| SELF-EVALUATION AND TRANSITION PLAN GUIDE
TABLE OF CONTENTS I. Introduction II. Timelines for Implementation III. Models A. Self-Evaluation Process B. Transition Plan Process C. Grievance Procedure and Complaint Form for Discrimination on the Basis of Disability Appendices: A. Notice and Information Access Statement B. Self-Evaluation Checklists: C. ADA Implementation Work Plan AMERICANS WITH DISABILITIES ACT 1. INTRODUCTION The Americans with Disabilities Act (ADA) of 1990, Public Law 101 -336 (42 U.S.C. § 1 21 01 et seq.), guarantees equal opportunity for persons with disabilities in employment, public and private services, transportation, and communications. To achieve this intent, all public agencies are required to complete several administrative measures to ensure compliance with the ADA (42 U.S.C. §12131), including the preparation of a Self Evaluation and Transition Plan (28 Code of Federal Regulations [C.F.R.] Parts 35.105 and 35.150). This means that all policies, programs, services, activities, and/or practices must be reviewed to ensure that they do not discriminate against persons with disabilities. The public agency must then modify, as soon as feasible, any policies, programs, services, activities, and practices that are determined to be inconsistent with ADA requirements. This Self-Evaluation Guide has been prepared by the Department of Rehabilitation. It has no official standing with any federal ADA enforcement agency, but is meant to guide agencies through the necessary steps for compliance with the ADA. Although the ADA regulations do not prescribe a specific format, the models in this guide are designed to assist state government employers and service providers to meet their responsibilities in the preparation a comprehensive Self-Evaluation. This guide contains models, checklists and other suggested for useful for completing the Self-Evaluation and for developing a Transition Plan. The Self-Evaluation and Transition Plan models explain the steps necessary to assure compliance with the ADA Documentation can be accomplished by using the checklists an forms contained in Appendices B. The checklists may be used to review policies, programs, service activities, and practices to determine if changes or modification are required to meet ADA requirements. In addition, Grievance Procedure and Complaint form models are provided which may used for establishing an informal complaint process. The appendices contain a model Notice and Information Access Statement, four Self-Evaluation Checklists, and an ADA Implementation Work Plan for summarizing all changes, modifications or actions that have been identified and determine to be inconsistent with ADA requirements. The Department of Rehabilitation's "Access Guide: Survey Checklist" is recommend for use in the surveying of buildings and facilities. The checklist may be ordered by contacting the Department of Rehabilitation's ADA Implementation Unit at (916) 322-0251 (voice) or (916) 322-1096 (TDD). THE SELF-EVALUATION PROCESS The Self-Evaluation is a process to identify and correct policies, programs, services, activities, and practices which discriminate against persons with disabilities. This Guide includes a number of self-evaluation activities, some of which may be done concurrently. The Self-Evaluation should: 1) Identify all policies, programs, services, activities, and practices of the public agency. These should be evaluated against ADA requirements; 2) Review all the policies that govern the administration of its programs, services, activities, and practices. This includes laws, ordinances, regulations, administrative manuals or guides; policy directives; memoranda; and other practices based on local customs (see Model A: "Self-Evaluation Process," and Appendix B: 'Checklists" 1, 2, 3 and 4). These should be evaluated against ADA requirements; 3) Examine each program to determine whether any physical barriers to access exist, and identify the steps that need to be taken to achieve program access (see Model B: "Transition Plan," Appendix B: "Checklists" 3 and 4); File should include the Transition Plan, a list of interested persons consulted, a description of areas examined and any problems identified including checklists and summaries, and a description of any modifications made or remedial steps taken. TRANSITION PLAN PROCESS As part of the overall Self-Evaluation, a Transition Plan must be developed if any structural modifications are required to achieve program accessibility. The Transition Plan, at a minimum, must contain the following elements: 1) A list of physical obstacles and/or barriers in the public agency's facilities that limit the accessibility of its programs, activities, or services to individuals with disabilities; 2) A detailed outline, describing the methods that will be used to correct, eliminate, or modify these obstacles; 3) A schedule for taking the necessary steps to achieve compliance, including costs and timelines; 4) If the time period for achieving compliance is more than one year, the plan should identify the interim steps that will be taken during each year of the transition period; and 5) The name of the official responsible for the plan's implementation. After the completion of the Self-Evaluation, the public agency should take immediate remedial action to eliminate the impediments to full and equal participation. The Transition Plan was due July 26, 199 however, public agencies had until January 26, 1995 to complete structural modifications required to achieve program access. Identified barriers must be removed as expeditiously as possible. Public agencies that employ 49 or fewer employees are not require to meet ADA Self-Evaluation public inspection requirements. [NOTE: Under Section 504 of the Rehabilitation Act of 1973, if a agency receives federal funds and employs 1 5 or more persons, it must maintain on file both the Self-Evaluation and Transition Plan public inspection for three years; see page 4, item h. The key to developing a quality Transition Plan is a comprehensive survey of all buildings and facilities. A companion document to the Title II - Self-Evaluation Guide title "Access Guide: Survey Checklist has been developed by the Department of Rehabilitation. The checklist has been designed to be used to determine compliance with the state and federal regulations for making facilities accessible to people with disabilities. The Department of Rehabilitation (DR) can provide training for state entities on how to do an access site survey. The training includes a basic overview of access regulations and a workshop with a hands-on, step-by-step approach to the site evaluation process. In addition to training, DR may be able to provide names of individuals throughout California (Community Access Network [CAN] volunteers) who have been trained in access standards and their application. Many of the CAN volunteers work with local building departments on code interpretation and develop solutions for unique access problems in both new construction and remodel situations. To request training or the name of a CAN volunteer, please call the ADA Implementation Unit at (916) 322-0251. It should be noted that CAN volunteers are not state employees, but knowledgeable private citizens. They may only be available on a part-time basis and in some communities there may be no