P01-PWS-AI PMOG-RFI-Final.docx

Artificial Intelligence (AI) Program and Governance Support

VA-25-00009400

PERFORMANCE WORK STATEMENT (PWS)

DEPARTMENT OF VETERANS AFFAIRS

VA Office of the Chief Technology Officer

VA Office of the Chief Artificial Intelligence Officer

Artificial Intelligence Program and Governance Support Date: 8-29-2024

VA-25-00009400

PWS Version Number: 0.1

BACKGROUND

Mission of the requesting business office

The Office of the CTO (OCTO) serves the Department of Veterans Affairs (VA) Office of Information Technology’s (OIT) mission to deliver world-class IT products and services to VA and Veterans. OCTO works closely with core program portfolios across VA to examine the short and long-term needs of the Department, and to identify and fill gaps in VA’s technology portfolio. OCTO takes an approach to problem-solving, teamwork, and leadership that is built on agile development and results in ongoing improvement.

OCTO now serves a dual purpose as the VA Office of the Chief Artificial Intelligence Officer (OCAIO). The mission of OCAIO is to deliver world-class AI-enabled IT products and services to VA and Veterans in a purposely, effective & safe, secure & private, fair & equitable, transparent & explainable, and accountable & monitored fashion. These six pillars comprise the VA Framework for Trustworthy AI.

DESCRIPTION OF THE S

SPACE

What are we trying to solve?

VA is committed to leveraging Artificial Intelligence (AI) technologies to enhance the services and care provided to our Veterans. However, the introduction of AI brings complex challenges, particularly concerning safety and the protection of individual rights. Our primary goal is to implement AI across the VA in a manner that meticulously minimizes risks related to safety and privacy while upholding the highest ethical standards. This a proactive approach to preventing potential issues and establishing a robust, responsive governance structure that includes policies, processes and guidance to address and resolve problems that may arise. Ethical, Responsible and Trustworthy deployment of AI technologies is paramount to maintaining the trust and confidence of our Veterans and the employees who serve them.

Why is it needed?

The rapid advancement and increasing popularity of Large Language Models (LLM) and other AI technologies have propelled a shift towards AI integration in various sectors. In healthcare, especially within VA, this shift presents unique opportunities to improve efficiency, decision-making, and patient care. However, it also introduces significant ethical considerations and potential risks that must be managed carefully. AI is about to be embedded into almost every new product and service and it is critically important for VA to lead by example in establishing and adhering to rigorous standards. By doing so we ensure that the AI technologies we adopt, develop, or use not only enhance our ability to serve Veterans but do so in a way that aligns with our core values. This Task Order will support the creation, implementation and management of an AI management process within the Office of the Chief Artificial Intelligence Officer.

Existing relevant documentation

AI-enabled tools in production at VA must be consistent with the VA Trustworthy AI Framework.

Additional considerations AND CONTEXT on the problem space

In accordance with the Executive Order on the Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence VA has a mandate to create and maintain a comprehensive inventory of AI use cases within the Agency, ensuring that each aligns with the principles of with M-24-10, all existing and subsequent guidance issued by the White House and the Office of Management and Budget (OMB). This directive is not just a procedural task but a substantive effort that aims to embed transparency into AI within the Federal Government.

This work is inherently complex and multifaceted, demanding a blend of expertise across several disciplines including public policy, Responsible AI, software engineering, privacy, and security. Each AI product or application within the agency’s purview must be meticulously assessed for compliance with these broader principles. This includes procedurally creating and running the AI intake and use case review process, evaluating ethical implications of AI, ensuring privacy and security of data, and assessing the overall impact of AI use cases on service delivery and stakeholder trust. To create standards and assess every AI product against them is not only labor-intensive but also continuous as it needs to be amended and reevaluated every time there’s a policy change or a new issue has been identified. Robust intake and review processes must be developed, implemented, and continuously ran for this.

The goal is to ensure that AI technologies used by the Agency not only enhance operational efficiency and services but do so in a manner that is ethically sound, secure, and respectful of the rights and dignity of all individuals.

Desired user outcomes

1. Improved Services for Veterans

a. Enhanced accuracy and personalization of services, from healthcare to benefits.

2. Increased Trust and Transparency

a. Clear communication regarding the use and impact of AI.

b. Assurance of privacy and data protection.

c. Mechanisms for feedback and engagement on AI-driven services.

3. Enhanced Security and Privacy

a. Strict controls to protect personal information in conversational agents.

b. Reduced risk of data breaches and unauthorized access.

c. Transparent policies on data usage.

Desired business outcomes

1. Established AI Management Framework

a. Robust policies and guardrails for AI development, deployment, and data protection

b. Integration of ethical AI principles and compliance with federal standards

c. Transparent review and approval processes for AI use cases.

2. Efficient AI Use Case Management

a. A comprehensive, up-to-date inventory of AI projects, including status.

b. Capabilities for rapid assessment, involving applications to gather information and make the review process as simple as possible for reviewers.

c. Effective incident response strategies, with clear protocols for issue resolution and risk mitigation.

3. Data Integrity and Bias Mitigation

a. Data (in AI interactions) security practices and privacy controls

b. Proactive identification and correction of biases in AI algorithms.

c. Mechanisms to ensure transparency and accountability in AI operations.

4. Streamlined Innovation and Compliance Alignment

a. Balance between promoting AI innovation and adhering to safety, privacy, and ethical standards.

b. Continuous alignment of AI projects with evolving federal standards and administration goals.

c. Collaborative development.

