CCO - SECTION C-III - SCOPE OF WORK~1.docx

MASSACHUSETTS BAY

TRANSPORTATION AUTHORITY

CONTACT CENTER OPERATIONS:

THE MBTA CUSTOMER SERVICE CONTACT CENTER

RFR. No: 16-18

BD-18-1206-MBTA-MBTA-23984

MASSACHUSETTS BAY RFR. [No.] TRANSPORTATION AUTHORITY Section C-III: Scope of Work

Section C-III: Scope of Work

Scope of Work Table of Contents

MANAGEMENT

Contractor shall provide dedicated (i.e. solely responsible for this contract), qualified management needed to maintain smooth functioning of all CCO operations; continuous communication with MBTA; joint problem solving and innovative service planning for continuous improvement; adherence to the requirements of the Contract and all MBTA policies, procedures, and standards; and compliance with all applicable federal, state, and local laws and regulations.

CONTRACTOR AND MBTA GENERAL RESPONSIBILITIES

The following RACI matrix details the roles and responsibilities for the Contractor and MBTA respectively. For each task or decision, the letters used in this RACI matrix designate the role of the involved parties as follows:

R = Responsible – this party must perform a set of actions related to the task to a specified level of completeness.

A = Accountable – this party must ensure the completion of the task or decision, and is authorized to make the go/no-go or yes/no decisions.

C = Consulted – the Accountable party must engage in a dialog with this party prior to rendering a decision or declaring an action “completed.” Often a party given a “C” may need to provide either data or a professional opinion.

I = Informed – the Accountable party must inform this party following a decision or a “completed” task.

Note: For any task or decision only one (1) party may be assigned Accountability (“A”). The Accountable party may, for a particular task or decision, also have Responsibility (“R”) for some or all of the actions related to that task or decision. This is designated as “A/R.”

MBTA AND CONTRACTOR OPERATIONAL RESPONSIBILITIES

The Contractor shall assume the following responsibilities for Contact Center operations:

i. Staffing in sufficient numbers the Contact Center with trained and qualified individuals

ii. Providing Contact Center services in languages as required by MBTA’s program for compliance with Title VI of the Civil Rights Act of 1964

iii. Providing Contact Center services for a set schedule each day – see 3.2.5.2

iv. Providing Contact Center services in accordance with set SLAs – see Appendix A

v. Providing Contact Center services on the service channels described herein section 3.0

vi. Responding to MBTA customers’ inquiries and properly recording their complaints

vii. Clearly recording all complaints so that follow-up with MBTA departments regarding complaint content is minimized

viii. Ensuring all required information is recorded properly from all incidents and that all incidents can be individually identified and tracked using unique identification numbers

ix. Ensuring that complaints are routed properly to the correct departments at MBTA

x. Ensuring that MBTA departments can communicate with the Contact Center on an ongoing basis to ask for clarifying information on complaints received by the Contact Center

xi. Ensuring that information/data integrates with MBTA systems, and all IT issues with data transmission are resolved rapidly

xii. Managing technology for the purpose of operating the Contact Center

xiii. Providing reporting capabilities to record the content of inbound calls so that MBTA can act upon issues on behalf of its customers

xiv. Setting capacity of Contact Center as required for MBTA to help customers efficiently and meet all MBTA prescribed SLAs

xv. Communicating needs to MBTA to continue operating within terms of agreement with MBTA

xvi. Complying with all applicable legal and regulatory requirements In support of the Contact Center responsibilities undertaken by the Contractor, the MBTA will provide the following support:

i. Accurate feeds of schedule, service, and trip planning information to the Contact Center to aid with call resolution

ii. Updated information for service and other changes

iii. Ongoing support for Contact Center to increase first call/contact resolution

iv. Updated lists of internal MBTA contacts for Contact Center to correctly route communications

v. 24/7 access to Transit Police and Operations Control Center so that Contractor may refer all emergency situations for immediate resolution

CONTACT CENTER OPERATIONS

TECHNOLOGY AND EQUIPMENT REQUIREMENTS

Contractor shall incorporate necessary technologies in order to support phone calls from customers. Relevant technologies may include, but are not limited to:

· Voice over IP (VOIP) system.

· Automated Call Directory (ACD). The ACD can be used to manage the phone tree which allows the Contact Center to automatically triage calls.

· An interactive voice response (IVR) for real-time service alerts in order to automate service alerts for commuter rail, subway, ferry, and bus lines

· Remote capacity for at-home work so that staff can assist customers during severe weather and emergency events.

· Additional technological solutions may be presented for MBTA’s approval in order to better facilitate phone based services.