volunteers available. CONSULTATION WITH PERSONS WITH DISABILITIES A key philosophical element of the ADA is the inclusion and participation of persons with disabilities in the Self-Evaluation and Transition Plan process. This involvement is important because it not only helps to identify problems, physical obstacles and/or barriers, but may provide creative solutions to overcome them. Persons with disabilities can be drawn from the existing staff of the agency (e.g., Disability Advisory Committee [DACI), disability organizations, or the community at large. One recommended method is to establish a Disability Advisory Review Team (DART) that would assist the public agency in developing the Self-Evaluation and Transition Plan. NOTICE TO THE PUBLIC The ADA requires all public agencies to provide information on the requirements of Title 11 to applicants, participants, beneficiaries, and other interested persons. The notice must explain the applicability of Title 11 to the public agency's programs, services, and activities. Methods to provide this information include: 1) Publishing information in handbooks, manuals, and pamphlets distributed to the public which describe a public agency's programs, services, and activities; 2) Displaying informative posters in service centers and other @ public places; and/or 3) Broadcasting information by television or radio. The notice must comply with the effective communication requirements of Title II, including alternative formats, as appropriate (see Appendix A: "Notice and Information Access Statement"). All departments which receive federal funds have been required to address accessibility issues since the implementation of Sections 503 and 504 of the Rehabilitation Act of 1973. Since most Section 504 evaluations were done from five to twelve years ago, the U.S. Department of Justice recommends that public agencies reexamine all programs and policies. The passage of the Americans with Disabilities Act provides a "second chance" to remedy program access problem areas. In summary, the ADA has been described not as a solution, but as a foundation on which to build solutions. The Self-Evaluation and Transition Plan process, when completed, provides a framework to ensure equal opportunity for persons with disabilities in public sector services and employment. SELF-EVALUATION AND TRANSITION PLAN GUIDE PART II TIMELINES FOR IMPLEMENTATION TITLE I: 1: July 26, 1992, Employers of 25 or more employees. TITLE II: July 26, 1994, Employers of 15 or more employees. August 26, 1990, Purchase or lease of new PUBLIC SECTOR buses, intercity/over-the-road buses, or rail cars for fixed route or intercity rail. TITLE III: PRIVATE SECTOR January 26, 1992, State and local government and public transportation. July 26, 1992, Transition Plans completed. January 26, 1993, Self-Evaluation Plans completed. January 26, 1995, Structural obstacles identified in a Transition Plan must be corrected and changes implemented. January 26, 1992, Provide readily achievable access. January 26, 1992, Remodels to be accessible. January 26, 1993, New facilities occurring by this date must be accessible. July 26, 1996, Large providers are to have new intercity/over-the-road accessible. (Possibility of one year by the President). July 26, 1997, Small providers are to have new intercity/over-the-road accessible. (Possibility of one year by the President). TITLE IV: July 26, 1993, Telecommunication Communications Services Enforcement. TITLE V: MISCELLANEOUS July 26, 1992, General enforcement SELF-EVALUATION AND TRANSITION PLAN GUIDE MODEL A Self -Evaluation Process AMERICANS WITH DISABILITIES ACT MODEL The Self-Evaluation is a process to evaluate and determine if an agency's policies, programs, services, activities, and practices discriminate against persons with disabilities. This model is a suggested multi-step process for achieving compliance. The Self-Evaluation should also include a plan for correction of programs, services, activities, and practices found to be inconsistent with ADA requirements. STEPS GENERAL PROVISIONS 1) Identify a department-wide ADA Coordinator. ADA Title 11 regulations require each agency to identify a person to coordinate all ADA activities. 2) Obtain department commitment. Prepare and distribute a letter from the Director/Executive Officer affirming the agency's commitment to implementation of the ADA, including the Self-Evaluation and Transition Plan process. 3) Designate ADA liaisons. Designate one or more persons from each division or key program to serve as the ADA Liaison for that division/ program. These individuals should be knowledgeable in the activities of the division/program and able to invest the time necessary for their ADA assignment. Liaisons may also serve on a departmental ADA coordination committee. 4) Establish an agency Disability Advisory Review Team (DART). Appoint interested individuals, including individuals with disabilities to serve on an agency DART. The group will work with the ADA Coordinator and ADA Liaisons review and evaluate programs. Members should have an understandinging of the ADA and other disability issues. 5) Conduct orientation/training on overall ADA requirements. Provide orientation on the Evaluation and Transition I requirements to department management, program ADA Liaisons, the DART, and se others. 6) Review the Self-Evaluation and Transition Plan process. Organize and summarize the results of the checklists. Analyze each policy, program, s activity, and practice to determine they adversely affect the full participation of persons with disabilities. This includes laws, ordinances, regulations, policy directives, memoranda, and local customs. Documentation can be accomplished by using the attach checklists and forms. Summarize each result to determine changes or modifications are to meet ADA requirements (Appendix B: Checklists 1, 2,) 7) Establish timeliness Establish timelines for completing and implementing the Self-Evaluation and Transition Plan. 8) Begin ADA process (for specific Transition Plan details -- see Model B and Appendix C). Although part of the overall SelfEvaluation, the Transition Plan is a separate process which may require identifying individuals (e.g., DART) who will oversee the Transition Plan process and coordinate implementation of corrective actions, if necessary. This process may also require training additional personnel to conduct site surveys of buildings and facilities to identify physical obstacles and access barriers. 9) Collect data on department' programs and employment processes. Division/program liaisons should oversee completion of checklists relevant to agency programs, services, activities in their areas. Checklists should be reviewed and a consolidated program/activity report should be compiled by the liaison. This report should briefly describe all functions/activities of the respective division or program. It should also identify those policies, programs, services, activities, and practices which are discriminatory and in conflict with ADA regulations. 10) Submit data on: a) Self-Evaluation; department's programs and employment practices; and b) Transition Plan - Site Survey Access Summaries. 1) DART develops recommendations. 