UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND

REHABILITATIVE SERVICES

REHABILITATION SERVICES ADMINISTRATION

WASHINGTON, DC 20202

INFORMATION MEMORANDUM

RSA-IM-98-09

DATE: February 11, 1998

ADDRESSEES : STATE VOCATIONAL REHABILITATION AGENCIES

> (GENERAL)
>
> STATE VOCATIONAL REHABILITATION AGENCIES (BLIND)

STATE REHABILITATION ADVISORY COUNCILS

CLIENT ASSISTANCE PROGRAMS

AMERICAN INDIAN VOCATIONAL REHABILITATION

SERVICE PROGRAMS

RSA SENIOR MANAGEMENT TEAM

SUBJECT : Revised Monitoring and Technical Assistance Guide for

the Client Assistance Program (CAP)

CONTENT : Section 112 of the Rehabilitation Act of 1973, as amended,
grants

the RSA Commissioner the authority to conduct reviews and on-site

monitoring of the Client Assistance Program (CAP). The attached

Monitoring and Technical Assistance Guide contains the RSA

procedures for the conduct of CAP on-site monitoring reviews.

INQUIRIES : RSA Regional Commissioners

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fredric K. Schroeder, Ph.D.

Commissioner

**ATTACHMENT**

**CLIENT ASSISTANCE PROGRAM**

**MONITORING AND TECHNICAL ASSISTANCE GUIDE**

**UNITED STATES DEPARTMENT OF EDUCATION**

![](media/image1.png){width="3.154166666666667in"
height="2.707638888888889in"}

**OFFICE OF SPECIAL EDUCATION AND**

**REHABILITATIVE SERVICES**

**REHABILITATION SERVICES ADMINISTRATION**

**Fredric K. Schroeder, Ph.D., Commissioner**

**January, 1998**

**INTRODUCTION TO THE GUIDE**

**This Monitoring and Technical Assistance Guide is intended to provide
guidance for RSA staff when conducting on-site monitoring reviews of the
Client Assistance Program (CAP) and when providing technical assistance
to the CAP. In carrying out the spirit and principles of the Government
Performance Results Act (GPRA), RSA has developed a \"customer-driven\"
monitoring system that focuses on results, as well as customer/client
satisfaction. This review instrument emphasizes that \"customer-driven\"
philosophy.**

**This Guide is composed of seven parts:**

**1.CAP\'s Organization and Basic Information;**

**2.Governor\'s Assurances Review Guide;**

**3.Case Review Guide;**

**4.Fiscal/Program Review Guide;**

**5.Interview Guide for Clients;**

**6.Interview Guide for CAP Director/Advocates; and**

**7.Interview Guide for Programs Which Work with CAP.**

**Most of the review guides sections provide the following:**

**1.statutory and regulatory cites for the requirements that must be
met;**

**2.actual requirements for compliance;**

**3.guidelines for getting information to determine compliance;**

**4.suggested review questions to determine compliance;**

**5.summary determination on whether compliance was met; and**

**6.space to write notes and recommendations.**

**The last three sections of this Guide contain suggested questions to
elicit information from (1) clients about their experience with CAP, (2)
CAP advocates about their perspective of CAP services, and (3) other
programs who work with CAP about their experiences.**

**PURPOSE OF THE MONITORING REVIEW**

**The purpose of the on-site monitoring review of the CAP is two-fold:**

**1.to ascertain basic statutory and regulatory compliance with:**

**a.Section 112 of the Rehabilitation Act of 1973, as amended (Act);**

**b.Federal CAP regulations at 34 CFR 370; and**

**c.Governor\'s Assurances submitted by each State to RSA to receive
funds under the Act to operate a CAP; and**

**2.to obtain information about the manner in which the CAP provides
statutorily-mandated services.**

**Information obtained during the on-site monitoring review will:**

**1.assist RSA in assessing the need for technical assistance and
training for specific CAP programs;**

**2.enable RSA to identify specific model CAP practices;**

**3.determine technical assistance and policy development needed for CAP
in general; and**

**4.assist RSA in strengthening the CAPs\' effectiveness.**

**GENERAL ADVICE**

**The reviewer is encouraged to follow the format of this Guide to
ensure consistency between the various CAP monitoring reviews and make
sure all necessary compliance issues are reviewed. Furthermore, the
reviewer is encouraged to become as familiar with the particular program
to be reviewed prior to the on-site visit. This will make it easier for
the reviewer to hone in on particular compliance issues.**

**GENERAL INSTRUCTIONS FOR USING THIS GUIDE**

**In order to use this Guide effectively, the reviewer should:**

**1.set up appointments with a variety of individuals in the State to
obtain the necessary information to conduct this review. Suggested
individuals are:**

**a.CAP Director of both the designated CAP agency and the operating CAP
agency, when different;**

**b.CAP staff;**

**c.CAP clients;**

**d.Members of the CAP Advisory Council, if applicable;**

**e.Governor\'s Office liaison for CAP;**

**f.State Budget Office (for fiscal records);**

**g.State VR agency Director;**

**h.P&A Director;**

**i.Directors of various consumer groups; and**

**j.Directors of RSA- and NIDRR-funded discretionary grant projects;**

**2.review the CAP\'s most recent annual report (RSA-227) submitted;**

**3.compare the CAP\'s most recent annual report submitted with the
following to determine discrepancies meriting follow-up during the
review:**

**a.national CAP data in the RSA Annual Report to Congress; and**

**b.annual reports submitted by other CAPs in the same region.**

**FYI:Some discrepancies that might merit follow-up during the on-site
review:**

**1.CAP served significantly fewer or more individuals/cases, on a
proportional basis, than other CAPs;**

**2.CAP served significantly fewer, proportionately, minority
individuals;**

**3.CAP engaged in significantly more formal reviews or legal actions;**

**4.CAP data reflects a significant discrepancy between the number of
formal reviews and mediation activities;**

**5.CAP report reflects a lack of systemic activities.**

**Following are hints and suggested questions to use when conducting the
review to determine compliance with Federal law and regulations.**

**PART I**

**CAP\'S ORGANIZATION/BASIC INFORMATION**

**Reviewer
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date of review \_\_\_\_\_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**CAP Federal funding level for current fiscal year
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**ORGANIZATION OF THE CAP:**

**Name/address/telephone number of the designated CAP agency:**

**Contact person (including phone number) for the designated CAP
agency:**

**Name/address/telephone number of the operating CAP agency (if
different from above):**

**Contact person (including phone number) at the operating CAP:**

**Please provide 800 numbers and TTY numbers for the CAP, if
applicable.**

**CAP\'S ACCESSIBILITY:**

**1.Is the CAP located in an apparently accessible building?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a potential
problem.)**

**2.If no, please explain the situation and what steps are planned to
remedy the situation.**

**CAP\'S ACCESSIBILITY (CONTINUED):**

**3.Describe the set up for the TTY, if there is one. For example, does
it get answered or does it only take messages? How often are the
messages checked?**

**4.Does the CAP use the local Relay Service?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (Why not?)**

**5.If yes, what is the frequency that deaf/hard-of-hearing individuals
are contacted via TTY versus the Relay Service?**

**6.What arrangements has CAP made to make information available in
alternative formats for individuals (e.g., braille, large print, other
languages)?**

