WF 11-P

COMMENT DUE DATE:

August 8, 2011

DATE:

July 27, 2011

Paula Hearn (405) 521-4247

Dena Thayer OIRP Programs Administrator (405) 521-4326

RE:

Non-APA WF 11-P

It is very important that you provide your comments regarding the DRAFT COPY of policy by the comment due date. Comments are directed to *STO.LegalServices.Policy@okdhs.org.

The proposed policy is Non-APA . This proposal is not subject to the Administrative Procedures Act

The proposed effective date is 9-1-11.

OKDHS CHAPTER 2. ADMINISTRATIVE COMPONENTS

Subchapter 40. Executive

Part 7. Information Technology

OKDHS:2-40-70 through OKDHS2-40-74 [NEW]

SUMMARY:OKDHS:2-40-70 through OKDHS:2-40-74 are created to address compliance by the Oklahoma Department of Human Services (OKDHS) with Information Technology (IT) Accessibility Standards.The standards apply to all IT procured, developed, substantially modified, or substantially enhanced after the September 1, 2005 effective date of the Oklahoma Information Technology Accessibility Standards.

SUBCHAPTER 40. EXECUTIVE

PART 7. INFORMATION TECHNOLOGY

OKDHS:2-40-7.Purpose, scope, and definitions of electronic and information technology accessibility

(a) Purpose. Part 7 of Subchapter 40 addresses compliance by the Oklahoma Department of Human Services (OKDHS) with Section 34.28 through 34.30 of Title 62 of the Oklahoma Statutes, and Section 508 of the Rehabilitation Act (29 U.S.C. 794d), as amended by the Workforce Investment Act of 1998 requiring electronic and information technology accessibility (IT) and related IT accessibility standards.OKDHS ensures:

(1) compliance with the provisions of the Oklahoma Information Technology Accessibility (OITA) standards; and

(2) comparable access to and use of IT by individuals with disabilities as those without disabilities when developing, procuring, maintaining, or using IT, or when administering contracts or grants that include the procurement, development, upgrade, or replacement of IT.

(b) Scope.

(1) This section applies to all IT procured, developed, substantially modified, or substantially enhanced after the September 1, 2005 effective date of OITA standards.

(2) OKDHS accessibility subject matter experts designated by the OKDHS Chief Information Officer (CIO) are responsible for assessing and validating the accessibility compliance of Web applications, content, documents, and IT procurement.

(3) Compliance standards have been developed for specific technologies, including:

(A) software applications and operating systems;

(B) web-based information or applications;

(D) video and multimedia products;

(E) desktop and portable computers; and

(F) information, documentation, and support.

(c) Definitions. The following words and terms when used in this Subchapter shall have the following meaning unless the context clearly indicates otherwise:

(1) "Accessibility" means a level of access at which IT allows employees, program participants, and the general public with disabilities access to and use of information and data that is comparable to the access and use by individuals without disabilities in compliance with OITA standards.

(2) "Accessibility compliance representative" means an individual or individuals designated by the OKDHS Director per OAC 260:15-1-5 et. seq.

(3) "Accessibility assessment" means the process by which a product is reviewed for compliance with OITA standards prior to procurement, usage, or deployment.

(4) "Accessibility assessor" means the IT subject matter expert, designated by the OKDHS CIO, responsible for conducting an accessibility assessment.

(5) "Assistive technology device" means any item, piece of equipment, or product system, whether acquired commercially off-the-shelf, modified, or customized, used to increase, maintain, or improve functional capabilities of individuals with disabilities.

(6) "Accessibility validator" means the IT subject matter expert, designated by the OKDHS CIO, responsible for conducting the validation process.

(7) "Commercially available off-the-shelf (COTS)" means a non-developmental item (NDI) of supply that is both commercial and sold in substantial quantities in the commercial marketplace, and may be procured or utilized under government contract in the same precise form as available to the general public.COTS:

(A) include information technology related items, such as computer software, hardware systems, or free software with commercial support;

(B) procurements are alternatives to in-house developments or one-off government-funded developments; and

(8) "Configured" means features and functionality are limited by parameters included in the product but does not change the underlying code of the solution, for example, Microsoft Word.