5. Smooth and customer focused implementation of the AI Governance Framework

6. Enhanced Service Delivery and Trust

a. Stakeholder engagement and feedback mechanisms.

b. Building and maintaining trust though responsible AI use.

7. Efficient and accurate operational support for VA’s AI use case inventory and management process

Outcomes we want to avoid

1. Bias and Inequity in Service Delivery

a. Use of AI algorithms that perpetuate bias leading to unequal or unfair treatment of Veterans.

b. Deployment of services that do not consider the diverse needs of the Veteran population.

2. Compromised Veteran Privacy

a. Unauthorized access to or exposure of Veterans’ personal and sensitive data.

b. Use of AI that inadvertently leads to privacy violations or data breaches.

3. Decreased Trust in VA

a. Deployment of solutions that lead to confusion or mistrust.

b. Implementation of AI without adequate communication or feedback mechanisms.

4. Non-Compliance with Regulatory Standards

a. Development or acquisition of AI technologies that violate ethical guidelines or federal regulation.

b. Failure to align AI projects with VA’s mission.

5. Lack of Innovation

c. Restrictive governance that hinders innovation and technological advancement.

d. Investment in AI technologies that do not provide a clear benefit or ROI, leading to wasteful spending.

APPLICABLE DOCUMENTS

In the performance of the tasks associated with this Performance Work Statement, the Contractor shall comply with the following:

1. 44 U.S.C. § 3541-3549, “Federal Information Security Management Act (FISMA) of 2002”

2. “Federal Information Security Modernization Act of 2014”

3. Federal Information Processing Standards (FIPS) Publication 140-2, “Security Requirements for Cryptographic Modules”

4. FIPS Pub 199. “Standards for Security Categorization of Federal Information and Information Systems,” February 2004

5. FIPS Pub 200, “Minimum Security Requirements for Federal Information and Information Systems,” March 2006

6. FIPS Pub 201-2, “Personal Identity Verification of Federal Employees and Contractors,” August 2013

7. 10 U.S.C. § 2224, "Defense Information Assurance Program"

8. 5 U.S.C. § 552a, as amended, “The Privacy Act of 1974”

9. Public Law 109-461, Veterans Benefits, Health Care, and Information Technology Act of 2006, Title IX, Information Security Matters

10. 42 U.S.C. § 2000d “Title VI of the Civil Rights Act of 1964”

11. VA Directive 0710, “Personnel Security and Suitability Program,” June 4, 2010, https://www.va.gov/vapubs/index.cfm

12. VA Handbook 0710, “Personnel Security and Suitability Program,” May 2, 2016, https://www.va.gov/vapubs/index.cfm

13. VA Directive and Handbook 6102, “Internet/Intranet Services,” August 5, 2019

14. 36 C.F.R. Part 1194 “Information and Communication Technology Standards and Guidelines,” January 18, 2017

15. Office of Management and Budget (OMB) Circular A-130, “Managing Federal Information as a Strategic Resource,” July 28, 2016

16. 32 C.F.R. Part 199, “Civilian Health and Medical Program of the Uniformed Services (CHAMPUS)”

17. NIST SP 800-66 Rev. 1, “An Introductory Resource Guide for Implementing the Health Insurance Portability and Accountability Act (HIPAA) Security Rule,” October 2008

18. Sections 504 and 508 of the Rehabilitation Act (29 U.S.C. § 794d), as amended, January 18, 2017

19. Homeland Security Presidential Directive (12) (HSPD-12), August 27, 2004

20. VA Directive 6500, “VA Cybersecurity Program,” February 24, 2021 VA Handbook 6500, “Risk Management Framework for VA Information Systems VA Information Security Program,” February 24, 2021

21. VA Handbook 6500.2, “Management of Breaches Involving Sensitive Personal Information (SPI),” March 12, 2019

22. VA Handbook 6500.5, “Incorporating Security and Privacy into the System Development Lifecycle,” March 22, 2010

23. VA Handbook 6500.6, “Contract Security,” March 12, 2010

24. VA Handbook 6500.8, “Information System Contingency Planning,” April 6, 2011

25. VA Handbook 6500.10, “Mobile Device Security Policy,” February 15, 2018

26. VA Handbook 6500.11, “VA Firewall Configuration,” August 22, 2017

27. OIT Process Asset Library (PAL), https://www.va.gov/process/ . Reference Process Maps at https://www.va.gov/process/maps.asp and Artifact templates at https://www.va.gov/process/artifacts.asp

28. One-VA Technical Reference Model (TRM) (reference at https://www.va.gov/trm/TRMHomePage.aspx)

29. VA Directive 6508, “Implementation of Privacy Threshold Analysis and Privacy Impact Assessment,” October 15, 2014

30. VA Handbook 6508.1, “Procedures for Privacy Threshold Analysis and Privacy Impact Assessment,” July 30, 2015

31. VA Handbook 6510, “VA Identity and Access Management,” January 15, 2016

32. VA Directive and Handbook 6513, “Secure External Connections,” October 12, 2017

33. VA Directive 6300, “Records and Information Management,” September 21, 2018

34. VA Handbook, 6300.1, “Records Management Procedures,“ March 24, 2010

35. NIST SP 800-37 Rev 2, “Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy,” December 2018

36. NIST SP 800-53 Rev. 5, “Security and Privacy Controls for Federal Information Systems and Organizations,” September 23, 2020 (includes updates as of 12/10/2020)

