TEXAS CASA
QUALITY ASSURANCE
BEST PRACTICES MANUAL I
December 2014 Edition
TEXAS CASA QUALITY ASSURANCE BEST PRACTICES MANUAL I
Best Practices refers to the policies, procedures and/or processes our programs utilize in their
daily operations. Many of these have been shared by CASA/GAL programs in Texas and serve as
practices you can tailor and implement in your program.
The Manual is envisioned as an ongoing and expanding document. It will be updated
periodically with new topics as well as additions and changes to existing information.
These resources can be accessed on the Texas CASA website under the Learning Center tab.
Visit http://texascasa.org/learning-center/. For more information, please contact the Program
Services department at Texas CASA at [email protected].
TEXAS CASA BEST PRACTICES MANUAL I
TABLE OF CONTENTS
1 Texas CASA Best Practices Manual I December 2014 Edition
,
Sample Board Member File Contents ______________________________________________ 5
Board and Staff Responsibilities __________________________________________________ 6
Sample Board Meeting Minutes __________________________________________________ 8
Sample Board Member Orientation ______________________________________________ 10
Sample Board Recruitment Plan _________________________________________________ 12
Effective Board Committees ____________________________________________________ 14
Insurance Checklist for Board Members ___________________________________________ 18
Sample Employee Application ___________________________________________________ 23
Sample Evaluation of a Volunteer Supervisor _______________________________________ 26
Providing Critical Performance Feedback __________________________________________ 31
Sample Personnel File Contents _________________________________________________ 33
Sample Volunteer Recruitment Plan ______________________________________________ 37
Sample Court Observation Form _________________________________________________ 42
Sample Volunteer Evaluation Form _______________________________________________ 43
Volunteer to Case Ratio Calculation ______________________________________________ 44
Sample Child Transportation Permission Form ______________________________________ 45
Sample Annual Fund Development Plan ___________________________________________ 49
Fund Development Readiness Assessment _________________________________________ 54
Sample Risk Management Plan __________________________________________________ 57
Sample Record Retention Policy _________________________________________________ 62
Sample Crime Victims Compensation Benefits Procedures ____________________________ 64
Internal Controls Chart _________________________________________________________ 66
FY15 Internal Controls Questionnaire _____________________________________________ 67
Sample Individualized Advocacy and Action Plan ____________________________________ 71
Sample Case Supervision Report _________________________________________________ 80
Sample Case Activity Log _______________________________________________________ 83
Sample Court Report __________________________________________________________ 84
Educational Advocacy _________________________________________________________ 87
Medical Advocacy_____________________________________________________________ 89
Tracking Volunteer Hours and Advocacy___________________________________________ 91
Nonprofit Governance
Nonprofit Administration
Financial & Risk Management
Volunteer Management
Advocacy for Children
2 Texas CASA Best Practices Manual I December 2014 Edition
NONPROFIT GOVERNANCE
3 Texas CASA Best Practices Manual I December 2014 Edition
Standard 2: Ethical Conduct
Sample Board Member File Contents
Standard 5: Program Governance
Board and Staff Responsibilities
Sample Board Meeting Minutes
Sample Board Member Orientation
Sample Board Recruitment Plan
Effective Board Committees
Standard 10: Financial, Facility and Risk Management
Insurance Checklist for Board Members
4 Texas CASA Best Practices Manual I December 2014 Edition
SAMPLE BOARD MEMBER FILE CONTENTS
Standards 2.A-B., 5.C.
5 Texas CASA Best Practices Manual I December 2014 Edition
Board Member Selection and Screening
☐ Board Member Application
☐ Board Member References
☐ Social Security Number Verification
☐ Child Abuse and Neglect Central Registry Check
☐ Fingerprint-Based Background Check (FBC)
☐ Re-screenings of Board Member Every Two Years if applicable
Board Member Orientation and Trainings
☐ Board Member Orientation Checklist
☐ Contact Information
☐ Signed Board Member Job Description
☐ Signed Confidentiality Agreement
☐ Signed Annual Conflict of Interest Agreement
☐ Board Member Ongoing Training Log
Other Documents
☐ Board Member Annual Self-Evaluations
☐ Personal Donation/Pledge Receipts
BOARD AND STAFF RESPONSIBILITIES
Standards 5, 6, 10.