EMAIL AND WEB FORMS

Contractor shall respond to all inquiries and correctly direct complaints generated via email and online web form while meeting all MBTA prescribed SLAs. The form is available online here: http://www.mbta.com/customer_support/feedback/

AUTOMATED CALL DISTRIBUTION (ACD) SYSTEM

In order to correctly route calls to the appropriate channels, the Contractor shall provide an ACD or similar system.

INTERACTIVE VOICE RESPONSE (IVR)

Contractor shall provide equal or increased automated services through an IVR or comparable system to the system currently used by the MBTA (an AVAYA voice over IP system). In addition to service alerts, Contractor should increase automation of information currently provided by MBTA Contact Center representatives.

HEAT SOFTWARE SYSTEM

All calls, emails, web forms, and other contacts to the MBTA Contact Center are logged or imported into the MBTA’s incident management system (HEAT software system).

Contractor system must fully integrate with the MBTA’s incident management system.

Contractor shall communicate clearly and timely ongoing service updates to customer service representatives. The MBTA uses HEAT to communicate such information.

For a detailed description and screenshots of HEAT, please see RID 2.3.

HEAT has been upgraded significantly over the 2017 calendar year, see RID 2.3 for further details.

REMOTE CAPACITY

Contractor shall put in place plans for spikes in volume, disaster recovery, and weather events to ensure that customer call volume will be met, particularly when weather conditions disrupt MBTA service.

Contractor shall maintain service levels during such extreme events, and must present a plan to meet these events via use of remote employees or otherwise using other solutions.

PRINCIPAL TASKS FOR CONTACT CENTER CONTRACTOR

CUSTOMER SERVICE

Contractor shall provide high quality customer service to MBTA’s customers meeting the Contract SLAs. If the MBTA needs the Contractor to provide customers with any additional information, the Contractor shall be able communicate it, whether or not it is included in this list below.

Contractor shall provide information to customers including, but not limited to, the following:

A. Inquiries

i. MBTA Alerts and Countdown clock

ii. Bus/Subway/Ferry Schedules (Commuter Rail inquiries transferred to Keolis)

iii. Bus/Subway/Ferry Service Inquiry (Commuter Rail inquiries transferred to Keolis)

iv. The RIDE

v. Charlie Cards & Tickets

vi. Disability ID Cards (TAP cards)

vii. Elevator/Escalator

viii. Fare Gate/Fare Box

ix. Fare Policy

x. Lost and Found

xi. Maintenance

xii. Mobile Applications

xiii. Mobile Ticketing for Ferries

xiv. Parking

xv. Privacy Policy

xvi. Refunds

xvii. Senior ID Cards

xviii. Student Cards

xix. T-Alert

xx. Trip Planning

xxi. Website Contractor shall be responsible for recording the following contacts and working with MBTA to accurately route them to appropriate departments at the MBTA:

B. Complaints

i. Services

ii. Employee

iii. Charlie Card/Ticket and other Fare Collection System

iv. Maintenance

v. Cleanliness

vi. Schedule

vii. Key complaint types (civil rights, disability-accessibility, etc.) will need to be flagged appropriately C. Suggestions D. Commendations

PERFORMANCE TESTING PERIOD

The end-to-end performance test period will begin during the transition period (30 days from notice to proceed). Contractor shall be responsible for end-to-end performance test period to test complete business processes as required for the utmost reliability of the Contact Center, and shall include at a minimum:

a. Test existing system applications and services as appropriate;

b. Validate system set-up for transactions and user access;

c. Confirm use of system in performing business processes;

d. Verify performance of business critical functions;

e. Confirm integrity of business process, data, services, security, and end-products;

f. Verify all requirements of the Contract have been met;

g. Speed of performance;

h. Rate of errors or failures;

If MBTA determines, at its discretion, that the scheduled End-To-End Performance Test Period does not allow for all business processes to be tested (i.e. rounds, inspections, audits), then the Contractor shall, at no charge to MBTA, provide all resources necessary to correct the problems of the system and services for an additional period, until the system is free from performance problems and meets all specifications as defined in this Contract. If performance problems or specification problems continue, MBTA shall reserve the right to transition Contact Center services to another provider.

END OF CONTRACT TRANSITION PLAN

Contractor shall provide a ”Transition-Out” plan as an end-of-contract transition, six (“6”) months prior to the conclusion of the Contract Term. This Plan shall document and demonstrate how the Contact Center services and operations shall be transferred to a potential new contractor, or to an insourced environment. In addition to this Transition-Out Plan, Contractor shall be required to document all hardware and software platforms, scripts, business processes, databases, hardware architecture, tools, etc., used in their operations. Contractor shall provide technical support to ensure a smooth, effective, reliable transition. All materials developed for servicing the MBTA (e.g. training manuals, how-to manuals, etc.) must be provided to the MBTA as a part of transition-out.

