Call 1-800-949-4ADA
for Technical Assistance

Planning for Compliance


This chapter will present a practical approach to organizing and implementing your school system's effort to come into compliance with Title II. This "five-four-three" approach highlights five action steps, four principles, and three phases that must be considered as you develop a manageable process that is well adapted to your needs.

The chapter presents _five _action _steps: designating a responsible employee, providing notice of ADA requirements, establishing a grievance procedure, conducting a self-evaluation, and developing a transition plan. The chapter also reviews timelines for carrying out these steps and achieving compliance.

Experience in achieving compliance with Section 504 of the Rehabilitation Act has shown that _four _principles are keys to success that must be considered as each step is taken. These include:

The self-evaluation--or the updated self-evaluation--should be implemented in _three _phases. During the first phase, preliminary planning occurs to define the compliance process, identify participants, and set up the procedures for communication and coordination that will ensure its success. In the second phase, a comprehensive evaluation of current services, policies, and practices is undertaken under the oversight of the ADA coordinator. In the third phase, information is assessed and essential modifications identified in the second phase are carried out.

Following the initial discussion of this "five-four-three" approach, the chapter focuses on recommended procedures for conducting Phase One, including planning steps needed to prepare to conduct the self-evaluation and meet other administrative requirements of Title II. The chapter concludes with worksheets designed to assist you in this initial planning phase.

FIVE ACTION STEPS

Title II of the ADA requires that state and local government entities--including school systems--take systematic steps to

* Print Page 32

examine their programs and establish a plan for ensuring compliance with the law. Five action steps must be taken to bring a public entity into compliance with the regulation:

STEP ONE: Designate a responsible employee

STEP TWO: Provide notice of ADA requirements

STEP THREE: Establish a grievance procedure

STEP FOUR: Conduct a self-evaluation

STEP FIVE: Develop a transition plan

Each of these steps will now be discussed in more detail.

STEP ONE: Designate a Responsible Employee

Under Title II, any public entity with fifty or more employees must designate at least one employee to coordinate ADA compliance [28 C.F.R. ? 35.107(a)]. The regulation refers to this person as the "responsible employee" or employees; this guide uses the term "ADA coordinator." It is strongly recommended that school systems, regardless of size, designate a _single person with overall responsibility for coordinating all compliance activities. It is important to note that school districts that are subject to Section 504 and employ fifteen or more persons must designate at least one person to coordinate their Section 504 compliance activities [34 C.F.R. ? 104.7(a)]. The same individual can coordinate ADA and Section 504 compliance activities.

28 C.F.R. ? 35.107(a) Designation of responsible employee. A public entity that employs 50 or more persons shall designate at least one employee to coordinate its efforts to comply with and carry out its responsibilities under this part, including any investigation of any complaint communicated to it alleging its noncompliance with this part or alleging any actions that would be prohibited by this part. The public entity shall make available to all interested individuals the name, office address, and telephone number of the employee or employees designated pursuant to this paragraph.

The ADA coordinator is the key player in ensuring ADA compliance. The coordinator's role includes planning and coordinating overall compliance efforts, ensuring that the five action steps are completed, and receiving and investigating complaints related to discrimination on the basis of disability. To fulfill his or her job, the coordinator must have the authority, knowledge, skills and motivation to implement the regulations effectively.

One purpose of this requirement is to ensure that members of the public who need to deal with school systems can readily identify a person who is familiar with ADA and Section 504 requirements and who can communicate those requirements to other key staff. It is expected that this employee will have the authority to take whatever action is needed to correct infractions. It is also required, however, that the school system make every effort to prevent violations by ensuring that all of its employees and agents are thoroughly familiar with their obligations.

In order to ensure that individuals can easily identify the ADA coordinator, the public entity must provide the ADA coordinator's name, office address, and telephone number to all interested individuals [28 C.F.R. ? 35.107(a)]. Notice of the identity of the ADA coordinator is generally combined for ease and efficiency with notice of ADA requirements--our next step.

* Print Page 33

STEP TWO: Provide Notice of ADA Requirements

All public entities, regardless of size, must provide information to applicants, participants, beneficiaries, employees, and other interested persons regarding the rights and protections afforded by Title II, including information about how the Title II requirements apply to its particular programs, services, and activities [28 C.F.R. ? 35.106].

28 C.F.R. ? 35.106 Notice. A public entity shall make available to applicants, participants, beneficiaries, and other interested persons information regarding the provisions of this part and its applicability to the services, programs, or activities of the public entity, and make such information available to them in such manner as the head of the entity finds necessary to apprise such persons of the protections against discrimination assured them by the Act and this part.

The notice requirements of Title II and Section 504 are somewhat different. Under the Section 504 regulation, a recipient of federal financial assistance that employs 15 or more people must provide a notice that states, where appropriate, that the recipient does not discriminate on the basis of disability in admission or access to, or treatment or employment in, its programs and activities [34 C.F.R. ? 104.8(a)]. Under Section 504, the notice must also include identification of the employee designated to coordinate Section 504 compliance efforts. A recipient of federal financial assistance that provides notice about coverage under the ADA must still meet the more specific notice requirement of Section 504, including identification of the Section 504 coordinator, if the recipient has 15 or more employees.

