1.1 Please indicate below if any aspect of the service is legally mandated by any of the following and provide the relevant reference.

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1 Response ID:79; Data 1. Support Services Report Template Report Info Name of the person completing this report : Nyassa Lvoe Title of the person completing this report : Associate Vice President Supervisor/dean reviewing report : Brad Wells Service : Ensure compliance with federal, state, local, and CSU statutes regarding business processes and health and safety of employees and students Division/College : Admin & Finance / Risk Mgmt 3. Mandated Service 1.1 Please indicate below if any aspect of the service is legally mandated by any of the following and provide the relevant reference. Federal Law : Americans with Disabilities Act (ADA), FMLA, OSHA,Title IX, Environmental Protection Act (EPA) including Clean Water Act (CWA), Clean Air Act (CAA). Ensure that the campus, including the Auxiliaries, is in compliance with the laws regarding safe storage and disposal of hazardous waste and toxic substances. State Law : California Whistleblower, CALOSHA, California Labor code, California Health and Safety Code, Public safety, environmental laws on environmental protections, toxics, clean water. In addition, the campus and the Auxiliaires must comply with State Fair Employment and Housing; State Building Standards Code; Unruh Civil Rights Act. Executive Order : Executive Orders: Disability Support and (ADA) Accomodations; EO 1069 Risk Mgmt and Public Safety; EO1062 Field Trip policy; EO1074 Discrimination and Harrassment policy; EO1046 Police Services and Public Safety; EO1014 Business Continuity Program; EO 1056 Emergency Management Program; EO1039 Occupational Health and Safety policy; EO986 Student Professional Liability Insurance; EO1063 Student Complaint Procedures; EO1072 Title IX; EO1058 Whistleblower retaliation policy; EO 883 Nondiscriminatioin and Affirmative Action Programs in Employment; EO638 Risk Pooling policy; EO295; EO1000 Delegation of Fiscal Authority and Responsibility. Title 5 : Ensure compliance with Title 5 regulations for Disabled Students; Workers Comp insurance; Claims against the CSU under the Government Claims Act. Campus Policy : Ensure that the campus is in compliance with all CSUEB Executive Directives and campus policies, in particular Executive Directive and LiveScan. Any other : Campus and the Auxiliaries must comply with CSU ICSUAM (Integrated CSU Administrative Manual) and SAM (State Administrative Manual) if the ICSUAM does not address the policy Provide a brief explanation, if necessary, in < 60 words. Compliance with federal and state laws, Integrated CSU Administrative Manual (ICSUAM), campus Executive Directives, etc. is mandatory. Internal controls are meant to ensure regulatory and fiduciary compliance through physical safeguarding of assets, separation of duties, accountability in delegations of authority, policies, procedures and training. The CSU must adhere to the Public Sector governance principles of transparency, accountability, equity and integrity. 4. Importance of Service Briefly describe the service in terms of its primary function(s) and purpose(s) using <120 words Campus compliance with laws relating to the health and safety of students, faculty and staff is paramount. Campus must adhere to Chancellor's Office (CO) deadlines for responding and resolving audit findings. The Compliance Director serves as an official campus contact with the CO as well as campus departments to resolve audit items and creating new policies and procedures, as needed. Delinquent audit items are reported to the Board of Trustees. The Compliance director serves as the Chair of the campus

2 Assistive Technology Initiative Steering Committee and provides Litigation Hold and PERB Hearing support as needed. The compliance function makes recommendations to improve effectiveness and efficiency of existing campus business processes, while considering the cost-benefits and risks of various alternatives. 2.1 Who are the primary receivers of this service? (Please enter the percentage of each user group that is relevant) Students : 5% Faculty : 15% Administrators/staff : 20% Colleges/departments : 30% Other : 30% Total : 100% 2.2 Please indicate the direct or indirect impact of the service on students for each of the three University Action/Student Impact Areas listed below (for example processing financial aid applications would be direct impact on students while managing utility services would be indirect). Direct Impact on Students Indirect Impact on Students Pre-college (helping students to enter the system) During college (helping students succeed while they are at Cal State East Bay) After college (helping students establish meaningful lifework and be socially responsible contributors to society) Provide a brief narrative (<60 words each) explaining your selection for each area. Evidence submitted to support the chosen selection (<60 words for each) Pre-college (helping students to enter the system) During college (helping students succeed while they are at Cal State East Bay) By ensuring the University is in compliance with all legal requirements, prospective students will feel confident they will be attending a safe campus, which is managed effectively and efficiently as it must conform to CSU policy and procedures. By ensuring the University is in compliance with all legal requirements, prospective students will feel confident they will be attending a safe campus, which is managed effectively and efficiently as it must conform to CSU policy and procedures. After college (helping students establish meaningful lifework and be socially responsible contributors to society) 2.3 Applying the four choices presented below, please indicate the consequence of NOT having this service on each of the actions in the left hand column. 4 - Service provides evidence of direct impact in more than one area 3 - Service provides evidence of direct impact in one area 2 - Service provides evidence of indirect impact in more than one area 1 - Service provides evidence of indirect impact in one area Pre-college (helping students to enter the system)