TRAINING OF NEW CONTACT CENTER REPRESENTATIVES

All training costs are the Contractor’s responsibility. MBTA will not accept any separate invoicing for training associated expenses, unless specifically authorized and agreed to by MBTA in advance and in writing.

Upon award of the Contract, MBTA shall conduct an initial up to two weeks training program where indicated and needed, which will consist of product knowledge system training for key personnel – Managers and supervisors, as defined in 3.2.5.5; and all applicable state and federal training before implementation. Once those personnel have completed initial training, ongoing training shall be sole responsibility, including for any new hires during the term of the contract.

If MBTA wishes to conduct additional trainings for Contractor’s employees, the Contractor shall ensure its employees available to receive those trainings.

The Contractor shall perform the following in regrads to Contact Center assigned presonnel:

a. Provide copies of all training materials to the MBTA on an ongoing basis for MBTA approval.

b. MBTA will approve all new trainings.

c. Develop, conduct and maintain a comprehensive and continuous training program providing Contractor’s employees with the appropriate knowledge and current information to perform services required by MBTA.

d. Develop and continuously update training manuals and training records. Work with MBTA to include all appropriate and up-to-date information in manuals and records. MBTA will provide relevant information as needed.

e. Ensure that all Contractor employees are fully trained in federal, state and local policies and procedures

f. Ensure that all Contractor employees are fully trained in MBTA operations

g. Ensure that Contractor employees receive ongoing training to transmit latest changes in MBTA operations and practices, thereby providing best customer experience possible

h. Conduct training that shall include (but not be limited to):

· Sensitivity awareness and diversity training

· Projecting positive and helpful attitude

· Communicating with confidence and competence

· Adherence to confidentiality policies and procedures

· Customer service enhancement

· Response to emergencies

· Properly record and characterize inquiries

· Include training on flagging of key complaint types, such as diversity and civil rights complaints, and disability-accessible complaints

· Accent Reduction

CONTACT CENTER OPERATIONS

LOCATION

Contractor’s Contact Center shall be located in the MBTA greater service area. However, MBTA may allow, at its discretion, additional options of service, for overflow calls (beyond the daily standard of the last calendar year) – which could be rerouted to a secondary facility as long as quality of service is meeting the MBA requirements and SLAs

HOURS OF OPERATION

Contractor shall maintain Contact Center fully operational hours from Monday-to-Friday, 6:30AM – 8:00PM and Saturday-Sunday 8:00AM – 4:00PM 365 days a year. MBTA reserves the right to modify opening hours at its sole discretion.

DATA ENTRY REQUIREMENTS

Contractor shall provide a technology solution for data that can leverage or interface with MBTA current solution.

MBTA requires that of incidents coming into the Contact Center in which any information is exchanged between customer and customer service representative be recorded and classified correctly into an information system which can in turn integrate with MBTA system.

VOLUME EXPECTATIONS

Contractor shall meet changing call volumes. Contractor shall accommodate at least a 70% increase in daily call volume over the average daily volume.

STAFFING CAPABILITIES

Contractor shall make their own determination on the Contact Center staffing level and its staffing plan shall include, but not limited to, the following positions (the positions stated must be in place prior to taking over the center form current provider):

a. Account Manager (100% allocation to MBTA):

A designated Account Manager shall be dedicated to the MBTA and shall be at least directly responsible for:

i. Coordinating and managing the delivery of Services.

ii. Working with the MBTA to address day-to-day issues and interfacing with the MBTA’s Contracting Officer to address MBTA’s strategies and the parties’ relationship under this Agreement.

In the event that MBTA is dissatisfied with Contractor’s Account Manager, Contractor shall remove and replace the Account Manager within two (2) weeks of receipt of notification from the MBTA.

b. Dedicated Supervisors (100% allocation to MBTA):

At least one (1) dedicated supervisor for MBTA Contact Center at all times the Contact Center is open and shall be at least responsible for:

i. Managing a number of customer service representatives, and monitoring incoming calls.

ii. Communicating with MBTA on ongoing basis to relay sharp increases in call volume if received.

iii. Determining if escalation of call or the information gleaned from it, is necessary and communicating issues and events to the MBTA’s Operations Control Center (OCC) or transit police if immediate resolution is required. These events are typically related to safety and accessibility, but it should be up to discretion of the Dedicated Supervisor, based on their training, to determine whether or not the OCC needs to be contacted.

iv. Daily review of all interactions, by running a dedicated database search of predefined accessibility relevant terms, to make certain that all the correct information was recorded.

c. IT Manager:

Contractor’s IT manager(s) shall be at least responsible for:

i. Implementing IT infrastructure and accommodate all appropriate IT integration in order to accurately capture key inquiry details, providing reporting capabilities, and transmitting information to MBTA.

ii. Ensuring that all information is correctly transmitted to MBTA on an ongoing basis.

iii. Working with MBTA to resolve any issues with IT infrastructure and update it on an ongoing basis as required by the MBTA.

d. Customer Service Representatives :

Contractor shall have at least two (2) dedicated customer service representatives (100% allocation to MBTA) tasked with answering only MBTA calls when the Contact Center is open. At least one of these dedicated customer service representatives be English/Spanish bilingual.

