COMMENT DUE DATE:
December 20, 2019
DATE:
December 10, 2019
Bill Bryant, Innovation Services (IS) 405-521-4175
Dena Thayer, Legal Services - Policy, Programs Administrator 405-521-4326
Nancy Kelly, Legal Services - Policy, Policy Specialist 405-522-6703
RE:
NON-APA WF 19-H
The proposed policy is Non-APA . This proposal is not subject to Administrative Procedures Act
It is important that you provide your comments regarding the proposal to amend Oklahoma Department of Human Services (DHS) Regulations (REGS), Chapter 2. Administrative Components, Subchapter 39. Planning, Research, and Statistics toInnovation Services; and remove a Section from Subchapter 40. Executive, and renumber it as DHS:2-39-3.
SUBJECT:CHAPTER 2. ADMINISTRATIVE COMPONENTS
SUBCHAPTER 39. PLANNING, RESEARCH, AND STATISTICSINNOVATION SERVICES
DHS:2-39-1. Planning, Research, and Statistics Innovation Services (IS) [AMENDED]
DHS:2-39-2. Surveys [NEW]
DHS:2-39-3. Grant approval [NEW]
DHS:2-39-4. OKDHS Oklahoma Department of Human Services (DHS) forms and appendices [AMENDED]
SUBCHAPTER 40. EXECUTIVE
DHS:2-40-32. Approval of Grants [REVOKED and RENUMBERED to DHS:2-39-3]
(Reference WF 19-H)
SUMMARY:
DHS:2-39-1 changes the office name from The Office of Planning, research, and Statistics to Innovation Services (IS), to reflect current practice and usage. IS functions are described more accurately and in greater detail.
DHS 2-39-2 this Section is issued to describe how IS supports DHS by designing and deploying surveys for a variety of data collection needs.
DHS:2-39-3 the provisions of this Section previously appeared in DHS:2-40-32. The Section describes the IS role in developing and submitting grant applications. The role of the Grant Committee is maintained, membership of the committee is expanded to include the Human Resource Management director or designee, and other committee members are identified more precisely.
DHS:2-39-4 changes the name from The Office of Planning, Research, and Statistics to Innovation Services (IS), to reflect current practice and usage. Paragraph (1) is revised in order to clarify IS goals in supporting the design and publication of DHS forms, and ensuring compliance with enterprise standards and usability. Additional information is provided to describe how divisions may seek IS assistance and support.
DHS:2-40-32 is revoked and renumbered as DHS:2-39-3. By renumbering, this Section is removed from Subchapter 40. Executive, to Subchapter 39. Innovation Services.The IS role in developing and submitting grant applications is described in greater detail, the role of the Grant Committee is maintained, membership of the committee is expanded to include the Human Resource Management director or designee, and other committee members are identified more precisely.
LEGAL AUTHORITY:Director of Human Services; Section 162 of Title 56 of the Oklahoma Statutes.
SUBCHAPTER 39. PLANNING, RESEARCH, AND STATISTICS INNOVATION SERVICES
DHS:2-39-1. Planning, research, and statistics Innovation Services (IS)
Issued 7-1-09Revised 1-2-2020
(a) Planning Purpose.The Office of Planning, Research, and Statistics (OPRS): IS proactively assists Oklahoma Department of Human Services (DHS) divisions with data collection, analysis and evaluation, grant writing and management, and continuous process improvement.IS also:
(1) collaborates with Oklahoma Department of Human Services (OKDHS) divisions to communicate and disseminate information regarding OKDHS research, programs, and services conducts data-driven research and statistical analysis of DHS programs and services, including grant evaluations;
(2) provides technical assistance in designing, developing, and implementing strategic planning for OKDHS; and collaborates with DHS divisions to communicate and disseminate information regarding DHS research, programs, and services;
(3) prepares and files: provides technical assistance in the design, development, implementation, and evaluation of projects, programs, and grants conducted or supported by DHS;
(A) OKDHS Annual Report, required by Section 162 of Title 56 of the Oklahoma Statutes (56 O.S. § 162), each year to the Governor on or before November 1; and
(B) OKDHS Strategic Plan, required by 62 O.S. § 45, every two years as described in OAC 340:1-1-18.
(4) serves as the official clearinghouse for language translation, DHS forms and appendices; and
(5) provides technical assistance in designing, developing, and implementing strategic planning for DHS.