3 During college (helping students succeed while they are at Cal State East Bay) After college (helping students establish meaningful lifework and be socially responsible contributors to society) Provide a brief narrative (<60 words each) explaining your choice. Evidence submitted to support the chosen selection (<60 words for each selection) Pre-college (helping students to enter the system) During college (helping students succeed while they are at Cal State East Bay) After college (helping students establish meaningful lifework and be socially responsible contributors to society) Negative press coverage and negative public relations resulting from health and safety issues, EEO violations, misuse of state resources, or fraudulent activities would have a detrimental effect on the number of students wanting to attend this campus Negative press coverage and negative public relations resulting from health and safety issues, EEO violations, misuse of state resources, or fraudulent activities would have a detrimental effect in retention of students on campus. Negative press coverage and negative public relations resulting from health and safety issues, EEO violations, misuse of state resources, or fraudulent activities would have a detrimental effect on donors and alumni relations with graduating students. 2.4 Alignment with Shared Strategic Commitments How does this service contribute to or align with any of the eight Shared Strategic Commitments (SSC) listed below? If aligned or contributing, provide a description. (<60 words for each SSC) Reinforce academic quality through open-minded inquiry, innovative teaching, engaged learning, and distinguished scholarship Enhance our inclusive campus, responding to the backgrounds and interests of our diverse community and promoting their academic, professional and personal development Serve students first, by expanding access and enhancing each student's educational experience and prospects for success as a graduate and life-long learner By making sure the campus is compliant in all CSU and legal regulations, the staff and faculty can provide a quality learning experience to the students. Compliance with EEO promotes a diverse student, faculty and staff campus community. By ensuring compliance with the CSU's Accessible Technology Initiative, the campus is able to provide a much more inclusive learning environment for students with physical as well as behavioral and emotional disabilities, such as autism spectrum disorders. Accessible Technology Initiative compliance ensures equal access to instructional materials for students with disabilities by providing textbooks, tests, and course readers in alternate media. multimedia-based instructional materials, library databases and campus websites are becoming more accessible. This enhances prospects for success for students with disabilities, including graduate studies. Foster a vibrant community through enriched student services and student life that support student engagement and learning Contribute to a sustainable planet through our academic programs, university operations, and individual behavior Continuously improve our efficiency, transparency, and accountability while practicing mutual respect, responsiveness, and collaboration across the University Campus compliance with CSU policy helps foster "Best Practices" as well as efficiency and accountability. Audit findings lead to the implementation of new business processes, and increased responsiveness and collaboration across the university.

4 Support the civic, cultural, and economic life of all communities in the regions we serve through partnerships that promote education and social responsibility Demonstrate our continuing record of leadership and innovation in higher education, focused on 21st century skills, including science, technology, engineering, and mathematics (STEM) 2.5 How might the demand for this service change over the next five years? (Please choose one category below). Likely to increase Provide a rationale for your choice (assumptions, impact of new policy, etc.) in <120 words. Instead of a FISMA audit every 4 years, Chancellor's Office audits are focused and subject specific. During 2012/13, Audits included Auxiliaries, Academic Personnel, Data Center, UPD, Procurement card, Centers and Institutes. CSUEB also requested review of Sensitive Data and information security. Specific deadlines for providing responses are required with related document requests; root causes of deficiencies noted; formal responses for each finding; and demonstrate that the campus has rectified the audit findings. Review by the CO's University Auditor is at a high standard of what constitutes acceptable documentation. CSUEB typically has 6 to 12 findings in general categories, with sub findings, for a total of 12 to 36 specific findings per audit, which must be addressed individually. 5. Quality of Service 3.1 Do you assess the quality of the service you provide? If, what benchmarks, best practices or measures of success, either internal or external, do you use to measure service quality (e.g., timeliness, accuracy, adequacy, meeting deadlines, satisfactory completion of assignment, etc.)? Please describe in <120 words. If no, please explain. Compliance and Internal Control is a new service first funded in 2012/13, largely in response to the change in the CO's audit strategy and increased frequency of audits conducted by the CO. 3.2 During the last three years, have you adopted any measures to improve the quality of this service? Please describe in <120 words. Appointed a Director of Compliance and Internal Control 3.3 What idea(s) do you have for improving the quality of this service within existing resources (e.g. development of benchmarks, surveys, feedback, etc.)? Please describe your plan(s) in < 120 words. Use the Board of Trustees Audit Committee's annual designation of CSU high-risk areas (on audits for which East Bay was not selected) to develop a proposed internal audit schedule. Increase productivity by leveraging the online resources provided by the