2) Submit DART's SelfEvaluation and Transition Plan recommendations to Director/Executive Officer. GENERAL PROVISIONS Liaisons should submit their consolidated reports to the ADA Coordinator who will organize and distribute them to the DART Meeting to review the reports be scheduled. Liaisons and other operational personnel should review the reports and be available to answer questions related to their findings. The DART should develop one or recommendations for each issue/ identified in both the Self-Evaluation and Transition Plan which need change or correction. The ADA Coordinator recommendations to the Executive Officer for approval. If clarification or there is disagreement or recommendation, a meeting DART should be arranged to seek understanding and/or agreement. 13) Develop implementation plan for both the Self-Evaluation and Transition Plans. The appropriate department unit reviews the accepted recommendations, identifies costs, develops an implementation work plan, and set, timeliness Cost estimates and implementation plans should be submitted to the ADA Coordinator. (For format see Appendix C) 14) Summarize plans and costs and submit to Director/ Executive Officer. Individual implementation plans should be consolidated into one overall department ADA Implementation Work Plan. The plan and cost summary should be put in the agency ADA Self Evaluation and Transition Plan file. Submit to department's Director/Executive Officer. 15) Review implementation work plan and direct preparation of budget requests, if necessary. The Department's Director/Executive Officer reviews the ADA Implementation Work Plan and directs appropriate operational units to prepare a budget for addressing changes, if necessary. 16) Assign recommendations to appropriate staff. The Director/Executive Officer accepts and signs the final recommendations. Appropriate staff are then assigned responsibility for reviewing the recommendations and developing necessary changes in policies, programs, services, activities, and practices. 17) Begin Changes/Modifications Identified in the Implementation Work Plan, Track Implementation and Prepare Reports. The ADA Coordinator maintains the ADA Self-Evaluation file (including cost summary and schedule for correction), answers inquires, tracks implementation progress, prepares periodic progress reports, and organizes meetings as needed. 18) Monitor progress. Establish a process to monitor implementation of the overall Self Evaluation and ongoing ADA compliance. SELF-EVALUATION AND TRANSITION PLAN GUIDE MODEL A Self -Evaluation Process AMERICANS WITH DISABILITIES ACT MODEL The Self-Evaluation is a process to evaluate and determine if an agency's policies, programs, services, activities, and practices discriminate against persons with disabilities. This model is a suggested multi-step process for achieving compliance. The Self-Evaluation should also include a plan for correction of programs, services, activities, and practices found to be inconsistent with ADA requirements. STEPS GENERAL PROVISIONS 1) Identify a department-wide ADA Coordinator. ADA Title 11 regulations require each agency to identify a person to coordinate all ADA activities. 2) Obtain department commitment. Prepare and distribute a letter from the Director/Executive Officer affirming the agency's commitment to implementation of the ADA, including the Self-Evaluation and Transition Plan process. 3) Designate ADA liaisons. Designate one or more persons from each division or key program to serve as the ADA Liaison for that division/ program. These individuals should be knowledgeable in the activities of the division/program and able to invest the time necessary for their ADA assignment. Liaisons may also serve on a departmental ADA coordination committee. 4) Establish an agency Disability Advisory Review Team (DART). Appoint interested individuals, including individuals with disabilities to serve on an agency DART. The group will work with the ADA Coordinator and ADA Liaisons review and evaluate programs. Members should have an understandinging of the ADA and other disability issues. 5) Conduct orientation/training on overall ADA requirements. Provide orientation on the Evaluation and Transition I requirements to departmert management, program ADA Liaisons, the DART, and se others. 6) Review the Self-Evaluation and Transition Plan process. Organize and summarize the results of the checklists. Analyze each policy, program, s activity, and practice to determi they adversely affect the full participation of persons with disabilities. This includes laws, ordinances, regulations, policy directives, memoranda, and local customs. Documentation can be accomplished by using the attach checklists and forms. Summarize each result to det changes or modifications are to meet ADA requirements (s Appendix B: Checklists 1, 2, 7) Establish timeliness Establish timelines for completing and implementing the Self-Evaluation and Transition Plan. 8) Begin ADA process (for specific Transition Plan details -- see Model B and Appendix C). Although part of the overall Self Evaluation, the Transition Plan is a separate process which may require identifying individuals (e.g., DART) who will oversee the Transition Plan process and coordinate implementation of corrective actions, if necessary. This process may also require training additional personnel to conduct site surveys of buildings and facilities to identify physical obstacles and access barriers. 9) Collect data on department' programs and employment processes. Division/program liaisons should oversee completion of checklists relevant to agency programs, services, activities in their areas. Checklists should be reviewed and a consolidated program/activity report should be compiled by the liaison. This report should briefly describe all functions/activities of the respective division or program. It should also identify those policies, programs, services, activities, and practices which are discriminatory and in conflict with ADA regulations. 10) Submit data on: a) Self-Evaluation; department's programs and employment practices; and b) Transition Plan - Site Survey Access Summaries. 1) DART develops recommendations. 12) Submit DART's SelfEvaluation and Transition Plan recommendations to Director/Executive Officer. Liaisons should submit their consolidated reports to the ADA Coordinator who will organize and distribute them to the DART. meeting to review the reports be scheduled. Liaisons and ot operational personnel should p the reports and be available to ans questions related to their findings. The DART should develop one or recommendations for each issue/ identified in both the Self-Evaluat and Transition Plan which need change or correction. The ADA Coordinator su recommendations to the Executive Officer or his/t for approval. If clarificati or there is disagreement r recommendation, a meetii DART should be arranged to seek;t@ understanding and/or agreement. 13) Develop implementation plan for both the Self-Evaluation and Transition Plans. The appropriate department unit reviews the accepted recommenda. tions, identifies costs, develops an implementation work plan, and set,, timeliness Cost estimates and implementation plans should be submitted to the ADA Coordinator. (For format see Appendix C) 14) Summarize plans and costs and submit to Director/ Executive Off icer. Individual implementation plans should be consolidated into one overall department ADA Implementation Work Plan. The plan and cost summary should be put in the agency ADA SelfEvaluation and Transition Plan file. Submit to department's Director/ Executive Off icer. 15) Review implementation work plan and direct preparation of budget requests, if necessary. The Department's Director/Executive Officer reviews the ADA Implementation Work Plan and directs appropriate operational units to prepare a budget for addressing changes, if necessary. 