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CATS II Guidance for Writing a TORFP - System Operations, Maintenance, and Support 

Before starting with the CATS II TORFP Template for System Operations, Maintenance, and Support (FA 6), herein referred to as “O&M,” agencies should have completed later-phase System Development Life Cycle (SDLC) activities if applicable and engaged in stakeholder discussions with the agency business unit, IT staff, and procurement office. These activities will help generate sufficient documentation of technical, business, and non-technical requirements for system O&M. O&M task orders normally are task based with requirements defined as duties and responsibilities. Questions about developing a TORFP may be referred to the DoIT Procurement Office at itpo@doit.state.md.us.

Below are recommended best practices to help ensure a quality TORFP and timely release. This information is advisory only, some elements may not apply to specific TORFPs.

Requirements Gathering:

  • Identify agency personnel responsible for developing, reviewing and approving requirements
  • Interview key stakeholders from the business unit, IT operations staff, and procurement office
  • Gather existing system documentation, e.g., O&M manuals, SOPs, manufacturer information, etc.

Requirements Identification:

  • Define the knowledge, skills, and experience required to operate, support, and maintain the system
  • Identify procedural steps for:
    • – Routine operations, e.g., jobs processing
    • - Routine support tasks, e.g., user help
    • – Routine maintenance, e.g., table refreshes, data back-ups, etc.
    • – Unique maintenance tasks, e.g., system patches, software / hardware upgrades, etc.
  • Define any software or hardware required to support and maintain the system, e.g., development tools
  • Define how work tasks will be identified, approved, assigned, and tracked:
    • – Consider a fixed hours / price structure for routine operations, maintenance and support tasks
    • – Consider a “work order” process for ad hoc maintenance tasks (See Section 2.6.1 below)
    • – Allow flexibility and evolution of duties; include a method to approve task changes via mutual agreement with the TO Contractor
    • – Require the use of a work order tracking application
  • Define the criteria for evaluating work performance (See Section 2.6.4 below)
  • Determine work schedule requirements, e.g., define normal, weekend, holiday, and emergency work hours.
  • Define Service Level Agreements (SLA) for responding to system problems (See Section 2.6.3 below)
  • Identify any State-owned hardware, software applications, materials, etc. the TO Contractor may use
  • Identify any hardware, software, and materials to be supplied by the TO Contractor, e.g., development tools
  • Describe how hardware and software will be purchased if needed for O&M (See Section 2.6.8 below)
  • Describe what functions, e.g., initial software testing, the TO Contractor may perform at its facility
  • Define non-technical duties, e.g., attending meetings, monthly activity reports, user training, etc.
  • Identify the process for mitigating contractor personnel problems (See Section 2.6.5 below)
  • Identify how personnel substitutions will be requested, reviewed, and approved (See Section 2.6.6 below)
  • Identify any deliverables under the TO, e.g. bi-weekly activity reports
  • Consider a requirement for initial “knowledge transfer” to the TO Contractor about the system
  • Define transition steps for future O&M hand-off to the agency or another contractor
  • Define any O&M tasks to be performed by the State in conjunction with the TO

Documenting Requirements:

  • Divide routine, recurring tasks like daily job runs and data backups from non-routine, non-recurring tasks like software upgrades and small system enhancements (See Section 2.6.1 below)
  • Ensure task descriptions are complete and unambiguous, e.g., instead of “run required jobs” use “run jobs according to the IT Division daily / weekly / monthly processing schedule”
  • Ensure task descriptions allow ways to test, observe, or otherwise verify task completion
  • Allow plenty of lead time for requirements identification and approval
  • Obtain review and approval of requirements from key stakeholders from the business unit, IT operations staff, and procurement office.

The TORFP Process:

  • Review and understand the TORFP process
  • Develop a procurement schedule (see Example Procurement Plan)
  • Allow sufficient lead time to replace current contracts
  • Allow sufficient lead time for internal and external reviews of TORFPs. For planning purposes, assume at least two iterations once the TORFP is submitted to DoIT.
  • Obtain input from key stakeholders on the TORFP scope of work
  • Inform DoIT of new O&M initiatives well in advance

Guidance on writing a TORFP for O&M is provided below in order of the TORFP sections. Agencies should review and understand all standard language and instructions in the template. Agencies should insert agency-specific information where indicated by blue highlight, and ensure that no irrelevant or left over language remains in the TORFP from the template or past TORFPs.