5 ACUA (Association of College and University Auditors). 3.4 What ideas do you have for improving the quality of the service if additional resources were provided. Please describe your idea(s) in <120 words. If additional resources were provided, quarterly internal audits of various business processes (ie, trust disbursements and travel expenses) would be performed on a more timely basis. An additional resource could also be cross-trained in the Chancellor's Office audit process, and assist in providing quicker resolution of audit findings. The number of special projects performed could be increased. Long-term, the overall number of audit findings will be reduced. 3.5 Do you use any formal or informal process to assess the level of satisfaction of the service users? If yes, describe the process and most recent results in <120 words. If no, please explain. To improve overall efficiency when responding to the Chancellor's Office, by 1) submitting all documentation together for the multiple audit findings for each general audit finding category, so that the entire Item is closed and 2) providing sufficient evidence so that the finding is cleared the first time by the CO (avoiding "partial" acceptance and subsequent re-submission of additional documentation). Also, to reduce elapsed time during each phase of the audit when the various campus responses are due (ie, internal control questionaire and initial request for documentation; root cause of audit findings; campus audit response to audit report draft; evidence provided to close the audit finding.) 3.6 The university recently conducted a customer satisfaction survey for some services (results for this service are attached, if applicable). Do you have any comment or response to the results? Please describe in <120 words. n/a 3.7 Do you have any formal or informal guidelines for personnel in your department regarding how to treat/interact with receivers of this service? If yes, please describe in <120 words. If no, please explain Informal feedback from the Chancellor's Office in the form of s to the Director of Compliance and the CFO has been very positive, especially in regard to resolution of the more difficult audits (UPD). Chancellor's Office recommended that the Compliance Director be appointed as an official campus audit contact, thereby streamlining the communication process. During the Sensitive Data status report to the CFO and the CIO, the CO auditor complimented the effectiveness of the Director of Compliance. Campus contacts have also been very appreciative of the Compliance Director's efforts in resolving all open audit items. 3.8 Does your service have annual goals (targets) of achievement regarding the quality of the service provided? If yes, describe the annual quality goals (targets) and indicate if the service achieved those goals (targets). Please provide evidence, if possible, in <120 words. If no, please explain.

6 Annual quality goal is to provide sufficient documentation that the audit finding is reviewed by the CO and closed, with no further documentation being requested, within 6 months. Individual audit findings are tracked on a spreadsheet, which provides a clear picture of the status, of each item (typically there are 18 to 32 findings per audit, although a difficult audit could have many more). 3.9 Does your service have annual goals (targets) of achievement regarding the quantity of service provided? If yes, describe the annual quantity goals (targets) and indicate if the service achieved those goals (targets). Please provide evidence, if possible, in < 120 words. If no, please explain. The major goal for quantity of service is to respond in a timely basis to all CO audit deadlines at every stage of each audit. There are usually 3 or 4 audits in various stages running concurrently during the year. Since July 2012, with the formation of the Compliance and Internal Control department,the campus has met all of the CO's mandated deadlines. 6. Efficiency of Service (cost effectiveness) 4.1 Using the spreadsheet provided for all employees in your department, please distribute salaries of individuals across all services provided to reach an educated or reasonable estimate of the cost of providing the service Attach your allocated spreadsheet here. PFD_AF- Risk Mngmnt Expenses MPG Aug 13.xlsx 4.2 Using the spreadsheet provided, please distribute your department s annual operating expenses across all services provided to reach an educated or reasonable estimate of the cost of providing the service Using the spreadsheet provided, please distribute the square footage of work space across all services provided to reach an educated or reasonable estimate of the use of this resource. 385 Attach your allocated spreadsheet here. PFD - Space AF Risk Mgmt - Sept 6.xlsx 4.4 During the last three years, have you adopted any measures to improve the efficiency (cost effectiveness) of providing this service (e.g. reducing salary costs, operating expenses or use of space, or increased output without increasing cost. Etc.)? No If yes, please describe the measures in <120 words. If this is a new service introduced over the past three years, please

