Attachment_5_-_ETSA_Requirements_Verification.pdf

TECHNICAL/FUNCTIONAL REQUIREMENTS VERIFICATION

TECHNICAL /FUNCTIONAL REQUIREMENTS

VERIFICATION

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

Task 1 - 4.1.1 All Software Functional Requirements

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen

1. All software proposed shall be capable of accurately preparing and filing any individual federal, state and local income tax returns for all possible tax situations prescribed by the IRS that may occur among those served by the VITA and TCE programs. At these sites, volunteers either prepare tax returns for taxpayers, or assist taxpayers with self-preparation. Not all volunteer sites have internet access. The contractor must provide a method for the software to function as a Web-Based

Version, Self-Preparer Web-Based Version, and a Desktop Version. (See Glossary)

1a. The software is capable of electronic return preparation for the following 1040

Series Family Forms - 1040, 1040A, 1040EZ, 1040NR, 1040NREZ, 1040PR and 1040X.

4.1.2 Functionality Requirements for All

Software

Does Not

Meet

Meets Desk

Meets Professional

Web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

2. Method for the software to function as a web-based application for assisted tax preparation.

N/A

3. Capability of the Desktop Version to install software and prepare tax returns on computers without an internet connection.

4. Method to enable site managers to track the status of prepared returns as it passes through IRS-defined stages: Preparing, Reviewing & e-File/Transmitting.

VERIFICATION

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

5. Method to ensure that only one preparer can edit a return at any given time.

6. Functionality which allows for capturing generic preparer-user data fields to capture information not found on the return, such as client demographic information or other user defined fields.

7. Method for real-time diagnostic for form checks (aka schema validation) and tax law validation on tax returns.

8. Functionality of the Versions to support the indirect transmission of e-filed federal, applicable state, and local tax returns.

9. Method to securely download a taxpayer data file on fixed and removable storage media and to import the data file back into the software.

10. Method for a user at one location to be able to securely upload taxpayer documents to a different user at another location.

11. Method to ensure that only authorized users can use the software within distinct permission levels in order to restrict certain users from performing functions described in Attachment 1.

12. Method to allow transmission for multiple EFINs by a single site.

13. Quality control features which require review of a completed tax return and, the ability to print a return, prior to submission.

14. Method to ensure authorized users can determine who is working on a return during each stage of the filing process.

15. Method for the administrator or designee to restrict a user to one Data entry (i.e.

prepare vs. transmitter) mode.

16. Method for which EFIN/SIDN of authorized

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) licensees is associated with every return.

17. Process for which the Contractor can authenticate the EFIN of every transmission to the authorized licensee of the software

18. Notification process and the timeframe to acknowledge receipt, acceptance, and rejection of a return by the IRS.

19. Functionality to provide timely notifications for acknowledgements, receipt, acceptance, and rejection of a return by the IRS.

20. Method to require volunteers to update passwords upon first login.

21. Method to allow a return that is started on a software package at a site to be completed by another volunteer using a software package at the same site.

22. Method to print individual forms and/or a customizable package of forms for all printer types.

4.1.2.1 Requirements for Self-Preparation

Version:

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

23. Functionality of the Self Preparer Version to return errors and acknowledgements to the taxpayer via electronic notification.

4.1.3 Preparation Capabilities Does

Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

24. Software shall have no limit as to the number of local, state, and federal tax returns that can be filed per licensed copy.

25. Method for securely storing data from the previous tax year returns and supporting the secure transfer of taxpayer information into the current tax return.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

26. Ability to meet IRS assurance testing system standards for filing electronic returns as well as the ability to prepare non-e-file returns.

27. Data entry modes for different experience levels of tax preparation to assist with gathering information necessary to prepare a return.

28. Method for switching between form-based and interview-based data entry modes in real-time, without losing any information already entered.

29. Ability for the software to support state income tax return preparation capabilities for all states with an income tax filing requirement by the 1st day of the filing season.

30. Ability to support multiple states, local, and municipal return preparation capabilities.

31. Ability to support independent federal and state return preparation capabilities. (e.g.

either return may be prepared without preparing the other.)

32. Supported refund and payment methods including Electronic Funds transfer (EFT) (i.e. direct deposit, direct debit), paper check, split refunds and savings bond refunds.

33. Capability to disable any feature that offers the taxpayers a debit card.

34. State return preparation capabilities for full and part year residents and non-residents.

35. Method of auto-populating information between state and federal returns.

36. Method for users accessing self-service help features to understand how to navigate and complete a tax return and resolve errors. The help features must provide context sensitive help, including

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) form-specific and field-specific help instructions.

