PROCEDURES FOR CONFLICT RESOLUTION CONCERNING THE IDENTIFICATION, EVALUATION AND PLACEMENT OF HANDICAPPED CHILDREN

Transcription

1 r < '. f ~~: PROCEDURES FOR CONFLCT RESOLUTON CONCERNNG THE DENTFCATON, EVALUATON AND PLACEMENT OF HANDCAPPED CHLDREN Dr. Richard Weatherman Louellen N. Essex Department of Educational Administration University of Minnesota May, 1978

2 NS~ Eclf5 ~ A4W f \ ntroduction - Public Law designates the due process hearing as the primary vehicle for the resolution of confli~t concerning the identification, evaluation and placement of handicap?ed children. Although the legal protection which this affords is essential, the hearing process typically entails many serious problems for both parents and school personnel. These problems include the high emotional and financial expense of the hearing; the tendency for the hearing to be overly legalistic and adversarial in nature: and the lack of provision for informal discussion mechanisms between the home and school before the use of the due process hearing. The checklist provide1 here outlines each step in a hierarchy of less oreal conflict resolution techniques - conciliation, mediation anc fact-findin8 - which are potentially accessible to all parents, children and school personnel to generate ctild-focused communication which is effective. Conciliation is the process of providing a me1ns by which cisputants can come together to discuss and clarify the issues which have brought about co 1f:lict. n the procedure outlined here, it is intended to be the starting point of all conflict resolutio:1. Scheduling conferences, atta~pting to generate discussion of the problem between disputants and iientification of the primary issues with hopes of resolution are the functions of conciliation. t may l}e re~uested by either the school or the home but the school personnel take primary responsibility for making the conference arrangements. not utilized at this stage. A third party is 9 Mediation is the next step in the hierarchy, to be used vhen conciliation is unsuccessful in resolving the conlfict. A new dimension, that of compromise, is contained in this process which implies

3 a negotiated outcome where each party will give a little with the aid of a neutral third partythe mediator. The mediator meets with each party separately and conducts joint sessions. His/her role is to suggest, push, coax and invent alternatives. Recommendations may be provided by the mediator but they are not binding. The next step in the hierarchy is fact-finding. Again, a third party which may be a single factfinder or a panel of fact-finders is given the task of investigating and assembling all facts surrounding the dispute. Documents are examined and conferences may be held with each party to gather data but not to encourage dialogue as in mediation. ~ecommendations may be provided which are not binding. The final, most structured process, is the hearing which should be employed onl" \-Then th~ other less formal conflict resolution methods have been employed. At this stage, a binding decision is made via an impartial hearing officer who will examine the documents pertinent to the case a~d hear testimony from each party. Before any of these techniques are employed it is imperative that the following general rzsponsibilities be fulfilled by the key participants (school personnel, parents, mediators : fact- finders and hearing officers): 1. Read and understand Federal statutes and regulations. 2. Read and understand State Statutes. 3. Read and understand rules of the State Department of Education. 4. Complete training program, if avajlable. By following the prescribed steps in the checklist it can be assumed that general compliance with the law will be met. P..owever, individual states ard districts may have procedures )eculiar to them which will need to be incorporated into the techniques outlined here.

4 conclaton CONFERENCETHE PROCESS OF PROVDNG AN!~FORMAL MEANS BY WHCH DSPUTANTS COME TOGETHER, WTHOUT THE AD OF A THRD PARTY, TO DSCUSS AND CLARFY THE SSUES WHCH HAVE BROUGHT ABOUT CONFLCT School district's responsibility prior to the conference a. Receive parents', guardians' or surrogate parents' written objection to district's proposed action. Date Received b. Schedule conference at mutually agreeable time. c. Send Notice of Conference (Optional: Send parents list of possible questions). d. Determine who may attend to represent the school district. e. Arrange for record keeping. f. Gather all data on student pertinent to issue School district's responsibilities for conduct of the conference a. Provide all data gathered on student for review. (v') (/) Documents: Date - Date Sent Time Place b. Present arguments supporting proposed action. Major Points: c. Parents present arguments against proposed action. t~ajor Points:

5 2 d. Resolution(s) attempted: Alternatives discussed: 3. School district's responsibilities after the conciliation conference a. Prepare and distribute written summary. b. Respond to request for an additional conciliation conference. Date Sent To Whom;

6 WTH THE AD OF A THRD-PARTY WHO MEETS WTH DSPUTANTS N BOTH SEPARATE AND JONT SESSONS. 1. School district's responsibilities prior to the mediation conference a. Receive request for mediation conference Date Requested By Whom: b. Make arrangements for selection of Name Phone mediator. Address Date Appointed c. Determine who will represent school district at mediation sessions. d. Assemble data for mediator to review (./) 2. Mediator responsibilities a. Review all relevant data Date Completed Corrments b. Schedule first session (separate) Date Time Place Party c. Send notice. Date Sent ' d. Make arrangements for record keeping (./) e. Prepare suggested discussion sequence (./)

7 4 f. Conduct first session Summary of ssues Alternatives Discussed i g. Schedule second session (separate) Date Time Place Party h. Send notice Date Sent i. Prepare suggested discussion sequence (./) ~ - ~-

8 ~ - - ~ 5 j. Conduct second session Surrmary of. ssues Alternatives Discussed ' k. Schedule joint session Date Time Place 1. Send notice Date Sent m. Prepare suggested discussion sequence _(v} ~