**7.If you note any accessibility issues, describe steps that are
planned to remedy the situation.**

**PART II**

**GOVERNOR\'S ASSURANCES**

**PART II**

**GOVERNOR\'S ASSURANCES**

**GENERAL STATUTORY/REGULATORY AUTHORITY:**

**Section 112(b):**

**No State may receive payments from its allotment under this Act in any
fiscal year unless the State has in effect not later than October 1,
1984 a client assistance program which:**

**1.has the authority to pursue legal, administrative, and other
appropriate remedies to insure the protection of rights of individuals
with disabilities who are receiving treatments, services or
rehabilitation under this Act within the State; and**

**2.meets the requirements of designation under subsection (c).**

**Section 112(f):**

**No grant may be made under this section unless the State submits an
application to the Secretary at such time, in such manner, and
containing or accompanied by such information as the Secretary deems
necessary to meet the requirements of this section.**

**34 CFR 370.20 sets forth the minimum requirements for the information
needed for the CAP application. These minimum requirements constitute
the Assurances to which the Governor must agree.**

**For FY 1998-2000, the Governor\'s Assurances document contains 10
Assurances to which the Governor must agree in order to operate a CAP
and receive payment from its allotment under the Act. This Guide will
look at each Assurance separately.**

**ASSURANCE 1:**

**(Name of Agency)**

**has been designated to operate the Client Assistance Program (CAP)
under section 112 of the Rehabilitation Act of 1973, as amended (Act).**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(c)(1)(A):**

**The Governor shall designate a public or private agency to conduct the
client assistance program under this section.**

**34 CFR 370.2(b):**

**The Governor of each State shall designate a public or private agency
to conduct the State\'s CAP under this part.**

**34 CFR 370.2(g):**

**A designated agency that contracts to provide CAP services with a
center (pursuant to paragraph (f) of this section) or with an entity or
individual that does not provide services under the Act remains
responsible for:**

**(1)The conduct of a CAP that meets all of the requirements of this
part;**

**(2)Ensuring that the center, entity, or individual expends CAP funds
in accordance with:**

**(i)The regulations in this part; and**

**(ii)The cost principles applicable to the designated agency; and**

**(3)The direct day-to-day supervision of the CAP services being carried
out by the contractor. This day-to-day supervision must include the
direct supervision of the individuals who are employed or used by the
contractor to provide CAP services.**

**34 CFR 370.20(a)(1):**

**Each State seeking assistance under this part shall submit to the
Secretary, in writing, each fiscal year, an application that includes,
at a minimum:**

**(1)The name of the designated agency\....**

**HOW TO DETERMINE COMPLIANCE:**

**1.Review the most recent signed CAP Assurances.**

**2.The CAP director (of the designated and operating agencies, if
different) and Governor\'s office liaison could provide relevant
information.**

**REVIEW QUESTIONS:**

**1.The designated CAP is: public \_\_\_\_\_ private \_\_\_\_\_ private
non-profit \_\_\_\_\_\_**

**2.Is the designated agency actually operating the CAP? yes
\_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_**

**(If yes, skip the rest of the questions in this section.)**

**3.If no, is there a written contract between the designated agency and
operating CAP?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**4.If there is a contract, does the contract clearly outline the
responsibilities of both the operating CAP and the designated agency?
(See 34 CFR 370.2(g).)**

**\*\*\* NOTE: This question only relates to whether the designated
entity contracts out all of the CAP services to another entity. This
question does NOT deal with whether the CAP contracts out only legal or
other specific services. That information will be sought later.**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_\_ (If no, this is a
compliance issue.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
1?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 2:**

**The Governor will not redesignate the above-named agency without good
cause and only in compliance with provisions of section
112(c)(1)(B)(i)-(iii) of the Act and the implementing regulations.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(c)(1)(B):**

**The Governor may not redesignate the agency designated under
subparagraph (A) without good cause and unless:**

**(i)the Governor has given the agency 30 days notice of the intention
to make such redesignation, including specification of the good cause
for such redesignation and an opportunity to respond to the assertion
that good cause has been shown;**

**(ii)individuals with disabilities or their representatives have timely
notice of the redesignation and opportunity for public comment: and**

**(iii)the agency has the opportunity to appeal to the Commissioner on
the basis that the redesignation was not for good cause.**

**34 CFR 370.10:**

**(a)The Governor may not redesignate the agency designated pursuant to
section 112 (c) of the Act and section 370.2(b) without good cause and
without complying with the requirements of sections 370.10 through
370.17.**

**(b)For purposes of section 370.10 through 370.17, a \"redesignation
of\" or to \"redesignate\" a designated agency means any change in or
transfer of the designation of an agency previously designated by the
Governor to conduct the State\'s CAP to a new or different agency, unit,
or organization, including:**

**(1)A decision by a designated agency to cancel its existing contract
with another entity with which it has previously contracted to carry out
and operate all or part of its responsibilities under the CAP (including
providing advisory, assistance, or advocacy services to eligible clients
and client applicants); or**

**(2)A decision by a designated agency not to renew its existing
contract with another entity with which it has previously contracted.
Therefore, an agency that is carrying out a State\'s CAP under a
contract with a designated agency is considered a designated agency for
purposes of sections 370.10 through 370.17.**

**(c)For purposes of paragraph (a) of this section, a designated agency
that does not renew a contract for CAP services because it is following
State procurement laws that require contracts to be awarded through a
competitive bidding process is presumed to have good cause for not
renewing an existing contract. However, this presumption may be
rebutted.**

**(d)If State procurement laws require a designated agency to award a
contract through a competitive bidding process, the designated agency
must hold public hearings on the request for proposal before awarding
the new contract.**

**34 CFR 370.11 \-- Provides the requirements the Governor must satisfy
in giving notice of the proposal to redesignate the CAP.**

**34 CFR 370.12 \-- Specifies how the designated CAP can preserve its
right to appeal a redesignation.**

**34 CFR 370.13 \-- Provides the requirements the Governor must satisfy
in making his/her decision to redesignate.**

**34 CFR 370.14 \-- Specifies the requirements the designated CAP agency
must satisfy in order to appeal the Governor\'s decision to
redesignate.**

**34 CFR 370.15 \-- Sets forth the steps the Governor must take after
the designated CAP agency appeals the Governor\'s decision to
redesignate the CAP.**

**34 CFR 370.16 \-- Provides the requirements the Secretary of the
Department of Education must satisfy when reviewing a CAP\'s appeal of
the redesignation.**

**34 CFR 370.17 \-- Specifies when the redesignation takes effect.**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) and Governor\'s office liaison could provide relevant
information.**

**2.Find out whether the State has its own requirements for public
notice and public meetings. If so, use these requirements to determine
whether adequate notice for public comment was given prior to
redesignation of the CAP agency.**

**FYI:Neither the law nor regulations provide a definition for \"good
cause\". The Governor can determine what constitutes \"good cause\" for
redesignation.**

**REVIEW QUESTIONS:**

**1.Has the Governor redesignated the CAP agency since 1992?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If yes, skip #2.)**

**2.If no, has the designated CAP agency changed or transferred to
another entity?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance issue
because the Governor should have initiated the \"redesignation\" process
as required by law. If no, skip questions 3-7 of this section.)**

**3.If the Governor did \"redesignate\" the CAP agency, what was the
reason (\"good cause\") given for the redesignation?**

**4.Did the Governor give the former designated CAP sufficient notice of
intent to redesignate?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**5.Did the public receive timely notice of the Governor\'s intent to
redesignate?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**6.Did the public have the opportunity to respond? (If yes, get copy of
comments if possible.)**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**7.Did the former designated CAP have the opportunity to appeal the
redesignation?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**REVIEW QUESTIONS (CONTINUED):**