A sample notice consistent with the requirements of Title II and Section 504 that can be adapted by your school system is provided on the following [print] page. Note that in order to facilitate effective communication, the information is presented in clear, straightforward language, avoiding legal and bureaucratic idioms, and in alternative formats that are accessible to individuals with different disabilities. In the sample notice on the next [print] page, the same person coordinates Title II and Section 504 requirements. The sample notice also identifies the ADA and Section 504 coordinator by name and gives this person's office address and telephone number.

The school system must provide this information not just once, but on an ongoing basis [28 C.F.R. ? 35.106 and 34 C.F.R. ? 104.8(a)]. Appropriate methods of providing notice include publication of information in handbooks, manuals, and pamphlets that are distributed to the public to describe a public entity's programs and activities; the display of informative posters in public places; or the broadcast of information by television or radio.

Different approaches are particularly suited to different segments of the public. On the following [print] page are some of the ways in which this information can be provided on a regular basis to specific target audiences.

Many organizations use graphic symbols such as those shown on [print] page 35 in notices and advertisements to call attention to the nature of the message.

* Print Page 34

SAMPLE NOTICE

NAME OF SCHOOL SYSTEM] does not discriminate on the basis of disability in admission to its programs, services, or activities, in access to them, in treatment of individuals with disabilities, or in

any aspect of their operations. The [school system] also does not discriminate on the basis of disability in its hiring or employment practices.

This notice is provided as required by Title II of the Americans with Disabilities Act of 1990 and Section 504 of the Rehabilitation Act of 1973. Questions, complaints, or requests for additional information regarding the ADA and Section 504 may be forwarded to the designated ADA and Section 504 compliance coordinator:

Name and Title: ----

Office Address: ----

Phone Number (Voice/TDD): ----

Days/Hours Available: ----

This notice is available from the ADA and Section 504 compliance coordinator in large print, on audio tape, and in Braille. [If additional alternative formats are available, such as computer bulletin boards, school districts may state that this notice is available in the additional alternative formats.]

SOME METHODS OF PROVIDING NOTICE

In this table, columns follow each other in this order: IN ORDER TO REACH: PROVIDE INFORMATION THROUGH.

The public at large: newspaper legal notice, flyers posted at

all

facilities, radio and/or captioned television announcements.

Students: report card enclosures, regular mailings, postings at all program sites and frequented areas, announcements in school newspaper.

Prospective Employees: insert in job application, newspaper ads, posted advertisements, posted vacancy notices.

Current Employees: regular mailings to employees, posting at work sites, postings in lounges, faculty rooms, and dining areas, personnel manual.

* Print Page 35

It is ultimately the responsibility of the head of the school system to determine the most effective methods for making individuals aware of their rights and protections, although this responsibility may be delegated to the ADA coordinator.

Notices should be accessible to people with various disabilities. For example, information should be available to persons with mobility impairments; therefore, it may not be posted only in a portion of the building accessible exclusively by stairs. The school system must also be prepared to provide notices in _alternative _formats upon request.

Examples of alternative formats include:

It is possible to give notice through many of the channels suggested on the previous [print] page using alternative formats.

For example, some newspapers feature a large print or Braille edition. They may also offer a dial-in reading service. Flyers can also be posted in large print versions.

STEP THREE: Establish a Grievance Procedure

It is a common misunderstanding among many public school systems that the required grievance procedure applies only to employees. Not so! The purpose of this grievance procedure is to provide a means for timely resolution of _all problems or conflicts related to ADA compliance before they escalate to the point where the complainant feels it necessary to resort to the federal complaint process or litigation. This procedure must be just as accessible and appropriate for use by students or public citizens as by school system employees.

28 C.F.R. ? 35.107(b) Complaint procedure. A public entity that employs 50 or more persons shall adopt and publish grievance procedures providing for prompt and equitable resolution of complaints alleging any action that would be prohibited by this part.

The Title II regulation provides that the ADA coordinator is to oversee the investigation and resolution of complaints [28 C.F.R. ? 35.107(a)]. The Title II regulation also provides that public entities must adopt and publish grievance procedures providing

* Print Page 36

for prompt and equitable resolution of complaints [28 C.F.R. ? 35.107(b)]. The public entity may use a grievance procedure that is already in place; it is not necessary to design a separate process specifically for the ADA. The Title II requirements regarding grievance procedures have been in effect since January 26, 1992.

There are similarities and differences between the Title II and Section 504 requirements concerning grievance procedures. Both regulations require that covered entities adopt and publish a grievance procedure providing for the prompt and equitable resolution of complaints [28 C.F.R. ? 35.107(b) and 34 C.F.R. ? 104.7(b)]. Under both regulations, complainants are not required to exhaust grievance procedures before filing a complaint with the U.S. Department of Education's Office for Civil Rights. However, the Section 504 requirements apply to recipients with fifteen or more employees, while the Title II requirements apply to public entities with 50 or more employees [28 C.F.R. ? 35.107(a) and 34 C.F.R. ? 104.7(a)]. Also, unlike the Title II regulation, the Section 504 regulation specifically states that grievance procedures must adopt due process standards [34 C.F.R. ? 104.7(b)]. In addition, unlike Title II, Section 504 does not require that grievance procedures be established for applicants for employment or for admission to post-secondary educational institutions [34 C.F.R. ? 104.7(b)]. Thus, grievance procedures under Title II must provide a forum for these complainants.

