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4 Section 508 - Postal Service Processes to Comply

This chapter describes how accessibility compliance integrates into existing Postal Service processes, focusing on two aspects of the system life cycle: the procurement process and the development process. These processes overlap; the Postal Service uses electronic and information technology (EIT) products and systems both as off-the-shelf solutions and as components of custom developed solutions. This chapter contains the following:

• A high-level overview of the steps involved in procuring and developing technology solutions that comply with Section 508.

• Two tables demonstrating how Section 508 is a fundamental part of the Postal Service Integrated Systems Methodology (ISM).

• Guidance on understanding, applying, and documenting exceptions.

4-1 Background for Purchasing Compliant EIT

This section provides policy and guidance for the creation and approval of purchasing requests for Section 508 compliant (EIT). It also includes policy and procedures to follow when a solution does not meet the technical standards and functional performance criteria for accessibility cited by Section 508 of the Rehabilitation Act.

Section 508 of the Rehabilitation Act requires that EIT purchased by the Postal Service on and after June 21, 2001, complies with the Section 508 Electronic and Information Technology Accessibility Standards (or updates). The standards were published in the Federal Register by the Architectural and Transportation Barriers Compliance Board (Access Board) in December 2000.

Note: For purposes of this chapter, the term EIT is equivalent to the Postal Service's use of the term information technology (IT) as defined in the Purchasing Manual. The law also governs the purchase of electronic products that are not generally purchased by an Information Technology department. These products are primarily closed, self-contained products such as printers, copiers, and FAX machines.

4-2 Processes to Comply With Section 508

4-2.1 Specific Standards and Functional Performance Criteria

The intent of Section 508 is to insure that the core technology infrastructure of all government agencies enables people with disabilities to access the information that is available to non-disabled citizens.

Compliance is as clearly defined as possible within the context of best practices in both electronic information technology and assistive technology. Since all technologies evolve, adherence to only specific provisions of each applicable technical standard may not result in full compliance with the law.

To address this problem, the law includes §1194.31, Functional Performance Criteria, which requires overall usability by people with disabilities. Essentially, the six Functional Performance Criteria require that the EIT must be usable ("at least one mode of operation and information retrieval") by people with functional limitations in vision, mobility, hearing, and speech.

Compliance with the law requires that EIT meet both the applicable technical standards and the functional performance criteria.

http://www.section508.gov/index.cfm?FuseAction=Content&ID= 12#Functional

4-2.2 Build and Buy

Section 508 states that: "When developing, procuring, maintaining, or using electronic and information technology, each agency shall ensure that the products comply with the applicable provisions..." Therefore, accessibility is a requirement of both purchased information technology and technology developed to meet a unique Postal Service requirement.

4-2.3 When Procuring an EIT Solution

Starting with the market research phase of product selection, and moving through contract award and delivery/implementation, the Postal Service procures the most compliant product that meets business requirements. The Voluntary Product Accessibility Template (VPAT) (http://www.itic.org/policy/ vpat.html) is a standardized template used by agencies and suppliers of information technology to define compliance with Section 508 standards.

To achieve Section 508 compliance on an ongoing basis, the Postal Service must do the following:

a. Include Section 508 compliance language in all procurement documents.

b. Require vendors to provide information on how their solution addresses the applicable standards. When available, the Postal Service must request that the vendor provide the Voluntary Product Accessibility Template (VPAT) of all potential products. VPAT is one method that suppliers use to document how their products are Section 508 compliant. If no VPAT is available, other documentation identifying how the vendor complies with the standards is required.

c. Verify product compliance with the relevant standards. Testing for accessibility with appropriate methodologies (including using assistive technology) should be done when necessary - during pre-award evaluations and during acceptance testing after delivery,

The above applies to both commercial, off-the-shelf (COTS) products, and purchased customized solutions.

4-2.4 When Developing or Maintaining an EIT Solution

When the Postal Service develops a new system, the design must include Section 508 accessibility as an explicit requirement. For maintenance to existing systems, the enhancement and modification requirements must also include improvement in access for people with disabilities. To achieve these goals, the Postal Service does the following:

a. Assesses the requirements to identify the applicable Section 508 standards.

b. Includes Section 508 requirements for the people who are involved in the design process to insure the inclusion of these requirements in the relevant ISM steps (exhibit 4-5.2).

c. Verifies solution accessibility with appropriate methodologies (including using assistive technology) during the development and acceptance testing phases.