**8.If it was determined under Assurance 1 (question 4 of that section)
that the designated CAP contracts out its services to another entity,
has the designated CAP cancelled or decided not to renew its existing
contract with the \"operating CAP\"?**

**\*\*\* NOTE: This question does not deal with whether the CAP
contracts out only legal or other specific services. This question
relates only to those situations where the designated CAP contracts out
all of its services.**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, skip the rest of this
section.)**

**9.If yes, did the Governor initiate the redesignation process as
required by law?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**10.If the State\'s procurement laws required the designated agency to
award a contract through a competitive bidding process, did the
designated agency hold public hearings on the request for proposal
before awarding the new contract?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
2?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions are planned to assure that compliance is
achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 3:**

**The designated agency is independent of any agency that provides
treatment, services, or rehabilitation to individuals under the
Rehabilitation Act; or the State is exempt from the independence
requirement under Section 112(c)(1)(A) of the Act.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(c)(1)(A):**

**\...Except as provided in the last sentence of this paragraph, the
Governor shall designate an agency which is independent of any agency
which provides treatment, services, or rehabilitation to individuals
under this Act. If there is an agency in the State which has, or had,
prior to the date of enactment of the Rehabilitation Amendments of 1984,
served as a client assistance agency under this Act, the Governor may,
in the initial designation, designate an agency which provides
treatment, services, or rehabilitation to individuals with disabilities
under this Act.**

**34 CFR 370.2(c)-(f):**

**(c)Except as provided in paragraph (d) of this section, the Governor
shall designate an agency that is independent of any agency that
provides treatment, services, or rehabilitation to individuals under the
Act.**

**(d)The Governor may, in the initial designation, designate an agency
that provides treatment, services, or rehabilitation to individuals with
disabilities under the Act if, at any time before February 22, 1984,
there was an agency in the State that both:**

**(1)Was a grantee under section 112 of the Act by serving as a client
assistance agency and directly carrying out a CAP; and**

**(2)Was, at the same time, a grantee under any other provision of the
Act.**

**(e)Except as permitted in paragraph (f) of this section, an agency
designated by the Governor of a State to conduct the State\'s CAP under
this part may not award a subgrant to or enter into a contract with an
agency that provides services under this Act either to carry out the CAP
or to provide services under the CAP.**

**(f)An agency designated by the Governor of a State to conduct the
State\'s CAP under this part may enter into a contract with a center for
independent living (center) that provides services under the Act if:**

**(1)On February 22, 1984, the designated agency was contracting with
one or more centers to provide CAP services; and**

**(2)The designated agency meets the requirements of paragraph (g) of
this section.**

**34 CFR 370.20(a)(2):**

**Each State seeking assistance under this part shall submit to the
Secretary, in writing, each fiscal year, an application that includes,
at a minimum:**

**(2)An assurance that the designated agency meets the independence
requirement of section 112(c)(1)(A) of the Act and section 370.2(c), or
that the State is exempted from that requirement under section
112(c)(1)(A) of the Act and section 370.2(d).**

**ADDITIONAL GUIDANCE:**

**See also:PQ-84-12**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) and Governor\'s office liaison could provide relevant
information.**

**REVIEW QUESTIONS:**

**1.Is the designated CAP agency independent of any agency that provides
treatment, services, or rehabilitation to individuals under the Act?**

**\*\*\* NOTE: This means both programmatically and administratively.**

**yes \_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a potential compliance
issue; if yes, skip #2.)**

**2.If no, is the State exempt from the \"independence\" requirement
because it operated an internal CAP prior to February 22, 1984? (See 34
CFR 370.2(e)-(f).)**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**3.If it was determined under Assurance 1 that the designated agency
contracts out its CAP services to another entity, is that \"operating
CAP\' independent of any agency that provides treatment, services, or
rehabilitation to individuals under the Act?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue
if #2 also was marked \"no\".)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
3?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 4:**

**The designated agency has the authority to pursue legal,
administrative and other appropriate remedies to ensure the protection
of the rights of individuals with disabilities in the State who are
seeking or receiving treatment, services, or rehabilitation under the
Act.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(a):**

**\...the Secretary shall, in accordance with this section, make grants
to States to establish and carry out client assistance programs to\...,
upon request of such clients or client applicants, to assist and
advocate for such clients or applicants in their relationships with
projects, programs, and community rehabilitation programs providing
services to them under this Act, including assistance and advocacy in
pursuing legal, administrative, or other appropriate remedies to ensure
the protection of the rights of such individuals under this Act and to
facilitate access to the services funded under this Act through
individual and systemic advocacy\....**

**Section 112(b)(1):**

**No State may receive payments from its allotment under this Act in any
fiscal year unless the State has in effect not later than October 1,
1984 a client assistance program which:**

**(1)has the authority to pursue legal, administrative, and other
appropriate remedies to insure the protection of rights of individuals
with disabilities who are receiving treatments, services or
rehabilitation under this Act within the State\....**

**34 CFR 370.20(b):**

**(1)Each State also shall submit to the Secretary an assurance that the
designated agency has the authority to pursue legal, administrative, and
other appropriate remedies to ensure the protection of the rights of
clients or client applicants within the State.**

**(2)The authority to pursue remedies described in paragraph (b)(1) of
this section must include the authority to pursue those remedies against
the State vocational rehabilitation agency and other appropriate State
agencies. The designated agency meets this requirement if it has the
authority to pursue those remedies either on its own behalf or by
obtaining necessary services, such as legal representation, from outside
sources.**

**ADDITIONAL GUIDANCE:**

**See also: PR-86-18**

**PR-86-11A**

**PR-86-09**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) could provide relevant information.**

**2.Review the CAP\'s recent annual reports to determine whether the CAP
has participated in any legal or administrative actions on behalf of an
individual.**

**REVIEW QUESTIONS:**

**1.Does the designated/operating agency have the authority to pursue
legal, administrative and other appropriate remedies?**

**yes \_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a potential compliance
issue; if yes, skip #2.)**

**2.If no, does the CAP contract with another entity to provide these
services?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**3.Has the designated/operating CAP ever provided legal services to an
individual?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_**

**\*\*\* NOTE: If no, review this issue more closely. It may be the CAP
has the authority, but not the ability to pursue legal, administrative,
and other remedies. If this is the case, this is a problem. Describe
situation that seems to stop CAP from providing legal, administrative
and other remedies. On the other hand, it may be that CAP has received
no requests for services requiring legal or formal administrative
remedies. If this is the case, then there is no problem. Describe why
CAP has not provided any legal, formal administrative or other
remedies.**

**4.How does the designated/operating CAP provide legal services (i.e.
has attorney on staff or via a contract/cooperative agreement with an
attorney, etc.)?**

**5.Are there any restrictions on CAP (or contractor) when pursuing
legal remedies?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a potential
compliance issue. Describe restrictions. It could be that the
restrictions found here are applicable to the answer to #3 above.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
4?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 5:**

**The authority to pursue remedies described in paragraph 4 includes the
authority to pursue those remedies against the State vocational
rehabilitation agency and other appropriate State agencies. The
designated agency meets this requirement if it has the authority to
pursue these remedies either on its own behalf or by obtaining necessary
services, such as legal representation, from outside sources.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Same cites as for Assurance 4.**