(9) "Conditional approval" means signed authorization allowing OKDHS to deploy, publish, or use partially accessible or non-accessible IT that OKDHS has purchased, proposed to purchase, or developed, with the understanding that the IT will be made accessible by an agreed-upon date.Conditional approval is generally granted when non-accessibility is minimal, or compliance is achievable at minimal cost, and the need for deployment or use is greater than the consequence of the temporary noncompliance.Unless extended for good cause, use of IT is halted upon failure to make accessible by agreed-upon-date.

(10) "Customized" means features and functionality of the product are enhanced with development by reworking the code, for example, KIDS.

(11) "Equivalent facilitation" means agencies may accept IT offered by vendors that use designs or technologies that do not meet the applicable technical provisions, but provide substantially equivalent or greater access to and use of a product for individuals with disabilities.

(12) "Exception" means one of seven specific exceptions to OITA standards listed in OAC 580:15-6-21(c) and in OKDHS: 2-40-71(e)(1).

(13) "Information technology (IT)" means any electronic information equipment or interconnected system used in the acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information, including audio, graphic, and text.

(14) "Oklahoma Information Technology Accessibility (OITA) standards" means the accessibility standards required by Sections 34.28 through 34.30 of Title 62 of the Oklahoma Statutes and adopted by the Oklahoma Department of Central Services, per OAC 580:15, and Oklahoma Office of State Finance, per OAC 260:15.

(15) "Requesting individual" means an individual within a division of OKDHS responsible for initiating IT requests or purchases.Any division may request and receive assistance in acquiring IT from subject matter experts designated by the CIO.

(16) "Self-contained product" means IT that generally has imbedded software and is commonly designed in such a fashion that a user couldn’t easily attach or install assistive technology.These products include, but are not limited to, information kiosks and information transaction machines, copiers, printers, fax machines, voting machines, and other similar types of products.

(17) "Substantially modified or substantially enhanced" means changes to an application or document that:

(A) significantly change the display of content or user features;

(B) bring about significant alteration in the structure or appearance of the application or document; or

(C) add new functionality or remove or change key functionality that may significantly impact a user experience to the point each item individually or collectively may constitute a substantial modification or substantial enhancement.

(18) "Undue burden" means significant difficulty or expense, including but not limited to difficulty or expense associated with technical feasibility. [62 O.S. § 41.5t.1]

(19) "Validation" means review of the assessment findings and sample verification of compliance with OITA standards.

(20) "Voluntary product accessibility template (VPAT)" means a tool to assist in making preliminary assessments regarding the level of availability of electronic and IT products and services with features that support accessibility.

OKDHS:2-40-71. Information technology acquisitions

(a) Scope. The procedures in this section apply to all IT procurement, including but not limited to those acquired by competitive bid, sole source, statewide contract, Western States Contracting Alliance (WSCA), General Services Administration (GSA) authority order, intergovernmental agreement, through a partner, or as free ware.

(b) Procurement of IT products and services.

(1) Requirements. When procuring a product, accessibility is considered among the general, technical, and functional requirements of the specifications.

(A) An initial voluntary product accessibility template (VPAT) or comparable document must be provided by the vendor to address one of the six technical compliance standards for various types of technologies cited in OKDHS:2-40-70(b)(3).The Oklahoma Department of Central Services (DCS) VPAT ensures consistent and uniform responses from suppliers and includes the three additional Oklahoma standards for web-based information or applications.

(B) Each division works with the designated OKDHS accessibility assessor to conduct a thorough review of the proposed acquisition.

(C) Form 23CO004E, Product OITA VPAT Evaluation, when needed for product evaluation, determines degree of conformance to the accessibility standards.Relative accessibility weighting may be adjusted for due cause based on the specific procurement.

(2) Commercially available off-the-shelf (COTS) procurements. If OKDHS and the vendor enter into an agreement for any COTS product, it must be determined whether the product will be customized or configured.

(A) Configured – the assessment is based upon the VPAT or comparable documentation for the COTS product.

(B) Customized – the assessment is based upon the VPAT or comparable documentation for the COTS product and any existing custom code.

(3) Maintenance agreements. Maintenance agreements do not require a VPAT.If OKDHS and the vendor enter into a maintenance agreement, an accessibility assessment and validation are completed at the time an upgrade is deployed.

(4) Professional services. Professional services do not require a VPAT.The contract monitor and the applicable OKDHS division are responsible for ensuring the vendor abides by OKDHS standards for the developed product, and for obtaining an accessibility assessment and validation prior to deployment.