This Guide recommends that a grievance procedure include the following components:

Your school system should feel free to adapt the grievance procedures requirements of Title II and Section 504 to your specific working procedures and authority structure.

As mentioned earlier, the U.S. Department of Education's Office for Civil Rights is responsible for investigating complaints alleging discrimination on the basis of disability under Title II and Section 504 by public elementary and secondary school systems. A delay in filing a complaint that is the result of first pursuing the school system's grievance procedure is generally

* Print Page 37

considered good cause for extending the time available to submit the complaint.

STEP FOUR: Conduct a Self-Evaluation

All public entities, regardless of size, must conduct a self-evaluation [28 C.F.R. ? 35.105(a)]. The self-evaluation is a comprehensive review of the public entity's current policies and practices, including communications and employment. Through the self-evaluation, the public entity must:

  1. identify any policies or practices that do not comply with the Title II requirements; and
  2. modify policies and practices to bring them into compliance.

28 C.F.R. ? 35.105 Self-evaluation. (a) A public entity shall, within one year of the effective date of this part, evaluate its current services, policies, and practices, and the effects thereof, that do not or may not meet the requirements of this part and, to the extent, modifications of any such services, policies, and practices, is required, the public entity shall proceed to make the necessary modifications.

The scope of the review includes not only formal written policies and procedures (such as those contained in employee handbooks and memoranda) but also actual operating practices [28 C.F.R. ? 35.105(a)]. In order to review what is actually done, as well as what is on paper as policy, it is important to involve not only administrators and senior managers but also program staff and participants. The school system must analyze the impact on persons with disabilities, recognizing that adverse effects are often inadvertent.

The Title II self-evaluation should have been completed by January 26, 1993 [28 C.F.R. ? 35.105(a)]. School systems have been responsible for compliance with Title II since January 26, 1992. Therefore, if discriminatory policies or practices are identified during the review process, they should be modified immediately.

The regulations require that school systems provide an opportunity for interested persons to participate in the self-evaluation by submitting comments [28 C.F.R. ? 35.105(b)]. Experience with Section 504 has shown the self-evaluation process to be a valuable means of establishing a working relationship with individuals with disabilities, one that promotes effective and efficient implementation of nondiscriminatory policies and procedures. The U.S. Department of Education expects that it will likewise be useful to public entities newly covered by the ADA.

28 C.F.R. ? 35.105 Self-evaluation. (b) A public entity shall provide an opportunity to interested persons, including individuals with disabilities or organizations representing individuals with disabilities, to participate in the self-evaluation process by submitting comments.

Public entities that employ 50 or more persons must maintain the self-evaluation on file and make it available for public inspection for at least three years from the date the self-evaluation was completed [28 C.F.R. ? 35.105(c)]. It is the responsibility of the ADA coordinator to maintain required information in a form that will facilitate a prompt response to requests. Records kept must identify individuals who participated directly or indirectly in the review, the areas examined, whatever problems were discovered, and the corrections made as a result of the self-evaluation process [28 C.F.R. ? 35.105(c)].

28 C.F.R. ? 35.105 Self-evaluation. (c) A public entity that employs 50 or more persons shall, for at least three years following completion of the self-evaluation, maintain on file and make available for public inspection:

(1) A list of the interested persons consulted;

(2) A description of areas examined and any problems identified; and

(3) A description of any modifications made.

* Print Page 38

If your school system receives federal funding and you have previously conducted a self-evaluation as required by

Section 504, you are required to review only:

  1. programs established since the Section 504 self-evaluation was conducted; and
  2. new or modified policies or practices that were not included in an earlier self-evaluation [28 C.F.R. ? 35.105(c)].

However, because most self-evaluations were done some years ago, many school systems should reexamine _all of their policies and programs. Programs and functions may have changed, and actions that were supposed to have been taken to comply with Section 504 may not have been fully implemented or may no longer be effective. (A glaring example of such an area of change is the entire realm of computers, now a significant part of nearly every aspect of services and programs.) Furthermore, many Section 504 self-evaluations focused on access to facilities, with limited attention to the ADA's requirement to provide equally effective communications for persons with disabilities.

Public entities that were required to have completed Section 504 self-evaluations and have not done so may meet this obligation as they carry out the ADA self-evaluation. However, the deadlines for programmatic and structural modifications required under the ADA cannot be substituted for the Section 504 deadlines. Federally funded state and local entities must meet _both the Section 504 and the ADA compliance deadlines. If your school system has not completed its Section 504 self-evaluation or made the necessary modifications to policies and procedures, this Guide recommends that you prioritize and implement modifications in order to ensure Section 504 compliance as quickly as possible.

A specific approach to carrying out a self-evaluation in each of the four areas required by Title II--general nondiscrimination requirements, employment, program access, and communications--is presented as the final part of each of the four corresponding chapters of this Guide. In addition, worksheets are included for use in conducting the self-evaluation. They may be used as is or adapted to better meet the specific needs of your school system.