**Key cite \-- 34 CFR 370.20(b)(2)**

**The authority to pursue remedies described in paragraph (b)(1) of this
section must include the authority to pursue those remedies against the
State vocational rehabilitation agency and other appropriate State
agencies. The designated agency meets this requirement if it has the
authority to pursue those remedies either on its own behalf or by
obtaining necessary services, such as legal representation, from outside
sources.**

**ADDITIONAL GUIDANCE:**

**See also: PR-86-11A**

**PR-86-09**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) could provide relevant information.**

**2.Review the CAP\'s recent annual reports to determine whether the CAP
has participated in any legal or administrative actions on behalf of an
individual.**

**REVIEW QUESTIONS:**

**1.If it was determined under Assurance 4 that the designated/operating
CAP has the general authority to pursue legal, administrative and other
appropriate remedies, does it have the authority to pursue those same
remedies against the VR agency and the other State agencies?**

**yes \_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a potential compliance
issue. If yes, skip #2.)**

**\*\*\* NOTE: If it was determined under Assurance 4 that CAP did NOT
have the general authority to pursue legal, administrative and other
remedies then most likely CAP will be out of compliance with Assurance 5
as well.**

**REVIEW QUESTIONS (CONTINUED):**

**2.If no, does the designated/operating CAP agency contract with
another entity to pursue legal remedies against the VR agency and other
State agencies?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**3.Has the designated/operating CAP or contractor ever provided legal
services to an individual in an action against the VR or other State
agency?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, review this issue more
closely. See more detailed note at question #3 for Assurance 4.
Describe.)**

**4.If the designated CAP is internal to the State VR agency or is part
of State government in some other way, how does the designated CAP
pursue legal remedies against VR or other State agencies (i.e. staff
attorney, contract, etc.)?**

**5.Are there any restrictions on CAP/contractor in pursuing these legal
remedies?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a potential
compliance issue. Describe restrictions. It could be that the
restrictions found here are applicable to the answer to #3 above.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
5?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure compliance is
achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 6:**

**The State will ensure that all entities conducting, administering,
operating, or carrying out programs within the State will advise all
individuals seeking or receiving services under the Act of the existence
of the CAP, the services provided by the CAP, and how to contact the
CAP.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(f):**

**No grant may be made under this section unless the State submits an
application to the Secretary at such time, in such manner, and
containing or accompanied by such information as the Secretary deems
necessary to meet the requirements of this section.**

**34 CFR 370.20(c):**

**Each State also shall submit to the Secretary assurances that:**

**(1)All entities conducting, administering, operating, or carrying out
programs within the State that provide services under the Act to
individuals with disabilities in the State will advise all clients and
client applicants of the existence of the CAP, the services provided
under the program, and how to contact the designated agency\....**

**ADDITIONAL GUIDANCE:**

**See also: PQ-84-12**

**PR-86-12**

**PR-86-17**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different), Governor\'s office liaison, and VR director(s) could provide
relevant information.**

**2.It is also recommended that the reviewer speak with the project
directors of discretionary projects in the State that are funded by RSA
and NIDRR.**

**3.The reviewer also may want to review a random sampling of VR case
files to verify that clients and client applicants are notified about
the existence of CAP.**

**REVIEW QUESTIONS:**

**1.Does the State VR agency(ies) advise all clients and client
applicants of the existence of the CAP, its services, and how to access
CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**\*\*\* NOTE: In addition to questioning CAP staff about this issue,
the reviewer may want to review a random sampling of VR case files to
ensure that the State VR agency is informing individuals about CAP.**

**2.Do other programs funded under the Act advise all clients and client
applicants of the existence of CAP, its services, and how to access
CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**3.How do the programs funded under the Act advise individuals about
CAP (i.e. brochure, boilerplate language on the application, IWRP,
etc.)?**

**4.Does CAP follow up with the programs funded under the Act to ensure
they advise their clients and client applicants about CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
6?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure compliance is
achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 7:**

**The designated agency will submit to the Secretary an annual report on
the operation of the CAP during the previous year consistent with 34 CFR
370.44, including a summary of the work done and the uniform tabulation
of all cases handled by the CAP in the format prescribed by RSA.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(g):**

**The Secretary shall prescribe regulations applicable to the client
assistance program\....**

**(4)For the purposes of any periodic audit, report, or evaluation of
the performance of a client assistance program under this section, the
Secretary shall not require such a program to disclose the identity of,
or any other personally identifiable information related to, any
individual requesting assistance under such program.**

**34 CFR 370.20(c)(3):**

**The designated agency will provide the Secretary with the annual
report required by section 112(g)(4) of the Act and section 370.44.**

**34 CFR 370.44:**

**In addition to the program and fiscal reporting requirements in EDGAR
that are applicable to this program, each designated agency shall submit
to the Secretary, no later than 90 days after the end of each fiscal
year, an annual report on the operation of its CAP during the previous
year, including a summary of the work done and the uniform statistical
tabulation of all cases handled by the program. The annual report must
contain information on:**

**(a)The number of requests received by the designated agency for
information on service and benefits under the Act and Title I of the
ADA;**

**(b)The number of referrals to other agencies made by the designated
agency and the reason or reasons for those referrals;**

**(c)The number of requests for advocacy services received by the
designated agency from clients or client applicants;**

**(d)The number of the requests for advocacy services from clients or
client applicants that the designated agency was unable to serve;**

**(e)The reasons that the designated agency was unable to serve all of
the requests for advocacy services from clients or client applicants;
and**

**(f)Any other information that the Secretary may require.**

**ADDITIONAL GUIDANCE:**

**See also:1988 Commissioner\'s Memo (UP-88-11)**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) could provide relevant information.**

**2.Review the most recent CAP annual report (RSA-227) submitted by the
CAP prior to the on-site review.**

**REVIEW QUESTIONS:**

**1.Did the designated/operating CAP file its Annual CAP Report
(RSA-227) for the prior fiscal year?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue;
explain further. If no, skip questions 2-3.)**

**2.If yes, was the RSA-227 submitted on time?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue;
explain further.)**

**3.Did the CAP complete the RSA-227 form accurately?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue;
explain further.)**

**4.How does CAP compile data for its annual report (i.e. by using
intake/closure forms or some other method)? Describe.**

**5.How does CAP verify the accuracy of the data used to compile the
annual report?**

**6.Does the data collected meet the minimum requirements of 34 CFR
370.44?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**REVIEW QUESTIONS (CONTINUED):**

**7.Who writes the narrative for the RSA-227 report?**

**8.Does the narrative identify systems issues and the steps taken to
resolve those issues?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
7?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions are planned to assure that compliance is
achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 8:**

**Pursuant to section 21 of the Act, the designated agency will address
the needs of individuals with disabilities from minority backgrounds in
the manner set forth in the State\'s application for CAP assistance.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(f):**

**No grant may be made under this section unless the State submits an
application to the Secretary at such time, in such manner, and
containing or accompanied by such information as the Secretary deems
necessary to meet the requirements of this section.**

**Section 21(b)(6):**

**In awarding grants, contracts, or cooperative agreements under titles
I, II, III, VI, VII, and VIII, and section 509, the Commissioner and the
Director of the National Institute on Disability and Research, where
appropriate, shall require applicants to demonstrate how they will
address, in whole or in part, the needs of individuals with disabilities
from minority backgrounds.**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) could provide relevant information.**

**2.Read the most recent RSA-227 report submitted by the CAP to
determine whether efforts are made to reach underrepresented individuals
with disabilities.**

**REVIEW QUESTIONS:**

**1.How does the CAP meet the needs of individuals with disabilities who
traditionally have been underrepresented?**

**2.Describe CAP\'s outreach efforts to those who have been
underrepresented.**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
8?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 9:**