(b) Research and evaluation.The OPRS Research Unit (RU) conducts data-driven research and statistical analysis of OKDHS programs and services at the request of the Director, chief officers, division directors, or their designees in support of program development and management productivity.RU may:IS provides expertise in a variety of research functions, including research and evaluation design, survey development, data collection, statistical analysis, and data reporting for all service areas within DHS.IS provides support in:
(1) complete policy studies, briefs, analyses, and impact reports on important issues facing OKDHS; strategic planning.IS works with DHS leadership to conduct a full, strategic planning cycle every two years and provides support throughout all steps of the cycle.Key components of the strategic planning process include reporting outcome indicators, descriptions of action plans and programs, and accountability.Each cycle, outcomes, goals, objectives, action plans, and important results are drafted and reported on by divisions.Plans are strategically aligned within DHS so all divisions work together toward the DHS mission;
(2) provide ad hoc information requested by the Director, Oklahoma Commission for Human Services, Governor, Legislature, or Oklahoma Congressional offices; quality service standards.IS oversees DHS quality service standards efforts.The quality service standards consist of four categories of behaviors:safety, integrity, professionalism, and compassion.Divisions have ongoing committees dedicated to these common standards.IS continues to provide support to division listening posts, measures annual employee feedback, and tracks DHS progress toward full- quality service standards implementation;
(3) assist with preparing and submitting grant applications; and forms.IS supports DHS divisions in dynamic form design, production, and publishing.IS designs and publishes all DHS forms and ensures compliance with enterprise standards; and
(4) collaborate with other agencies on various research projects. grants.IS provides grant assistance to divisions and community partners including consultation, research on federal and private funding opportunities, program planning and design, evaluation design, writing applications, budgeting, submission, assistance with project onboarding, and training.IS evaluates grant opportunities to ensure strategical alignment with DHS goals and works in partnership with divisions to assist in the timely and successful completion of grant deliverables.
(A) To request a research project, technical assistance, or policy study, Form 21AD004E, Request for Research and Statistics, is submitted to OPRS.
(B) Upon receipt of Form 21AD004E, a staff or team is assigned within resource limits, and contact is made to clarify the request or offer assistance in obtaining an evaluation from another source.
(5) DHS Institutional Review Board (DHSIRB).IS provides support and oversight for DHSIRB by managing the application process, reviewing applications, and ensuring compliance with rules and policy standards.
(c) Statistics Continuous process improvement.The OPRS WebStats Unit has primary responsibility for collecting and disseminating data related to services provided by OKDHS.This includes, but is not limited to:IS provides leadership to develop and implement performance improvement strategies and initiatives.IS prioritizes processes improvement efforts based on DHS and division needs.When a quality improvement effort is identified, IS staff members actively facilitate development and implementation efforts while providing support to assigned DHS and division-level personnel.IS:
(1) publication of a monthly statistical bulletin; works with DHS divisions to:
(A) identify process improvement opportunities through the use of improvement methodology tools and activities;
(B) outline appropriate scope for process improvement projects with the input of the division or DHS leadership;
(C) facilitate continuous improvement projects at division and enterprise levels through improvement methodology tools and activities;
(D) assist divisions, or DHS leadership, and process owners with the implementation of improvements and control plans; and
(E) share improvement stories by identifying qualifying projects for Quality Award Improvement Pipeline stories and communication about division projects.
(2) publication of the OKDHS Strategic Plan and Annual Report; also provides analysis to increase the understanding of the probable root causes of a problem and proactively works with divisions to identify opportunities for improvement within projects, programs, or initiatives.
(3) ad hoc information requested by the Director, Oklahoma Commission for Human Services, Governor, Legislature, or Oklahoma Congressional offices; works to build a culture of continuous improvement by:
(A) working with DHS and division leadership to promote continuous improvement;
(B) collaborating with Human Resource Management to ensure continuous improvement training is provided;
(C) supporting the training and development of division employees in the principles and tools of the Lean Six Sigma methodology; and
(D) developing a means of receiving issues and solutions directly from division field staff.
(4) ad hoc information requested by other entities as resources permit; and
(5) other statistical information provided on the OKDHS Internet.
DHS:2-39-2. Surveys
Issued 1-2-2020
Survey coordination, development, and deployment.Innovative Services (IS) has sole authority to deploy surveys to staff, clients, partners, and others on behalf of the Oklahoma Department of Human Services (DHS) and its divisions.IS assists DHS divisions in the development and deployment of surveys for a variety of data collection needs.
(1) Definitions.
"Respondent" means the individual(s) who are invited to participate in, and complete a survey.
"Response rate" means a survey response rate, also known as a completion or return rate.It is the percentage of people who responded to the survey out of the number of people who were invited to complete the survey.
"Survey" means a formal set of structured questions that require recorded responses.Surveys may be deployed by any appropriate means including, but not limited to, postal mail, printed forms, email, or websites.
"Survey fatigue" means a feeling of exhaustion or annoyance from the experience of repeatedly receiving invitations to participate in, and complete surveys.
(2) IS duties.IS works with divisions to clarify the goal(s) of conducting a survey and ensure the survey questions meet those needs.IS also:
(A) ensures quality in survey questions and results;
(B) guards against survey fatigue;
(C) complies with federal and state regulations governing Personally Identifiable Information and Protected Health Information;
(D) maintains data security;
(E) calculates and compiles a random sample of potential respondents, as appropriate;
(F) protects respondent anonymity or confidentiality, as appropriate;
(G) ensures compliance with the Americans with Disabilities Act; and
(H) coordinates with the DHS Institutional Review Board with respect to the use of surveys in research involving human subjects.