16) Assign recommendations to appropriate staff. The Director/Executive Officer accepts and signs the final recommendations. Appropriate staff are then assigned responsibility for reviewing the recommendations and developing necessary changes in policies, programs, services, activities, and practices. 17) Begin Changes/Modifications Identified in the Implementation Work Plan, Track Implementation and Prepare Reports. The ADA Coordinator maintains the ADA Self-Evaluation file (including cost summary and schedule for correction), answers inquires, tracks implementation progress, prepares periodic progress reports, and organizes meetings as needed. 18) Monitor progress. Establish a process to monitor implementation of the overall SelfEvaluation and ongoing ADA compliance. SELF-EVALUATION AND TRANSITION PLAN GUIDE MODEL B Transition Plan Process AMERICANS WITH DISABILITIES ACT As part of the overall Self-Evaluation, public agencies may be required to develop a Transition Plan to identify physical obstacles and access barriers in buildings and/or facilities. The following is a multi-step process to assist in achieving program access. STEPS GENERAL PROVISIONS 1) Designate: a) A coordinator for the Transition Plan process (this can be the same person as the SelfEvaluation Coordinator); and b) A Transition Plan Committee. ADA Title 11 regulations require each agency to identify a person to coordinate all ADA activities (see SelfEvaluation Model). Identify a committee of interested individuals, including persons with disabilities (e.g., DART), to work with the ADA coordinator to review, survey, and evaluate buildings and facilities for program accessibility. This committee will be responsible for developing recommendations and implementation of the Transition Plan. 2) Survey buildings and facilities for access. Identify and train individuals who will do actual site surveys. Documentation can be accomplished by using a: (a) Physical Access Checklist; Access Guide: Survey Checklist (DR 201 1) This checklist is keyed to codes and standards foun, of the California Code of F (CCR), and the ADA Title regulations (ADAAG; 28 U.S.C. §36.101 et seq.). 3) Summarize the access problems. Access checklists should be summarized into one document t record each building and facility. documentation must be retained file with the Department's Transil Plan. 4) Describe the methods that will be used to make facilities and buildings accessible. This includes structural changes, as the addition of ramps, levered 0 hardware, Brailled or raised letter signage, handrails, or any other alteration. SELF-EVALUATION AND TRANSITION PLAN GUIDE MODEL C Grievance Procedures and Complaint Form for Discrimination on the Basis of Disability AMERICANS WITH DISABILITIES ACT MODEL GRIEVANCE PROCEDURE Individuals, or a specific class of individuals, who believe that they have been subject to discrimination on the basis of disability by a public agency may file a complaint within 180 days of the date of the alleged discrimination with the appropriate federal enforcement agency. The ADA, 28 [C.F.R.] Part 35.107, requires public agencies that employ 50 or more persons to establish an informal grievance procedure for resolution of complaints. All public agencies are encouraged to establish an informal grievance procedure for prompt internal resolution of complaints. Alternative means of dispute resolution, such as fact-finding, conciliation and mediation may also be used in the informal process. Each public agency should have their grievance procedure reviewed by its legal staff prior to final adoption to assure it is in compliance with any applicable state or local laws, regulations, and labor relations agreements. The American with Disabilities Act prohibits discrimination on the basis of disability. The use of an internal grievance procedure is not required before filing other administrative or judicial remedies. Formal filing of a complaint with the appropriate federal enforcement agency may be done at the same time as the filing of an internal grievance. SAMPLE NOTICE The public agency I has adopted an internal grievance proce prompt and expeditious resolution of complaints alleging any prohibited by the Americans with Disabilities Act. Complaints should be addressed to: (name, title and address). Grievance Procedure: She has been designated to coordinate ADA compliance effort and may be reached at their home / TDD number 1 ) A complaint shall be filed in writing. It must contain the address and telephone number of the person filing (complainant), and a brief description of the alleged violate must be signed by the complainant or by someone authori to do so on the complainant's behalf. The complainant sh promptly notified of the receipt and acceptance of the complaint. 2) An investigation shall be conducted within ( days) after complaint is filed. A complainant shall have the right to an informal complaint presentation of their complaint within a reasonable amount time. 3) A written decision, after full consideration with a process for resolution of any problems (name Person and title). A copy shall be forwarded to the complainant. Please note that complainants have only 180 days to file with the enforcement agency. Therefore, the Grievance process should be (e.g., 60 days). 4) The ADA coordinator shall maintain the confidentiality of all files and records relating to complaints filed, unless disclosure is authorized or required by law. 5) The complainant may request within ( days) a reconsideration of the case in instances where s/he is dissatisfied with the resolution. 6) Any retaliation, coercion, intimidation, threat, interference, or harassment for the filing of a grievance, or used to restrain a complainant from filing, is prohibited and should be reported immediately to the ADA Compliance Coordinator. 7) Complainant may be represented. AMERICANS WITH DISABILITIES ACT COMPLAINT FORM FOR ALLEGED DISCRIMINA ON THE BASIS OF DISABILITY DATE: Complainant's Name: Phone #: ( Address:
Describe the alleged discriminatory action in sufficient detail to your complaint clear. Attach additional pages, if necessary: Signature of (check one): Complainant(s) Authorized representative(s) Signature Date SELF-EVALUATION AND TRANSITION PLAN GUIDE APPENDIX A Notice and Information Access Statement AMERICANS WITH DISABILITIES ACT Title II of the Americans with Disabilities Act requires public agencies to include a statement of nondiscrimination on materials or publications containing general information. The statement of nondiscrimination should appear on pamphlets, brochures or notices describing programs, benefits, services or employment opportunities, SAMPLE NOTICE Policy of Nondiscrimination on the Basis of Disability and Equal Employment Opportunity Statement The (public agency does not discriminate on the basis of disability in employment or in the admission and access to its programs or activities. (name, title and address of the employee) has been designated to coordinate and carry out this agency's compliance with the nondiscrimination requirements of Title 11 of the Americans with Disabilities Act (ADA). Information concerning the provisions of the ADA, and the rights provided thereunder, are available from the ADA Coordinator. APPENDIX B. 1 AMERICANS WITH DISABILITIES ACT ADMINISTRATIVE CHECKLIST This checklist may be used to assess an agency's compliance with the administrative requirements of the Americans with Disabilities Act. Public notification Public agencies must notify beneficiaries, interested persons and employees that they do not discriminate on the basis of disability. All such notices must be accessible to those with impaired vision and hearing. Recruitment materials or publications for program participants, beneficiaries, applicants, and employees must contain an appropriate nondiscrimination statement. This applies as of Jan. 26, 1 992. Required only of public agencies that employ 50 or more persons. A grievance procedure for the submission and Grievance resolution of complaints Procedures must be established as of Jan. 26, 1992. Self -Evaluation A self-evaluation of programs and activities must be completed by Jan. 26, 1993. Transition Plan A transition plan outlining necessary structural changes must be completed bv July 26, 1992. Establish Time- Establish timelines for lines policy, program, service and structural/facility changes. Develop a detailed outline of methods to be used. If the time period for achieving compliance is longer than one year, a description of the interim steps to be taken each year of the transition period should be specified. Required onlv of public agencies that employ 50 or more persons. Maintenance of Both the Self-Evaluation files and Transition Plan shall be retained by a public agency for at least three (3) years and be made available for public inspection: a) A list of persons consulted; b) A description of policies and practices examined and problems identified; and c) A description of the methods and/or modifications used to remove the barriers and make the facilities accessible with timetables for achieving compliance. Completed by: I certify that the foregoing statements are true and correct to the best of my understanding: Name Title Required only of public agencies that employ 50 or more persons. Phone Number Date SELF-EVALUATION AND TRANSITION PLAN GUIDE APPENDIX B.2 Employment AMERICANS WITH DISABILITIES ACT EMPLOYMENT CHECKLIST This checklist may be used to assess an agency's employment policies and practices to ensure compliance with the Americans with Disabilities Act (ADA). 1 ) JOB DESCRIPTIONS: Written job descriptions should be reviewed to ensure that they accurately reflect the essential functions of the job. (Employers may want to initially revise job descriptions for those classifications that (1) have the highest rate of worker injury, (2) have the highest rate of worker turnover, (3) are the most difficult to fill, and (4) are likely to generate discrimination complaints or litigation). YES NO (a) Do you have job descriptions developed for each type or class of position? (b) Do your job descriptions clearly identify the essential functions (essential functions are those tasks associated with a position and essential to its central purpose)? 2) CONTRACTS AND OTHER BUSINESS ARRANGEMENTS: All contracts and other business arrangements or relationships (such as with employment or referral agencies, labor unions, or organizations that provide benefits, training, or apprenticeship programs) should be carefully reviewed to determine if they comply with the ADA. YES NO (a) Have you ensured that your agency's contractual or other business relationships do not discriminate against qualified applicants or employees with a disability? -8.2.1- APPENDIX 8.2 (b) Have you informed all of your contractors of their obligations under the ADA? (c) Have you included a standard contract compliance clause? (d) Have you established a system to monitor and ensure ongoing contract compliance? 3) WRITTEN POLICIES - All employment policies should be reviewed to determine that rules, procedures, and practices comply with the ADA. YES NO (a) Are your agency's policies free from discriminatory treatment of non-disabled applicants or employees who have family members, associates, or friends with a disability (e.g., recruiting, applying, hiring, job training, upgrading, promotion, award of tenure, demotion, transfer, layoff, termination, right of return from layoff, rehiring, compensation, benefits, and other terms, conditions, and privileges of employment)? (b) Have you reviewed your agency's employment practices to make sure that they do not limit, segregate or classify job applicants or employees in ways that adversely affect their opportunities or status because of a disability? (c) Have you reviewed your agency's policies and operating practices to make sure that they do not adversely affect or limit the advancement or promotion of persons with disabilities? -B.2.2- APPENDIX 8.2 (d) Have you reviewed your agency's policies and practices to make sure that they do not adversely affect rates of pay, any other form of compensation or changes in compensation of job applicants or employees with disabilities? 4) RECRUITMENT AND ADVERTISING: All procedures used in recruiting, advertising and selecting employees should be reviewed to determine if they comply with the ADA. YES NO (a) Are your job advertisements and/or announcements accessible to persons with hearing and/or vision impairments (e.g., newspaper advertising may only reach persons who can see and read. Radio advertising may only reach persons who can hear)? (b) If your job advertisements provide only a telephone number, but no address, have you included a TDD (telecommunication device for the deaf) number? (c) Are your recruitment offices accessible for persons with disabilities to receive information regarding vacancies? (d) Are your job announcements, advertisements, and other recruitment notices located in accessible areas and available in alternative formats (e.g., Braille, large print and cassette)? (e) Do you have a mechanism in place to handle requests for reasonable accommodation specific to the application and interview process, and is it advertised? -B.2.3- APPENDIX 8.2 5) TERMINOLOGY: All written and expressed references to persons with disabilities should be reviewed to ensure that language and portrayal create an appropriate view of persons with disabilities. YES NO (a) Have you reviewed your forms, reports, personnel manuals, and other documents to ensure that the terminology and characterizations used portray persons with disabilities in an appropriate non-derogatory manner? (b) Do your office policies promote a productive, integrated working environment by eliminating characterizations, jokes, or other references that are likely to be considered derogatory, stereotyping, or otherwise objectionable by persons with disabilities? (c) Does your agency offer opportunities for management and staff to attend sensitivity or disability awareness training? (d) Does your agency consult with their Disability Advisory Committee in updating/reviewing materials to ensure use of appropriate terminology? 