**A State must provide to the Secretary, as part of its application for
assistance, an assurance that direct payment to the designated agency is
not prohibited by or inconsistent with State law, regulation, or
policy.**

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 112(f):**

**No grant may be made under this section unless the State submits an
application to the Secretary at such time, in such manner, and
containing or accompanied by such information as the Secretary deems
necessary to meet the requirements of this section.**

**34 CFR 370.20(d):**

**To allow a designated agency to receive direct payment of funds under
this part, a State must provide to the Secretary, as part of its
application for assistance, an assurance that direct payment to the
designated agency is not prohibited by or inconsistent with State law,
regulation, or policy.**

**ADDITIONAL GUIDANCE:**

**See also: PR-86-18**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) and the Governor\'s office liaison could provide relevant
information.**

**REVIEW QUESTIONS:**

**1.Is there any State law that prohibits CAP from receiving Federal
funds to carry out its mandate?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance
issue; explain further.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
9?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 10:**

**The designated agency will meet each of the requirements set forth in
section 112 of the Act and 34 C.F.R. Part 370.**

**COMPLIANCE REQUIREMENTS/CITES: Following are other requirements for
the CAP mandated by the Rehabilitation Act and its implementing
regulations.**

**Section 112(d):**

**The agency designated under subsection (c) of this section may not
bring any class action in carrying out its responsibilities under this
section.**

**(See also 34 CFR 370.45.)**

**Section 112(f):**

**No grant may be made under this section unless the State submits an
application to the Secretary at such time, in such manner, and
containing or accompanied by such information as the Secretary deems
necessary to meet the requirements of this section.**

**Section 112(g)(1)-(3):**

**The Secretary shall prescribe regulations applicable to the client
assistance program which shall include the following requirements:**

**(1)No employees of such programs shall, while so employed, serve as
staff or consultants of any rehabilitation project, program, or facility
receiving assistance under this Act in the State. (See also 34 CFR
370.41.)**

**(2)Each program shall be afforded reasonable access to policy making
and administrative personnel in the State and local rehabilitation
programs, projects, or facilities. (See also 34 CFR 370.42.)**

**(3)Each program shall contain provisions designed to assure that to
the maximum extent possible mediation procedures are used prior to
resorting to administrative or legal remedies. (See also 34 CFR
370.43.)**

**34 CFR 370.20(c)(2):**

**Each State shall submit to the Secretary assurances that:**

**(2)The designated agency will meet each of the requirements in this
part\....**

**34 CFR 370.48(a)-(b):**

**(a)All personal information about individuals served by any designated
agency under this part, including lists of names, address, photographs,
and records of evaluation, must be held strictly confidential.**

**(b)The designated agency\'s use of information and records concerning
individuals must be limited only to purposes directly connected with the
CAP, including program evaluation activities. Except as provided in
paragraphs (c) and (e) of this section, this information may both be
disclosed, directly or indirectly, other than in the administration of
the CAP, unless the consent of the individual to whom the information
applies, or his or her parent, legal guardian, or other legally
authorized representative or advocate (including the individual\'s
advocate from the designated agency), has been obtained in writing. A
designated agency may not produce any report, evaluation, or study that
reveals any personally identifying information without the written
consent of the individual or his or her representative.**

**ADDITIONAL GUIDANCE:**

**See also: PR-86-18**

**PR-86-09**

**PR-86-11A**

**HOW TO DETERMINE COMPLIANCE:**

**1.The CAP director (of the designated and operating agencies, if
different) could provide relevant information on all of the issues
raised.**

**2.The VR director(s) could provide information on the extent to which
(a) CAP engages in mediation prior to resorting to administrative or
legal remedies and (b) CAP is involved with policy-making efforts with
the State agency.**

**3.Directors from other programs and projects funded under the Act
could provide information on the extent to which CAP is involved with
policy-making with them.**

**4.A review of case files, as well as the most recent RSA-227 report
submitted, can shed some light on the CAP\'s mediation and policy-making
efforts, as well as on the CAP\'s practice of protecting
personally-identifiable information about its clients. These documents
also will provide information on whether the CAP has engaged in any
class action.**

**REVIEW QUESTIONS:**

**1.Has the CAP ever participated in a class action lawsuit?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If yes, this is a compliance
issue.)**

**2.Do any CAP employees serve as staff or consultants of any
rehabilitation project, program, or facility receiving assistance under
this Act in the State?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If yes, this is a potential
compliance issue; describe. If no, skip #4.)**

**3.Do any CAP employees serve on an external board/council (e.g., SRAC
or SILC)?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, skip #4.)**

**4.If yes to either #2 or 3, does CAP meet the exceptions of 34 CFR
370.41(b)?**

**yes \_\_\_\_\_ no \_\_\_\_\_ (If no, this is a compliance issue.)**

**5.Describe CAP\'s policy-making efforts with programs funded under the
Act. (If there is none, determine whether CAP has access to policy
making personnel. If it doew not, this is a compliance issue.)**

**6.Did mediation precede every case that rose to the administrative or
legal remedy level during the prior fiscal year (according to the
RSA-227 report)?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If yes, skip #7.)**

**\*\*\* NOTE: If there is a discrepancy between the number of
individuals who were served by CAP at the administrative or legal level
versus those provided mediation services, this is a potential compliance
issue. Look at this issue more closely to determine whether CAP
satisfied its legal mandate to engage in mediation to the maximum extent
possible prior to initiating a formal administrative or legal action.**

**REVIEW QUESTIONS (CONTINUED):**

**7.If no, list reasons why CAP did not engage in mediation. (Do these
reasons satisfy regulatory requirements and the guidance set forth in
the Mediation TAC?)**

**8.Does CAP have a mediation policy in effect?**

**yes \_\_\_\_\_ no \_\_\_\_\_ (If no, this is a potential compliance
problem.)**

**9.Does CAP maintain confidentiality of all personally identifiable
information about the individuals it serves?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**10.Do case files indicate that clients gave written consent prior to
CAP obtaining or releasing personal information about the clients?**

**yes \_\_\_\_\_ no \_\_\_\_\_ (If no, this is a compliance issue.)**

**11.Does CAP\'s RSA-227 report include personal information about
clients?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a potential
compliance issue.)**

**COMPLIANCE:**

**1.Does the evidence support that the State has complied with Assurance
10?**

**yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_**

**2.If more information is needed, what is missing to make this
determination?**

**3.If no, what actions by the State are planned to assure that
compliance is achieved?**

**NOTES/RECOMMENDATIONS:**

**PART III**

**CASE REVIEW GUIDE**

**PART III**

**CASE REVIEW GUIDE**

**LEGAL REQUIREMENTS/CITES:**

**ELIGIBILITY:**

**1.34 CFR 370.3**

**2.34 CFR 370.5(b)**

**AUTHORIZED SERVICES TO BE PROVIDED:**

**34 CFR 370.4**

**OTHER CASE WORK REQUIREMENTS/PROHIBITIONS:**

**1.Mediation \-- 34 CFR 370.43(a) and Section 112(g)(3) of the Act**

**2.Class actions \-- 34 CFR 370.45 and Section 112(d) of the Act**

**3.Confidentiality \-- 34 CFR 370.48**

**KEY ELEMENTS TO REVIEW IN THE CASE FILE:**

**1.Eligibility for CAP services.**

**2.Minority representation.**

**3.Alternative formats/accessible communication.**

**4.Issues raised fall within the scope of CAP services (merit).**

**5.CAP pursued all appropriate/authorized remedies for the
individual.**

**6.Resolution of the issue and CAP\'s involvement in that resolution.**

**7.Timing in terms of intake, initial contact with the client,
resolution of the issues, and case closure.**

**8.Client confidentiality protected; release in file.**

**9.CAP services provided.**

**10.Attempts to resolve case at lowest possible level.**

**11.Was mediation used prior to resorting to a formal hearing or
litigation?**

**12.Case closure.**

**CASE FILE REVIEW GUIDE**

**Reviewer\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date of review\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Client/File #\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**CLIENT INFORMATION:**