6 Texas CASA Best Practices Manual I December 2014 Edition
Function/Task Suggested Primary Responsibility
Board Staff Other
Planning
Determine basic agency purpose/goals Board
Determine which community needs should be met
and to what extent
Board
Determine categories of services to be provided Board
Determine long-range/strategic plans for program Board
Develop programs to meet needs Staff
Set specific program objectives Staff
Determine funding level needed to run organization Staff
Develop program evaluation system Staff
Policy
Provide background information Staff
Give input to policy Board Staff
Make policy Board
Fundraising
Develop fundraising plan Board Staff
Develop funding sources Board Staff
Solicit funds and other resources
Evaluate fundraising success
Financial Management
Prepare agency budget Staff
Monitor how funds are spent each day Staff
Monitor total funding picture Board
Hire CPA for audit Board
Do bookkeeping Staff
Personnel
Determine agency personnel policies Board
Recruit, screen, hire, supervise and terminate:
Executive Director Board
Paid staff Staff
Board Members Board
Non-Board/Committee Volunteers Staff
Provide training and development opportunities for
Executive Director Board
Paid staff Staff
Board members Board
Non-Board/Committee Volunteers Staff
7 Texas CASA Best Practices Manual I December 2014 Edition
Function/Task Suggested Primary Responsibility
Board Staff Other
Develop procedures and evaluate performance of:
Executive Director Board
Paid staff Staff
Board Members Board
Non-Board/Committee volunteers Staff
Public Relations
Develop a formal public relations plan Staff
Implement public relations plan Staff
Serve on the boards of other agencies Board Staff *As long as there are no
conflicts of interest
Maintain contact with state, national affiliates Board Staff
Other
Establish management assessment procedure Staff
Determine board nomination policies Board
Recruit and train Board members Board (The ED can assist the
Board.)
SAMPLE BOARD MEETING MINUTES
Standard 5.A.11.
8 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA 69
CASA 69, INC
BOARD OF DIRECTORS MEETING August 18, 2012: 8:00am-2:00pm
Hampton Inn
2010 South Dumas Avenue, Dumas, TX
MINUTES
MEMBERS PRESENT MEMBERS ABSENT Jo Ann M.
Anita R.
Milton P.
Beth M.
Stephanie F.
Lydia R.
Griff L.
Rosabelle L.
David F.
LeRayne D.
Beth C.
Oscar A.
Kathryn B.
Cyndi W.
STAFF PRESENT VISITORS Edye C. Liz H. Ronnie H. Cheryle L.
I. Call to Order
The Board President called the August 18, 2012 Regular CASA Meeting to order at 9:20 am.
II. Approval of Minutes
The Board reviewed the minutes from the June 25, 2012 board meeting. David F. moved to accept
minutes, seconded by Beth M. Minutes were approved.
III. Committee Reports
A. Finance Committee – Finance committee met on July 16. After reviewing the proposed budget
the committee gave its report. Griff L. made a motion to pass the budget, seconded by David F.,
motion passed.
B. Nominating Committee – The committee met on August 6. Meeting minutes were handed out
to board members. 1) Committee recommended making the outgoing president an ex-officio
member. Bylaws will read “with the approval of the Board, The Executive Committee, and other
Board committees for an additional two years following the end of his or her term as President.” Beth M. moved to make the revision to the Bylaws, seconded by Beth C., motion passed.
C. Public Relations Committee – No action by committee was reported.
D. Volunteer Committee- No report.
E. Personnel Committee- Committee met on July 16, and minutes were handed out to board
members.
9 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA 69
IV. Unfinished Business
No unfinished business.
V. New Business
A. Fiscal Policy and General Accounting Procedures. Revisions made as follows:
Page 2 - Cash Receipts “records the checks and/or cash in the Check/Cash Register spreadsheet on the office computer system and in QuickBooks. A deposit slip listing all checks and or cash
will be generated from QuickBooks. All deposit slips and the donation (check or cash) are
presented to the Board President or Board Treasurer to confirm before the deposit is made.”; Cash Disbursements - “All disbursements must be made by check or debit card.” Page 4 - Payroll Procedures - “Payroll checks are either direct deposit or direct transfer.” Segregation of Duties - #4 “Persons authorized to sign checks are the Board President or members of the Finance Committee of the Board of Directors.” #7 “The Executive Director will retrieve the mail and will keep a computerized spreadsheet log and enter in QuickBooks all money received.”; Page 5 - #10 The Executive Director will compare deposit slips to deposit entries in QuickBooks
and in the computerized spreadsheet log.”