TORFP Title Page – Insert a TORFP title that clearly reflects the substance of the services to be acquired, e.g., “Accounts Receivable System Support and Maintenance.” The CATS II TORFP number is the ADPICS Purchase Order number (see Reference BPO Process Training Guide 1.09MB). Insert the requesting agency name and the date the TORFP is released.

Key Information Summary Sheet or “KISS Sheet” – Review the standard language at the top regarding instructions for Master Contractors responding to the TORFP. In the table below, insert key information about the TORFP in the fields provided. Agencies should complete all fields and may add, but not delete, fields.

TORFP Section 1 - Administrative Information - Review and understand the standard terms and conditions in this section. Insert agency specific information, where indicated. Agencies may add, but not delete, template language in this section. Sub-headings of this section are as follows:

  • 1.1 Responsibility For TORFP and TO Agreement – Agencies should assign a separate TO Procurement Officer and TO Manager for each TORFP. This section outlines those roles in managing the TORFP process and the ongoing TO work respectively.
  • 1.2 TO Agreement – The TO Agreement is the actual signed contract between the State and the Master Contractor who received the award (TO Contractor). It legally commits the TO Contractor to the terms and conditions of the CATS II Master Contract, the TORFP, and the TO Contractor’s proposal, in that order of precedence.
  • 1.3 TO Proposal Submissions – Agencies must set a reasonable, yet strict, time and date deadline for accepting TO proposals. This section alerts Master Contractors to the critical importance of the submission deadline and describes the signed documents required to accompany the TO proposal.
  • 1.4 Oral Presentations/Interviews – Face-to-face discussions with Master Contractor personnel about their TO proposals adds valuable insight to the proposal evaluation process. Orals may expose a strongly written proposal backed by weak personnel or vice versa. Orals should be scheduled about two weeks after the proposals submission deadline. This section describes expectations for this requirement. Orals are attended by all Master Contractors whose proposals meet minimum technical qualifications in the TORFP.
  • 1.5 Minority Business Enterprise (MBE) – This section describes the signed MBE forms strictly required by the TO proposal submission deadline. Failure to submit properly executed D1 and D2 forms is non-curable, meaning agencies, without exception, must reject the entire TO proposal if the D1 and D2 forms are not submitted prior to the submission date/time.
  • 1.6 Conflict Of Interest – Certain circumstances may exclude a Master Contractor from TO proposal consideration. For example, a Master Contractor hired for business process analysis would be prohibited from a subsequent TO for implementing the recommended changes. This section describes the conflict of interest affidavit required with TO proposals and cites the relevant COMAR sections.
  • 1.7 Non-Disclosure Agreement – Master Contractors may be granted access to potentially sensitive agency information, either before or after a TO award. This signed document commits a Master Contractor to information confidentiality. Agencies are responsible for maintaining this agreement on record.
  • 1.8 Limitation Of Liability Ceiling – Limitation of liability should be determined at the TORFP level. Refer to Section 27 (C) of the CATS II Master Contract (Attachment A of the CATS II RFP).
  • 1.9 Contract Management Oversight Activities – Agencies should retain records of all documents resulting from the TO solicitation and award process, and from ongoing TO management. As part of DoIT’s oversight role for master contracts, DoIT may review agency records periodically to ensure best practices.

TORFP Section 2 - Scope of Work (SOW) – This section is the core of the TORFP that defines the required work scope and work results expected of the TO Contractor. The template contains headings and content that agencies may edit (add / delete / change) to fit specific needs and circumstances.