(5) Previously approved products.Previously approved products do not require a VPAT. A list of OKDHS approved IT products is maintained by OKDHS Data Services Division.Items on this list have been previously approved as accessible or do not have an accessibility component.The requesting division must ensure the IT product has been approved prior to acquisition.

(1) Requesting individual. The requesting individual may seek help from IT subject matter experts designated by the CIO.

(A) In the procurement of new IT products and services, the requesting individual must ensure:

(i) market research is conducted to identify suppliers or products, if any are available to meet those requirements or whether an exception applies;

(ii) non-availability, or exceptions,if needed, are documented;

(iii) appropriate, completed VPAT is obtained from the vendor;

(iv) accessibility is included as a factor in the selection process;

(v) procurement requirements of this section and OITA standards are followed; and

(vi) justification is provided when conditional approvals or exceptions are requested.

(B) In the procurement of existing IT products and services, including contract renewals, maintenance and license renewals, the requesting individual must ensure:

(i) the VPAT is maintained or updated as appropriate; and

(ii) an accessibility assessment is conducted when an upgrade occurs.

(2) Accessibility assessor. The accessibility assessor:

(A) provides an assessment of representations made by the requesting individual or division; and

(B) signs Form 05CO002E, IT Procurement Assessment, documenting the review and indicatingthe procurement is approved for processing, or is denied and requires Director approval.

(3) Contracting officer.Prior to procurement, the contracting officer:

(A) reviews requisition to verify the presence of all forms, VPATs and approvals required by OKDHS, DCS, and the Oklahoma Office of State Finance (OSF);

(B) verifies the presence of language statutorily prescribed for all contracts, including the vendor's representations of compliance with OITA standards; and

(4) OKDHS Director. The OKDHS Director:

(A) reviews requests for conditional approvals and exceptions; and

(B) approves or disapproves the request.

(5) Data Services Division.The Data Services Division sends a list of all conditional approvals granted by the OKDHS Director along with their agreed-upon compliance dates to the Web Governance Board for publication on the Infonet.

(d) Contract clause. All IT solicitations and contracts must include the Oklahoma Information Technology Access Clause, prescribed by DCS Central Purchasing Division, per Section 85.7d of Title 74 of the Oklahoma Statutes and OAC 580:15-6-21.The Oklahoma Information Technology Access Clause is found in the accessibility section of the DCS Central Purchasing Website

(e) Exceptions.

(1) OAC 580:15-6-21 sets forth criteria that qualify as general exceptions to accessibility compliance requirements.Exceptions are included in (i) through (vii).

(A) IT function, operation, or use by OKDHS that involves intelligence activities, crypto logic activities related to public safety, command and control of law enforcement, equipment that is an integral part of a weapon or weapons system or systems that are critical to the direct fulfillment of public safety or intelligence missions.Systems critical to the direct fulfillment of public safety or intelligence missions do not include a system used for routine administrative and business applications, including payroll, finance, logistics, and personnel management applications.

(B) IT acquired by a contractor or grantee incidental to a contract or grant, provided the technology does not become state property upon completion of the contract.

(C) Except as required to comply with these standards, OKDHS is not required to install specific accessibility-related software or attach an assistive technology device to IT products unless required by other applicable state or federal laws.

(D)When OKDHS provides public access to information or data through IT, OKDHS is not required to:

(i) make products owned by OKDHS; or

(ii) purchase products for access and use by individuals with disabilities at a location other than where the IT is provided to the public.

(E) The standards in this section must not be construed to require a fundamental alteration in the nature of a product or its components.

(F) Products located in spaces frequented only by service personnel for maintenance, repair, or occasional monitoring of equipment are not required to comply with these standards.

(G) IT that imposes an undue burden on the agency.

(2) Purchasing exceptions are documented using DCS Form 055, Accessible Technology Procurement Checklist and Documentation.Documentation supporting exceptions is maintained in the OKDHS contract file.

OKDHS: 2-40-72. Developed and deployed information technology

(a) Purpose. This section addresses the development and deployment of information technology (IT) by or for Oklahoma Department of Human Services (OKDHS), including, but not limited to, applications, Web pages, Websites, and Web content that meet the Oklahoma Information Technology Accessibility (OITA) standards.

(b) Assessment and validation.

(1) All IT must have an accessibility assessment completed and validated prior to publishing, deployment, or use.