Contractor’s trained Customer Service Representatives shall be at least responsible for:

i. Answering calls and/or digital communications from MBTA customers and providing them with information in a polite and timely manner.

ii. Accurately recording key call and email details into the system.

iii. Ensuring that data/information transmitted to MBTA, particularly for complaints, fully and accurately describes issues to be resolved.

STAFF TURNOVER AND NOTIFICATION

In the case that Contractor’s dedicated resources (Account Manager, Dedicated Supervisors, and Customer Service Representatives) are to be reassigned or leave employment at the Contractor's operations, Contractor shall provide MBTA with two (2) days of notification of leave. Contractor shall fill those positions permanently within two (2) weeks of departure of the previous dedicated resource, and fill them immediately on a temporary basis.

IMMEDIATE/EMERGENCY INTERVENTIONS

If Contractor’s Contact Center receives information that must be acted upon immediately (e.g. erratic bus driving, suspected operator DUI, need for immediate police action), Contractor shall immediately contact the MBTA’s Operations Control Center (OCC). If Contractor’s Contact Center receives information that must be acted upon immediately related to the RIDE, Contractor must contact the RIDE immediately.

If Contractor receives calls requiring immediate/ emergency intervention and fails to contact appropriate officials at MBTA, MBTA will assess penalties on the Contractor.

REPORTING REQUIREMENTS

Contractor shall provide MBTA with daily reports which provide transparency into Contact Center operations. Contractor shall make all data and reports available through a web-based system, and provide reports requested by MBTA management based on an agreed upon schedule. MBTA can add required reports to the reports provided by the Contractor at the discretion of the MBTA and at the expense of the Contractor. Daily Reports shall include but not be limited to:

a. Call Logs with all recorded information

b. Count of calls by wait time/average speed to answer, abandonment, first call resolution, call duration, and other critical statistics

· Includes average wait time/average speed to answer, abandonment, first call resolution, call duration, and other critical statistics

c. Call and Email Volume

· Includes calls resolved using IVR and calls requiring Contact Center representative intervention

· Statistics on call content

· Statistics on language used to communicate with caller

· MBTA required interventions

· Description and log of all calls which require immediate intervention of transit police, operations control center, the RIDE, other MBTA departments Additional aggregative reports may be required by MBTA

RECORDING CALLS

Contract shall ensure that all calls must be recorded and retrievable for at least one year.

QUALITY AUDIT REQUIREMENTS

Contractor shall provide full access to all data and operations for MBTA audits as defined in service level agreements to assess Contractor’s is compliance with agreed upon contract and service levels. Audits will measure, including but not limited to, whether or not callers are receiving accurate, up-to-date information from the Contact Center, as well as whether the Contact Center is providing accurate information to callers.

MBTA reserves all rights to conduct a Quality Assurance auditing program to monitor the quality and effectiveness of the service provided by the Contact Center Contractor.

ACCESSIBILITY REQUIREMENTS

Contractor shall comply with all federal, state and local accessibility codes and regulations. This includes, but is not limited to the Commonwealth of Massachusetts’ Accessible IT Policy as amended from time to time and described herein in Appendix B.

FOREIGN LANGUAGE REQUIREMENTS

Contractor shall be able provide calls in English, Spanish, Chinese, Haitian/French Creole, and Cape Verdean/Portuguese Creole and meet Title VI of the Civil Rights Act of 1964 language requirements other than English and Spanish.

Contractor shall provide all services that are available in English in Spanish with bilingual, on-site staff.

Additional language proficiency should also be considered. If the MBTA changes its requirements for meeting the needs of limited English proficient individuals, Contractor may be asked to provide services in additional languages, and the Contractor shall be obligated to add those services. Appendix B includes information on MBTA compliance with Title VI of the Civil Rights Act of 1964.

Contractor shall provide training materials on accent reduction programs, when available.

DISASTER RECOVERY

Contractor disaster recovery plan shall protect MBTA Contact Center against possible service interruption due to an emergency event such as fire, flood, snow storm, hurricane, etc. Contact center operations shall be up and running within forty-eight (48) hours of the emergency event (Cold Site). Hot Site capability may be included in the plan only if it is part of Contractor’s standard existing operating procedure.

Contractor processes and procedures shall enable service restoration for situations where a reported service interruption cannot be resolved within four (4) hours and for services that cannot be restored within 48 hours.

Contractor shall ensure that inquiries requiring emergency response will be handled efficiently. In addition, Contractor shall have a location to continue providing adequate service during extreme weather events while meeting call volumes requirements.