**1.Age \_\_\_\_\_\_\_**

**2. Sex \_\_\_\_\_\_\_**

**3.Race/Ethnicity
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**4.Major disabling condition
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**5.If the individual is non-English-speaking or visually or hearing
impaired, does the case file indicate that information was provided to
the individual in alternative formats?**

**yes \_\_\_\_\_\_\_ no \_\_\_\_\_\_\_\_\_ (If no, explain further.)**

**THE CASE FILE:**

**1.At the time of the review, was the case file open?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**2.Intake date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**3.Case opening date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**4.Case closure date (if closed)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**\*\*\* Note any unusual time delays/lapses in the provision of CAP
services:**

**ELIGIBILITY:**

**1.With what program/project funded under the Act is the person having
problems?**

**a.State VR agency (Title I, section 110) \_\_\_\_\_\_\_\_\_**

**b.Comprehensive Rehabilitation Center \_\_\_\_\_\_\_\_**

**c.American Indian project (Title I, section 130)
\_\_\_\_\_\_\_\_\_\_**

**d.Supported Employment (Title VI, Part C) \_\_\_\_\_\_\_\_\_**

**e.Independent Living (Title VII, Part A) \_\_\_\_\_\_\_\_\_\_**

**f.Center for Independent Living (Title VII, Part B) \_\_\_\_\_\_\_\_**

**g.Independent Living for Older Blind (Title VII, Part C)
\_\_\_\_\_\_\_**

**h.Severely Handicapped project (Title I, section 311)
\_\_\_\_\_\_\_\_**

**i.Migratory and Farmworkers project (Title I, section 312)
\_\_\_\_\_\_**

**j.Special Recreation project (Title I, section 316) \_\_\_\_\_\_\_**

**k.Projects with Industry (Title I, section 621) \_\_\_\_\_\_\_\_**

**l.Employer \_\_\_\_\_\_\_\_\_\_\_**

**m.Other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**\*\*\*\*NOTE: If \"other\" is marked, the individual is NOT eligible
for CAP representation. He/she is eligible only for information. Skip
the rest of the case review questions. CAP should not have served this
individual.**

**2.In terms of the above programs funded under the Act, the individual
is a:**

**a. client \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**b.applicant \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**ELIGIBILITY (CONTINUED):**

**3.If \"employer\" is marked above in #1, is:**

**a.the individual also a VR agency client/applicant?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, client is not eligible for
CAP representation. He/she is eligible only for information from CAP.
Therefore, skip the rest of the case review questions. CAP should not
have served this individual.)**

**b.the issue directly related to the services that the individual is
receiving or seeking from the State VR agency?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, the client is not eligible
for CAP representation. He/she is eligible only for information from
CAP. Skip the rest of the case review questions. CAP should not have
served this individual.)**

**ISSUES/SCOPE OF CAP SERVICES:**

**1.What was the source of the individual\'s concern?**

**a.State VR agency only \_\_\_\_\_\_\_\_\_\_\_**

**b.Other Rehab Act-funded source only \_\_\_\_\_\_\_\_\_\_**

**c.Both VR agency and other source funded under the Act
\_\_\_\_\_\_\_\_\_**

**d.Both VR agency and the individual\'s employer
\_\_\_\_\_\_\_\_\_\_\_**

**e.none of the above \_\_\_\_\_\_\_\_\_\_ (If this, individual falls
outside the scope of CAP services. Skip the rest of the case review
questions. CAP should not have served this individual.)**

**2.What issue/problem did the individual raise?**

**MERIT OF ISSUE:**

**1.Does the issue fit within the scope of CAP\'s mandated/authorized
services?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, CAP should not have taken the
case. Skip the rest of the case review questions because CAP should not
have served this individual.)**

**2.Is there a basis in the law or regulations to support the
individual\'s request?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, the case lacks merit. CAP
should not have taken the case.)**

**3.Is there a reasonable chance the individual could win?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_**

**\*\*\* NOTE: If no, this does not necessarily mean the case lacks
merit. Following are two common scenarios: (1) Sometimes, there is
little likelihood the individual will prevail; however, the matter is so
important that it necessitates CAP taking on the case. (2) CAP may
determine there is little likelihood the individual can win at the
administrative hearing level but that the individual has a reasonable
chance of prevailing in court on appeal; so, CAP accepts the case.**

**CAP SERVICES PROVIDED:**

**1.CAP provided the following services to the individual:**

**a.Information/advice about CAP/rights/benefits under the Act
\_\_\_\_\_\_**

**b.Information/advice about rights under Title I of the ADA
\_\_\_\_\_\_**

**c.Referral to another appropriate entity \_\_\_\_\_\_\_\_\_\_**

**d.Assistance/advocacy through negotiation to resolve dispute
\_\_\_\_\_\_\_\_**

**e.Assistance/advocacy with the informal appeal process
\_\_\_\_\_\_\_\_\_\_**

**f.Assistance/advocacy with mediation (or other ADR procedure)
\_\_\_\_\_\_\_**

**g.Assistance/advocacy with the formal appeal process
\_\_\_\_\_\_\_\_\_**

**h.Assistance/advocacy with pursuing legal remedies
\_\_\_\_\_\_\_\_\_**

**i.Transportation (i.e. to a hearing) \_\_\_\_\_\_\_\_\_\_\_\_\_**

**j.Other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (Does
it fall within the scope of CAP services?)**

**CAP SERVICES PROVIDED (CONTINUED):**

**2.If mediation (#f above) is not marked but formal appeal process (#g
above) or legal remedies (#h above) is marked, does the file document
why mediation was not used?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_ (If no,
this is a problem.)**

**3.If yes is marked in #2, what reasons were given?**

**ISSUE RESOLUTION/CAP INVOLVEMENT:**

**1.Was the issue(s) resolved?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**2.If yes, what was the resolution? How did CAP help resolve the
matter?**

**3.If no, is the case still open?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain why not.)**

**4.Does the individual need further CAP services? What?**

**CONFIDENTIALITY OF CLIENT INFORMATION:**

**1.Is there a signed written release form in the case file?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no and #2 is yes, this is a
compliance issue.)**

**\*\*\* NOTE: \"Best practice\" would encourage CAPs to document that
all rights of confidentiality are explained to the individual prior to
the individual signing a consent for release of information form.**

**2.If CAP shared information with another entity, was it directly
related to CAP purposes?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_ (If no,
this is a compliance issue.)**

**CASE CLOSURE:**

**1.Is the case closed?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, skip this section.)**

**2.How was the client told case was closed?**

**a.closing letter \_\_\_\_\_\_\_\_**

**b.telephone call \_\_\_\_\_\_\_\_**

**c.in-person meeting \_\_\_\_\_\_\_\_**

**d.other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.client was not notified (explain)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**3.Is the notification documented in the case file (i.e. copy of
closing letter, case note)?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**OTHER REVIEWER COMMENTS/NOTES:**