  • 2.1 Purpose – Insert the agency name. Describe the services to be provided, e.g., “The Department of [agency name] is issuing this CATS II TORFP to obtain support and maintenance services for the automated accounts receivable system.” Describe the purpose and goal of the TORFP, e.g., “The purpose is to provide ongoing user support and maintenance including improvements to the system. The goal is to ensure the continuation of critical business processes and customer services reliant on the system.”
  • 2.2 Requesting Agency Background – Insert the agency’s mission and vision statements. Describe the operational functions, organizational structure, and customers of the agency. This information will help Master Contractors better understand the work environment.
  • 2.3 Management Roles and Responsibilities – Define State and TO Contractor management roles and responsibilities including:
    • TO Procurement Officer - Agency representative responsible for managing the TO solicitation and award process. May also administer the TO post-award, e.g., invoicing, MBE reports, etc.
    • TO Manager – Agency representative who supervises work performed by TO Contractor personnel under the TO. May also administer the TO, e.g., invoicing, MBE reports, etc. Escalates performance issues to TO Contractor Key Management Personnel.
    • TO Contractor Key Management Personnel – Representatives of the TO Contractor company who oversee their personnel assigned under the TO.
  • 2.4 System Background – Describe the background of the system to be supported. Include what business processes it supports, identify users, system products, etc. Describe the system technology, components, interfaces, etc. Describe the history and current status of any system upgrades, enhancements, etc. Describe how the system supports agency strategic goals. This information will help Master Contractors better understand the broader context of the work.
  • 2.5 Professional Development – This section sets the expectation that the TO Contractor must ensure continuing education opportunities for the personnel provided at no cost to the State. Review and adjust the standard language in this section as needed for the specific TORFP. The purpose is to maintain updated skill sets among TO Contractor personnel on the specific system technology at the agency. Besides promoting smooth operations, training may lead to ideas for system improvements.
  • 2.6 Requirements – O&M requirements largely focus on duties and responsibilities required of TO Contractor personnel to operate, support, and maintain the system. The agency should describe minimum required O&M tasks and allow Master Contractors to propose any other recommended tasks subject to minor adjustments after the award. The agency should follow the recommended best practices at the top of this page. The agency should review and adjust the standard language in the sections below and develop other requirements as needed specific to the TORFP.
    • 2.6.1 TO Contractor Personnel Duties And Responsibilities – Describe the minimum required work to be accomplished by the TO Contractor personnel under the TORFP. Organize this section as follows:
    •  
      • Recurring Daily / Weekly / Monthly Duties – May Be Fixed Price / Hours Based

        List recurring TO Contractor duties and responsibilities. Agencies should allow Master Contractors to propose the labor categories, plus any additional duties they recommend, and the number of hours required. These duties may be for a fixed or not-to-exceed number of hours per day / week / month under the TO. Typical recurring duties may include:
        • Operations tasks, e.g., data processing
        • Troubleshooting (actual problem resolution may be under non-recurring duties below)
        • Virus scans
        • Database maintenance
        • Data back-ups (See Section 2.6.7 below)
        • User support

      • Non-Recurring Duties – May Be Time & Materials, Work Order Based

        List non-recurring duties. Agencies should allow Master Contractors to propose the labor categories, plus any additional duties that may be needed, and the number of hours required. These unique duties may be performed on a time and materials “work order” basis as needed. Typical non-recurring duties may include:
        • Initial knowledge transfer to the TO Contractor
        • Technical upgrades
        • Problem resolution (See Section 2.6.5 below)
        • Support for implementing legislative mandates
        • Small system enhancements*

        Characteristics of a work order process would include:
        • Written requests from the TO Contractor describing the work, level of effort, and estimated hours
        • Agency approval to start each work order
        • A process for approving additional hours if necessary after the work starts
        • User acceptance testing by the agency prior to work order completion
        • A software application for managing work orders, existing at the agency or proposed by the TO Contractor

        *Work orders for small system enhancements should require at least minimal SDLC steps to control scope, cost, and time, i.e., pre-approved requirements, milestone schedule, and testing and fault remediation processes.
    • 2.6.2 Work Schedule – Define all aspects of the required work schedule under the TO covering:
      • Normal work hours
      • On call days and hours
      • Weekends
      • Holidays
      • Vacations
      • Shift rotation
      • Hours for planned maintenance and upgrades

      • Normal Work Hours - The TO Contractor’s assigned personnel will work an eight-hour day (___AM to ___ PM), Monday through Friday except for State holidays. Once assigned, and personnel understand the agency infrastructure, they will also be required to participate in a rotating emergency on-call schedule, providing non- business hours support. Typically, personnel assigned to TO Requesting Agency network engineering services are required to be on-call 24 hours a day for a seven-day period, one week out of every four to five weeks.
      • Services may also involve some evening and/or weekend hours performing planned system upgrades in addition to core business-day hours. Hours performing system upgrades would be billed on actual time worked at the rates proposed.