37. Ability to prepare Federal, state and local individual tax returns for the previous three tax years.

38. Ability to e-file federal individual tax returns for the previous two years.

39. Ability to prepare amended returns.

40. A method to carry forward permissible data to the next year’s tax return within each software version.

41. A method to support interview-based data entry capabilities for federal, state, and local returns. (See Glossary)

42. Method to support form-based data entry capabilities for federal, state and local returns. (See Glossary)

4.1.4 Software Distribution and Maintenance

Does

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

43. Method for distributing software.

44. Method of maintenance for software packages (including release notes for bug fixes, patches, notification regarding updates to users, and upgrades).

45. Method for ordering, providing immediate acknowledgement of orders, tracking, and distributing software to the IRS and shipping to approximately 12,000 domestic and 70 international shipping addresses which could include multiple deployments.

46. Method that allows for unused licenses to be transferred from one user to a different

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) user.

47. Method to provide a credit for unused licenses.

48. Ability to provide deployment metrics back to the IRS Contracting Officer Representative such as real-time counts of the software units purchased, distributed, deployed, and un-delivered shipments.

49. Ordering process that allows only the IRS COR or designee to place software orders and authorize software distribution upon receipt of a signed delivery order.

50. Method to allow a site administrator to create a local network, to manage user accounts, passwords, system updates, shared printing, and other configurable items.

4.1.5 Availability and Disaster Recovery

Requirements

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

51. Availability Requirements:

a. Web-based software shall be available

99% of the time each week based on a 168 hour week and excluding time for weekly scheduled maintenance.

b. Scheduled maintenance shall not disrupt VITA operations.

c. Three-second or shorter system response/refresh time at all times that the system is available.

d. Contingency plan in the event the web-based version is not available.

e. Access codes shall be interchangeable between the web-based and desktop packages of the professional software.

That is, every access code may be used to activate either the web-based software or desktop software.

52. Disaster Recovery at a minimum shall include the following:

a. The Contractor shall describe their

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) disaster recovery plan and business continuity plan/procedures. The

Contractor shall provide the results of the disaster recovery tests. (See deliverable table).

b. In the event of a catastrophic event

(e.g. natural disasters, technological failures, human threats, etc.), the

Contractor shall provide a recovery to full service as quickly as possible (i.e to prevent an outage from exceeding 24 hours from the beginning of the reported event.)

c. The disaster recovery, business continuity plan and instructions shall be provided to the IRS POC in the event an outage occurs.

d. The Contractor shall provide the capability to re-establish IRS licensee’s data files to a condition that existed no more than 2 hours before the interruption in the event of system failures or facility disasters to prevent loss of data and provide business continuity.

Task 2 - 4.2 Reporting Capabilities: User Generated, Recurring Contractor Generated Management Reporting and Ad Hoc

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. Contractor Generated Reporting:

a. The software must provide for reporting capability at the site level.

b. The software must also provide the IRS

POC, or their designee, the ability to retrieve information at the nationwide level for all IRS licensees.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

c. The software shall provide the ability for appropriately authorized users to create and run customized (also called

“ad hoc”) management reports, based on a selection of data fields. This ability can be provided from within the software and must be accessible through a separate reporting web-site.

The online reporting web-site for all IRS licensees shall run the same reports available from the desktop software.

4.2.1 User Generated Reports

Not Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

2. Standard statistical reports on demand, for all platforms required are as follows:

a. Summary report on federal tax returns, categorized by various parameters including EFIN, return status and date of preparation.

b. Detailed report on federal tax returns prepared by EFIN and SIDN including Adjusted Gross Income

(AGI) and general information for each tax payer and detailed information about each return prepared.

c. Summary and Detailed reports on federal tax returns by tax form type with schedules – and should include all forms and schedules prepared.

d. IRS e-Filing Acceptance and Rejects summary and detailed reports.

e. Pending Acknowledgement summary and detailed reports – from either the IRS or states.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

f. Listing of all clients with summarized general information details for each client and categorized by EFIN and SIDN.

g. Listing of all Employer Identification Numbers (EIN) used in each tax return (state or federal) and summary across all tax returns.

That is, the EINs from the taxpayer’s W-2, 1099.

h. Reports cross-referencing details captured within the generic data fields per prepared tax return.

i. Tax Preparer summary and detailed reports.

j. Number of claims and total dollar amount for state claims of EIC, refunds, and balance due.

k. Summary reports on counts of self-prepared and volunteer prepared.