Milton P. made a motion to accept the Fiscal Policy and General Accounting Procedures,
seconded by Stephanie F., motion passed.
B. The Schedule of Events for CASA 69. Inc. from September through December, 2012 (on file)
C. Nomination to Emeritus Board - Motion was made to form an Emeritus “Committee” by LeRayne D. and seconded by David F. Motion passed.
VI. Executive Directors Report – Summary of Activities from July 1 through August 18 was handed out to
board members (copy on file).
VII. Adjournment –Meeting was adjourned at 2pm.
Next meeting is scheduled for Monday, September 17, 2012 at 6:30 pm at the First Baptist Church in
Stratford.
Respectfully submitted,
Rosabelle L.
Approved:
____ Yes
____ No (Corrections noted)
_________________________ ________________ Jo Ann M., President Date
CASA 69, Inc. Board of Directors
SAMPLE BOARD MEMBER ORIENTATION
Standard 5.C.5.
10 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Travis County
Date
Completed Board Member Name:
A. Introductions
1. President
2. Chairperson of Committees
3. Executive Director
B. CASA Program, Inc.’s Mission and Vision
1. Mission and Vision
2. CASA’s Role in the Child Welfare System
3. CASA Program: A Volunteer-Centered Organization
4. Inclusiveness and Diversity; Disproportionality
C. CASA Program, Inc. Tour
D. Board Duties
1. Board Roles v. Staff Roles
2. Board Committee Requirements
3. Conflicts of Interest
4. How to Represent CASA Program, Inc. as a Board Member
5. Texas CASA and National CASA
6. Sign Board Member Job Description
E. Board Member Manual Contents
1. Bylaws, Board Policies and Procedures
2. List of Current Board Members and their Committees
3. Current Budget
4. Most Recent 990
5. Most Recent Audit
6. CASA Program, Inc. Insurance Policies
7. Board Meeting Minutes from Past 12 Months
8. Most Recent Annual Report
9. Current Strategic Plan
10. CASA Program, Inc. Calendar
11. Texas CASA Standards and National CASA Association Standards for Local
CASA/GAL Programs
11 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Travis County
F. Board Member File Contents
1. Current Contact Information
2. Board Member Availability
3. Signed Board Member Job Description
4. Signed Confidentiality Pledge
5. Signed Application with Permission to Conduct Background Checks
6. Social Security Number Verification
7. Child Abuse and Neglect Central Registry Check
8. Fingerprint-Based Background Check (FBC)
9. Signed Conflict of Interest Agreement
G. Training
1. Observe a CASA Court Hearing (Optional)
2. Attend the Pre-Service Training Session that Discusses the CASA/GAL Role
3. Attend Annual Cultural Competency Training
SAMPLE BOARD RECRUITMENT PLAN
Standard 5.C.
12 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Tarrant County and CASA for the Cross Timbers Area
Goal:
To build a leadership team around shared values and priorities.
Objectives:
To continue to assess the organization’s Board leadership needs. To execute an organized process to identify, contact and secure commitments from the best
qualified individuals to fill Board leadership needs.
To establish and carry-out a long-range plan for Board leadership recruitment and development.
To orient new Board members to the organization beginning during the recruitment process.
Strategies:
1. Support the strategic plan- Regularly review the strategic plan to determine if there are any
implications for governance, including Board member recruitment and development. By linking Board
member recruitment to the strategic plan, the Nominating is able to review the mission, vision, goals
and strategies to determine any skills, knowledge, personal contacts and/or other attributes future
Board members will need to possess in order for the Board to do its part in advancing the strategic
plan.
2. Current Board Member Evaluation / Assessment – In the fall of each year, the nominating committee
will assess the profile of the current roster of board directors. Effective boards are built and
maintained by the collective efforts of every board member. While creating diversity is very
important to achieve an effective board, it is equally important that to ensure a commonality
regarding a shared belief in the mission and essential values of the organization. This assessment
includes determining which board members rotate off of active duty, either by completing a term,
failure to comply with board member expectations or for any other personal reason.
3. Create Demographic Profile Grid – The board profile grid is utilized to determine the existing
characteristics of the current board as well as to determine the desired characteristics of potential
new candidates. A major objective in choosing potential board members is the development of a
professional and credible image in the community. Categories on the grid include such things as
leadership skills, legal expertise, accounting experience, fundraising ability, marketing experience,
age, gender, ethnicity, geographical representation, etc. The grid serves as a matrix to assist the
board in ensuring the diversity needed for functional governing.