4-2.5 Complex Systems

Many business solutions are complex and often combine commercial off-the-shelf (COTS) products, custom code by a supplier, custom code by Postal Service developers, and content from various sources.

In comprehensive technology solutions, more than one technical standard may apply. An obvious example is e-learning. The table below shows the diverse functions enabled by various technology mechanisms for the creation of instructional material and access to education services.

Exhibit 4-2.5

Example of Complex Business Solution Involving Various Section 508 Standards

In this example, provisions from three standards (1194.21, Software applications and operating systems; 1194.22, Web-based intranet and internet information and applications; 1194.24, Video and multimedia products) apply. All relevant provisions must be met. A full evaluation requires not only adherence to these specific provisions but an evaluation of the functional performance criteria of the entire system.

4-3 Policy

The Postal Service complies with the legal requirements of Section 508 for all of its purchases of EIT on and after June 21, 2001. The Postal Service is committed to purchasing compliant EIT. There are exceptions, however, as described in this chapter, to the requirement to purchase compliant EIT (see section 4-6).

4-4 Guiding Steps for the Purchase of an EIT Business Solution

While it may seem that Section 508 compliance is daunting because of the range of activities it covers, a simplified look at the pieces reveals how to fit it into a Postal Service business solution.

Step 1. Learn About 508.

To learn about Section 508 requirements, see the following sources:

• HBK AS-508, Section 508 Handbook.
http://www.usps.com/cpim/ftp/hand/as508/welcome.htm

• Postal Service Intranet or Internet search on Section 508.

• Purchasing Manual, http://blue.usps.gov/cpim/manuals.htm.

• EIT Accessibility Standards (includes a definition of EIT):

• http://www.section508.gov

• http://www.access-board.gov/508.htm

The Goal - Make text and data as accessible to people with disabilities as it is to people without them.

Step 2. Determine whether EIT is part of the business solution.

• If EIT is not part of the business solution, Section 508 does not apply. Skip the remaining steps and continue with the normal purchasing process.

• If EIT is part of the solution, determine whether a general exception applies. If a general exception is justified, document the exception and include it in the contract file.

Step 3. Identify the applicable EIT standards and then conduct market research to determine if there are EIT solutions that meet business needs and address the standards.

• Section 508 defines six technical standards, which include many provisions. Keep the following in mind:

• Some functions are defined by a single standard.

• Some functions may be covered by multiple standards.

• Research products and services that meet business needs and learn about their Section 508 compliance.

• Look for the product's Voluntary Product Accessibility Template (VPAT). Many suppliers are using this form to provide information on how they conform to the Section 508 standards. If no VPAT is available, ask the supplier to produce a VPAT or provide comparable documentation.

• Use research organizations.

• Search the Internet and supplier Web sites.

• Contact other government agencies that are already using the product or service.

• Determine if an exception applies (e.g., no product exists that complies with the applicable standards and meets the business requirements). If an exception exists, document it appropriately.

Step 4. Include "Section 508" clauses in the Statement of Work (SOW)

Once market research is complete, work with Supply Management to do the following:

• Develop a solicitation that correctly states Section 508 requirements.

• Determine in the evaluation process if there should be any special instructions to suppliers.

• Include "Section 508" concepts in the internal design or implementation documents.

Step 5. Evaluate and test products based on "Section 508" standards

Evaluation and selection activities are key components in positioning the Postal Service to meet its Section 508 compliance commitments. In evaluating and testing products, follow these guidelines:

• Compare supplier responses that meet Section 508 requirements.

• Determine how to evaluate and test suppliers' proposed solutions for compliance. This varies, depending on the complexity of the solution. There are different ways in which proposed solutions can meet the requirements. For information on exceptions and undue burdens, see sections 4-3 and 4-6 of this handbook.

• For products that do not fully conform, a specific exception may be needed (see section 4-3).

• Conduct testing and evaluation, which may include the following:

• Demonstrations by the supplier.

• Testing by the Postal Service or third-party suppliers.

• Literature evaluation.

Proof of Compliance - If your product provides at least one mode of operation and retrieval that does not need user vision, hearing, or fine motor skill or provides support using assistive technology, it is compliant.

Step 6. Plan Delivery

Before delivery of a solution, an acceptance test is a standard procedure to verify that the supplier has met its contractual obligations. The Postal Service can conduct and may require the contractor to perform Section 508 testing with multiple techniques. See the resources in the technical reference guidelines for recommended approaches. Before accepting a purchase, do the following:

• Test compliance with the stated accessibility standards.