37. VA Directive 0735, “Homeland Security Presidential Directive 12 (HSPD-12) Program,” October 26, 2015

38. VA Handbook 0735, “Homeland Security Presidential Directive 12 (HSPD-12) Program,” March 24, 2014

39. OMB Memorandum 05-24, “Implementation of Homeland Security Presidential Directive (HSPD) 12 – Policy for a Common Identification Standard for Federal Employees and Contractors,” August 5, 2005

40. OMB Memorandum M-19-17, “Enabling Mission Delivery Through Improved Identity, Credential, and Access Management,” May 21, 2019

41. OMB Memorandum, “Guidance for Homeland Security Presidential Directive (HSPD) 12 Implementation,” May 23, 2008

42. Federal Identity, Credential, and Access Management (FICAM) Roadmap and Implementation Guidance, December 2, 2011, (NOTE: Part A of the FICAM Roadmap and Implementation Guidance, v2.0, was replaced in 2015 with an updated Architecture (https://arch.idmanagement.gov/#what-is-the-ficam-architecture)

43. NIST SP 800-116 Rev 1, “Guidelines for the Use of Personal Identity Verification (PIV) Credentials in Facility Access,“ June 2018

44. NIST SP 800-63-3, 800-63A, 800-63B, 800-63C, “Digital Identity Guidelines,” updated March 02, 2020

45. NIST SP 800-157, “Guidelines for Derived PIV Credentials,” December 2014

46. NIST SP 800-164, “Guidelines on Hardware-Rooted Security in Mobile Devices (Draft),” October 2012

47. Draft National Institute of Standards and Technology Interagency Report (NISTIR) 7981, “Mobile, PIV, and Authentication,” March 2014

48. VA Memorandum, VAIQ #7100147, “Continued Implementation of Homeland Security Presidential Directive 12 (HSPD-12),” April 29, 2011 (reference https://www.voa.va.gov/documentlistpublic.aspx?NodeID=514)

49. IAM Identity Management Business Requirements Guidance document, May 2013, (reference Enterprise Architecture Section, PIV/IAM (reference https://www.voa.va.gov/documentlistpublic.aspx?NodeID=514)

50. VA Memorandum “Personal Identity Verification (PIV) Logical Access Policy Clarification,” July 17, 2019, https://www.voa.va.gov/DocumentView.aspx?DocumentID=4896

51. Trusted Internet Connections (TIC) 3.0 Core Guidance Documents, https://www.cisa.gov/publication/tic-30-core-guidance-documents

52. OMB Memorandum M-19-26, “Update to the Trusted Internet Connections (TIC) Initiative,” September 12, 2019

53. OMB Memorandum M-08-23, “Securing the Federal Government’s Domain Name System Infrastructure,” August 22, 2008

54. Sections 524 and 525 of the Energy Independence and Security Act of 2007, (Public Law 110–140), December 19, 2007

55. Section 104 of the Energy Policy Act of 2005, (Public Law 109–58), August 8, 2005

56. Executive Order 13834, “Efficient Federal Operations,” dated May 17, 2018

57. Executive Order 13221, “Energy-Efficient Standby Power Devices,” August 2, 2001

58. VA Directive 0058, “VA Green Purchasing Program,” July 19, 2013

59. VA Handbook 0058, “VA Green Purchasing Program,” July 19, 2013

60. Office of Information Security (OIS) VAIQ #7424808 Memorandum, “Remote Access,” January 15, 2014, https://www.voa.va.gov/DocumentListPublic.aspx?NodeId=28

61. Clinger-Cohen Act of 1996, 40 U.S.C. §11101 and §11103

62. “Veteran Focused Integration Process (VIP) Guide 4.0,” January 2021, https://www.voa.va.gov/DocumentView.aspx?DocumentID=4371

63. VA Memorandum “Proper Use of Email and Other Messaging Services,” January 2, 2018, https://www.voa.va.gov/DocumentListPublic.aspx?NodeId=28

64. “DevSecOps Product Line Management Playbook” version 2.0, May 2021, https://www.voa.va.gov/DocumentView.aspx?DocumentID=4946

65. NIST SP 500-267B Revision 1, “USGv6 Profile,” November 2020

66. OMB Memorandum M-21-07, “Completing the Transition to Internet Protocol Version 6 (IPv6),” November 19, 2020

67. Social Security Number (SSN) Fraud Prevention Act of 2017

68. Section 240 of the Consolidated Appropriations Act (CAA) 2018, March 23, 2018

69. Executive Order 13960, Promoting the Use of Trustworthy Artificial Intelligence in the Federal Government, December 03, 2020

70. Executive Order 14110, Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence, October 30, 2023

71. OMB Memorandum M-24-10, Advancing Governance, Innovation, and Risk Management for Agency Use of Artificial Intelligence, March 28, 2024

SCOPE OF WORK

The Contractor shall develop and operate a comprehensive, robust AI governance process and program at VA, for presentation to the VA Product Owner and other VA Leadership as appropriate. Additionally, the Contractor shall at the same time support VA’s current AI use case intake, inventory, and review processes. The Government’s estimate is that this support will require approximately five full time equivalents.

Product vision

For VA to lead in the ethical development, deployment, and management of AI, setting a benchmark for excellence in safeguarding Veterans’ rights and data, while fostering innovation. Our vision is to prepare VA to leverage AI tools for enhancing the services it provides to Veterans, driven by a commitment to transparency, accountability, and compliance with federal standards.