It is also important to note that while the self-evaluation is not required to address the need for ADA-related training, it would be appropriate for school districts to evaluate training efforts because, in many cases, lack of training can lead to discriminatory practices, even when the policies in place are nondiscriminatory.

28 C.F.R. ? 35.105 Self-evaluation. (d) If a public entity has already complied with the self-evaluation requirement of a regulation implementing section 504 of the Rehabilitation Act of 1973, then the requirements of this section shall apply only to those policies and practices that were not included in the previous self-evaluation.

* Print Page 39

STEP FIVE: Develop a Transition Plan

Under Title II, public school districts that employ 50 or more persons are required to develop a transition plan when structural changes to existing facilities are necessary in order to make a program, service, or activity accessible to people with disabilities [28 C.F.R. ? 35.150(d)(1)]. The regulations require that, at a minimum, the transition plan:

28 C.F.R. ? 35.150 (d) Transition Plan. (1) In the event that structural changes to facilities will be undertaken to achieve program accessibility, a public entity that employs 50 or more persons shall develop, within six months of January 26, 1992, a transition plan setting forth the steps necessary to complete such changes. A public entity shall provide an opportunity to interested persons, including individuals with disabilities or organizations representing individuals with disabilities, to participate in the development of the transition plan by submitting comments. A copy of the transition plan shall be made available for public inspection.

The Title II transition plan is required for programs and policies that were not previously included in a Section 504 transition plan [28 C.F.R. ? 35.150(d)(4)]. However, public school systems that are covered under Section 504 are not shielded from obligations under that statute, such as deadlines for making structural modifications, merely because they have met the Title II transition plan requirements.

The Title II transition plan was to have been developed by July 26, 1992 [28 C.F.R. ? 35.150(d)(1)]. Nonstructural changes should be implemented immediately. Any structural changes outlined in the transition plan must be completed as expeditiously as possible, but no later than January 26, 1995 [28 C.F.R. ? 35.150(c)]. A review of existing facilities should be performed early in the self-evaluation process. Completing the transition plan will clarify priorities and facilitate completion of structural changes. A more detailed discussion of the Title II and Section 504 requirements regarding transition plans is presented in Chapter Six, _Program _Accessibility.

Timelines for Compliance

The two tables that follow summarize the entities which are required to comply with each of the five action steps that have just been discussed and the effective dates by which critical milestones identified in the action steps must be achieved.

* Print Page 40

WHO MUST COMPLY?

In this table, columns follow each other in this order: ACTION STEPS: ENTITIES REQUIRE TO COMPLY, Title II; ENTITIES REQUIRED TO COMPLY, Section 504.

  1. Designate responsible employee: 50 or more employees; 15 or more employees.
  2. Provide notice: All entities; 15 or more employees.
  3. Establish grievance procedure: 50 or more employees; 15 or more employees.
  4. Conduct self-evaluation: All entities; All entities.
  5. Develop transition plan: 50 or more employees; All entities.

DEADLINES FOR COMPLIANCE

In this table, columns follow each other in this order: REQUIREMENTS: DEADLINES, Title II; DEADLINES, Section 504.

  1. Designate responsible employee: January 26, 1992; June 3, 1977.
  2. Provide notice: January 26, 1992; September 3, 1977.
  3. Establish grievance procedure: January 26, 1992; June 3, 1977.
  4. Conduct self-evaluation: January 26, 1993; June 3, 1978.
  5. Develop transition plan: July 26, 1992; December 3, 1977.
  6. Complete structural changes: January 26, 1995 (but as expeditiously as possible); June 3, 1980.

* Print Page 41

FOUR PRINCIPLES OF EFFECTIVE COMPLIANCE

School system personnel experienced with Section 504 cite four general principles as keys to an effective compliance process that are highly relevant to Title II:

  1. Gain commitment from leaders;
  2. Coordinate compliance activities;
  3. Involve people with disabilities; and
  4. Institutionalize compliance procedures.

Each of these principles will help you open doors for persons with disabilities to participate fully in your school system. Not only will they help you comply with the specific requirements of the ADA, but they will also foster dynamic, ongoing change that will help identify and end other discriminatory practices as well. The following paragraphs give a general idea of what is meant by each principle; however, each school system will need to adapt the principles thoughtfully to its own situation.

PRINCIPLE ONE: Gain Commitment from School System Leaders

To establish a solid foundation for compliance, seek an explicit commitment by the senior political and executive leadership of your school system to the ADA's goals and to full compliance with the ADA requirements. It is critical that this commitment be communicated clearly and convincingly to all staff and students. When high-level officials in the school system and others in responsible positions assume strong leadership roles, program managers and staff are far more motivated to address nondiscrimination. The senior leadership should remain involved throughout the compliance process, reviewing progress and participating in decision-making at critical points (such as the approval of budgets for barrier removal).

PRINCIPLE TWO: Coordinate Compliance Activities

ADA compliance is a complex process that affects the school system at many levels. Experience indicates that compliance activities are best approached as a coordinated whole; few problems can be effectively remedied through a fragmented effort. Coordination can facilitate the sharing of information and resources and strengthen accountability. The designation of the ADA coordinator is a critical first step in promoting coordination. As mentioned earlier in the chapter, the ADA coordinator is the key player in planning and coordinating ADA compliance efforts.