SERVICE LEVEL AGREEMENTS

Contractors shall deliver services and meet all service level agreements (SLAs) established herein. The designated MBTA personnel will utilize system data, reports, and employee reports to administer SLAs. Level of service requirements, performance metrics, are outlined in Appendix E.

PROTECTION AND OWNERSHIP OF DATA

All data provided to the Contractor remains the property of the MBTA. All data generated during the performance of the contract are the property of MBTA. All MBTA owned data must be used only for the purposes of administering the Contact Center. The data must not be utilized for any other purpose, commercial or otherwise, unless specifically authorized in writing by the General Counsel of MBTA. All MBTA data stored on Contractor’s servers or other equipment is owned by the MBTA and must be provided to the MBTA and/or a designated future contractor upon request by the COTR. All MBTA data remaining in the Contractor’s possession at the end of the Contract must be considered part of the "Transition-Out Plan" referenced in Contract Section 5.2.2.2, End of Contract Transition Plan.

REVIEW MEETINGS

Contractor shall meet with MBTA on a daily basis during the transition phase, followed by weekly meetings, and then on a monthly at MBTA’s decision in order to address any and all outstanding issues regarding service quality, or other topics the parties wish to discuss. In connection with such review meetings, Contractor shall provide to MBTA all applicable reports.

Quarterly performance review meetings shall be conducted and include Contractor’s key personnel and/or leadership, to review SLAs and current and future quarterly performances.

APPENDIX A: SERVICE LEVEL AGREEMENTS

Penalties and incentives for performance will be assessed based on the Service Level Agreements (SLAs) detailed as follows:

SLA PERFORMANCE CHART

Outage Penalties If there is an outage within Contractor’s control (includes contracted supplier’s) which prevents Contractor from responding to the primary service channel (phone or customer service agents), the MBTA will begin to assess hourly penalties if the outage exceeds one (1) hour.

Additional Potential penalties MBTA reserves the right to place additional penalties including, but not limited to:

a. A longer than agreed upon average hold time

b. Failure to escalate calls to appropriate MBTA departments

c. Late technology implementation during the transition phase

d. Failure to meet transition plan without MBTA’s knowledge and approval

APPENDIX B: IT ACCESSIBILITY STANDRADS

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Commonwealth of Massachusetts Massachusetts Office of Information Technology

Enterprise Information Technology Accessibility Standards

Reference #: Ent-Std-Tech-ITAS 1.3 Revision Date: March 6, 2014

Issue #: 3

TABLE OF CONTENTS

TABLE OF CONTENTS

EXECUTIVE SUMMARY

APPLICABILITY

REQUIREMENTS

ROLES AND RESPONSIBILITIES

RELATED DOCUMENTS

CONTACT

APPENDIX A: TERMS

APPENDIX B: DOCUMENT HISTORY

EXECUTIVE SUMMARY

The purpose of these standards is to ensure that Massachusetts information technology solutions are available and accessible to people with disabilities. This includes both Commonwealth employees in addition to members of the general public. Executive Department agencies and their contractors are required to comply with these standards.

Further, all public entities are strongly encouraged to address accessibility issues.

These standards are based on Section 508 of the Rehabilitation Act, 29 U.S.C. §794d1.

The standards contained in this document will address some or all of the Section 508 Standards for the following categories of Information Technology:

Functional Performance Criteria

Applications

Video & Multi Media (where applicable)

1 http://www.section508.gov/content/learn/laws-and-policies http://www.section508.gov/content/learn/laws-and-policies

Commonwealth of Massachusetts Ent-Std-Tech-ITAS 1.3

MassIT Issue Date: March 6, 2014

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Documentation

For purposes of these standards the term “information technology solution” includes computer-based information systems, but not:

Peripheral devices (e.g. fax machines, printers or photocopiers), Systems software that manages and controls computer hardware;

Firmware

Any software or hardware associated with a system’s back-end and inaccessible to end users (e.g. servers, operating system software).

The standards together with the Enterprise Web Accessibility Standards2 specify minimum accessibility standards that must be implemented and maintained throughout the life cycle of all identified information technology solutions.

These standards are effective as of the published date of this document. Information technology solutions in production prior to the effective date of these standards, upon major changes, must be brought into conformance if reasonably possible.

Agencies are responsible for ensuring that the identified testing criteria are met and that all information technology solutions are in full compliance with these standards whether developed in-house or outsourced. In instances where the identified testing criteria cites the need to validate the deliverable against an assistive technology (AT) or desktop configuration, the AT/IT Environment List3 must be referenced.

In the rare event that compliance with these standards in connection with an agency’s procurement of commercial off the shelf (“COTS”) or application service provider (“ASP”) software poses an undue burden on the agency, the agency may apply for a waiver.