TASKS AND DELIVERABLES

Kickoff meeting The Contractor shall hold a kickoff meeting within 10 days after task order award. The Contractor shall include in the Kickoff meeting a retrospective meeting with the current team responsible for the 2024 use case review evaluations and report to collect lessons learned that could potentially influence and accelerate the development of a more sustainable process going forward under the new contract. The Contractor shall present, for review and approval by the Government, at a minimum the details of the intended approach, work plan, and onboarding plan. The Contractor shall specify dates, locations (can be virtual), agenda (shall be provided to all attendees at least five calendar days prior to the meeting), and meeting minutes (shall be provided to all attendees within three calendar days after the meeting). The Contractor shall invite the Contracting Officer, Contract Specialist, Contracting Officer’s Representative (COR) and the VA Program Manager/Product Owner.

Key personnel

Specific expertise and experience are essential for accomplishing the tasks outlined in this PWS. The key personnel positions are identified below along with the minimum requisite qualifications for each position.

AI Policy Expert:

· Demonstrable and extensive AI Policy expertise, in the form of several publications in peer review journals or tech and policy editorials.

· Experience with the development and deployment of AI governance frameworks.

· Experience in coordinating with a diverse group of stakeholders.

Project Manager:

· Experience managing both technical and organizational projects.

· Experience creating detailed plans, including goals, timelines, resources and budgets.

· Experience leading diverse, cross-functional teams and managing team dynamics effectively.

· Experience at setting, and meeting quality standards and stakeholder expectations.

· Experience implementing quality control processes and best practices for making adjustments as necessary to maintain project integrity.

· Strong organizational skills.

· Understanding of AI technologies and policy landscape.

· Experience adapting to evolving requirements and needs.

Two Senior Technical Policy Analysts:

· Ideal candidate has extensive AI Policy Experience

· Extensive experience and knowledge of Government policy analysis, specifically in the technology and AI space

· Strong skills with managing and documenting oversite duties in large bureaucratic organizations and/or in the Government

Senior Communications and Documentation Specialist:

· Experience translating complex policy and technical language into accessible plain language.

· Expertise in managing SharePoint sites.

· Experience in creating, managing and organizing documentation for internal processes.

· Ability to develop clear guidelines and maintain a knowledge base.

· Experience with documentation tools, content management systems.

Additional Information

SCRUM teams will be considered acceptable when they can effectively work. This may include some resources that are staffed, but not cleared. This will be case by case and worked with the COR. For the initial team to be deemed ready to work, all members of the team will have a Personal Security Adjudication Center letter in order to obtain access to working tools such as GitHub and Slack that do not require VA network access. Access to Amazon Web Services requires an Electronic Questionnaires for Investigations Processing release date.

AI GOVERNANCE PROGRAM DEVELOPMENT AND IMPLEMENTATION

The Contractor shall develop, for presentation to and approval by the VA Product Owner and other VA Leadership as appropriate, a comprehensive program to establish a robust AI governance process, and then upon approval, shall implement the process across the VA enterprise. The Contractor shall support VA in:

· Developing AI policies and processes, creating a foundational framework for AI governance, including ethical principles, development guidelines, and deployment strategies.

· Support the development of guidelines for AI development, deployment, and acquisition to ensure ethical, safe, and responsible AI, focusing on minimizing risks and protecting Veterans’ information.

· Creating comprehensive documentation that explains the processes for submission to the AI Inventory and Safety and Rights Impacting assessment and review.

· Designing and implementing a streamlined process for reviewing and approving AI use cases, ensuring they meet ethical standards, and align with federal regulations.

· Establishing and maintaining a formal process for the submission and intake of use cases, facilitating efficient tracking, assessment, and integration into the Agency’s inventory.

· Creating protocols for identifying, assessing, and mitigating safety concerns and rights impacts arising from AI applications.

· Developing procedures for swiftly addressing and resolving issues with AI technologies, including guidelines for when to revert back to previous versions of a system or switch to manual operations if necessary.

· Implementing measures to prevent the deployment of biased AI algorithms and ensure proper control over information and access, including the secure handling of data used in training AI models and preventing data exposure by conversational agents.

· Ensuring that all AI initiatives and use cases comply with relevant federal standards and align with the administration’s goals, through continuous monitoring and adjustment of AI governance practices.

· Ensuring that technological advancements contribute positively to our mission.

· Interfacing with organizations across the Agency to communicate and support policies and regulations related to AI in areas beyond those specifically managed by OCAIO including human resources, policy, and procurement.

· Operationally administer the AI intake and review processes for the VA enterprise.

Associated Deliverables

1. The Contractor shall create Design Protocols for identifying, assessing, and mitigating safety and rights impacting concerns arising from AI systems. This involves developing a thorough Performance Based Evaluation Plan for proposed AI pilots within VA. The initial Protocols shall be received within three months of the project start date and be revised as necessary throughout the Period of Performance.

2. The Contractor shall design a streamlined AI Review Process for reviewing and approving AI use cases ensuring they are consistent with current federal regulations and VA standards. The Review Process shall be developed using human centered design best practices and tested with various affected stakeholders and personas to ensure usability and effectiveness. The initial prototype shall be received within three months of the project start date and be revised as necessary throughout the Period of Performance.