7 indicate. If no, please explain. 4.5 What idea(s) do you have for improving the efficiency (cost effectiveness) of this service within existing resources (e.g. restructuring, merging, outsourcing, ways to cut costs, technology, etc.)? Please describe those ideas in <120 words. Within existing Risk Management resources - administrative support is needed to scan documents (letters to the CSU University Auditor, Larry Mandel, with documentation) so they can then be securely filed in the VP's shared drive. Currently, these tend to pile up. Most admin support is currently performed by the director, so reducing the admin tasks would be more efficient use of the director's time. Utilize existing ACUA audit programs for internal audits. 4.6 What idea(s) do you have for improving the efficiency (cost effectiveness) of the service if additional resources were provided. Please describe your idea(s) in <120 words. Current workload in Compliance and Internal Control prevents quarterly projects from being performed on a timely basis (eg, audits of trust disbursements and business travel expenses). Director has not had time to perform an overall campus risk assessment or set up an internal audit/control department, given the volume of mandatory time-critical audits and other projects and that this department (with 1 FTE) was formed July 1, Qualified additional resources would allow for cross-training in how to respond to CO audits. 4.7 Do you have any plan(s) to improve the efficiency (cost effectiveness) of this service in the next 1-2 years (e.g. reducing costs, increasing productivity, etc.)? If yes, please specify whether these plan(s) involve reducing salary costs, operating expenses and/or use of space. Please describe your plan(s) in <120 words. If no, please explain. Create an office manual with business processes for each stage of the Chancellor's Office audit process. Create an ongoing internal audit schedule for the campus. Conduct training sessions with various departments. Perform follow-up on prior audit findings to ensure that new business processes have taken hold (for example, UPD ammunition inventory in March 2014). 4.8 Please describe the estimated output for this service for fiscal year , quantify if possible (e.g. volume, service tickets resolved, people serviced, appointments, etc.) in <120 words. Since July 2012: Held 9 ATI Steering Committee Meetings. Met with the 3 teams to complete the 3 ATI annual reports. Participated in 11 monthly conference calls with CO's ATI staff and CSU campuses. Created a 2014/15 funding spreadsheet for ATI prioritization of projects. A Communique on ATI progress was approved by the CFO. CO audits: 6 audits completed by the CO; 88 individual audit findings resolved. A Sensitive Data Review was performed by the CO; interviewed of 36 departments and 55 staff. Whistleblower: 3 investigations were conducted; a total of 25 staff were interviewed. PERB support was provided

8 Internal audit of "Faculty Grants funded by the College of Business and Economics" was performed at the request of the CFO. 7. Other 5.1 Are you aware of services similar to this one that are being provided by another department at CSU East Bay? No If yes, please provide a list of those departments. How are the services described here similar or different? Please describe in < 60 words. 5.2 Is there anything unique or distinctive about your service? Please describe what is unique or distinctive in <120 words. The service is provided by a CPA who has an excellent understanding of internal controls, project management and over 30 years of experience. Service must be provided by someone able to successfully manage and multi-task multiple projects in various stages. 5.3 Are there any additional things about this service that you would like the task group to know? Please describe/explain in <250 words. The director of this service was appointed October 2012 by the campus CFO to be the Chair of the Assistive Technology Initiative Steering Committee because the campus had made little progress in the previous 2 or 3 years and therefore, was in danger of falling out of compliance with ADA mandates as well as EO 926 and Coded Memo AA on Accessible Technology Initiative (ATI), issued in January The Chair formed a Steering Committee and has held meetings every 6 weeks since January The Chair prepares and distributes an agenda prior to each meeting, and follow-up items are noted in the Minutes of each meeting. This has resulted in building momentum toward mandated CSU goals and creating a real sense of teamwork with stakeholders from IT /Web Services, Procurement and Instructional materials (bookstore, library), the Associate Provost; Jessica Weiss from Faculty Development; Communications and Accessibility Services. The executive co-chairs are the AVP of Risk Management and the AVP/CIO of IT. The ATI Annual Report is due to the CO by November 15. The campus hosted a CSU training for Northern California campuses in August 2013 on Compliance Sheriff software, used in analyzing website accessibility. In August 2013, a memo from Executive Vice Chancellor Ephraim Smith on "Campus Accessibility Strategy for Online Education" was issed to all CSU campus presidents, provosts and VPs of Academic Affairs. Download PDF Version