Annual Operational Advance Planning Document
Instructions and Template
Part 1. Instructions
Provide a title containing your State Name, Project Name, and the time period covered by this
Child Support Enforcement System Operational Advance Planning Document (OAPD)
submission.
Cover Letter Example:
Delaware Child Support System (DECSS)
Annual Operational Advance Planning Document (OAPD)
for the period October 1, 2021 through September 30, 2022
Funding amount requested (Dev and O&M)
Section 1 – Summary of Activities: This section should provide sufficient description to
determine if the activities described herein are in fact operations and maintenance activities, and
not development. Software maintenance is defined in the State Systems APD Guide
https://www.acf.hhs.gov/sites/default/files/documents/ocse/apd_guide_2.pdf.
Software maintenance means routine support activities that normally include corrective,
adaptive, and perfective changes, without introducing additional functional capabilities.
Software maintenance can include activities such as revising/creating new reports, making
limited data element/database changes, and making minor alterations to display screen images.
Corrective changes are tasks to correct minor errors or deficiencies in software.
Adaptive changes are minor revisions to existing software to meet changing
requirements.
Perfective changes are minor improvements to application software so it will perform in a
more efficient, economical, and/or effective manner.
Please note: If the systems project has any software development activities (including ongoing
enhancements), then a traditional annual APD Update is required and use of this OAPD is not
appropriate.
Examples of software development or ongoing enhancement activities include system
replacement or significant application software changes like the redesign of a child support
system’s enforcement module or document generation module. Similarly, substantive redesign
or replacement efforts could include (but are not limited to):
New electronic interfaces
Development of a graphical user interface (GUI) or Application Programming Interface
(API) to replace a character-based UI
Rewriting a set of underlying business rules in system logic
Installation of a document imaging component to the system
Application system migration from a mainframe-based to a client-server architecture
Section 2 – Summary of Acquisitions: This section should provide information on the type and
scope of the contract, procurement strategy, estimated costs, expected period of performance,
Final – 05/24/2022 1
Annual Operational Advance Planning Document
Instructions and Template
and written affirmation that the procurement meets federal and state procurement standards. For
sole source contracts, an affirmative statement that this acquisition is justified under state
procurement law, regulations, or process is also needed.
Please note: Operational acquisitions do not require prior federal approval regardless of the size
of the contract or procurement (APD Reform Regulations 45 CFR Part 95).
Section 3 – Annual Budget for Operations: This section should provide sufficient information
for the federal program office to approve FFP for operational activities for the year covered by
this OAPD submittal.
The project budget details estimated operational expenditures by category, with cost projections
summarized for the one-year period covered by the OAPD submission. These costs should be
broken out by quarter and totaled for the year. The budget should, at a minimum, provide costs
for the following: state personnel, contract costs (by contract), hardware, software, training,
overhead, supplies, and other (if applicable). For contract costs, only costs for the current OAPD
year should be included in this section. This differs from Section 2 where total contract cost is
reported.
Section 4 – Cost Allocation (if applicable): Cost allocation for operational activities differs
from system development cost allocation. If cost allocation across multiple programs is
necessary, states will use the cost allocation methodology and associated percentages for
operational activities as approved by the HHS/PSC/Division of Cost Allocation (DCA). If the
OAPD involves multiple programs, please add a section indicating the approved cost allocation
percentage for each program involved.
Section 5 – Security: For system security and privacy, include the following information.
Add a paragraph that addresses the Disaster Recovery Plan (NIST SP 800-34):
o Include the date that the most recent Child Support Enforcement System Disaster
Recovery Plan was reviewed/updated.
o Include the date that Child Support Enforcement System participated in a Disaster
Recovery Exercise, to include the type of exercise (e.g., functional or tabletop,
and stand-alone or part of an enterprise level exercise).
Add a statement that addresses the Risk Management Plan:
o Include the most recent date that the Child Support Enforcement System Risk
Management Plan was prepared or reviewed/updated.
o Include the most recent date that the Child Support Enforcement System Risk
Register was prepared or reviewed/updated.
In accordance with 45 CFR 95.621, provide the date of the last Biennial ADP Security
Review conducted (IRS 1075 security requirement assessment is different and not a
substitute for the biennial ADP security review). In addition, include the next scheduled
date for the subsequent review.
Final – 05/24/2022 2
Annual Operational Advance Planning Document
Instructions and Template
Part 2. Template
The template is provided for states to use in developing and maintaining their annual Operational
Advance Planning Document (OAPD) submissions.