4. What does our organization have and what does it need? Once the nominating committee has
completed the compilation of the board profile grid, a determination is made regarding what the
organization currently has in place and what it needs for the next round of board member
nominations. This information is conveyed to the board.
5. Recruitment – Nominations are secured from the board and a recruitment phase is implemented. All
potential board members should be interviewed personally by members of the nominating
committee to determine their interest and suitability. This is also an appropriate time to explain the
responsibilities and expectations of CASA board members. Recruitment is most effective when based
on the actual work that the individual will be asked to do on the board. If you let them know in
13 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Tarrant County and CASA for the Cross Timbers Area
advance what you want and expect them to do, they are more likely to contribute in an effective way
to the needs of the board.
At a minimum, the interview agenda should cover:
a. welcome and introductions to include CASA positions/duties as well as short personal
biographies;
b. an overview of the mission, vision and goals of CASA;
c. an overview of the general roles of the Board and committees;
d. a review of the individual job description and the specific profile needed;
e. opportunities for the prospect to ask questions;
f. a declaration of willingness by the prospect to serve;
g. a statement of specific committee interest by prospect; and
h. an outline of the next steps including deadline for application submission.
6. Present Nominees for Approval – Once the recruitment phase has been completed, the nominees for
board appointment are approved by the board. Prior to formal election to a board appointment,
background checks are conducted on all candidates. New board members participate in a formal
orientation and training session at the beginning of their tenure.
EFFECTIVE BOARD COMMITTEES
Standard 5.C.1-5.
14 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates of Red River; Humphries, Susan. How Non-profit Boards can
Effectively Utilize Committees and Social Venture Partners in Boulder County.
Committees are frequently the working force at the heart of an organization. As such, effective
organizations often relate directly to their effective committees.
Why are Committees Used?
The use of committees can save time at general meetings. Committees can discuss and review matters
in detail and then bring their recommendations to the full Board. The work of the organization becomes
more efficient. The specialized skills and interests of members are used to their full advantage. More
members get involved in the detailed work of the organization. Responsibilities are shared according to
skills and interests of members.
New or inexperienced members can gain valuable insight into the organization and develop confidence
by serving on committees.
Type of Committees
There are two basic kinds of committees:
Standing Committees are created by the standing orders, rules, by-laws, or regulations of an
organization. They function on a permanent basis. Texas CASA Standards require a board to have an
Executive Committee comprised of at least a President, Vice President, Secretary and Treasurer.
Examples of other common standing committees would be development, finance, nomination,
personnel, and volunteer recruitment.
Ad Hoc Committees are appointed for a specific purpose on a short-term basis. Common ad hoc
committees in organizations are building/capital campaign, strategic planning and special events.
Purpose of Committees
Many organizations have too many committees, which often have unclear responsibilities. You should
be able to answer the following before any committee is established:
• What’s the purpose and authority of this committee?
• What are the responsibilities and specific tasks of this committee?
• What are the time limits on this committee?
• What type of reporting to the organization is expected?
• How are members picked for this committee?
• What’s the budget of this committee?
• What’s the term of office for members? How do we fill vacancies?
• What resources does this committee have and what will it need to complete its task?
The committee's terms of reference should be written and included in the organization's policies or
recorded in a motion. These terms of reference are available to all organization members.
Committee Membership
Selecting committee members is the best way to ensure that you get the people with the correct skills,
interests and commitment to the task. Three to seven people is a good size for most committees.
15 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates of Red River; Humphries, Susan. How Non-profit Boards can
Effectively Utilize Committees and Social Venture Partners in Boulder County.
The committee chair should be selected with careful consideration. The chair isn't necessarily the
technical expert of the committee. It's more important that the person works well with others,
organizes effectively, motivates others, keeps people on task and has good communication skills. Other
responsibilities of the chair include preparing and presenting committee reports, ensuring a successor is
groomed to assume the chair's role in the future, setting agendas, calling meetings and ensuring that all
members have the opportunity to contribute.
Committee Reporting
Committees are directly responsible to the organization that created them. The committee chair usually
reports to the full Board. Reports should be concise, but should show that a full discussion was held and
all options were considered. The Board should never think that the committee missed something. The
committee should present specific recommendations. Reports that are for informational purposes only
don't require a motion. If a committee wants to bring ideas, actions or recommendations to the Board
through their report, the committee chair should say, “By direction of the committee, I move . . ."