* Print Page 42

In addition, your school system will want to form a compliance team to work with the coordinator. The structure of support for coordination will depend on the size of your school system and the way it is organized. For relatively small systems, your compliance team may be a working group in which major divisions and functions are represented, and which includes personnel who have the skills and experience necessary to carry out planning and implementation tasks. Larger school systems may have an executive committee, a compliance team that meets regularly to oversee the compliance process as a whole, and subcommittees for the different functional areas of the ADA (e.g., employment, program accessibility, communication, and policies and practices).

PRINCIPLE THREE: Involve People with Disabilities

The Title II regulation requires that you involve people with disabilities and other interested persons in the self-evaluation process and in the development of the transition plan. The experience of many communities confirms that cooperation between the disability community and educational institutions can lead to creative problem solving, improved communications, and mutual understanding. For example, if your school system has student organizations that represent students with disabilities, these organizations can be invited to send representatives. Many associations that serve persons with disabilities would also be responsive to calls requesting nominations for committee membership.

PRINCIPLE FOUR: Institutionalize Compliance Procedures

The self-evaluation and the transition plan target needed modifications in employment practices, operating procedures, communications, and access to programs and facilities. Ensuring that these modifications are made and that equal opportunity for persons with disabilities is institutionalized is a difficult task. One of the lessons learned from experience with Section 504 was that many educational institutions failed to adequately follow through on their planning, while others instituted changes unevenly or allowed them to erode over time.

Success in implementing permanent changes depends to a great extent on the quality of the planning process itself and on the degree to which compliance becomes integrated in ongoing operations. For example, it is important that training be offered to familiarize new employees with nondiscrimination policies and practices. Also, accessible features, once installed, must be regularly maintained [28 C.F.R. ? 35.133(a)]. Similarly, as the employee handbook is updated, procedures must be in place to ensure that updates are consistent with nondiscrimination requirements. The ADA coordinator should be the key player

* Print Page 43

responsible for ensuring that compliance becomes integrated in the school district's ongoing operations. This Guide recommends that compliance teams composed of individuals representing major divisions and functions work with the coordinator to ensure ongoing compliance.

THE THREE-PHASE PROCESS

This approach organizes the self-evaluation process into three main phases, which incorporate the five action steps and four principles discussed earlier. The flowchart on [print] page 46 illustrates the three phases of the self-evaluation process:

Phase I: Preliminary planning

Phase II: Evaluating current services, policies, and practices

Phase III: Selecting and implementing modifications

The three phases are not chronologically distinct. Phases II and III, in particular, overlap extensively. Discriminatory policies, practices, and procedures identified in the self-evaluation should be modified immediately, even before the self-evaluation is completed. When barriers to programs and facilities are identified,

nonstructural changes to ensure program accessibility should be made as expeditiously as possible.

Following a brief summary of each phase, Phase I will be discussed in more detail. Each of the remaining chapters of this

Guide (except Chapter 8, _Compliance _Procedures) will conclude with

a discussion of how to conduct Phases II and III so that the requirements presented in those chapters are fully addressed in the self-evaluation process.

PHASE ONE: Preliminary Planning

During Phase I, the designated ADA coordinator is appointed and placed in position with a firm statement of commitment and mission from the senior leadership of the school system (Action Step One). This person becomes thoroughly familiar with the requirements of the regulations through review of materials, training, conversations with peers, and other means, as appropriate.

The coordinator facilitates the definition of the compliance process through which the school system will complete its self-evaluation and transition plan. This will include, for example, determining what group size and membership is appropriate for each task given the school system's size and structure. A compliance team (or several teams) is recruited and oriented to its tasks.

Individuals with disabilities and others from the community are identified and recruited to participate in the self-evaluation

* Print Page 44

process. These might include parents, students, and concerned members of the local community, especially those with disabilities.

The process of planning and implementation is defined by the compliance team or executive committee. Notice is given of the ADA coordinator and the school system's commitment to compliance (Action Step Two). An internal procedure for attempting to address and

resolve grievances stemming from alleged ADA violations is

established (Action Step Three).

Throughout the planning phase, internal coordination occurs to ensure that leaders are aware of and support the steps taken.

PHASE TWO: Evaluating Current Services, Policies, and Practices

During Phase II, Action Steps Four (conducting a

self-evaluation) and Five (developing a transition plan) are initiated. Subcommittees, as assigned, thoroughly investigate how the school system currently operates in each of the areas covered by the regulations and document the situation as it exists. Areas to be examined include nondiscrimination policies and procedures in

programs and activities; employment; accessibility to facilities

where programs, services, and activities occur; and effective communication.

Worksheets are included in the Guide to facilitate this

process. As problems are identified, immediate steps are taken wherever possible to remedy them and achieve compliance. As reports are presented, more complex problems (such as those that may require structural changes or relocation of major programs) are analyzed. Options are clearly defined and possible modifications are identified for consideration.

