THE CALIFORNIA STATE UNIVERSITY

OFFICE OF THE UNIVERSITY AUDITOR

REVIEW OF DISABILITY SUPPORT AND ACCOMODATIONS

INTERNAL CONTROL QUESTIONNAIRE (ICQ) AND REQUEST FOR DOCUMENTS

Subject:DSA
Campus:
Audit #:
Campus Preparer: / Date:
Campus Reviewer: / Date:
Internal Control Question / Internal Control Response / Document Request / Rec’d
(Audit
Use Only) /
Q1. / Has campus management established, documented, and clearly communicated the mission, goals, and objectives of the disability support and accommodations program? / D1. / Mission, goals, and objectives of the campus’ disability support and accommodations program.
Q2. / Has responsibility and authority for the disability support and accommodations program been formally assigned to deal with the campus’s mission, goals, and objectives noted in Q1. / D2. / Organization charts for all areas that provide disability support and accommodations services, including the names and working titles of all employees.
Q3. / Has the president formally delegated (and documented) the responsibility and authority noted in Q2. above? / D3. / Copies of all written/formalized delegations of authority.
Q4. / Has campus management designated at least one employee to coordinate its efforts to comply with and carry out its responsibilities under the Americans with Disabilities Act (ADA), including any investigation of any complaint communicated to it alleging its noncompliance with ADA? / D4. / Name, office, telephone number, and title of person noted in Q4. Also, the formal delegation of authority from the president to the ADA Coordinator (if not included in D3.).
Q5. / What controls are in place to ensure that written policies and procedures have been established for all aspects of the campus’s disability support and accommodations program? / D5. / Written policies and procedures for all aspects of the disability support and accommodations program.
Q6. / Are controls in place for updating/revising policies and procedures noted in Q5, above, and ensuring that operational, financial, and/or regulatory conflicts do not exist? If so, please describe such controls. / D5.
Q7. / Has the campus established an Advisory Committee on services to students with disabilities? If so, please indicate Committee membership, date of appointment, and meeting dates. / D6. / Advisory Committee meeting minutes for FY99/00, 00/01, 01/present.
Q8. / Does the campus perform self-evaluations of its current services, policies, and practices to identify and correct any deficiencies to comply with ADA requirements? If yes, do the self-evaluations include all educational programs and activities; all employment practices including recruitment, interviewing, hiring, retention, and advancement; health welfare, and other social services and benefits; and other auxiliary services provided at or by the campus? / D7. / Copies of all campus self-evaluations performed to comply with ADA requirements, and a description of any modifications made to address identified issues. Also, please include the persons noted in Q9.
Q9. / Does the campus provide an opportunity to interested persons, including individuals with disabilities or organizations representing individuals with disabilities, to participate in the self-evaluation processes noted in Q8. above? / D7.
Q10. / Does the campus perform annual written evaluations of services to students with disabilities and are such evaluations forwarded to the Chancellor’s Office for inclusion in the systemwide review? / D7. / Copies of the annual written evaluations for FY 99/00 and 00/01.
Q11. / What monitoring controls are in place to ensure that the services, aids, and accommodations continue to be effective for the disabled individual? Please include campus responsibility for ensuring student satisfaction with the accommodations and for resolving issues or concerns with the accommodations. / N/A
Q12. / What controls are in place to ensure that all employees, students, visitors, and other persons are instructed and notified regarding their rights under the ADA? / D8. / Copies of all notices regarding rights under the ADA.
Q13. / What controls are in place to ensure that information (e.g., campus policy to provide accessible policies, programs, services or activities, and practices) is provided to the public is in an accessible format? / N/A
Q14. / What controls are in place to ensure that written and/or audio-visual materials portray persons with disabilities in an appropriate manner? / N/A
Q15. / What controls are in place to ensure that the campus reviews all categories of services to make certain that descriptive written materials include a notice of non-discrimination? / D9. / Copies of a sample of written campus materials noted in Q15.