Conduct Committee Meetings with Effectiveness and Efficiency
1. Solicit agenda items and send out the agenda ahead of time. The chair should always let the members
know that there is an upcoming meeting, show what items are carried over from previous meetings, and
share any new items that will be addressed. Seek additional agenda items from the membership.
2. Make it clear that all members are expected to come prepared. The chair should send relevant back-
ground material and then expect members to have read and digested this information before the
meeting.
3. Start and end the meeting on time. Out of respect for the members and their time, meetings need to
start and end as scheduled. If the chair can see that the group won't be able to complete their task,
she/he should ask the members whether they desire to stay later, schedule an additional meeting, or
carry over the discussion to the next meeting. Respecting time shows respect for the members.
4. Respect all committee members. Everyone is on the committee for a reason. It is the committee
chair’s job to assure that everyone participates by seeking out comments and feedback from the quieter
members. Don't let one or two individuals dominate the discussion. Instead, go around the room for
comments before those who have already spoken get called upon again.
5. Look for opportunities to grow new members. Committees can cultivate new leadership for the
organization. The committee chair should be on the lookout for such potential talent by giving these
members assignments to prove themselves and working collaboratively with them to help them grow.
6. Keep to the agenda. The chair guides the pace of discussion so that all items on the agenda are given
adequate consideration. If new issues surface, they should be added to the next meeting's agenda
unless there is considerable time left at the end of the scheduled meeting. Even then, the committee
should be consulted as to whether they would rather consider the item(s) at the next meeting.
16 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates of Red River; Humphries, Susan. How Non-profit Boards can
Effectively Utilize Committees and Social Venture Partners in Boulder County.
7. Make sure everyone knows the role staff will play. Staff members are generally included in
committees to play a support role by interjecting information germane to the discussion. Ultimately, the
decisions of the committee are the responsibility of the board, not the staff. Therefore, it is not
appropriate for staff members to control the operations of a board committee or be unduly relied upon
by committee members to carry out the majority of committee work. If a staff member has serious
concerns they ought to be raised with the ED. She/he should address concerns with the committee and
board chair ahead of time.
8. Send out a concise set of minutes in a timely manner. The chair's responsibility is to assure that a
complete, concise and timely set of minutes are sent out, usually within 48 hours of the committee
meeting. The chair should find out if the board chair or others want or need to see the minutes. If so,
include these people on the distribution list.
9. Recognize and show appreciation for the work of the individual committee members. The committee
chair should take every opportunity to recognize committee members, acknowledge their contributions,
and thank them on behalf of the organization. A simple "thank you" goes a long way in motivating
volunteers.
10. Report to the Board in a complete and timely manner. The chair is responsible for providing reports
to the Board. These reports should be concise complete and express concerns or any recommendations.
If the chair (or designated board representative) for some reason cannot give the report in-person, then
the chair will arrange for a substitute and let the board chair know who will be coming.
11. Be prepared to drop members who do not participate. If the chair encounters a committee member
who is not contributing, she/he should talk to the board chair about asking the person to step out of this
role. Individuals not contributing to the work who are allowed to stay on the committee set a bad
example for the rest of the committee.
12. Ask for feedback on how the committee is working. On an annual basis, the committee should be
polled about how well the committee functions. Seek their opinion on how the committee could be
more effective and ask for constructive criticism if applicable. This task can either be conducted by the
committee chair or the board chair. The summary of this feedback should be shared first with the chair
and then with the entire committee.
Committees work efficiently and effectively when the following questions can be answered with a “yes” response:
• Is the purpose of the committee clear to all members?
• Does the committee recognize its time commitments both in its overall project and at meetings?
• Is there good communication among members?
• Are members and the chair well prepared?
• Are minutes clear and concise?
• Does the committee evaluate its performance?
• Are members recognized and appreciated?
• Is the work of the committee recognized as making a valuable contribution to the organization?
17 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates of Red River; Humphries, Susan. How Non-profit Boards can
Effectively Utilize Committees and Social Venture Partners in Boulder County.
Summary
A committee is a work unit of the organization. It's the best way to take work and break it into
meaningful and manageable chunks. Effective committees remove time consuming detail from
organization meetings. They allow more people to be involved and expand the support base of the
organization. Committees build members’ commitment to the organization.
SAMPLE DEVELOPMENT COMMITTEE JOB DESCRIPTION
The Development Committee leads the Board’s participation in resource development and fundraising.
The committee is the Board’s central source of information about the fundraising climate in general, and about the status of the organization’s development activities in particular.