Additional references that agencies may find useful are listed at the end of this document.

APPLICABILITY

Agencies governed by the Enterprise Information Security Policy4 must adhere to the standards detailed in this document, except where such adherence would conflict with the Public Records Law or other laws, regulations or policies. Additional references that

2 http://www.mass.gov/anf/research-and-tech/policies-legal-and-technical-guidance/tech-guidance/accessibility-guidance/web-accessibility/web-accessibility-standards.html

3 http://www.mass.gov/anf/research-and-tech/policies-legal-and-technical-guidance/tech-guidance/accessibility-guidance/it-acquisition-access-compliance-prog/generic-atit-environment-list.html

4 http://www.mass.gov/anf/research-and-tech/cyber-security/security-for-state-employees/security-policies-and-standards/information-security-policy.html http://www.mass.gov/anf/research-and-tech/policies-legal-and-technical-guidance/tech-guidance/accessibility-guidance/web-accessibility/web-accessibility-standards.html http://www.mass.gov/anf/research-and-tech/policies-legal-and-technical-guidance/tech-guidance/accessibility-guidance/it-acquisition-access-compliance-prog/generic-atit-environment-list.html http://www.mass.gov/anf/research-and-tech/cyber-security/security-for-state-employees/security-policies-and-standards/information-security-policy.html

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REQUIREMENTS

Functional Performance Criteria

The functional performance criteria are critical in ensuring that these standards speak to the needs of individuals with varying disabilities. Once the technical review of an information technology solution has been evaluated, agencies need to ensure that the overall solution functionality and performance gives individuals access to Commonwealth information and data.

1. Alternate Accommodations

Support for assistive technology used by people with the listed disabilities or at least one alternate mode of operation and information retrieval must be provided to users for each of the listed disabilities.

Limited or no vision

Limited or no hearing

Limited or no speech

Limited reach, strength or fine motor control

Why the standard is needed: It cannot be assumed that users will have the ability to see, hear, operate or experience certain aspects of a user interface for an information technology solution. While each of the specifications addressed in the technical standards based sections of this document addresses specific limitations, it is imperative that agencies consider the overall accessibility of their implemented or planned solutions.

What the standard means: If assistive technologies cannot be used to facilitate the user’s access to and use of an information technology solution, then an equivalent, alternative mechanism for operation and information retrieval must be provided.

Testing Criteria:

Vision Considerations

At least one mode of operation and information retrieval must be provided that does not require visual acuity greater than 20/70 using audio or enlarged print output, either together or independently.

that does not require vision.

OR

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There is support for assistive technology used by people who have vision impairments.

Hearing Considerations

At least one mode of operation and information retrieval that does not require user hearing is provided.

Where audio information is important for the use of a product, at least one mode of operation and information retrieval is provided in an enhanced auditory fashion.

There is support for assistive technology used by people who are deaf or hard of hearing.

Speech Considerations

At least one mode of operation and information retrieval that does not require user speech is provided.

There is support for assistive technology used by people with speech related disabilities.

Motor Control Considerations that can be used with limited reach and strength and that does not require fine motor control or simultaneous actions.

2. Technical Standards – Applications

Agencies are required to fully comply with all of these standards. Accessibility must be documented and confirmed within the system records:

Prior to procuring, developing, or deploying a new information technology solution;

Prior to implementing a major upgrade; or

If accessibility is questioned later in the life cycle of an information technology solution that was deployed on or after the published date of these standards.

Standard 1.1 Keyboard Commands

When software is designed to run on a system that has a keyboard, product functions must be executable from a keyboard where the function itself or the result of performing a function can be discerned textually.

Why the standard is needed: Users who are unable to use the mouse need all functions to be available via the keyboard. The keyboard provides a precise, discrete method of navigating and selecting.

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Users with limited hand use may not have the fine motor control required to position the mouse pointer accurately on objects displayed on the screen.

Blind users cannot position the mouse pointer because they can't see the screen.

Additionally, many adaptive devices are based on standard keyboard functions. If software can be used with a keyboard, it will also function properly with these devices.

What the standard means: The accessibility requirement is for all functions of the software that are not inherently mouse functions, to be operable using only the keyboard. Moving the mouse pointer or drawing are examples of functions that are inherently mouse functions. Direct manipulation, such as selecting text, is not inherently a mouse function.

For a particular software platform, there are standard keys and key combinations for doing common things. These standard keys are normally specified in the platform user interface style guideline document. The software should use these conventions when appropriate and should not use them for other purposes.

Users should be able to navigate access and activate all menus, toolbars, dialog boxes, and panes using only a keyboard.

1. Test with the keyboard to verify that every feature of the solution can be accomplished.

At a minimum, the following operations must be tested using only the keyboard:

Verify that all menus and menu items can be accessed using the keyboard.