**PART IV**

**FISCAL REVIEW GUIDE**

**PART IV**

**FISCAL REVIEW GUIDE**

**COMPLIANCE/LEGAL REQUIREMENTS/CITES:**

**Section 112(c)(3)**

**34 CFR 370.5**

**34 CFR 370.40**

**34 CFR 370.47**

**Other Fiscal Issues to Review:**

**Fiscal Management System: See 34 CFR 74.21; 74.40 through 74.48; 74.51
and 74.52;**

**34 CFR 76.700 through 76.707; 76.720; and 76.730; 34 CFR 80.20; 80.36;
80.40; 80.41.**

**Funding Sources: See 34 CFR 74.22; 34 CFR 76.707 and 76.760; 34 CFR
80.21; and**

**34 CFR 370.47.**

**Contract Provisions: See 34 CFR 74.48; 34 CFR 80.36(i) and 80.37; and
34 CFR 370.1.**

**Record Retention: See 34 CFR 74.53 and 34 CFR 80.42.**

**Accounting System: See 34 CFR 74.21 and 34 CFR 80.20.**

**Grant Related Income: See 34 CFR 74.24 and 34 CFR 80.25.**

**Property/Equipment: See 34 CFR 74.30 through 74.37 and 34 CFR 80.31
through 80.32.**

**Personnel System: See 34 CFR 370.41.**

**Travel Expenditures: See OMB Circulars 87 and A122; and 34 CFR
370.40(c).**

**Financial Audits: See OMB Circular A133 (promulgated 6/30/97); and 34
CFR Part 80 Appendix.**

**Lobbying: See 34 CFR Part 82.**

**Debarment and Suspension Requirements: See 34 CFR 74.13; 34 CFR 80.35;
and**

**34 CFR 85.100 through 85.510.**

**Drug Free Workplace Requirements: See 34 CFR 85.600 through 85.630.**

**FISCAL REVIEW GUIDE**

**FISCAL MANAGEMENT SYSTEM:**

**1.Does the CAP director have copies of the Federal statutes and
regulations pertinent to the CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If not, why?.)**

**2.Who is responsible for maintaining information relating to Federal
law, regulations and other requirements affecting CAP?**

**3.Have appropriate staff received orientation and instruction in the
Federal requirements related to CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If not, why?)**

**4.Does the CAP have policies and procedures for:**

**a.accounting yes \_\_\_\_\_ no \_\_\_\_\_**

**b.budgeting yes \_\_\_\_\_ no \_\_\_\_\_**

**c.internal controls yes \_\_\_\_\_ no \_\_\_\_\_**

**d.purchasing yes \_\_\_\_\_ no \_\_\_\_\_**

**e.personnel yes \_\_\_\_\_ no \_\_\_\_\_**

**f.travel yes \_\_\_\_\_ no \_\_\_\_\_**

**g.record retention yes \_\_\_\_\_ no \_\_\_\_\_**

**h.property management yes \_\_\_\_\_ no \_\_\_\_\_**

**5.Identify the individuals who have fiscal responsibility for the
receipt, obligation and expenditure of CAP funds? (A CAP organizational
chart may be helpful.)**

**6.Who is responsible for developing the CAP budget?**

**FISCAL MANAGEMENT SYSTEM (CONTINUED):**

**7.Is there coordination between program and fiscal staff in the
development of the CAP budget?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (Describe further.)**

**8.What is the approval process for the CAP budget?**

**9.Who monitors CAP expenditures to assure they are appropriate and
within budgeted costs?**

**10.How often are expenditures reviewed?**

**11.What are the regular requirements and practices of the organization
with respect to bonding or insurance?**

**12.Who prepares the Financial Status Report, Standard Form 269
(SF-269)?**

**13.Who signs the SF-269?**

**14.Is the SF-269 submitted to RSA on a timely basis?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why?)**

**15.Is the SF-269 reconciled with the Education Payment System
SF-272?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why?)**

**\*\*\*\*Request to review with the CAP director, or designee, copies
of the CAP budgets for the grant years included in the review. Also,
review SF-269 and RSA-227 reports for the same time periods.**

**FUNDING SOURCES:**

**1.How does the designated (and/or operating) CAP agency receive the
Federal funds for operation of the CAP (i.e. letter of credit, treasury
check, etc.)?**

**2.Has the CAP experienced delays in receiving Federal funds?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, explain.)**

**3.Are CAP services funded only with RSA funds?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, list all other sources and
amounts of funding.)**

**4.Specify the total amount of funds budgeted for the present fiscal
year. Be sure to include Federal and non-Federal funds.)**

**5.Specify the total funds expended last fiscal year.**

**6.Is the designated agency aware that CAP funds not obligated or
expended at the end of the appropriated fiscal year, remain available
for obligation and expenditures during the succeeding fiscal year?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**7.Is the designated agency aware that it is considered a State and
governed by 34 CFR 76.707 for the purposes of when obligations are to be
made with CAP funds?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**8.Does the designated agency receive funds from sources to support
programs or projects other than the CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, describe.)**

**FUNDING SOURCES (CONTINUED):**

**9.If yes, is there an approved cost allocation plan or indirect cost
rate? (NOTE: There is no prior approval requirement for non-profits
using a direct allocation methodology.)**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**10.If no, what methodology is used for the allocation of
administrative costs?**

**11.If yes, does the cost allocation plan include all programs which
are administered by the designated agency, including the CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**12.Did the review of the cost allocation plan reveal an equitable
distribution of administrative costs to the program? (NOTE: Only
allowable costs should be included.)**

**yes \_\_\_\_\_ no \_\_\_\_\_ (if no, explain.)**

**\*\*\*\*Request a copy of the cost allocation plan.**

**CONTRACT PROVISIONS:**

**1.Is the designated agency the sole provider of CAP services?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, skip the rest of this
contracts section.)**

**2.If no and the designated CAP contracts with another entity to
provide CAP services, list the amounts and purposes of each of the
contracts funded, in whole or part, by the designated CAP agency. (NOTE:
Some designated CAPs contract with more than one entity to provide
services.)**

**CONTRACT PROVISIONS (CONTINUED):**

**3.Do all contracts specifically relate to the purposes of CAP, as
described in 34 CFR 370.1?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.
Explain.)**

**4.Do the contracts contain sufficient provisions to define a sound and
complete agreement?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**5.Are advance payments made to contractors?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**6.For those contracts in excess of \$100,000 are there provisions or
conditions that will allow for administrative, contractual, or legal
remedies in instances in which contractors violate or breach contract
terms, and provide for such remedial actions as appropriate?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_\_\_**

**7.For those contracts in excess of \$100,000 are there suitable
provisions for termination by the awarding party?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_\_\_\_**

**9.Have the contractors provided adequate documentation for bonding and
insurance?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**RECORD RETENTION:**

**1.For what period of time does the CAP retain its fiscal records?**

**2.Do the record retention policies or guidelines of the CAP meet, at a
minimum, the 3-year retention requirements in EDGAR 34 CFR 74.53 or
80.42?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**\*\*\*\* Request a sample of fiscal records to verify minimum
compliance with retention requirements.**

**ACCOUNTING SYSTEM:**

**1.How is the accounting system maintained?**

**computerized \_\_\_\_\_\_\_\_\_\_\_\_\_ manually
\_\_\_\_\_\_\_\_\_\_\_**

**2.The organization maintains a formal accounting system as reflected
by:**

**a.general ledger \_\_\_\_\_\_\_**

**b.general journal \_\_\_\_\_\_**

**c.grant ledger \_\_\_\_\_\_\_**

**d.other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**3.Do the records permit a clear and documented audit trail?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.
Explain.)**