PHASE THREE: Selecting and Implementing Modifications

During Phase III, Action Steps Four and Five are concluded and procedures for ongoing monitoring to maintain compliance are adopted. Major accomplishments expected during Phase III include the

following:

* Print Page 45

-- A draft version of a transition plan to complete

structural changes is prepared and circulated for comment.

During this phase, staff training and other internal communication must occur to ensure that everyone understands what changes were made and why. Clear and appropriate training and communication will maximize the support and understanding of the school district as a whole and help ensure that violations do not occur because of lack of knowledge. This training and communication must occur on an ongoing basis, since employees change continually. New employees must be routinely familiarized with their part in ensuring continued compliance.

* Print Page 46

PHASE ONE: PRELIMINARY PLANNING

Appoint ADA coordinator.

Gain statement of commitment from school system leadership. Plan compliance process.

Appoint team members.

Orient/train team members.

Refine compliance process.

List all programs, services, and activities.

Collect summary data for listed programs, services, and

activities.

Draft and publish notice.

Draft and publish grievance procedures.

PHASE TWO: SELF-EVALUATION

Audit programs, services, and activities to ensure nondiscriminatory policies and procedures.

Evaluate employment policies and practices.

Evaluate facilities to ensure access to all programs, services, and activities.

Evaluate communications to ensure they are equally effective for persons with disabilities.

PHASE THREE: MODIFICATIONS

Modify discriminatory policies and practices.

Plan for ongoing staff orientation.

Make nonstructural modifications.

Develop transition plan for structural modifications. Make structural modifications.

Develop communications capacity.

* Print Page 47

IMPLEMENTATION

Conducting the Planning Process

This section provides suggestions for conducting the following Phase One activities:

Implementation

Orientation and Project Start-up

The ADA coordinator initiates planning through a series of tasks designed to gain personal familiarity with legal requirements, structure and initiate the compliance process, develop an overview of the school system's programs, and complete initial action steps. These key tasks consist of substeps that may be outlined as follows.

Complete Personal Orientation to the ADA

Structure and Initiate the Compliance Process

Develop Overview of School System's Programs

__Worksheet 3-1 will help you monitor your completion of these initial tasks, which are discussed more fully in the [print] pages that _follow.

_Complete _Personal _Orientation. The ADA coordinator's personal orientation process is extremely important. If you are the ADA coordinator, you will need to understand ADA requirements thoroughly. As coordinator, you should be able to answer questions from others employed by the school system as well as

* Print Page 48

from those who are served by the schools. As you begin to accumulate information, it is important to develop organized and effective filing systems that will help you readily access the information you and others will need. You should also keep careful track of those who have helped you in these initial stages; you will want to maintain a network of well-informed and reliable resources you can contact when specific issues arise. (See _Resources for assistance in developing your network.)

Structure and Initiate the Compliance Process

There is no one correct approach to compliance. Each school system must develop an approach that meets its own needs and those of the community it serves. The following guidance and worksheets, however, may be helpful to you as you plan your approach.

A team approach is key to achieving successful compliance for several reasons. First, to complete the self-evaluation and transition plan, information must be collected from _all of the school system's programs, services, and activities. Clearly, this is too large a task for one person. Second, the transition plan and self-evaluation require varied expertise and specialized skills. A team approach enables individuals with all of the necessary skills to be involved in the compliance process.

One of the important aspects of the ADA coordinator's job is to identify the various players needed for this team effort. While each school system will have its own considerations and requirements regarding team formation, the following criteria should be considered in establishing the compliance team and structure:

1. __Include representatives from all major organizational _units. Each department or other major organizational unit should designate a liaison to the compliance team. Liaisons should participate in overall planning and decision making, collect information regarding their respective departments' policies and practices, inform staff within their departments of ADA requirements, and serve as contact persons for the public within that department.

For large school districts, more than one level of a compliance team may be needed to ensure adequate representation and information flow. There may be three types of teams for larger school systems: an executive committee that directs the compliance effort and makes executive-level decisions related to the process; an ADA compliance team that oversees the effort, setting and monitoring system-wide deadlines for specific activities; and working subcommittees for each functional area of the ADA that address specific components of the self-evaluation (for example, employ-

* Print Page 49

ment, program accessibility, policies and practices, and communication). Depending on your school system's structure, you may want subcommittees to address more than one functional area.

2. __Include persons with special skills and _expertise. Including staff and/or outside parties with skills and expertise in the following areas will be particularly helpful to the team:

In addition, representatives of the following offices or activities are essential:

This list is not intended to be complete; rather, these examples should start you off as you plan your particular approach.

3. _Include _opinion _leaders. Include "opinion leaders" on the compliance team. People who are respected by their colleagues will strengthen cooperation, improve participation during the compliance process, and promote effective institutionalization of the results.

4. __Involve people with _disabilities. Individuals with disabilities are key to achieving ADA compliance for several reasons. First, the regulation requires that you provide an opportunity for people with disabilities and other interested individuals or organizations to review and comment on the self-evaluation and transition plan [28 C.F.R. ? 35.105(b) and 35.150(d)(1)]. Second, involving the end users in the process will generate solutions that are creative and effective. Third, involving people with disabilities in decision-making will strengthen the accountability of the process and ensure wise use of limited public resources.