(3) Survey requests.DHS divisions request survey assistance by contacting *DHS.Surveys@okdhs.org.A researcher is assigned within two-business days and makes contact with the requesting party to begin discussions about the survey.IS provides for the approval and deployment of surveys based on:
(A) the quality and completeness of the survey design;
(B) compliance with federal and state regulations;
(C) potential conflicts with other surveys during the proposed deployment period;
(D) potential impact of proposed communications; and
(E) other factors as determined by the IS director.
(4) IS administers the approved applications for surveys.Unapproved software or services are not utilized for surveys related to DHS business needs.
DHS:2-39-3. Grant approval
Issued 1-2-2020
(a) Innovation Services (IS) is responsible for assisting divisions with the application for, and implementation of, discretionary grants.IS coordinates with divisions to ensure grant opportunities are strategically aligned and have division and officer approval.The Grant Implementation Standard Operating Procedures directs the application and implementation process.Form 21AD010E, Grant Implementation Form, is prepared and submitted to the Grant Committee along with the grant proposal.If a completed grant proposal is not available for review by the Grant Committee, a summary of the proposal may be submitted with information.The summary must include information specified in DHS:2-40-30 and any partnership or procurements anticipated by the project.The review is conducted by the Grant Committee, consisting of the:
(1) Contracts and Purchasing director or designee;
(2) Human Resource Management director or designee;
(3) IS director or designee; and
(4) Financial Services director or designee.
(b) The Grant Committee:
(1) reviews the grant proposal or summary and Form 21AD010E with the division director or designee;
(2) ensures any commitments of Oklahoma Department of Human Services resources are consistent with its policy, mission, and vision; and
(3) makes recommendations to the division director or designee regarding human resource, financial, and contracting elements.
(c) The division and IS:
(1) review the grant proposal and make needed changes; and
(2) update Form 21AD010E.
(d) The IS-authorized organizational representative (AOR) submits the grant proposal.
OKDHS:2-39-4. Oklahoma Department of Human Services (DHS) forms and appendices
Issued 7-1-09Revised 1-2-2020
The Office of Planning, Research, and Statistics (OPRS) Innovative Services (IS) maintains a log of all official Oklahoma Department of Human Services (DHS) forms and appendices that includes the date issued, revised, or revoked.Upon request, OPRS IS creates, or revises, or revokes forms and appendices in coordination with the division policy liaison liaisons.
(1) To initiate issuance, revision, or revocation of issue, revise, or revoke forms and appendices, the liaison of the originating division liaison submits an email to OPRS dhsforms@okdhs.org and includes:
(A) Form 21AD083E, Request for Document Assistance Form Request; and
(B) an electronic or paper copy of the form with revisions indicated.
(2) When the division is unsure about the desired content or form layout including, but not limited to, what form features to utilize, the liaison contacts dhsforms@okdhs.org for a consultation.
(3) IS supports DHS divisions in form design and publication.IS:
(A) designs all DHS forms to ensure compliance with enterprise standards and usability.
(B) encourages the design and utilization of forms with dynamic or interactive features that allow divisions to tailor forms to particular audiences and needs.
(4) When a form request is submitted, it is placed in the form queue.Standard timing provides for the completion of a form creation, revision, or revocation within 30-business days of the request.Communication with the division liaison is maintained throughout the process.
(5) The division liaison reviews the form draft within one week of receipt and gives final approval prior to publication.
(2)(6) OKDHS DHS Appendices ST001E, OKDHS Standards for the Web,; and ST002E, OKDHS Document Standards,; and The Policy Handbook, are used for guidance in issuing, revising, or revoking forms and appendices.
(3)(7) OPRS IS disseminates created new and revised forms and appendices via the OKDHS InfoNet and Internet.
OKDHS:2-40-32 [REVOKED]
(a) Before a competitive grant proposal is submitted, authorization is required by the appropriate division director.Upon approval by the division director, Form 21AD010E, Grant Review Request, along with the grant solicitation is submitted to the Grant Committee for review.If a completed grant proposal is not available for review by the Grant Committee, a summary of the proposal may be submitted with information.The summary must include information specified in OKDHS:2-40-30 and any partnership or procurements anticipated by the project.The review will be conducted by the Grant Committee consisting of:
(1) Support Services Division director or designee;
(2) Office of Planning, Research, and Statistics director or designee; and
(3) Finance Division director or designee.
(b) The Grant Committee:
(1) reviews the grant proposal;
(2) ensures any commitments of Oklahoma Department of Human Services (OKDHS) resources are consistent with OKDHS policy, mission, and vision;
(3) makes recommendations to the OKDHS Director or designee and the division director on Form 21AD010E; and
(4) returns the grant proposal to the division.
(c) The division:
(1) reviews and makes changes;
(2) director approves; and
(3) submits the grant application to the OKDHS Director or designee for signature.