(2) If the IT does not meet all the OITA standards, the individual requestor may request a conditional approval from the Web Governance Board.The IT must go through the entire accessibility assessment process before a conditional approval is requested.

(1) Requesting individual. The requesting individual ensures the accessibility assessment is completed prior to deployment, publishing, or use by selecting an accessibility assessor and accessibility validator from the list maintained by the OKDHS CIO. Accessibility assessors and validators must be selected from different divisions.

(2) Accessibility assessor. The accessibility assessor provides an assessment of representations made by the requesting individual or division.

(3) Accessibility validator. The accessibility validator reviews the assessment findings and conducts sample verification of compliance.

(4) Web Governance Board. The OKDHS Web Governance Board decides any accessibility compliance disputes that arise between the requesting individual and accessibility assessors and validators prior to deployment, publishing, or use.The Web Governance Board is authorized to grant conditional approval to deploy developed IT.The Web Governance Board maintains on the Infonet a list of all conditional approvals granted by both the Director and the WGB along with their agreed-upon compliance dates.

(5) Director. The OKDHS Director considers appeal of any decision of the Web Governance Board.

OKDHS: 2-40-73. Electronic documents

(a) Purpose. When developing or creating electronic documents for internal and external use by Oklahoma Department of Human Services (OKDHS), each covered entity must comply with the applicable technical accessibility standards.

(1) When documents are created for OKDHS, document standards and best practices must be used, including: [all of the following must be appendices]

(A) Appendix ST002E, OKDHS Document Standards;

(B) Best Practice for Making PowerPoint Accessible;

(D) Best Practice for Making Excel Documents Accessible;

(E) Best Practice for Remediating Portable Document Format (PDF) Documents; and

(F) Best Practice for Adding Metadata to Documents.

(b) Roles and responsibilities.

(1) Document author. OKDHS divisions create the final document and follow the OKDHS standards and best practices. Each division:

(A) ensures metadata is added to the page properties;

(B) verifies the document is unsecured; and

(2) Division content manager. The DCM validates documents from their authors prior to submission by:

(A) validating all OKDHS style and standards were followed;

(B) checking that all metadata has been filled out properly; and

(C) submitting the document to the specified remediator.The DCM may request the OKDHS Web Governance Board to grant a conditional approval for placing a non-compliant document online.

(3) Remediator. The remediator is responsible for remediating a PDF as accessible and compliant for assistive technology by:

(A) ensuring the division DCM followed the OKDHS style and standards for document creation;

(B) ensuring the PDF is accessible and compliant by manipulating and creating the tags to create a logical reading order using a remediation tool;

(C) performing the remediation tool accessibility check along with the Adobe PDF and the Section 508 accessibility checks and attaching the reports to email for submission to the accessibility validator; and

(D) submitting documents to the accessibility validator for posting.

(4) Accessibility validator. The accessibility validator is responsible for ensuring accessibility and compliance with OKDHS document standards and any final remediation of documents placed online.

(5) Web Governance Board. The OKDHS Web Governance Board decides any accessibility compliance disputes that arise between the requesting individual and accessibility validator prior to publishing, deployment, or use.

(6) Director. The OKDHS Director considers appeal of any decision of the Web Governance Board.

OKDHS:2-40-74. Complaint handling and technical assistance

The accessibility compliance representative(s) per OAC 260:15-1-5:

(1) ensures all electronic and information technology produced, procured, or developed by the agency is accessible to the disabled;

(2) receives, investigates and processes formal complaints alleging the agency’s failure to comply with electronic information technology accessibility laws, rules and/or standards pursuant to OAC 260:15-1-8;

(3) assists complainants to ensure a complaint is clear and complies with OAC 260:15-1-5;

(4) thoroughly investigates, upon receipt of a formal complaint, other instances of similar accessibility issues in related systems within the agency;

(5) annually executes:

(A) the Annual Complaint Report pursuant to OAC 260:15-1-9; and

(B) a certified statement assuring compliance with state Standards and submits to the OSF Information Services Division with the long-range plan prescribed by the Office of State Finance in accordance with Title 62, Section 34.16 of the Oklahoma Statutes;

(6) files and updates the name and contact information of the designated accessibility compliance representative(s) with OSF, DCS and Oklahoma ABLE Tech, whenever necessary; and

(7) publishes the designated accessibility compliance representative(s) name and contact information on the OKDHS website.