• Work with the vendor to address issues where the vendor does not meet standards.

• Work with Supply Management to address the issue, if the deliverable does not meet standards.

The Measure of Success - Success is measured by compliance at the text or data "interface," (i.e., where the person with a disability can access information).

4-5 Integrated Systems Methodology (ISM) Overview

This section shows how Section 508 integrates into the systems development life cycle. The ISM unifies Postal Service development life-cycle methodologies used by contractors and Postal Service project managers. The ISM defines a life-cycle framework that provides a roadmap for conceiving, planning, developing, implementing, and maintaining business solutions. It contains the key minimum, mandatory deliverables that are required to deliver a business solution successfully to the customer.

The goals of the ISM are to do the following:

• Reduce solution development and deployment costs.

• Speed the time to deployment of technology solutions.

• Provide a single point of access to all the current policies, procedures, instructions, and templates.

Exhibit 4-5.1 addresses elements of the Section 508 process for both the Purchase or Lease of IT and for the Build or Customization of IT.

Exhibit 4-5.1

Purchase or Lease of IT: Section 508 Considerations in the EIT Life Cycle

This chart clarifies key Section 508 considerations that must be factored into mandatory EIT life cycle tasks by the various people and functional organizations responsible described in Chapter 2, Roles and Responsibilities. This information is aligned with the Information Technology Division's Integrated Systems Methodology (ISM), but can be used in other current or future EIT governance processes. Boldface text indicates formal work products for which Section 508 considerations must be documented.

Exhibit 4-5.2

Development or Customization of IT: Section 508 Considerations in the EIT Life Cycle

This chart clarifies key Section 508 considerations that must be factored into mandatory EIT life cycle tasks by the various roles described in Chapter 2, Roles and Responsibilities. This information is aligned with the Information Technology Division's Integrated Systems Methodology (ISM), but can be used in other current or future EIT governance processes. Boldface text indicates formal work products for which Section 508 considerations must be documented.

4-6 About Exceptions and Undue Burden

There are three types of exceptions that can be invoked and still achieve Section 508 compliance. The three types - general exceptions, specific exceptions, and undue burdens - are described below. These exemptions exist for different reasons and may be invoked at different stages of the procurement or development cycle (see exhibits 4-5.1 and 4-5.2). Some technology solutions are inherently exempt by nature of the technology use. These are general exceptions and involve such fields as military security or other areas of national defense.

4-6.1 General Exceptions

The determination of a general exception is based on how the EIT is to be used. General exceptions are typically identified very early in the process. General exceptions include:

a. Purchases of EIT required for national security, as described in the Electronic and Information Technology Accessibility Standards, 36 CFR Section 1194, Subpart 1194.3(a).

b. Purchases of EIT acquired by a supplier incidental to a contract.

c. Purchases of EIT to be located in spaces frequented only by service personnel for maintenance, repairs, or occasional monitoring of equipment.

4-6.2 Specific Exceptions

These exceptions typically occur when no existing product that best meets the business requirements of the Postal Service is fully compliant. In these cases, the market research documents that show no fully compliant technology solution is available will provide an explanation for the purchase of a noncompliant solution.

Reasons for a specific exception include the following:

a. Purchases of EIT that are less compliant than other EIT available in the commercial marketplace, but that meet all the accessibility standards that can be met within the deadline required by the Postal Service.

b. Orders of noncompliant EIT against indefinite delivery contracts or ordering agreements that already have appropriate exception documentation in the contract file.

c. Purchases of noncompliant EIT when no compliant EIT is available in the commercial marketplace.

Since the goal of Section 508 is to produce an environment in which data and information are available to disabled citizens and government employees, the Postal Service views specific exceptions as temporary. The long-term goal is continual improvement to achieve full compliance.

4-6.3 Undue Burden Exception

Undue burden "means significant difficulty or expense." "In determining whether an action would result in an undue burden, an agency shall consider all agency resources available to the program or component for which the product is being developed, procured, maintained, or used" (65 Federal Register 80502). These rare exemptions require the signature of a Postal Service vice president on behalf of the requesting functional organization.

From the procurement perspective, Section 508 standards do not require the purchase of EIT that would require a fundamental alteration in the nature of a product or its components. From the development perspective, technology designed and built specifically for the Postal Service must be fully compliant.