6) APPLICATION FORMS: All job application forms should be reviewed to eliminate any potential discriminatory questions about disability and/or medical status. YES NO (a) Are your application procedures and interview processes available in accessible formats, (e.g., cassette versions of written materials for persons with impaired vision, written materials and sign language interpreters for those with hearing impairments, and personal assistance for persons with manual impairments)? -B.2.4- APPENDIX 8.2 (b) If written applications are required, do you provide an alternative for persons who, because of their disability, may be unable to communicate in usual ways (e.g., mail-in, assistance to complete the application by a staff person or large print)? (c) Have you reviewed ALL employment application forms and removed any questions that: YES NO (1) Ask whether an applicant has a disability or a medical condition (physical or mental)? (2) Ask about a history or record of disability or medical condition (e.g., cancer or heart disease)? (3) Ask whether the applicant has been treated for drug addiction or alcoholism? (4) Ask whether the applicant has filed a workers' compensation claim or has a workers' compensation history? 7) INTERVIEWING PROCESS: Inquiry into the nature or existence of a disability during a job interview is prohibited. All job interviews should focus on the ability of an applicant to perform the essential functions of the job. When an applicant discloses a disability, the interviewer can ask what accommodations s/he knows will be necessary. -B.2.5- APPENDIX 8.2 Use the job interview to obtain any appropriate information about background qualifications or other personal qualities of an applicant in relation to the requirements of a specific job. Eliminate any discriminatory questions about disability and/or medical status. Inquiries or requests to demonstrate how a person would perform a specific task are permitted. YES NO (a) Are interview personnel trained in the agency's ADA compliance obligations? (b) Are the same interview questions asked of all job applicants for like positions? (c) Are interview questions reflective of the essential functions of the job and how the applicant would perform those functions? 8) QUALIFICATIONS, TESTS, AND SELECTION CRITERIA: All qualification standards, employment tests or other selection criteria should be reviewed to ensure that they are job-related for the position in question. They must accurately reflect a person's job skills, aptitudes, or other criteria the tests are intended to measure, and be consistent with business necessity. If you administer written employment tests: YES NO (a) Are identical qualification standards, employment tests, or other selection criteria used for all applicants for a job or class of jobs? (b) Do you provide alternative formats (e.g., large print, qualified readers, Braille)? -8.2.6- APPENDIX B.2 (c) Do the test results accurately reflect the skills and/or aptitude that the particular test purports to measure (e.g., the ability to read may not be an essential job function if a visually impaired employee could transcribe from a cassette)? (d) Do the test results accurately reflect the ability of the applicant to perform the essential functions of the job (e.g., do you require a valid driver's license when the ability to drive may not be an essential job function)? 9) MEDICAL EXAMINATIONS: The ADA recognizes that employers may need to conduct medical examinations to determine if an applicant can perform certain jobs effectively and safely. Examinations may be required only after a conditional offer of employment has been made. Any examination or inquiry must be job-related, required of all persons entering a job category, and justified by business necessity. If a medical examination is required: YES NO (a) Is it required of all employees entering a specific class of jobs regardless of disability? (b) Is a job description provided to the examining physician to assist in determining the employee's fitness to perform the essential functions of the job? (c) Have you provided guidance to ensure that physicians limit their comments to those related to the individual's fitness and ability to perform the essential functions of the job? -B.2.7- APPENDIX B.2 10) MEDICAL RECORDS: All information obtained from post-offer medical examinations and inquiries must be collected and maintained on separate forms, in separate medical files, and must be treated as confidential. YES NO (a) Are employee's medical records kept confidential? (b) Are employee's medical records kept physically separate from personnel files? (c) If medical information has been used to disqualify candidates, have you determined the medical examination results to be job-related and consistent with business necessity? 1) MEDICAL EXAMINATIONS OF CURRENT EMPLOYEES: Employers are permitted to make periodic inquiries or require medical examinations (fitness for duty exams) when there is a need to determine whether an employee is still able to perform the essential functions of his/her job. These must be required by medical standards or by requirements established by federal, state, or local law, and must be job-related and consistent with business necessity. Employers are also permitted to make inquiries or require medical examinations necessary to the reasonable accommodation process. If you have a policy which requires medical examinations of current employees, is the examination: YES NO (a) Specific to safety and/or health factors which are job-related and consistent with business necessity (e.g., yearly examinations for nurses or health care professionals)? -B.2.8- APPENDIX 8.2 (e) Is the reasonableness of the request assessed in terms of effectiveness and equal opportunity, including how well it accommodates the needs of the person with a disability? (f) If medical substantiation is required to support the reasonable accommodation request, is it based on a real need for information and not arbitrarily imposed (under the ADA, an employer MU request documentation of the need for the accommodation to accompany the request)? (g) Do you look for accommodation solutions by encouraging suggestions from the individual who requested the accommodation, or by consulting with outside authorities or agencies (e.g., the state Department of Rehabilitation; the Job Accommodation Network [JAN], organizations of persons with disabilities)? (h) Do you have specified funds set aside to facilitate meeting an employee's reasonable accommodation request? 13) N@OTICES: An employer must post notices concerning the nondiscrimination provisions of *Lhe ADA, grievance procedures, and,the process to request a reasonable accommodation. All notices, job announcements, advertisements, and other recruitment notices should be accessible to persons with visual or other reading impairments. YES NO (a) Are they posted in conspicuous locations in your workplace? (b) Are they available in an alternative format (e.g., large print, Braille, audio cassette)? -B. 2. 1 0- APPENDIX 8.2 14) FRINGE BENEFITS: Employees with disabilities are entitled to benefits that are the same as, or equal to, those provided for employees who do not have disabilities. YES NO (a) Have you reviewed medical, accident, life and other insurance benefits; retirement benefits; pension plans, and other fringe benefits to ensure that they are not discriminatory to persons with disabilities? (b) Do you provide transportation for your employees? Is it accessible to persons with disabilities? 