Q16. / Has the campus made available to all interested individuals the name, office address, and telephone number of the employee or employees designated in Q4. above? / N/A
Q17. / Has the campus adopted and published a grievance process that incorporates appropriate due process procedures and provides for prompt and equitable resolution of students, faculty, staff, and visitor complaints alleging a violation of Section 504, the ADA, and/or CSU policies? / D10. / Copy of campus grievance policy and procedures.
Employee, student, and other persons’ grievances received by the campus for the prior five fiscal years (97/98, 98/99, 99/00, 00/01, and 01/present (NOTE: Auditor will need access to original copies of grievances while on campus).
Campus response(s) to grievances noted above.
Q18. / What controls are in place to ensure that campus executive management (e.g., office of the president) is timely and sufficiently apprised of complaints and allegations regarding non-compliance with ADA, campus and CSU policies? / N/A
Q19. / Has the campus received an Office of Civil Rights (OCR) complaint within the prior three fiscal years? If so, who is responsible for this area, and what processes are in place to ensure effective communication with the OCR to resolve the complaint? / D11. / Copies of OCR complaints for FY 99/00, 00/01, and 01/present.
Q20. / How does the campus ensure that qualified and competent staff is hired to serve students with disabilities (e.g., at the Disabled Student Services (DSS) or Services to Students with Disabilities (SSD) office)? Staff include, but are not limited to, interpreters, readers, and note takers. / D12. / Copy of the DSS or SSD policy and procedures for hiring disability support staff noted in Q20.
List of disability support staff noted in Q20, that are not hired by the campus Human Resources Office (e.g., readers, contract interpreters, real-time captionists), by name and hire date).
Q21. / Are students included in the selection process of individuals noted in Q20, above? / D12.
Q22. / How does the campus ensure that all areas providing disability support and accommodations are provided sensitivity or disability awareness training and are aware of their roles and responsibilities regarding ADA compliance? / D13. / Copy of the campus’ training policy.
List of campuswide disability training events held in the last two years.
List of other disability training events (e.g., by departments/units) held within the last two years. Please indicate the date(s) of such events and the names of the attendees.
Q23. / What controls are in place to ensure that all new employees (including faculty, staff, and other employees) are provided appropriate training in the area of disability support and accommodations? / D14. / Copies of staff and faculty orientation materials, if applicable.
Q24. / What controls are in place to ensure that individuals with disabilities are provided access to application materials and interview sites? / N/A
Q25. / Does the campus have a process in place for identifying employees with disabilities? If so, how is this information collected, who is responsible for collection, and how is the information protected from unauthorized disclosure? / D15. / Listing of disabled employees that were provided reasonable accommodations in FY 99/00, 00/01 and 01/present.
Q26. / Does the campus have written policies and procedures that ensure qualified disabled applicants and employees are provided reasonable accommodations? If yes, who is responsible for ensuring that such policies and procedures are properly developed, updated, and communicated to all affected areas? / D16. / Copy of campus policies and procedures regarding reasonable accommodations for applicants and employees; requests for reasonable accommodations; and appeal procedures.
Q27. / What controls are in place to ensure that reasonable accommodations are consistently and sufficiently provided to qualified disabled employees? / D17. / List of accommodations (e.g., job re-structure, part-time or modified work schedules, etc.) provided to disabled employees.
Q28. / Does the campus have a process in place for providing information in accessible formats to employees about the availability of, and procedures to request, reasonable accommodations? If yes, please describe such process? / D17.
Q29. / Does the campus have a procedure for documenting decisions to approve and/or deny reasonable accommodation requests because of undue hardship? If yes, does such procedure identify a person to be responsible for record keeping, evaluating, approving or denying requests for reasonable accommodation? If yes, please indicate such person. / D17.
Q30. / Does the campus have specified funds set aside to facilitate meeting an employee’s reasonable accommodation request and if so, where are such funds maintained and who is responsible for controlling and monitoring the funds? / D17a. / List of account/fund number and statements for FY 99/00, 00/01, and 01/present. (NOTE: Auditor will sample expenditures from the noted account/fund and will need access to the expenditure documentation).