Simply having a disability does not, in and of itself, guarantee quality input in the self-evaluation process. People chosen to participate should have either disability-oriented expertise or applicable skills that will help address one or more areas of the self-evaluation. An effective participant should be able to repre-

* Print Page 50

sent not only his or her personal perspective, but also that of as broad a constituency as possible within the disability community. The process as a whole should provide for representation of as wide a range of individuals with disabilities as possible.

School systems are often wary of inviting outside parties to participate in reviews such as the self-evaluation. The experience of many school systems, however, has demonstrated that the participation of people with disabilities and disability organizations creates trust and leads to more cost-effective solutions and fewer disputes in the long run.

If you are unsure of how to identify disability organizations to assist in the self-evaluation, federally funded regional Disability and Business Technical Assistance Centers may be able to provide a list of organizations in your area. (See _Resources.) Another approach is to place a notice in the newspaper or on the radio asking local individuals and organizations to participate.

__Worksheet 3-2 will assist you in thinking through and recording membership for compliance teams. Option One is intended for smaller school systems that consist of units that operate fairly independently from one another. It assumes that each unit within the school district will be carrying out all of the tasks associated with the ADA self-evaluation under a unit-specific organizational leader. The worksheet asks for the name of the top policy-maker within each unit and for the liaison to the ADA compliance team who will represent that unit. This may be the same person as the top policy-maker or it may be a designated representative of that person.

__Option Two is intended for larger school districts. This option assumes that there is an executive committee, a compliance team, and functional subcommittees.

__Examples of participants for each group include the _following:

Executive Committee: __Persons with oversight responsibilities for the school system as a whole, such as the personnel director, representatives of the supervisory board (or similar oversight structure), the director of finance, the director of affirmative action/EEO, representatives of key organizations familiar with the needs and concerns of persons with disabilities, and of course, the ADA _coordinator.

ADA Compliance Team: __This team will plan and coordinate the compliance effort, including selecting the approach and worksheets for each area of the self-evaluation. Chaired by the ADA coordinator, this team should have broad cross-

* Print Page 51

cutting representation from all major programs. It is suggested that the team also include persons with disabilities.

__It is also possible to have the executive committee take on the work of the compliance team; however, many school systems may have senior officials who will not have the time required to attend to the details of planning and implementing the compliance _effort.

In addition, some school systems may wish to appoint task-specific subcommittees. These could include the following:

* Print Page 52

Once the ADA compliance team membership has been approved by the senior political and executive leadership, the ADA coordinator should set up an initial team meeting for the executive committee and/or compliance team. In the first meeting it may be useful to provide background information. All team members should receive copies of this self-evaluation guide, the __Americans with Disabilities Act Title II Technical Assistance _Manual and any draft worksheets preselected for use in reviewing current procedures, practices, and services. (To obtain copies of the __Americans with Disabilities Act Title II Technical Assistance _Manual, contact the U.S. Department of Justice. See _Resources.) The team can then proceed to review and revise the proposed compliance work plan. Based on the compliance plan, the team can form any additional committees needed to refine the compliance process, develop or refine assessment tools, and recruit additional participants. The team should also establish a schedule for conducting compliance activities.

Early on, the team should attend an ADA training program, either in-house or off-site. ADA training programs are available from a number of sources. Many entities have people on staff, advisory boards, or commissions and nearby community organizations that can contribute to staff development and training. A variety of outside ADA training opportunities, materials, and consultants are also available. Referrals to training and consulting sources are available through the regional Disability and Business Technical Assistance Centers. (See _Resources.)

A word of caution, however, is in order: An industry of instant experts has sprung up around the ADA. Check references and credentials carefully when selecting ADA training or consultants. For more information, request the "ADA-Related Consultant/Contractor Guidelines" from the Disability and Business Technical Assistance Centers.

Even before the team is assembled, the ADA coordinator will want to draft a compliance process work plan. Once the compliance team is in place, its first major task will be to refine that work plan and, upon approval, proceed to implement it.

__Worksheet 3-3 is intended to help your school district monitor completion of important activities in the self-evaluation _process.

Develop an Overview of School System Programs

Since the compliance team must oversee compliance efforts throughout the school system, team members need a way of "getting the big picture" quickly. Many of them may be thoroughly familiar with their own programs, but not with other programs. One way to gain this familiarity is to ask for prelimi-

* Print Page 53

nary documentation and summaries from each program area. This information will help the team identify potential areas of concern and recognize the unique features of different program areas that must be taken into account as worksheets are developed or adapted for use in the self-evaluation.

Collecting policy and procedures manuals will also provide the team with useful resources as it plans the policies and practices review. At the end of the planning phase, you should have a compilation of the school district's policies in all the various forms in which they may appear--manuals, policy directives, administrative directives, guidance memoranda, and even unwritten policies.

The unit you define as a "program" will depend on the number and complexity of programs and activities within your school system and the extent to which they are similar or different from one another (among other factors). The preliminary information you collect during the planning phase of the self-evaluation process will serve as a convenient summary for future reference.

In addition, the programs, activities, and services you list will be those you intend to audit as units during the self-evaluation process. Some school systems perform this audit by sending survey forms to be completed by the designated contact; others use volunteer interviewers; still others hire consultants. For most school systems, examples of audit areas (besides the delivery of specific educational programs) would include, for example, such diverse areas as security, athletics, food service, public events, student health, counseling, and library services.