    • 2.6.3 Service Level Agreements - Describe the basic Service Level Agreement (SLA) expected from the TO Contractor. Define categories for problem severity and expected support responses for each. For example, problem categories of urgent, high, and normal might require responses within 1 hour, 4 hours, and 1 work day respectively. SLAs should include an incentive formula for meeting response times, e.g., deduct 5 times the hourly labor rate for every 15 minutes past the required response time. Agencies may allow Master Contractors to propose an SLA model. SLAs may be incorporated in the work order process described under 2.6.1 B above. A simplified example SLA table is below:
    •  
      Service LevelsPhone ResponseOn-Site ResponseResponse AvailabilityComments
      Urgent15 minutes1 hour7 days/week, 24 hrs a day 
      High1 hour1 hour7 days/week, 24 hrs a day 
      Normal1 hour1 work day5 days/week, Mon-Fri, 8AM-5PMOn-site response to calls after 1PM may be by 9AM the next morning
    • 2.6.4 Performance Evaluation – Describe how the TO Contractor personnel will be evaluated by the TO Manager. Review standard language in this section and adjust for the specific TORFP. Agencies should evaluate at least on a quarterly basis for assignments performed during that period. Attach performance evaluation criteria and standards as applicable. Example performance measurements are below. Subject performance problems to the mitigation process described in Section 2.6.5 below.
    •  
      Performance IndicatorsQuantifiers
      ComplaintsVolume, severity, time spent handling, number / level of employees required to respond, time to resolve
      Task completionTime spent, schedule met, accuracy, consistency
      ProductivityVolume, process time, schedule met, specifications met, error rates, rework time
      Problem responseNumber of problems, time to resolve, recurrence rates
      Customer satisfactionSurvey results, number of compliments
    • 2.6.5 Performance Problem Mitigation – In the event the agency is not satisfied with the performance of TO Contractor personnel, the agency should include a mitigation process as follows. The TO Manager will notify the TO Contractor in writing describing the problem and delineating remediation requirements. The TO Contractor will have three business days to respond with a written remediation plan. The plan will be implemented immediately upon acceptance by the TO Manager. Should performance issues persist, the TO Manager may give written notice or request immediate removal of the individual whose performance is at issue.

    • 2.6.6 Substitution of Personnel – The agency should include a substitution of personnel procedures as follows. The TO Contractor may not substitute personnel without the prior approval of the agency. To replace any personnel, the TO Contractor shall submit resumes of the proposed personnel specifying their intended approved labor category. All proposed substitute personnel shall have qualifications equal to or better than those of the replaced personnel and must be approved by the TO Manager. The TO Manager shall have the option to interview the proposed substitute personnel. After the interview, the TO Manager shall notify the Contractor of acceptance or denial of the requested substitution.

    • 2.6.7 Backup / Disaster Recovery - Describe required backup procedures for data, applications, systems, and servers. Provide a list, subject to change, of the databases, applications, hardware, and systems to receive backups. Example language is below:

      The TO Contractor shall perform backups of the web, application, and database servers on a regular basis. This shall include daily incremental backups and full weekly backups of all volumes of servers. Daily backups shall be retained for one month, and weekly backups shall be retained for two years, by the TO Contractor. Daily backups will be stored off-site by the TO Contractor. System backups for each of the listed servers will be on a quarterly basis, with two additional during the year, for a total of 6 system backups per server.

    • 2.6.8 Hardware, Software, and Materials - If applicable, describe the agency’s strategy under the TO for acquiring necessary hardware, software, or materials. Hardware and software costs procured as part of the TORFP cannot exceed 49 percent of the total TO value. Material costs must be passed through with no mark-up by the TO Contractor.

  • 2.7 Deliverables – The table in this section should be used to document deliverable descriptions and acceptance criteria. The main deliverables for O&M are work performance and activity reporting. Follow the guidelines below.

    Deliverables should be:
    • - Described in unambiguous terms
    • - Measureable, testable, or observable
    • - Subject to a remediation process if deficient.
    • - Tied to time frames
    • - Tied to payments in the TORFP Price Proposal.