Q31. / What controls are in place to ensure that qualified disabled employees are provided equal access to all campus programs, services, and activities? / N/A
Q32. / Has the campus developed an equal employment opportunity notice and if so, is the notice (1) included in recruitment materials or other general information, and (2) provided or made available in accessible formats (e.g., in large print, Braille, and audio cassette)? Also, who is responsible for posting/maintaining such notice? / D18 / Copies of campus equal employment opportunity notice.
Q33. / Has the campus established categories of disabilities and do such categories comply with CSU policy? / D19. / List of categories of disabilities.
Q34. / Has the campus published the types of aids and services provided to disabled students and if so, what controls are in place to ensure such services comply with CSU policy? / D20. / List of all aids and services provided to students and other disabled persons.
Q35. / Does the campus have written policies and procedures in place for verifying students with disabilities? If so, do the policies/procedures include the following:
4  Authority and responsibility for verifying disabilities;
4  Documentation requirements for new and/or transfer students;
4  Qualifications of persons providing documentation; and
4  Student appeal procedures. / D21 / Copy of the campus’ policies and procedures for verifying disabilities.
Q36. / Has the campus developed policies and procedures for verifying learning and psychological disabilities and do such procedures include:
4  Campus definition of a learning disability;
4  Qualifications of the evaluator(s);
4  Assessment and substantiation of a learning and psychological disability; and
4  Student appeal procedures. / D22. / Copy of the campus’ policies and procedures for verifying learning and psychological disabilities.
Q37. / Who decides whether the provision of services noted in Q34. would result in a fundamental alternation of affected programs or would result in undue financial or administrative burdens? Is this decision documented in campus files and is there an adequate appeal process? / D23. / Copies of written decisions made by DSS or SSD in FY 00/01 and 01/present to decline accommodations or services.
Q38. / Who is responsible for the protection, maintenance and confidentially of student, employee, and other individuals’ disabilities records? / D24. / Copy of the campus’ policies and procedures for protecting and releasing disability information.
Q39. / How and to what extent is student disability information shared with campus areas that interface with students and provide reasonable accommodations? Please indicate such areas. / N/A / List of campus areas that maintain student and employee disability information.
Q40. / Do the areas noted in Q39, above maintain policies and procedures that address confidentiality requirements? / D25. / Copy of policies and procedures for areas noted in Q39.
Q41. / Does the campus maintain a listing of all campus programs (including continuing education, study abroad), services (e.g., residential housing, student health centers, academic and career counseling), and activities (e.g., athletic and intra-mural sports, field trips) that are covered by the ADA and other policy requirements? / D26. / A comprehensive listing of all campus programs, services, and activities that are covered by the ADA. Please include the following information for each program, service, and activity:
4  Official name of program,
4  Responsible program/department manager by name, title, and phone number;
4  Sponsored by the campus or other organization (e.g., auxiliary);
4  Date of most recent review for compliance with ADA requirements as noted at Q43.
Q42. / How does the campus ensure that all campus programs, services, and activities noted in Q41, above, are readily accessible to all individuals, including those with disabilities? Is this the responsibility of the ADA Coordinator and/or the program/department manager? / N/A
Q43. / Has the campus established a programs and services review policy that includes, but is not limited to, the following:
4  Responsibility for and criteria of reviews;
4  Frequency of reviews;
4  Reporting of reviews (to executive campus management);
4  Resolution of issues noted during the reviews. / D27. / Copy of the campus program review policy, including the components noted in Q43.
Program reviews performed for FY 99/00, 00/01, and 01/present. (NOTE: Auditor will make a selection of the program reviews for testing during the audit).
Q44. / Did the campus prepare a Transition Plan outlining the steps and schedule for making necessary structural modifications to ensure program access? If yes, who was/is responsible for implementing the plan? / D28. / Campus Transition Plan prepared in response to initial ADA requirements and any amendments/updates thereof.
Q45. / Has the campus updated the Transition Plan noted in Q44? If yes, who is responsible for maintaining the Plan and ensuring that issues contained therein were timely and adequately addressed? If no, what process is in place to identify pending, continued, and completed improvements that affect program accessibility? / D29. / Minor Capital Outlay Plans for FY 99/00, 00/01, and 01/present.