Verify that each toolbar function can be performed using the keyboard.

Verify that all instructions and “controls” are navigable from keyboard.

Navigate to sections or panes of the application window.

Switch the keyboard focus between concurrent dialogs and application windows.

Switch the keyboard focus between forms and sub forms.

Verify that text and objects can be selected anywhere in the application where this is possible using the mouse.

Verify that features invoked via direct manipulation using the mouse are available from the keyboard. For example, if an object can be sized using the mouse by selecting and dragging, it should also be able to be sized by setting the size attributes explicitly on a dialog or properties sheet.

2. Test with the keyboard to verify continued functionality of unique keyboard support provided by the platform.

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Standard 1.2 Disruption of Accessibility Features

Information technology solutions cannot disrupt or disable activated features of other products that are identified as accessibility features, where those features are developed and documented according to industry standards. Applications cannot disrupt or disable activated accessibility features of an operating system. If by virtue of the functionality itself, it cannot be determined whether or not a feature is specifically related to accessibility, reference the manufacturer’s documentation.

Why the standard is needed: Accessibility features are built into operating systems and other technology products and are often selected by the user to support their specific needs. Applications that override or disrupt these features can create barriers for the end user and must be avoided.

What the standard means: All operating system and other technology product accessibility features developed and documented according to industry standards must remain intact and functioning as intended.

1. Verify that accessibility functionality of the platform the application is meant to run on is not disabled when using the application.

2. Test the application against all identified accessibility features. If accessibility features of an operating system or other technology product are disabled or broken as a result of the application, the application must be fixed.

3. Test the application against all identified operating system accessibility features including but not limited to the list below:

Ensure that operating systems features for using successive keystrokes (such as StickyKeys in Windows) are operational by verifying that multiple key stroke sequences produce the expected/desired results.

Ensure that operating system features for the filtering of repeated keystrokes (such as FilterKeys in Windows) can be enabled.

Ensure that operating system features for producing sound as an indicator that a locking key has been engaged (such as ToggleKeys in Windows) can be enabled.

Ensure that operating system features using keyboard options to represent mouse functions can be enabled.

Ensure that operating system features for contrast and custom color settings can be enabled.

Standard 1.3 On-screen Focus

A well-defined on-screen indication of the current focus must be provided so that it moves among interactive interface elements as the input focus changes. The focus

Uncontrolled if Printed Page 7 of 30 Low Sensitivity must be programmatically exposed so that assistive technology can track focus and focus changes.

Why the standard is needed: The focus indicates where on the screen the user’s attention should be and indicates that selected features of a program allow a user to perform some action. By programmatically exposing the focus, assistive technologies can track and communicate the focus to the end user.

What the standard means: The position on a screen where an action will take place is referred to as the "focus". Focus should be indicated visually. For instance, an item in a menu with the focus is usually highlighted, and a “submit” button usually has a dotted line around its text label to indicate that it has the focus. If you press the enter key, the element that has the focus will activate in the same way as it would with a mouse click action. Additionally, assistive technology must be able to discern the focus from the program’s code. For example, a screen enlargement program needs to move the magnified area of the screen with the focus, providing the user the ability to see where the focus is.

1. Test with the keyboard to verify there is a visible focus indicator.

Tab or arrow to interactive objects on the screen (e.g., links, menus, buttons, checkboxes).

Verify that you can visually identify the object that has focus.

2. Test with a screen reader or a screen magnifier to verify that input focus is exposed programmatically.

Tab or arrow to interactive objects on the screen (e.g. buttons, checkboxes, radio buttons, menus, list items).

Verify that the object with focus is read by the screen reader or displayed by the magnifier.

Standard 1.4 User Interface

The user interface is the portion of an application or software component that the user directly interacts with. Sufficient information about a user interface element including the identity, operation and state of the element must be available to assistive technology.

When an image represents a program element, the information conveyed by the image must also be available in text.

Why the standard is needed: Someone who is blind uses a computer with the aid of assistive technology such as a screen reader, screen magnifier or Braille display. The software must provide information about the objects so an assistive technology can tell the user what the focus object (identity) is as well as its role (operation) and state. For example, if you tab through a form and focus is on a radio button, you need to know it is a radio button and whether or not it is selected.

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What the standard means: This provision requires that text must be associated with each element. Examples of user interface elements include buttons, checkboxes, menus, toolbars, scroll bars, and any other feature of a program that is intended to allow the user to perform some action. The text must identify the element and its current state or condition.

For example, a button that shows a hand for getting more help must have the word "help" associated with the button. If a checkbox is present, a text label must indicate what is being checked, and whether the checkbox is checked or unchecked.

1. Verify with a screen reader or a screen magnifier that input focus has text that identifies the element and its current state or condition.