4.2.2 Recurring Contractor Generated

Reporting

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

a. Weekly management reports during

January through April

b. Monthly management reports May through October

c. Summary report containing the aggregate information in the SOW about the returns entered at each site and at all sites in accordance with the delivery schedule specified in the table of deliverables.

4.2.3 - Ad Hoc Contractor Generated Reporting Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

1. The reports may contain the following information by the preparing EFIN:

a. The total number of accepted federal and state returns filed electronically identified as transmitted, accepted and rejected

b. The total number of accepted returns by filing status, i.e. married filing jointly, single, etc. and by type of form (1040, 1040A, etc.)

c. Software package used, the SIDN, State EITC, State balance dues, State refund, the total number of accepted returns electronically filed claiming the earned income tax credit, child tax credit, education credit, and credit for the elderly, and the total amount of credits claimed.

d. Each EFINs beginning and ending transmission date.

e. Total number of accepted returns electronically filed requesting direct deposit of refunds.

f. Average AGI of returns electronically filed.

g. The total number of federal returns that have zero or one dollar AGI.

h. Number of accepted returns electronically filed where the primary or secondary filers were age 60 or over.

i. The total number of accepted returns electronically filed claiming a refund and the total amount of refunds.

j. The total number of zero balance returns.

k. Total number of self-prepared and preparer prepared returns.

l. The total number of accepted returns electronically filed claiming a balance due and the total amount of the

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) balance due.

m. The total number of returns filed that used an ITIN.

Task 3 – 4.3 Customer Support Services for the IRS COR or Designee

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. The Contractor shall provide a full time point of contact (POC) to partner with the IRS Contracting Officer Representative (COR) or their designee, to be available to discuss and address issues that may arise and addresses each item of this task.

2. The Contractor POC shall respond to reasonable requests for customization of features within the software. Examples of such requests include blocking bank products, linking to IRS training websites or customizing default values within the software (in order to reduce volunteer burden).

3. The Contractor shall allow the IRS the right to include screen-shots and Contractor product information material in written materials and collateral, that will be used in support of the Tax Assistance Programs.

4. The Contractor shall partner with the IRS POC to verify accuracy of software screen-shots or product information included in IRS publications. The Contractor may be asked to provide screen shots to the IRS POC via email if the information is not readily available via the software.

Task 4 - 4.4 Help Desk Assistance and Technical Problem Resolution Support

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. The Contractor shall provide a support website, toll-free telephone number, email and chat help desk support to licensee sites.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

2. The help desk will provide timely issued resolution to the licensee sites and detailed reporting to the IRS.

3. Provide support for trouble-shooting technical issues related to the installation and operation of the software (hardware, printers, etc.).

4. Provided below are the minimum help desk requirements:

a. Delivery of software through April, help desk support shall be available as follows: Mon - Fri: 8 AM ET - 12 AM ET and Sat and Sun: 8 AM ET - 8 PM ET.

b. Post filing season, normal help desk hours are required Mon-Fri: 8 AM ET –

5 PM ET

5. In the case of a problem the expectation is that the provider will have someone working on it until it is resolved or a work around is established.

a. The POCs for support issues shall provide contact information including a phone number, an email address, and contact information for after hours as necessary.

b. The help desk support shall permit unlimited contact from POC and IRS licensees by phone, email, chat, etc.

c. The help desk will provide a first contact resolution rate of at least 95% regardless of the method of reporting the problem.

d. If resolution cannot be achieved during the initial contact, the Contractor shall provide a response within one hour with a status update. In no more than 4 hours the help desk shall present a plan for resolution. Problem resolution should occur within 24 hours.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

e. All calls shall receive first level help desk support with an on-hold time less than five minutes.

f. During the filing season, all help desk contacts shall be logged and accounted for in detail. The contact log shall contain:

The type of IRS program, i.e. VITA, TCE, etc.

licensee's EFIN the problem identified the solution that was provided to the licensee date of contact, time of day date of solution length of time to answer in minutes length of call in minutes, if applicable number of incoming contacts number of abandoned contacts if contacts are categorized, the Contractor will provide a legend that defines the categories

Software type (web-based, desktop, or self-preparer version).

6. The Contractor shall provide, administer, and maintain a support web site for licensee access including IRS licensees.

The support web site shall be available to IRS licensees twenty-four hours a day, seven days a week.

All content on the support website (including FAQs, Blogs, etc.) shall be text searchable.