4-7 Documentation of Exceptions

When the purchase of an EIT solution falls within even one of the three exception areas, the Postal Service requires the functional organization to document the rationale for the exception. Supply Management, with the functional organization, must include the relevant market research documentation in the contract file. For general and specific exceptions, the documentation is relatively easy to prepare. When the purchase of an EIT solution would result in an undue burden to the Postal Service, the requiring organization must prepare an undue burden justification, signed by the vice president of the requiring organization. The template for documenting undue burden is found in appendix 4-A.

4-8 Roles and Responsibilities

Chapter 2 of this handbook describes roles and responsibilities. The officials named in Chapter 2 define what compliance means and evaluate compliance efforts in their respective areas of responsibility for the Postal Service. The purchase, development, or maintenance of EIT occurs at the level of a specific functional organization. At the functional level, complex business needs often require multifaceted systems which span the technical areas of the law (see section 4-2.4 above). Consequently, responsibility for evaluation of compliance for a complex solution may involve Postal Service personnel from the requiring organization (business analysts, portfolio managers, etc.), Supply Management (contracting officers), the General Counsel's office, and the Section 508 Program.

4-9 Exception Documentation

The purpose of exception documentation is to explain the business needs and to account for compliance of available solutions. For General Exceptions (a rare Postal Service need), documentation will address one of the three valid reasons for such an exception.

For Undue Burden, the exception report will require extensive documentation and will attract the attention of the Department of Justice (see appendix 4-A).

For Specific Exceptions, the reasons for the exception (see section 4-6.2) must be defined fully.

Three other actions must occur:

a. The documentation must be summarized in the database(s) that track Postal Service compliance (e.g., EIR, ITK, ADEPT, etc.) to facilitate accurate reporting to the Department of Justice on a periodic basis.

b. An alternate means must be provided to allow people with disabilities to access the functions or information.

c. A plan must be defined for future reevaluation and eventual full compliance (e.g., newer releases of the software or selection of a more compliant product that provides the same business solution). The plan should specify reevaluation dates.

4-10 Preparing Undue Burden Justification

Undue burden justification is required when the EIT purchase meets the conditions stated in section 4-6.3. The rationale for such a determination must be based on the fact that purchase of the most compliant EIT would constitute an undue burden to the Postal Service. The undue burden justification documentation addresses why, and to what extent, compliance with each applicable provision of Section 508 creates an undue burden.

An undue burden justification template is provided in appendix 4-A of this chapter. The requiring organization must complete the template and include sufficient detail to establish that an undue burden exists. The contracting office must retain a copy of the documentation with the necessary approvals in the contract file.

Appendix 4-A
Template for Undue Burden Justification Documentation

This template provides guidance for preparing an undue burden justification document. The requiring organization must use this template when either of the following is true:

• A decision is made to purchase electronic and information technology (EIT) that is less compliant with Section 508 than what is available in the commercial marketplace.

• The purchase of the more compliant EIT would impose a significant difficulty or expense to the entire program or component for which the product is being purchased.

Instructions:

• Prepare written documentation addressing the applicable sections below. The depth of detail provided will vary, depending on the dollar value of the purchase, importance to the agency, number of potential users, business or operational affect, and other issues.

• Obtain purchasing and legal advice, as needed, throughout the process.

• Obtain necessary approvals and signatures.

• Provide completed justification documentation to the contracting officer.

• Update the Enterprise Information Repository (EIR) system, where appropriate.

Section I. General

a. Program Name.

b. Preparer's Name.

c. General description of the program.

Section II. Basis for Justifying the Undue Burden Exception

An undue burden is defined as "a significant difficulty or expense." When making an undue burden determination, the requiring organization must consider the entire resources available to the program or component for which the product is being purchased. Attempt to include all known facts and situations that influence the justification of significant difficulty or expense.

a. Identify the specific applicable portions of the Section 508 standards for which a decision has been made to purchase something that is less compliant than what is available in the commercial marketplace. Include a description of the market research performed.

b. For each element, describe the significant difficulty or expense. Below are some examples of considerations that may constitute either a significant difficulty or expense.

Section III. Alternate Means or Format of Access

Describe the alternate access method or format being provided that allows the disabled individual to have access to and use of the information and data comparable to that provided by the less than compliant EIT.

Section IV. Future Purchases

If applicable, describe the plans to obtain compliant EIT in future purchases.

Section V. Comparison of Cost

If applicable, provide a summary of the cost analysis justifying acquisition of the less compliant EIT.

Section VI. Approval

The vice president or person in a higher level of the requiring organization must approve this justification.