Tab or arrow to interactive objects on the screen (e.g. buttons, checkboxes, radio buttons, menus, list items).

Verify that the text for the object with focus is read by the screen reader or displayed by the magnifier and that the text sufficiently describes the object and its condition.

Standard 1.5 Image Labels

When images are used to identify controls, status indicators, or other programmatic elements, the meaning assigned to those images must be consistent throughout a solution’s performance.

Why the standard is needed: Labels name an object (e.g., icon names, window titles, button labels, edit fields). Most screen readers allow users to assign text names to images. If the image changes meaning during program execution the text name assigned with the screen reader is no longer valid and is confusing to the user.

This provision applies to any image that is used to indicate an action. See standard 2.13 for all other images.

What the standard means: When users assign text names to images that are associated with associated performable actions, they need to be the same and remain consistent throughout the application. Likewise, avoid having multiple objects with the same name on the same form or dialog if they do not perform the same function.

1. Inventory the images used as interactive elements

Compare assigned text and intended action throughout the application.

Verify that image objects throughout the solution do not use the same text unless they represent the same action.

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Standard 1.6 Textual Information

Textual information must be provided through operating system functions for displaying text. The minimum information that must be made available is text content, text input caret location, and text attributes.

Why the standard is needed: Screen readers determine what software is doing by watching calls to drawing functions and remembering what text and graphics have been drawn and where. If text is displayed in a non-standard way, screen reader software may not be able to detect it and read it.

What the standard means: The operating system is the "core" computer software that controls basic functions, such as receiving information from the keyboard, displaying information on the computer screen, and storing data on the hard disk. Other software programs use the standard protocols dictated by the operating system for displaying their own information or processing the output of other computer programs. When programs are written using unique schemes for writing text on the screen or use graphics, other programs such as software for assistive technology may not be able to interpret the information. This provision does not prohibit or limit an application programmer from developing unique display techniques. It requires that when a unique method is used, the text should also be written to the screen through the operating system.

1. Verify that the screen reader correctly represents all text content, text attributes, and text input caret location information.

Standard 1.7 Individual Display Attributes (Color, Contrast and Other Display Attributes)

Applications must not override user selected contrast and color selections and other individual display attributes.

Why the standard is needed: For most people, color is a matter of preference, but it is critical for many users with visual impairments. Many users with low vision need high contrast between text and the background to be able to read information on the screen.

They may even need a particular color scheme, such as white text on a black background, to prevent the background from "bleeding" over and obscuring the foreground text. Some people consider the default color scheme legible but find that it causes eyestrain over longer periods of time. Operating systems provide users with the ability to adjust color or contrast preferences. When an application disables these system-wide settings, accessibility is reduced. This provision is aimed at allowing users to select personalized settings in one place so that they cannot be disabled by software programs.

What the standard means: Solutions must not override user selected contrast and color selections and other individual display attributes addressed in the operating system desktop properties. This includes, but is not limited to, screen resolution, color

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This provision allows programs to have unlimited options for customizing the display of the programs' content. However, there must be a section in the software that tells the program not to use its own settings, but to use whatever settings are already in place before the program starts. A simple menu selection, for example under a view, or options menu, might be a checkbox that lets the user check “use system display setting.”

1. Determine whether or not system settings for font, size and color are automatically inherited by an application or if there is an optional setting that controls how an application obtains information regarding what the various settings should be.

If the system settings are automatically inherited:

Validate that color and contrast settings at the operating system level are inherited by the solution o Test at least two high or enhanced contrast settings to verify the solution is not dependent on a particular setting.

o Verify that the solution’s user interface controls and client areas are displayed using the system’s color and contrast scheme.

Validate system settings for font, size and color:

o Use system settings for font, size and color that differ from the solution’s user interface.

displayed using the system settings for font, size and color.

If the software provides an option to inherit system font settings instead of automatically inheriting them:

Validate that color and contrast settings at the operating system level are inherited by the solution when that option is enabled.

o Enable the solution’s option to inherit system settings for high or enhanced contrast.

o Test at least two high or enhanced contrast settings to verify the solution is not dependent on a particular setting.

displayed using the system’s color and contrast scheme.

Validate that system settings for font, size and color at the operating system level are inherited by the solution when the option is enabled:

o Enable the solution’s option to inherit system settings for font, size and color.

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displayed using the chosen system settings for font, size and color.

Standard 1.8 Animation

When animation is displayed, the information must be displayable in at least one non-animated presentation mode at the option of the user.

Why the standard is needed: The use of animation on a screen can pose serious access problems for users of screen readers or other assistive technology applications.

When important elements such as push-buttons or relevant text are animated, the user of assistive technology cannot access the application reliably. This provision requires that in addition to the animation, an application must provide an option to turn off animation.

What the…