The Contractor’s support web site shall provide product information, frequently asked questions and answers (FAQ’s), links to email support

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) and software updates.

7. The Contractor shall describe their method to mass-communicate with licensee’s regarding outages, planned /unplanned maintenance, and other relevant issues twenty-four hours a day, seven days a week. (i.e. email, website availability, etc.). In the event of an unscheduled outage, the Contractor will provide initial notification to the COR no later than (15) minutes after initial discovery, hourly updates, and a resolution of the problem via broadcast email to all licensee POCs.

Task 5 - 4.5 Training Requirements and Materials Does

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. The Contractor shall describe a method of delivery in which to provide training that is effective, efficient and feasible to ensure that up to 96,000 volunteers and employees are trained to use the

2. The Contractor shall describe their methods to deliver online and face to face training.

3. Required training methods include use of online training modules including videos, face to face, webinars, recordings of webinars, a practice environment to enter mock return information and Contractor facilitated training forums.

4. During contract performance, the contractor will provide a Beta version of all software and documentation, prior to it becoming commercially available, and no later than

October 1st of each year. This software will be made available to the IRS Workstations

Standards Idea Lab for testing and the IRS

Point of Contact (POC).

5. Functionality of the Web-based Professional

Version and Desktop Professional Version is such that they would require the same training

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) to use both of them.

a. The contractor will provide a proposed training plan with their proposal. The training plan will be subject to modification based on feedback from the IRS POC once the contract has been awarded.

b. The contractor’s proposed training plan will specify the following training details:

trouble-shooting scenarios a training pilot session length of training training schedule (see deliverable table) course objectives course content outline with each section or topic indicating user roles and user segments targeted course material to include exercises and examples, for each user role and user segment measurement method/tool to indicate successful completion of specific exercises or test a plan for IRS licensee training over the life of the contract.

c. The web-based training software must provide a three second or shorter response time.

d. The Contractor shall describe a registration process for student enrollment in training sessions.

e. The Contractor shall describe a method to capture participants no later than 5 days after attending each training session.

f. The Contractor shall describe a method to customize the training, curriculum and materials for IRS requirements based on user responsibilities. (See

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

Attachment 1)

g. The Contractor shall describe a method for training IRS volunteers without access to the internet.

h. The Contractor shall describe a method to access reference materials within the

i. The contractor shall provide a printed user guide to accompany each software package delivered. The contractor shall also make the user guide accessible online to all users.

j. Training materials shall cover accurately preparing federal tax returns, transmitting the returns, generating reports, picking up acknowledgement/ rejected files, and correcting rejected returns.

k. The Contractor shall make printed and electronic training materials available in English and Spanish.

l. The Contractor shall describe their method of providing training materials in all software versions.

m. The Contractor shall provide online training for multiple users per site to practice creating, modifying, and printing sample returns with solutions to practice problems.

n. The Contractor shall provide an online training environment that replicates the Professional Desk/Web version of federal returns and requires users to create a unique account. The Contractor shall provide training materials for IRS use.

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A)

Task 6 - 4.6 Transition–in and Phase Out Requirements

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. The Contractor shall describe their method of transition as to not disrupt the tax season and provide the schedule of events.

2. Tasks required to successfully transition the work within a (180) day period include

Contractor involvement in the following readiness activities necessary to assume the existing work:

customization of reporting capabilities software customizations, if applicable testing help desk stand up training volunteers to use the software

Task 7 – 4.7 Regulatory, Security and Privacy

Standards

Does Not

Meet

Meets Desk

Meets professional web

Meets Self- Prepared Web

PWS

Section and Page Number

Software Screen (See Sub-factor A)

1. Award of this contract will be contingent upon the contractor’s facility, systems, and procedures, successfully passing the IRS

Contractor Review, performed within 2-weeks after notice of intent to award.

2. Subsequent to the Contractor Review, the contractor will submit a plan of compliance to mitigate the risks within 2-weeks from IRS notification of vulnerabilities or risks disclosed during the review.

3. Once IRS approves the plan the contractor will be fully compliant with the recommendations within 60 days.

4. IRS will perform a follow-up safeguard review within 2-weeks after the 60 day deadline to validate contractor compliance.

5. Because of heightened security awareness, the IRS may, from time to time, notify the

THE CONTRACTOR MUST DESCRIBE [HOW/THEIR]

Provide Reference to (PWS) Performance Work Statement

Software Screen

(See Sub-factor A) contractor of increased risks, and request changed security procedures.

6. The contractor will negotiate with the IRS to determine the timing, scope, and resolution of the problems.