9 6 n. Conduct joint session Summary of ssues Alternatives Discussion o. Schedule additional sessions, as needed p. Make recommendations VerbalSend notice Date Time Place Written Date Sent To Whom: Recommendations Date Accepted Date Rejected Date Sent

10 FACT-FNDNGA PROCESS OF PROVDNG A SEM-FORMAL MEANS THROUGH WHCH A DSPUTE S SETTLED VA THE ASSEMBLNG AND NVEST GATON OF ALL FACTS BY A FACT-FNDER OR FACT-FNDNG PANEL SURROUNDNG THE CONFLCT School district's responsibilities before fact-finding session(s) a. Receive or generate request for factfinding b. Make arrangements for selection of fact-finder{s) Date ndividual By Whom: Panel c. Assemble data for review by factfinder(s) 2. Fact finder(s)' responsibilities a. Review data - (.;) Date Completed Comments

11 8 b. p f h t y (,;) c. Meet with parties (separate and/or joint) Party Date Comments. d. Prepare report and/or recommendations VerbalSend notice Date Time Place Written Date Sent To Whom: Recommendations Date Accepted Date Rejected D-ate Sent

12 .HEARNGA FORMAL MEANS BY WHCH DSPUTES ARE RESOLVED THROUGH AN MPARTAL HEARNG OFFCER WHO MAKES A BNDNG DECSON BASED ON THE MERTS OF THE CASE, AFTER HEARNG EVDENCE/TESTMONY FROM EACH PARTY School district's responsibilities prior to the hearing a. Receive or generate request for hearing Date Received By Whom: b. Make arrangements for designation of hearing officer - (.;) c. Schedule hearing at mutually agreeable time. Date Time Place d. Send notice of hearing within days of receipt of request of hearing.- e. Assemble documents pertinent to case: assessments - (./) evaluations (v) tests - (.,;).E.P. (.,;) cumulative record (V) memorandum/recommendations generated from previous conferences (v') other (.;) Date Sent f. Detenmine who will represent school Participants suggested: district at hearing. ~

13 10 2. Hearing officer's responsibilities prior to the hearing a. Pre-hearing review of documents Date Received Date Reviewed Corrments/Notes (1) Formal notice to parents (2) Memorandum eminating from conciliation conference (if utilized) and/or recommendations from mediation, factfinding (3) Hearing notice(s) ( 4) Other written information proposed to be used by school district at hearing. assessments tests evaluations other reports (5) Student's current and proposed educational program plan (if prepared) (6} School district's resume of "additional material allegations" not contained in original notice or memorandum (7) Other information which parties may have requested - \

14 11 b. Require parties to remedy deficiencies in hearing preparation. Deficiency Contact Date Contacted Plan for Remedy Date Remedied. c. Postpone hearing, if necessary Date Postponed i Reason(s)!! i '! Act1v1t1es to be Ach1eved Before Rescheduling Date Rescheduled d. Pre-hearing conference (1) Determine if pre-hearing conference is necessary Yes (2) Schedule conference Date Time Place (3) Notify parties SCHOOL Date PARENTS Date DSTRCT Contact Con tad No

15 12 (4) dentify issues: (5) Areas of Agreement Areas of Disagreement e. Schedule hearing Date Time Place

16 13 3. Hearing officer's responsibilities in conducting the hearing a. Determine whether hearing is to be open or Open Closed closed to the public. (/) Comments b. nsure that communication at the hearing will be facilitated by provision of an interpreter, if needed. c. nsure that hearing room is environmentally adequate to accommodate all participants. d. nsure that all parties to the hearing are present and prepared to proceed. e. nsure that the recording equipment is turned on and working. f. Announce the time, date, title of the case, and the identity of persons present. g. Explain the nature and purpose of the hearing, including basic rights of the parties. h. Announce for the record the nature of all documents offered in evidence, including notices, memoranda, "additional material allegations," results of the pre-hearing conference (if held), and any other documents which may have been the subject of 1 prior discovery by the parties. - i. nsure that all documents offered into evidence are properly labelled. j. Receive evidence in accordance with the. standards prescribed in state statutes. k. Begin school receiving district evidence to proceed by with asking its the through the offering of physical evidence case -,_._,.. and direct examination of witnesses. : '

17 .. 14 l. After each witness testifies, ask the opposing party if he/she wishes to cross examine and allow such cross examination to proceed. m. At the conclusion of the school district's presentation of evidence, determine whether a phima facie case has been presented in lig t of the substantive standards which must be met in order to support the proposed action. n. f such a prima facie case exists, allow the parents or their representative to proceed with the presentation of their evidence allowing the school district to cross examine at the conclusion of each witness' testimony. o. Summary of evidence presented \V Comments SCHOOL DSTRCT PARENTS Person/Document Content Label Person/Doclll!ent Content Label t

18 -~ p. Allow each party to briefly summarize its position in accordance with the evidence offered, beginning with the school district. (v') Coounen ts q. Continue the hearing for not more that the f decision is made to continue: number of days allotted in state rules. Date Time Place r. Adjourn the hearing at the conclusion of the presentation of evidence and the s llll1la ri e s. 4. Hearing officer's responsibilities after the hearing. a. Within the specified number of days, prepare a typewritten decision in accordance with state rules. ' b. Compile and submit to the appropriate people: (1) The typewritten decision (2) The tape recorded record of all proceedings (3) All notices, memoranda, or other documents offered by a person or issued by the hearing officer in connection with the case. ~- (v) (V') Person Sent To Date Sent i - ~ - - -