[State] [Project Name] Operational Advance Planning Document for [Time Period]
Section 1: Summary of Activities
For each project activity, provide the task name, the vendor name (if applicable), a brief
description, current status, planned start date, actual start date, projected or planned end date, and
actual end date.
Section 2: Summary of Operational Acquisitions
These contract procurements comply with all applicable state procurement requirements and
with the federal requirements found in the acquisition checklist in OCSE IM-05-03. They also
comply with the federal requirement for retention of software ownership rights found in federal
regulations at 45 CFR 95.617.
In developing a table of operational acquisitions, use the format in Table 1. Under Contract
Name include Vendor (or TBD if procurement not completed) and purpose. Type would include
Firm Fixed Price, Labor Hours, Time and Materials, etc. Scope would include O&M, COTS
software, hardware, service contract, licenses. Procurement Strategy might include Full & Open
Competition, Limited Competition (Master Services Contract), Non-Competitive (Sole Source).
Table 1 – Example of Summary of Operational Acquisitions
Contract Type Scope Procurement Total Cost Base Base Number of
Name Strategy Est/Actual Start End Time Option
Time Periods
(Include Start
and End
Dates for
Each Period)
Alpha Firm Hardware Non- $10 million 1/31/2011 Authority NA
Company – Fixed competitive to use this
workstations Price (Note 1) contract
for county ends
office 6/30/2011
upgrades
O&M (Vendor Time and O&M Master Variable based 1/1/2008 9/31/2012 2
TBD) Materials Services on workload,
Agreement not to Exceed
$20 million
Final – 05/24/2022 3
Annual Operational Advance Planning Document
Instructions and Template
Contract Type Scope Procurement Total Cost Base Base Number of
Name Strategy Est/Actual Start End Time Option
Time Periods
(Include Start
and End
Dates for
Each Period)
MS Office Firm COTS Sole Source $3.5 million In NA NA
Upgrade Fixed license procureme
Price nt –
estimated
start
7/1/2011
Voice Labor Service Full and Open $2 million 12/31/201 NA
Response Hours Contract Competition 2
Unit/Call
Center Support
Image Fee Based Service Full and open Per 1 year – Up to 3,
Backfile – per page Contract competition transaction, estimated exercised
Scanning - scanning estimated total 6/30/2012 annually
Vendor TBD fee cost of $7
million
(Note 2)
Note 1 - For non-competitive (sole source) contracts, an affirmative statement that this
acquisition is justified under state procurement law/regulations or process is needed.
Note 2 - While this example (service contract to scan documents) is considered O&M, an
installation of a document imaging component would be considered system development and
would require a traditional APD update rather than this Operational APD submission.
Section 3: Annual Budget for Operational Activities
For the Annual Budget for Operational Activities, use the format in Table 2.
Table 2 – Annual Budget Format
Cost Category Quarter 1 Quarter 2 Quarter 3 Quarter 4 Total for Year
State Personnel
Contract (not otherwise
listed, by contract)
Hardware purchases
(by contract)
Operational Software
purchases (by contract)
Training
Overhead
Supplies
Other (Explain)
Final – 05/24/2022 4
Annual Operational Advance Planning Document
Instructions and Template
Cost Category Quarter 1 Quarter 2 Quarter 3 Quarter 4 Total for Year
TOTAL
Section 4: Cost Allocation (Required only for multi-agency APD submittals)
Table 3 provides a sample cost allocation for operational activities in accordance with the
methodology approved by the HHS/PSC/Division of Cost Allocation.
Programs – List of each program or agency applicable to this APDU
Total Request – Total dollars requested by program
Percent Allocation – Percent allocation per program
Federal Share % – Percentage of FFP paid by the federal program
Federal Share $ – Dollar amount of federal financial participation
State Share $ – Dollar amount of costs paid for by state dollars
Table 3 - Cost Allocation Table Sample
Total Percent Federal Federal State
Programs Request Allocation Share % Share $ Share $
IV-D $2,100,000 21% 66% $1,386,000 $714,000
TANF
SNAP
Child Care
IV-E
Title XX
Other (List each)
State Only
Totals 100% NA
Note – Sample dollars and percentages are for illustration only and not applicable to any specific
project.
Section 5: Security (Required for APD submittals)
Final – 05/24/2022 5