3. The Contractor shall be responsible for managing the existing Case Management Tool used for AI Use Case review, access to which to be provided by VA, as well as implementing improvements in alignment with design best practices. Within the first four months of the project start date, the contractor shall conduct an initial evaluation of the tool, incorporating user feedback to inform necessary updates. The Contractor may propose enhancements, subject to approval by VA, and will ensure continuous updates and refinements throughout the Period of Performance to support the AI Governance Process as described above.

4. The Contractor shall create comprehensive AI Review Process Documentation and Training Materials that explains: the processes for how submission to the VA Use Case Inventory, and the Safety and Rights Impacting assessment and review occur; the technical details of case management tool and any support requirements; and training materials that can be used to educate employees across VA on the Governance Process and case management tool. The initial Documentation and Training Materials shall be received within four months of the project start date and be revised as necessary throughout the Period of Performance.

5. The Contractor shall develop AI Procedures for swiftly addressing and resolving issues with AI technologies in use within VA, including guidelines for when to revert back to previous versions of a system or switch to manual operations if necessary. This will involve determining when a system requires modifications or discontinuation. The initial version shall be received within five months of the project start date and be revised as necessary throughout the Period of Performance.

6. The Contractor shall operationally run both the current AI inventory and review process, as well as the new process that they develop.

Deliverables:

A. Design Protocols B. Performance Based Evaluation Plan C. AI Review Process (inclusive of tools and associated training materials) D. Initial Evaluation of Case Management Tool E. AI Review Process Documentation F. AI Procedures

Recurring deliverables

Delivery and Monitoring Report and Roster: The Contractor shall provide a single monthly report, detailing and providing links to all stories, epics and other work completed. This includes a plain language description of all work accepted by the Government Product Owner and COR at the end of each sprint. This report shall include, in plain language, additional details about the project status, sprint team velocity, sprint team goal completion, and highlight project risks. The report shall also highlight and provide links to key infrastructure and application monitoring data for the case management tool. This shall also include a list of all use cases submitted to the process, whether they were added to the inventory, and their current status. The specific data points and format of this monthly report shall be determined by the Contractor in collaboration with the VA Program Manager/Product Owner and COR. Lastly, the Contractor shall submit a roster to the COR that includes the Status of Government Furnished Equipment (GFE) for all GFE all staff, as applicable in accordance with PWS Section 7.3.1 and PWS Section 7.7.

Deliverables:

A. Monthly Report

Data and OPEN-SOURCE Requirements

The Government shall receive Unlimited Rights to data first produced in performance of this contract in accordance with FAR 52.227-14, “Rights In Data-General” (MAY 2014). This includes all rights to source code and any and all documentation created in support thereof. License rights in any Commercial Computer Software shall be governed by FAR 52.227-19, “Commercial Computer Software License” (DEC 2007). Any data delivered shall be submitted and protected in accordance with VA handbook 6500.

VA intends that the software delivered under this task order will be publicly posted without restriction. To the extent that the Contractor(s) seeks to incorporate into the software delivered under this task order any software that was not first produced in the performance of this task order, VA encourages the Contractor(s) to incorporate either software that is in the public domain, or free and open source software that qualifies under the Open Source Definition promulgated by the Open Source Initiative. In any event, the Contractor(s) must promptly disclose to VA in writing, and list in the documentation, any software incorporated in the delivered software that is subject to a license fee.

Development methodology and working principles

The Contractor’s support and solutions shall follow the practices described in the Digital Services Playbook (https://playbook.cio.gov). The Contractor shall be familiar with the concepts in each play and implement them in its approaches and support. The Contractor shall deliver modern digital services that use DevOps techniques that embrace Continuous Integration / Continuous Delivery (CI/CD). The Contractor shall deliver secure and tested modern web application designs using automated testing frameworks.

The Contractor shall provide VA with teams that shall deliver solutions in support of VA’s strategic mission and objectives. Specifically, the Contractor shall:

1. Deliver high-quality, functional products that are measured by user feedback from surveys, research, etc.

2. Follow the practices described in the “Digital Services Playbook” (https://playbook.cio.gov).

3. Be agile. Incorporate Agile methodologies and ceremonies into work, such as (but not limited to) sprint planning, daily scrum, sprint review, sprint retrospective, backlog grooming, and estimating activities.

4. Actively involve users in the design of all solutions. Incorporate best practices for modern user research and usability testing, such as (but not limited to) creating user personas, problem space definitions, affinity maps, user flow diagrams, wireframes, information architecture diagrams, design prototypes, user research plans, conversation guides, and user research synthesis.

5. Maintain a consistent look, feel, and voice across user facing sites and services. Incorporate best practices defined in the VA Design System and VA Content Style Guide (https://design.va.gov/).

6. Personalize solutions for the individual or team using the product (https://www.whitehouse.gov/briefing-room/presidential-actions/2021/12/13/executive-order-on-transforming-federal-customer-experience-and-service-delivery-to-rebuild-trust-in-government/, https://www.whitehouse.gov/wp-content/uploads/2018/06/s280.pdf)

7. Optimize web applications for mobile-first operation, with all solutions being equally available on both mobile and desktop whenever possible. Incorporate robust accessibility principles into design, development and testing for all web applications to deliver high-quality digital experiences to users of assistive devices.