__Worksheet 3-4 will help you list, then collect, preliminary information from programs, activities and services throughout your school system. Part I of this worksheet simply asks you to list these programs, activities, and services and indicate a contact person for each (the person to whom you would send the request for information presented in Part II). Part II may be used to provide concise descriptions of programs, activities and services. It may also be used to collect information on policies and procedures used by these programs, activities and _services.

* Print Page 54

Worksheet 3-1

ORIENTATION AND PROJECT START-UP

SCHOOL DISTRICT: ----

NAME (ADA coordinator): ---- ORGANIZATIONAL UNIT: ----

TELEPHONE: ---- DATE: ----

NOTES: ----

Check off each task in the orientation and start-up phase of ADA compliance as it is completed.

-- Reviewed the ADA statute and regulations -- Attended an ADA training program

Provider: ----

Date: ----

-- Reviewed the school system's Section 504 documents and plans -- Discussed compliance with key staff and community leaders

(attach a list)

Date approved: ----

-- Prepared concise descriptions for key programs, activities, and

services

-- Collected and documented policies and practices for key programs, activities, and services

Date implemented: ----

* Print Page 55

Worksheet 3-2

(OPTION 1) COMPLIANCE TEAM IDENTIFICATION

SCHOOL DISTRICT: ----

NAME (ADA coordinator): ---- ORGANIZATIONAL UNIT: ----

TELEPHONE: ---- DATE: ----

NOTES: ----

Use this worksheet (Option 1) to identify your compliance team if you intend to use one central team to direct the self-evaluation.

Compliance team's role or mission in ensuring ADA compliance: ---Meeting frequency/location: ----

Procedures for convening compliance team: ----

In this empty table, columns follow each other in this order: Department or Program: Top Policy Maker; Compliance Team Liaison.

* Print Page 56

Worksheet 3-2

(Option 2) COMPLIANCE TEAM IDENTIFICATION

SCHOOL DISTRICT: ----

NAME (ADA coordinator): ---- ORGANIZATIONAL UNIT: ----

TELEPHONE: ---- DATE: ----

NOTES: ----

Use this worksheet (Option 2) to identify the compliance team if you intend to use an executive committee in addition to a compliance team.

(1) _Executive _Committee, role or mission in ensuring ADA compliance: ---- Meeting frequency/location: ---- Procedures for convening executive committee: ----

In this empty table, columns follow each other in this order: Member Name: Title; Oversight Area; Notes.

* Print Page 57

(2) _Compliance _team, role or mission in ensuring ADA compliance: ---- Meeting frequency/location: ---- Procedures for convening compliance team: ----

In this empty table, columns follow each other in this order: Department or Program: Representative; Special Expertise.

* Print Page 58

Worksheet 3-3

DEFINING AND MONITORING THE COMPLIANCE PROCESS

SCHOOL DISTRICT: ----

NAME (ADA coordinator): ---- ORGANIZATIONAL UNIT: ----

TELEPHONE: ---- DATE: ----

NOTES: ----

List each step in the self-evaluation process identified by the compliance team. Note the associated worksheets selected for use and identified target dates for completion of worksheets. Record the actual date of completion as each activity is finished.

In this empty table, columns follow each other in this order: Compliance Step: Worksheet Number; Completion Date (Target); Completion Date (Actual).

* Print Page 59

Worksheet 3-4

SUMMARIZING PROGRAMS, ACTIVITIES, AND SERVICES

SCHOOL DISTRICT: ----

NAME (ADA coordinator): ---- ORGANIZATIONAL UNIT: ----

TELEPHONE: ---- DATE: ----

NOTES: ----

List all programs, activities, and services and the contact person for providing the information requested on the following [print] page. Send the request for information to the designated contact persons with a cover memorandum that explains its purpose, lists the person to whom the form should be returned, and discusses any other necessary administrative information.

Part 1. List of Programs, Activities, and Services

In this empty table, columns follow each other in this order: Program, Activity, or Service: Contact.

* Print Page 60

Part II. Request for Program, Activity, or Service Summary

__Please provide a concise description of your program area that includes the following basic information. Summaries should be returned to the ADA coordinator by the following _date: ----

Policies and Procedures

1. List and provide copies of basic policies and procedures for your program area. These policies and procedures may be in the form of written policies, manuals, policy directives, guidance memoranda, or even unwritten policies.

Contracting and Staffing

  1. Indicate what role, if any, contractors play in your program area.
  2. Indicate what role, if any, other non-employees play in your program area.
  3. Indicate any unique features of your program area's employment policies and requirements.

Facilities Used by the Program Area

4. Please list all facilities your program area uses. Communications

5. Please indicate briefly how each of the following are used in your program. Of interest is who (in general terms) uses these forms of communication, for what purpose, and approximately how frequently.

6. Please list the normal means by which your program area communicates policies and other key information to staff and to students.

http://www.edlaw.net/service/ada_3.html

 

 

 

Outside Links will Open Up in a New Window
contact us: DBTAC Southwest ADA Center
800-949-4232 or 713-520-0232 v/tty