a training plan shall also be included as part of program transition as required.

• The Contractor shall complete the tasks and provide the deliverables based upon agreed schedule at the expected level of detail and quality.

• Contractor shall study and analyze existing software and infrastructure to identify applications and related components that require migration to cloud infrastructure as per the directions from the IRS Enterprise Cloud Program (EnCP) initiatives including Containerization. Contractor shall coordinate with the IRS Section managers, leads and POCs to finalize requirements and create a roadmap for Cloud Migration and support implementation.

• Contractor shall lead the analysis and implementation of existing software and infrastructure to identify components that require immediate or future enhancements. Contractor shall coordinate with the respective IRS Section managers, leads and POCs to perform routine analysis on the IT infrastructure operation including on servers, databases, COTS, networks, firewalls, operating systems, applications, storage, and certificates

Contractor will be working on N-1 to N upgrades for the following components, but not limited to:

JBOSS Application Server JBOSS Developer Studio Oracle EXADATA JDBC Drivers SSL and TLS Certs Source Code Management Tool (ClearCase, RTC) Jenkins Log4J

AMDAS MQ

IPv6 SAAS to SPLUNK

• Contractor shall update and maintain IIPE FATCA Database (FDB) and related application development and maintenance resulting in congressional mandates or/and business requirements changes in the following forms, but not limited to:

ICMM Forms 8966, 8938 and 1042-S FATCA Forms 8957, 1042NR FI Forms 8966, 8938, 1042-S, 8957, 1042NR CbC Forms 8975, 990-T and Schedule A with the 1120, 1120-C, 1120-S, 1120-L, 1120-

PC, 1120-REIT, 1065, 1065-B, 1041, and 990T QI Form 14345

5.4.1 International Forms Support

International Forms Submission Processing and Storage Support, including but not limited to, International Compliance Management Model-Foreign Information Returns (ICMM-FIR), Country by Country (CbC), Qualified Intermediary (QI) Application Support, Financial Institution (FI) Registration…