8. Protect user information with best-in-class security, given the constraints of the environment.

9. Use DevOps techniques of CI/CD across all environments including, at a minimum, development, staging, and production. (http://github.com/department-of-veterans-affairs/va.gov-team/tree/master/platform/engineering/)

10. Use automated testing frameworks to create unit tests, integration tests, functional/black box tests, and load tests (or their equivalents as applicable) to test 100% of functionality delivered. Strive for compliance with Test Driven Development practices.

11. Ensure configuration and sensitive data, including data the VA defines as sensitive, are not present in source code, and are stored in encrypted credential management systems.

12. Deliver all code not containing configuration or sensitive data to an open source repository per Office of Management and Budget Guidance M-16-21.

13. Cultivate a positive, trusting, and cooperative working relationship with the Government and all other vendors supporting this work.

Transition Support (Optional Task 1)

Transition of a product to a new contractor or the Government is sometimes necessary. It is critical to the continued functionality of OCTO products that all contractors are diligent in transitions between teams to ensure there is no disruption in Veteran services. The most important factors in these transitions are the availability of well written documentation and good faith communications. This optional task shall be for a period of up to 60 days, if exercised by the Government. The Contractor must submit a Transition Support Package within seven days upon optional task exercise. The Transition Support Package is critical to the successful transition in OCTO, must be available in the relevant GithHub repository, and shall consist of at least the following:

1. All documentation related to the AI Governance process created and managed by the Contractor during the Period of Performance.

2. All access to the case management platform (if applicable) and anything interacting with the platform or application, for which the incoming vendor will require access.

3. All relevant information required for onboarding to the case management tool and necessary for its continued operation – interaction with 3rd party tools or downstream services.

In consult with the relevant OCTO Product Owner and COR, the Contractor shall create a list of all relevant stakeholders both inside OCTO, across VA, and outside VA (if relevant). The contractor shall ensure frank and open communication between all staff of the exiting and incoming contractors. At a minimum the outgoing contractor shall ensure the incoming contractor has access to the following:

1. Product documentation including product outlines/briefings, objectives and key results (OKRs), roadmaps and active epics/stories, stakeholder landscape maps, decision records, and analytics.

2. Design documentation including prototypes, user research reports, design decisions for products in production, and early designs for incomplete products.

3. Access to accounts for third-party products such as tooling or SaaS products that will be taken over by the new team.

Although not exhaustive, the following are typical interactions which the contractor shall support during transition:

1. A handoff coordination meeting between the leads of the incoming and outgoing teams

2. Community of Practice specific orientations to the available documentation allowing the outgoing team to ask questions

3. Conversations about the stakeholder landscape and typical communication patterns

4. Demonstrations of specific functionality in the case management tool or details of the AI Governance Process for which the new vendor will be responsible.

Deliverable:

A. Transition Support Package

PERFORMANCE DETAILS

Period of performance (PoP) and budget estimate

The Period of Performance (PoP) shall be one 6-month Base Period, with two 12-month Option Periods. The PoP also includes an optional task for transition support that may be exercised for a period of up to 60 days at the Government’s discretion.

Contract type

The effort shall be proposed on a Time and Materials (T&M) basis and Firm Fixed Price (FFP) basis. All labor shall be FFP per sprint while all travel shall be on a T&M basis.

0. Place of performance Efforts under this task order can be performed at any location within the United States. All work locations must be able to accommodate the Hours of Work specified in Section 5.3.

Travel

Travel shall be reimbursed on a Time & Materials basis in accordance with the Federal Travel Regulations and requires advanced concurrence by the COR. Contractor travel within the local commuting area will not be reimbursed.

While the Government cannot accurately estimate the amount of travel to an extent it can be firm fixed price, the following was used as the basis for the Government’s cost estimate: Travel is expected for two in-person planning meetings during the Base Period and Option Periods, including the full contract team, within the Continental United States for a period of approximately 3 days.

Hours of work

The contractor shall set their own work hours. However, contractors may be required to attend meetings with Government personnel between standard east coast work hours (typically 9am – 5pm ET). Additionally, monitoring and production support will be required between 7am – 8pm ET.

Quality Assurance Surveillance Plan (QASP)

Product specific objectives and key results

The Government is open to discussion with the vendor about appropriate QASP metrics for this task order after award.

GENERAL REQUIREMENTS

ENTERPRISE AND IT FRAMEWORK

VA TECHNICAL REFERENCE MODEL

The Contractor shall support the VA enterprise management framework. In association with the framework, the Contractor shall comply with OIT Technical Reference Model (VA TRM). The VA TRM is one component within the overall Enterprise Architecture (EA) that establishes a common vocabulary and structure for describing the information technology used to develop, operate, and maintain enterprise applications. Moreover, the VA TRM, which includes the Standards Profile and Product List, serves as a technology roadmap and tool for supporting OIT. Architecture & Engineering Services (AES) has overall responsibility for the VA TRM.

FEDERAL IDENTITY, CREDENTIAL, AND ACCESS MANAGEMENT (FICAM)

The Contractor shall ensure Commercial Off-The-Shelf (COTS) product(s), software configuration and customization, and/or new software are Personal Identity Verification (PIV) card-enabled by accepting HSPD-12 PIV credentials using VA Enterprise Technical Architecture (ETA), https://www.ea.oit.va.gov/EAOIT/VA_EA/Enterprise_Technical_Architecture.asp, and VA Identity and Access Management (IAM) approved enterprise design and integration patterns, https://www.oit.va.gov/library/recurring/edp/index.cfm. The Contractor shall ensure all Contractor delivered applications and systems comply with the VA Identity, Credential, and Access Management policies and guidelines set forth in VA Handbook 6510 VA Identity and Access Management, VA Handbook 0735 Homeland Security Presidential Directive 12 (HSPD-12) Program, and align with the Federal Identity, Credential, and Access Management Roadmap and Implementation Guidance v2.0.