    Acceptance criteria for work performance can be based on standard job performance elements including:
    • - Adherence to procedures and policies
    • - Timeliness
    • - Appearance
    • - Attitude
    • - Communication (oral, written, interaction with co-workers)
    • - Work completion

    Acceptance criteria for activity reports can be based on accuracy, timeliness, clarity, and usefulness. Require sections in the reports for:
    • - Date submitted
    • - TO title and number
    • - Agency name and contact information (TO Manager)
    • - TO Contractor name and contact information
    • - Work performance month and year
    • - Recurring tasks completed during the month (See Section 2.6.1 A)
    • - Non-recurring (work order based) tasks completed during the month (See Section 2.6.1 B)
    • - Status of open work order
    • - Hours per task and total hours
    • - Status of any associated deliverables
    • - Outstanding issues and resolution status
    • - Tasks planned for the subsequent period

    Other O&M deliverables may include:
    • - COTS software
    • - Software licenses
    • - Hardware
    • - Test results
    • - Meetings and presentations
    • - Training
  • 2.8 Required Project Policies, Guidelines and Methodologies - Describe any policies / standards / industry specifications to which the master contractor must adhere, possibly to include:
    • System manuals
    • Training manuals
    • Standard operating procedures (SOP)
    • COTS software and hardware manufacturer information
    • Systems Development Life Cycle (SDLC)
    • State and agency IT security policies
    • State and agency enterprise architecture (EA) standards
  • 2.9 TO Contractor Personnel Minimum Qualifications - Describe the types of services desired of the TO Contractor’s personnel. Do not request specific labor categories, let Master Contractors propose labor categories and associated pricing.
  • 2.10 TO Contractor Expertise Required – Described any general industry experience expected of the contractor. Avoid being too specific, e.g., experience with particular products, to avoid eliminating potential competition.
  • 2.11 Invoice Submission - This section contains standard language describing the submission and format procedures for invoicing under the TO. Agencies should review this section and make changes specific to agency internal accounting procedures.
  • 2.12 MBE Participation Reports - This section contains standard language describing required MBE reporting under the TO. Agencies should review this section and insert agency specific information where indicated.

TORFP Section 3 – TO Proposal Format and Submission Requirements

  • 3.1 Required Response – Master Contractors are required to respond to each TORFP they receive with either a TO proposal or a “Master Contractor Feedback Form”. The forms are accessible through the CATS II login page for Master Contractors. The feedback gives the State insight for future contracts on why Master Contractors did not respond to a TORFP. This section describes this requirement and its purpose.

  • 3.2 Format – Agencies can streamline the proposal evaluation process through clear instructions on the content and layout of TO proposals. The goal is to prompt multiple proposals with the same type of content in the same sequence for apples to apples comparison. Agencies should carefully review the standard language in this section of the template to that end.
    • 3.2.1 Technical Proposal – The TORFP Template contains eight sections, A through H, with standard language describing the required contents for a typical technical proposal. Agencies should review each section and make changes according to the specific TORFP. Any changes should be toward prompting sufficient information about proposed solutions for comparison among Master Contractors.

    • 3.2.2 Financial Proposal – Like the technical proposal, agencies should strive to give clear instructions on the content and format of a financial proposal to allow apples to apples comparison. Pricing should be tied to deliverables under the TO. TO Contractors are instructed that assumptions shall not constitute conditions, contingencies, or exceptions to the price proposal. A form is provided in the template attachments for the financial proposal. Agencies should review and may change the form according to the specific TORFP.

TORFP Section 4 – Task Order Award Process

  • 4.1 Overview – This section advises Master Contractors that all proposals meeting the response requirements of the TORPF will be evaluated and considered for award. In general, agencies will thoroughly evaluate all technical proposals before considering associated financial proposals.

  • 4.2 Technical Proposal Evaluation Criteria – In this section agencies list the criteria by which technical solutions will be evaluated in order of importance. Evaluation criteria should be weighted toward Section 3.2.1.A and 3.2.1.B of the TORFP template regarding proposed services and personnel. Agencies should ensure the criteria is not biased toward a particular Master Contractor. Criteria should involve metrics where possible, e.g., performance measures, to allow apples to apples comparison.

  • 4.3 Selection Procedures – Agencies will identify which proposals are reasonably susceptible for award, i.e., meets minimum SOW and TORFP requirements, both initially and throughout the proposal evaluation process. A proposal that does not meet minimum technical requirements will not be considered further, and the Master Contractor advised accordingly. Agencies will review and rank all technical proposals that do meet minimum requirements. Lastly, agencies will open, review and rank financial proposals. The proposal deemed most advantageous to the State will receive the award.

  • 4.4 Commencement of Work Under a TO Agreement – This section lists the required signed documents before work may begin by the awarded TO Contractor.