**ACCOUNTING SYSTEM (CONTINUED):**

**4.Did the reviewer have total access to the CAP accounting records?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**5.Are CAP funds accounted for separately?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**6.Does the accounting system provide for recording expenditures for
CAP by budget cost category?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**7.Does the accounting system adequately identify receipts and
expenditures for CAP?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**8.Does the accounting system require that all entries be supported by
adequate documentation?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.
Explain.)**

**9.Are the purchasing and payment functions separated?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**10.Who signs the payments/authorizations?**

**11.In your opinion, does the internal control system for
payment/billing have sufficient safeguards built in?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.
Explain.)**

**ACCOUNTING SYSTEM (CONTINUED):**

**12.Does the accounting system provide for the prompt recording and
reporting of all financial transactions?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**13.Are all vouchers consistent in detail and accountability?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**14.If yes, are they based upon written policies and procedures of the
organization?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**\*\*\*\*If a sampling of vouchers for several months indicates there
is a trend of inconsistency or faulty documentation and accounting, you
may want to review vouchers for an entire grant period.**

**GRANT-RELATED INCOME:**

**1.Has the grantee generated grant-related income, or does it
anticipate generating such income?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**2.If yes, specify the sources and anticipated amounts.**

**3.For non-State agencies: Has the designated agency deposited advances
of grant funds in interest-bearing accounts or earned other investment
income?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**GRANT-RELATED INCOME (CONTINUED):**

**4.If yes, have these funds been returned to the Department of
Education?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**5.If program income has been or will be generated, how is the income
used?**

**6.Is the program income documented in CAP records and identified as
RSA grant funds and reported on the SF-269?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)**

**7.If the agency used the additional alternative for reporting program
income, was prior approval received from RSA?**

**yes \_\_\_\_\_ no \_\_\_\_\_**

**PROPERTY/EQUIPMENT:**

**1.Does the organization maintain a record of all property/equipment
purchased with grant funds, including date of purchase and costs?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.
Explain.)**

**\*\*\*\*If yes, review the record of all property/equipment purchases
with grant funds.**

**2.Is the property tagged or otherwise marked to identify it as
organizational property?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**3.How frequently does the organization conduct property inventories?**

**PROPERTY/EQUIPMENT (CONTINUED):**

**4.Who conducts the property inventories?**

**5.Does the organization have written policies, procedures and controls
for purchasing/disposing equipment/property obtained with grant funds?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**PERSONNEL SYSTEM:**

**1.Does the organization have a current personnel manual with written
personnel policies and procedures?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**2.Is the manual periodically reviewed and updated?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**3.Does the manual contain clearly defined compensation policies,
including fringe benefits, vacation, sick leave, etc.?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**4.Do the policies address conflict of interest matters?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance
issue.)**

**5.Does CAP maintain time and attendance records for each employee by
pay period?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (You may want to review
time/attendance sheets.)**

**PERSONNEL SYSTEM (CONTINUED):**

**6.Are CAP employee salaries based upon the level of compensation for
non-Federally funded employees of equal status?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**TRAVEL EXPENDITURES:**

**1.Does CAP have a clearly written travel policy and implementing
procedures?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, you may want to review
them.)**

**2.If no, what policies and procedures does CAP use for travel?**

**3.If yes, does the travel reimbursement policy comply with State or
the organization\'s internal policies and procedures?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**4.The CAP travel policy, if applicable, provides for reimbursement
by:**

**a.actual expense \_\_\_\_\_\_\_\_\_\_; or**

**b.per diem rate \_\_\_\_\_\_\_\_\_\_\_\_\_\_.**

**5.Are all trips using Federal funds justified and documented?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**6.What is the ratio of staff training travel to CAP client-related
travel?**

**TRAVEL (CONTINUED):**

**7.Are funds provided to CAP clients to assure their attendance at
required meetings or appointments?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**8.If yes, how much was spent for this purpose during the past year?**

**FINANCIAL AUDITS:**

**1.Has the designated agency been audited in accordance with the
requirements in the revised OMB Circular A-133, which was promulgated on
June 30, 1997?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**\*\*\*\*If yes, get a copy of the CAP audit reports and related
findings by the auditors, including the auditor\'s management letter.**

**2.If yes, has a copy of the audit report been sent to the appropriate
Federal office?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_**

**4.Was the audit conducted in accordance with generally accepted
auditing standards, including those of the U.S. General Accounting
office, as specified in OMB Circular A-133?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**5.If the designated agency has not had an audit, is it familiar with
the Federal audit requirements for grantees?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**FINANCIAL AUDITS (CONTINUED):**

**6.If the CAP was included in the recent audit, did the report contain
any CAP recommendations?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, explain.)**

**7.If yes, were the recommendations implemented?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain why.)**

**ANNUAL CAP REPORT FORM RSA-227:**

**1.Who is responsible for preparing the Annual CAP Report (RSA-227)?**

**2.Is the report reviewed by another individual to check the accuracy
of reported financial and statistical information prior to the
sign-off?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, by whom?)**

**3.Who signs the Annual CAP Report (RSA-227)?**

**LOBBYING:**

**1.Does the designated CAP agency engage in lobbying and/or political
activities as defined in appropriate OMB Circulars?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, skip the rest of this
section.)**

**2.If yes, what funds does the designated agency use to support these
activities?**

**3.How does the designated agency record these activities to assure no
Federal funds are used?**

**DEBARMENT AND SUSPENSION REQUIREMENTS:**

**1.Does the agency comply with the governmentwide requirements
concerning debarment and suspension?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**DRUG-FREE WORKPLACE REQUIREMENTS:**

**1.Does the agency comply with the governmentwide requirements for a
drug-free workplace?**

**yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)**

**PART V**

**CLIENT SATISFACTION REVIEW GUIDE**

**PART V**

**CLIENT SATISFACTION REVIEW GUIDE**

**Reviewer \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date \_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Client name/case number \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**1.How did you hear about CAP?**

**2.What services were you seeking from CAP?**

**3.What services did you receive from CAP?**

**4.Were you satisfied with the services you received from CAP?**

**5.How could CAP have improved its services to you?**

**6.Would you come back to CAP if you had problems again?**

**7.Additional comments:**

**PART VI**

**INTERVIEW GUIDE FOR CAP ADVOCATES**

**PART VI**

**INTERVIEW GUIDE FOR CAP ADVOCATES**

**Reviewer
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Advocate\'s name \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**1.When you are assigned a case, how do you approach it initially?**

**2.How do you see your role when working with a client?**

**3.Describe your style/approach to conflict resolution.**

**4.Are there any barriers that prevent you from doing your job
effectively? If yes, what changes would you recommend?**

**5.Additional comments:**

**PART VII**

**INTERVIEW GUIDE FOR OTHER PROGRAMS**

**PART VII**

**INTERVIEW GUIDE FOR OTHER PROGRAMS**

**Reviewer
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Interviewee\'s Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Program
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**1.What is your title? Responsibilities?**

**2.In what circumstances do you interact with CAP and its staff?**

**3.In your opinion, how effective is the CAP\'s advocacy? Explain.**

**4.What are CAP\'s strengths?**

**5.What are CAP\'s weaknesses?**

**6.What suggestions, if any, do you have for improving CAP?**