The Contractor shall ensure all Contractor delivered applications and systems provide user authentication services compliant with the National Institute of Standards and Technology (NIST) Special Publication (SP) 800-63-3, VA Handbook 6500 Appendix F, “VA System Security Controls”, and VA IAM enterprise requirements for direct, assertion based authentication, and/or trust based authentication, as determined by the design and integration patterns. Direct authentication at a minimum must include Public Key Infrastructure (PKI) based authentication supportive of PIV card and/or Common Access Card (CAC), as determined by the business need.

The Contractor shall ensure all Contractor delivered applications and systems conform to the specific Identity and Access Management PIV requirements set forth in the Office of Management and Budget (OMB) Memoranda M-05-24, M-19-17, and NIST Federal Information Processing Standard (FIPS) 201-2. OMB Memoranda M-05-24 and M-19-17 can be found at: https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2005/m05-24.pdf, and https://www.whitehouse.gov/wp-content/uploads/2019/05/M-19-17.pdf respectively. Contractor delivered applications and systems shall be on the FIPS 201-2 Approved Product List (APL). If the Contractor delivered application and system is not on the APL, the Contractor shall be responsible for taking the application and system through the FIPS 201 Evaluation Program.

The Contractor shall ensure all Contractor delivered applications and systems support:

1. Automated provisioning and are able to use enterprise provisioning service.

2. Interfacing with VA’s Master Person Index (MPI) to provision identity attributes, if the solution relies on VA user identities. MPI is the authoritative source for VA user identity data.

3. The VA defined unique identity (Secure Identifier [SEC ID] / Integrated Control Number [ICN]).

4. Multiple authenticators for a given identity and authenticators at every Authenticator Assurance Level (AAL) appropriate for the solution.

5. Identity proofing for each Identity Assurance Level (IAL) appropriate for the solution.

6. Federation for each Federation Assurance Level (FAL) appropriate for the solution, if applicable.

7. Two-factor authentication (2FA) through an applicable design pattern as outlined in VA Enterprise Design Patterns.

8. A Security Assertion Markup Language (SAML) implementation if the solution relies on assertion-based authentication. Additional assertion implementations, besides the required SAML assertion, may be provided as long as they are compliant with NIST SP 800-63-3 guidelines.

9. Authentication/account binding based on trusted Hypertext Transfer Protocol (HTTP) headers if the solution relies on Trust based authentication.

10. Role Based Access Control.

11. Auditing and reporting capabilities.

12. Compliance with VIEWS 00155984, PIV Logical Access Policy Clarification https://www.voa.va.gov/DocumentView.aspx?DocumentID=4896.

The required Assurance Levels for this specific effort are Identity Assurance Level 3, Authenticator Assurance Level 3, and Federation Assurance Level 3.

INTERNET PROTOCOL VERSION 6 (IPV6)

The Contractor solution shall support Internet Protocol Version 6 (IPv6) based upon the memo issued by the Office of Management and Budget (OMB) on November 19, 2020 (https://www.whitehouse.gov/wp-content/uploads/2020/11/M-21-07.pdf). IPv6 technology, in accordance with the USGv6 Program (https://www.nist.gov/programs-projects/usgv6-program/usgv6-revision-1), NIST Special Publication (SP) 500-267B Revision 1 “USGv6 Profile” (https://doi.org/10.6028/NIST.SP.500-267Br1), and NIST SP 800-119 “Guidelines for the Secure Deployment of IPv6” (https://doi.org/10.6028/NIST.SP.800-119), compliance shall be included in all IT infrastructures, application designs, application development, operational systems and sub-systems, and their integration. In addition to the above requirements, all devices shall support native IPv6 and dual stack (IPv6 / IPv4) connectivity without additional memory or other resources being provided by the Government, so that they can function in a mixed environment. All public/external facing servers and services (e.g. web, email, DNS, ISP services, etc.) shall support native IPv6 and dual stack (IPv6 / IPv4) users and all internal infrastructure and applications shall communicate using native IPv6 and dual stack (IPv6 / IPv4) operations.

TRUSTED INTERNET CONNECTION (TIC)

The Contractor solution shall meet the requirements outlined in Office of Management and Budget Memorandum M-19-26, “Update to the Trusted Internet Connections (TIC) Initiative“ (https://www.whitehouse.gov/wp-content/uploads/2019/09/M-19-26.pdf), VA Directive 6513 “Secure External Connections”, and shall comply with the TIC 3.0 Core Guidance Documents, including all Volumes and TIC Use Cases, found at the Cybersecurity & Infrastructure Security Agency (CISA) (https://www.cisa.gov/publication/tic-30-core-guidance-documents). Any deviations must be approved by the VA TIC 3.0 Working Group at vaoisesatic30team@va.gov.