15) SOCIAL AND RECREATIONAL ACTIVITIES: All employment activities sponsored or provided by the employer must be accessible. YES NO Are the social and recreational activities your agency sponsors or provides accessible to employees with disabilities? 16) GRIEVANCES AND COMPLAINTS: Title I of the ADA is enforced by the EEOC. The EEOC encourages efforts be made to settle any differences or disputes through informal negotiations and mediation procedures, provided that such efforts do not deprive any individual of legal rights granted by the ADA. YES NO (a) Has your agency adopted, published and advertised grievance procedures that incorporate due process standards and provide for prompt and equitable resolution of complaints of discrimination? -B.2.1 1 - APPENDIX 0.2 (b) Has your agency designated a person to coordinate the agency"s grievance process? (c) Does your agency have an informal alternative dispute resolution or mediation process? (d) Does your agency have a grievance appeals process? Completed by: I certify that the foregoing statements are true and correct to the best of my understanding: Name Title -8.2.12- Phone Number Date SELF-EVALUATION AND TRANSITION PLAN GUIDE APPENDIX B.3 Program Access AMERICANS WITH DISABILITIES ACT PROGRAM ACCESS CHECKLIST Public agencies subject to TITLE 11 of the ADA must complete a SelfEvaluation by January 26, 1993. A Self-Evaluation is an assessment of a public agency's programs and should include a corrective plan for any policies and practices found to be inconsistent with ADA requirements. This checklist may be used to assess whether an agency's programs, when viewed in their entirety, are accessible to persons with disabilities. A. GENERAL REQUIREMENTS: YES NO (1) Has your agency conducted a Self-Evaluation within one year of January 26, 1 992 to determine if its policies, programs, services and practices are accessible to persons with disabilities? (2) Has your agency designated at least one employee to coordinate efforts to comply with and carry out responsibilities under the ADA? (3) Has your agency made available to all interested individuals the name, address, and telephone number of the employee or employees designated to coordinate agency responsibilities under the ADA? (4) Has your agency included participation by persons with disabilities (or their representatives) in the completion of the Self-Evaluation and Transition Plan? (5) Has your agency established a process for monitoring implementation progress of the overall Self-Evaluation and Transition Plan? -B.3. I- APPENDIX 8.3 (6) Has your agency taken steps to ensure that all employees and consumers have been instructed and notified regarding their rights under the ADA? (7) Has- your agency provided information to the. public, in an accessible format, explaining its policy to provide accessible policies, programs, services or activities, and practices? (8) Have you ensured that written and/or audiovisual materials portray persons with disabilities in an appropriate manner? (9) Has your agency reviewed all categories of services to make certain that descriptive written materials include a notice of non-discrimination? (10) Has your agency adopted and published grievance procedures that incorporate due process standards and provide for prompt and equitable resolution of complaints of discrimination related to disability? B. POLICY REQUIREMENTS: YES NO (1) Does your agency have evacuation procedures for persons with disabilities in case of emergency? (2) Does your agency have a policy and process to train personnel on the requirements of the ADA? -B.3.2- APPENDIX 6.3 (3) Has your agency reviewed its written policies and procedures, and its current practices for each program, service, and/or activity to ensure nondiscrimination on the basis of disability? (4) Has your agency identified policies to be modified and developed a plan for implementation? (5) Has your agency justified any exclusionary or limiting policies for which no reasonable accommodation is possible? (6) Do your Policies ensure that persons with mobility and/or sensory impairments are provided auxiliary aids or accommodations to fully participate in programs, services and activities? For employers with 50 or more employees, for at least three years following the completion of the self-evaluation: (7) Does your agency maintain on file and make available for public inspection: YES NO (a) A list of persons consulted? (b) A description of areas examined and any problems identified? (c) A description of any modification made? -B.3.3- C. RECRUITMENT AND ADVERTISEMENT: YES NO (1) Are your agency's publications, service announcements, and advertisements available in alternative formats (e.g., large print, cassette, Braille, captioned)? (2) Are recruitment and all other organizational meetings, presentations, and/or conferences held in accessible facilities? 8.3 (3) Does your agency have a policy and procedure for responding to requests for reasonable accommodation specific to the recruitment process? D. PROGRAM ACCESSIBILITY: YES NO (1) Does your agency administer its programs, services and activities in the most integrated setting possible? (2) Have program eligibility requirements been reviewed to ensure that they do not screen out or impose unnecessary requirements on persons, or a class of persons, with disabilities (e.g., requirements for residency, health, skill levels)? (3) Does your agency have a policy which offers alternative methods for receiving, completing, or meeting the admission requirements (e.g., telecommunication device for the deaf (TDD) for pre-recorded messages; or large print materials)? -B.3.4- APPENDIX B.3 (4) Does your agency provide admission standards, tests, licensing and certification information in alternative formats (e.g., cassettes, Braille, reader available)? (5) Does your agency offer auxiliary aids or accommodations to potential participants and/or consumers with disabilities? (6) Has your agency reviewed its programs and/or services to make certain that an ongoing method to provide notification, and information, in accessible formats, is available to those with sensory impairments? E. COMMUNICATION ACCESS: YES NO (1) Has your agency reviewed its policies to ensure that its communications with persons with disabilities are as effective as its communications with others? (2) Does your agency conduct business or provide services or information by telephone to beneficiaries or the general public? YES NO If yes, is a telecommunication device for the deaf (TDD) or other equally effective system available to facilitate communication with people who are deaf, hearing-impaired and/or speech-impaired? -B.3.5- APPENDIX 8.3 If no, list steps to ensure effective communications with deaf, hearing-impaired and/or speech impaired individuals. This can include providing a TDD or relying on a third-party relay service. (NOTE.- the Justice Department encourages agencies that have extensive phone contact with the public to have TDDs to ensure more immediate access.) (3) Does your agency provide captioning of the verbal content on television public service announcements that it produces? (NOTE.- The ADA only requires closed captioning. However, the Department of Rehabilitation recommends that ol2en captionina be used to facilitate viewing by persons who do not have access to a decoder.) For agencies which provide telephone (91 1) emergency services: - (4) Do your agency's policies ensure direct access to persons who use telecommunication devices for the deaf (TDDS) and computer modems? YES NO If yes, are all "911 " emergency response services equipped with a TDD or other equally effective technology to make the service accessible to persons who are deaf, hearing-impaired and/or speech-impaired? (NOTE.- separate, seven-digit phone numbers and/or reliance on a third-party relay service is not an acceptable alternative for making 91 1 service accessible.) -B.3.6- APPENDIX B.3 F. INFORMATION AND SIGNAGE: Is information provided concerning the following: YES NO (1) Raised and Brailled characters where permanent identification is provided for rooms and spaces? YES NO (a) Signage at 60" above the finished floor? (b) Signage installed so that a person may approach within 3" without encountering protruding objects or standing within swing of a door? (c) Signage installed on the wall adjacent to the latch side of the door or the nearest adjacent wall? (2) Signage to indicate accessible entrances? (3) Signage at inaccessible entrances directing persons to an accessible entrance? (4) Signage concerning the availability and location of volume control telephones, TDD-equipped pay telephones, portable TDDs or assistive listening systems? (5) Signage including Braille and raised lettering to indicate accessible bathrooms and other facilities? -B.3.7- APPENDIX 8.3 (6) Both audible and visual alarms, if an emergency warning system is provided? G. PROVISION OF AUXILIARY AIDS OR SERVICES: YES NO Do your agency's policies include provisions and a process for providing auxiliary aids (or sources where they can be obtained) for consumers and employees with speech, vision and/or hearing impairments (e.g., qualified readers, qualified interpreters, audio cassette, Braille or large-print materials, or captioned video programs)? H. FACILITY ACCESS: (NOTE: As part of the overall Self-Evaluation, the ADA requires that all publicly funded agencies, that emplov 50 or more persons (see 28 [C.F.R.] §25.150(d)l), develop a Transition Plan for the removal of phvsical obstacles and barriers in buildings and/or facilities to ensure program access). YES NO (1) Has your agency developed a Transition Plan to identify physical obstacles and/or barriers to programs or services? (2) If structural changes are necessary, has your agency included them in its Transition Plan? (3) If buildings and/or facilities cannot be made physically accessible, have you taken steps to ensure that your programs, services and/or activities, when viewed in their entirety, are accessible (e.g., relocating activities to an accessible location, modifying or redesigning equipment, making home visits, or providing other alternative methods for delivering services)? -B.3.8- APPENDIX B.3 (4) Does your agency maintain in operable working condition those features of facilities and equipment that are required to be readily accessible to and usable by persons with disabilities? 1. ACCESS TO PROGRAMS IN HISTORIC BUILDINGS OR FACILITIES: YES NO (1) Has your agency given priority to methods that, where feasible, provide physical access to buildings and facilities that are of historical significance? (2) In situations where providing physical accessibility would threaten or destroy the historic significance of the property, or where an undue financial burden or fundamental alteration would result, has your agency taken alternative measures to achieve program accessibility, such as: YES NO (a) The use of audio-visual materials and devices to depict those portions of an historic property that cannot otherwise be made accessible? (b) Assigning persons to guide individuals with disabilities into or through portions of historic properties that cannot otherwise be made accessible? -B.3.9- APPENDIX B.3 (c) Adopting other innovative methods and alternatives where physical obstacles and/or barriers exist? Completed by: I certify that the foregoing statements are true and correct to the best of my understanding: Name Title -B.3. 10- Phone Number Date SELF-EVALUATION AND TRANSITION PLAN GUIDE APPENDIX B.4 Physical Access AMERICANS WITH DISABILITIES ACT PHYSICAL ACCESS CHECKLIST APPENDIX 0.4 As part of the Self-Evaluation, each agency that employ 50 or more persons (see 28 [C.F.R.] § 25.1 50(d) 1), must complete a Transition Plan which identifies physical obstacles or barriers in buildings and/or facilities, and includes any corrective actions that will be taken to ensure ADA compliance. This checklist may be used as a guide, in conjunction with the Access Site Survey forms, to determine if an agency's programs, buildings and facilities are physically accessible to persons with disabilities. YES NO (1) For employers with 50 or more persons Do you have a Transition Plan that, at a minimum, provides: YES NO (a) The name of the person responsible for development and implementation of a Transition Plan? (b) A list of physical barriers in your buildings or facilities that limit accessibility to persons with disabilities? (c) A summary of barriers identified and solutions or methods to be used for their correction or removal? (d) A process for monitoring and a schedule for the removal of physical obstacles and/or barriers identified in the Transition Plan? -B.4.1 - APPENDIX 8.4 (2) When making structural changes to existing facilities, or building a new facility, are your plans designed and constructed in conformance with the requirements of either Title 24 of the California Code of Regulations; or the Americans with Disabilities Act Accessibility Guidelines (ADAAG)? (3) Does your agency have a policy which will ensure the maintenance and operable working condition of those features of facilities and equipment that are required to be readily accessible to and usable by persons with disabilities (4) Is your agency Al s Transition Plan on file and available for public inspection, including any survey forms, notes, summaries and records of work completed? Completed by: I certify that the foregoing statements are true and correct to the best of my understanding: Name Phone Number Title Date -8.4.2- SELF-EVALUATION AND TRANSITION PLAN GUIDE APPENDIX C ADA Implementation Work Plan APPENDIX C THE AMERICANS WITH DISABILITIES ACT IMPLEMENTATION WORK PLAN Agencies may use this ADA Implementation Work Plan format to summarize all changes, modifications or actions that have been identified on the Self-Evaluation checklists or Transition Plan forms. The format may be used in various ways to meet the needs of the agency, (e.g., summarizing changes by program, by geographic area, agency-wi 'de, etc.). DATE: Department: Phone#: ( ) Address: 1. items to be addressed: 2. Actions to be taken: 3. Date for completion: APPENDIX C Abiliity for follow-up 4. Person and division/program assigned response 1 or resolution: 5. If corrective actions takes more than a year to complete, describe the interim steps planned to provide access: 6. Estimated costs: Completed by: I certify that the foregoing statements are +,rue and correct to the best of my understanding: Name Title Phone Number Date
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