STANDARD COMPUTER CONFIGURATION

The Contractor IT end user solution that is developed for use on standard VA computers shall be compatible with and be supported on the standard VA operating system, currently Windows 10 (64bit), Edge (Chromium based), and 365 Apps for enterprise. Applications delivered to VA and intended to be deployed to Windows 10 workstations shall be delivered as a signed .msi package with switches for silent and unattended installation and updates shall be delivered in signed .msp file formats for easy deployment using Microsoft Endpoint Configuration Manager (CM) VA’s current desktop application deployment tool. Signing of the software code shall be through a vendor provided certificate that is trusted by VA using a code signing authority such as Verizon/Cybertrust or Symantec/VeriSign. The Contractor shall also ensure and certify that their solution functions as expected when used from a standard VA computer, with non-admin, standard user rights that have been configured using the United States Government Configuration Baseline (USGCB) and Defense Information Systems Agency (DISA) Secure Technical Implementation Guide (STIG) specific to the particular client operating system being used.

VETERAN FOCUSED INTEGRATION PROCESS (VIP) AND PRODUCT LINE MANAGEMENT (PLM)

The Contractor shall support VA efforts IAW the updated Veteran Focused Integration Process (VIP) and Product Line Management (PLM). The major focus of the new VIP is on Governance and Reporting and is less prescriptive, with a focus on outcomes and continuous delivery of value. Product Line Management (PLM) is a framework that focuses on delivering functional products that provide the highest priority work to customers while delivering simplified, reliable, and practical solutions to the business, medical staff, and our Veterans. The VIP Guide is a companion guide to the PLM Playbook and can be found at: https://www.voa.va.gov/DocumentView.aspx?DocumentID=4371 and the PLM Playbook can be found at https://www.voa.va.gov/DocumentView.aspx?DocumentID=4946. The PLM Playbook pivots from project-centric to product-centric delivery and contains descriptive practices that focuses on outcomes. The PLM Playbook contains a set of “plays” that implement Development, Security, and Operations (DevSecOps) principles and processes such as automated development, continuous integration/continuous delivery, and release on demand. The PLM Playbook details how product lines implement Lean-Agile principles, methods, practices, and techniques through levels of maturity. VIP and PLM are the authoritative processes that IT projects must follow to ensure development and delivery of IT products.

PROCESS ASSET LIBRARY (PAL)

The Contractor shall perform their duties consistent with the processes defined in the OIT Process Asset Library (PAL). The PAL scope includes the full spectrum of OIT functions and activities, such as VIP project management, operations, service delivery, communications, acquisition, and resource management. PAL serves as an authoritative and informative repository of searchable processes, activities or tasks, roles, artifacts, tools and applicable standards and guides to assist the OIT workforce, Government and Contractor personnel. The Contractor shall follow the PAL processes to ensure compliance with policies and regulations and to meet VA quality standards. The PAL includes the contractor onboarding process consistent with Section 6.2.2 and can be found at https://www.va.gov/PROCESS/artifacts/maps/process_CONB_ext.pdf. The main PAL can be accessed at www.va.gov/process.

AUTHORITATIVE DATA SOURCES

The VA Enterprise Architecture Repository (VEAR) is one component within the overall EA that establishes the common framework for data taxonomy for describing the data architecture used to develop, operate, and maintain enterprise applications. The Contractor shall comply with the department’s Authoritative Data Source (ADS) requirement that VA systems, services, and processes throughout the enterprise shall access VA data solely through official VA ADSs where applicable, see below. The Information Classes which compose each ADS are located in the VEAR, in the Data & Information domain. The Contractor shall ensure that all delivered applications and system solutions support:

1. Interfacing with VA’s Master Person Index (MPI) (formerly the Master Veteran Index (MVI)) to provision identity attributes, if the solution relies on VA user identities. MPI is the authoritative source for VA user identity data.

2. Interfacing with Capital Asset Inventory (CAI) to conduct real property record management actions, if the solution relies on real property records data. CAI is the authoritative source for VA real property record management data.

3. Interfacing with electronic Contract Management System (eCMS) for access to contract, contract line item, purchase requisition, offering vendor and vendor, and solicitation information above the micro-purchase threshold, if the solution relies on procurement data. ECMS is the authoritative source for VA procurement actions data.

4. Interfacing with HRSmart Human Resources Information System to conduct personnel action processing, on-boarding, benefits management, and compensation management, if the solution relies on personnel data. HRSmart is the authoritative source for VA personnel information data.

5. Interfacing with Vet360 to access personal contact information, if the solution relies on VA Veteran personal contact information data. Vet360 is the authoritative source for VA Veteran Personal Contact Data.

6. Interfacing with VA/Department of Defense (DoD) Identity Repository (VADIR) for determining eligibility for VA benefits under Title 38, if the solution relies on qualifying active duty military service data. VADIR is the authoritative source for Qualifying Active Duty military service in VA.

SOCIAL SECURITY NUMBER (SSN) REDUCTION

The Contractor solution shall support the Social Security Number (SSN) Fraud Prevention Act (FPA) of 2017 which prohibits the inclusion of SSNs on any document sent by mail. The Contractor support shall also be performed in accordance with Section 240 of the Consolidated Appropriations Act (CAA) 2018, enacted March 23, 2018, which mandates VA to discontinue using SSNs to identify individuals in all VA information systems as the Primary Identifier. The Contractor shall ensure that any new IT solution discontinues the use of SSN as the Primary Identifier to replace the SSN with the ICN in all VA information systems for all individuals. The Contractor shall ensure that all Contractor delivered applications and systems integrate with the VA Master Person Index (MPI) for identity traits to include the use of the ICN as the Primary Identifier.