The Committee:
1. Works with the staff to develop the organization’s development plan.
2. Develops policies, plans, procedures and schedules for board involvement in development.
3. Helps educate directors about the organization’s plans and the resources needed to realize those plans.
4. Familiarizes directors with development skills and techniques so that they are comfortable with
soliciting contributions on behalf of their organization.
5. Sets minimum guidelines for directors’ contributions and then solicits those contributions.
6. Plays a strong role in identifying, cultivating, and approaching major donors (individual and planned
gifts, foundation, and corporate).
Prior fundraising skills, experience or a desire to develop these skills are important qualifications.
Adopted by the Board on September 22, 2013
INSURANCE CHECKLIST FOR BOARD MEMBERS
Standard 10.G.
18 Texas CASA Best Practices Manual I December 2014 Edition
Credits: “Core Elements of a Successful Nonprofit” © 2000, by M.L. Donnellan
Nonprofit Legal Toolkit © 2011 by Texas C-Bar and Texas RioGrande Legal Aid
Board members are responsible for evaluating the level and types of insurance coverage that
their CASA program needs.
All deliberations related to insurance should be noted in the minutes of the board meetings.
The following types of insurance should be considered in the light of a program's risk level. Not
all CASA programs will need all of these insurance packages:
1. Employee Benefits
a. Unlimited Major Medical
b. Disability to Retirement Age (short and long-term; accident and sickness)
c. Life Insurance
2. Liability Insurance
Pays for the legal defense and any settlements or judgments as a result of negligent acts committed by
the organization, employees, and volunteers.
These policies should cover the acts of the organization, employees, and volunteers for $500,000 per
person, $1 million for death or bodily injury, and $100,000 for each single occurrence for damage to
property in order for the liability protections under Texas law to apply.
a. General Liability (premises and operations)
i. Comprehensive
ii. Completed operations and products
iii. Contractual
iv. Personal injury
v. Specialty insurance such as alcohol exclusion and superhero runs,
which should be included specifically
vi. Employees and volunteers defined as
insured'
vii. Employee and volunteer bonding
ix. Sexual misconduct
b. Professional Liability (including volunteers)
c. Fiduciary Liability
d. Directors and Officers Liability (with
employment practices liability)
This insurance covers the costs of defense and
damages for wrongful acts and omissions
committed by directors, employees, and
volunteers.
i. Full entity coverage Reimburses the nonprofit for amounts paid to
indemnify its directors and covers claims against
the program;
ii. Directors and officers coverage Protects the directors and officers for losses for
which they are not indemnified.
19 Texas CASA Best Practices Manual I December 2014 Edition
Credits: “Core Elements of a Successful Nonprofit” © 2000, by M.L. Donnellan
Nonprofit Legal Toolkit © 2011 by Texas C-Bar and Texas RioGrande Legal Aid
iii. Employment Practices Liability Protects nonprofits, directors, and employees. This
insurance covers employment discrimination
claims, suits of wrongdoing in employment hiring
and firing, and other employment practices.
iv. Errors and Omissions
e. Umbrella Excess Liability (including sexual misconduct, punitive damages
not excluded, and the definition of who is an
insured must be consistent with the wording of
the underlying policy)
3. Property Insurance
a. Perils covered
b. Valuation of property
c. Adequacy of limits
d. Property of others
e. Systems Protection* *Important Note: Unless the starred items are
specified in the policy as having higher or separate
limits, claim payment for losses under them will be
extremely limited.
f. Property in Transit*
g. Computer Equipment*
4. Crime Coverage
Dishonesty and Forgery This coverage protects the program if employees
or board members embezzle or steal its assets. All
CASA programs in Texas are required to have
fidelity bonds that equal or exceed the total value
of their CVC and VOCA grants.
5. Automobile Coverage
a. Hired Automobile Coverage covers bodily injury and property damage resulting
from accidents that occur when the nonprofit
rents or leases a car
b. Non-Owned Automobile Coverage protects the organization from damages caused by
volunteers driving their own vehicles while
volunteering
6. Workers' Compensation
Nonprofits that do not provide workers’ compensation insurance have no liability limit if an employee is injured on the job.
7. Unemployment Insurance
20 Texas CASA Best Practices Manual I December 2014 Edition
NONPROFIT ADMINISTRATION
21 Texas CASA Best Practices Manual I December 2014 Edition
Standard 6: Human Resources Management
Sample Employee Application
Sample Evaluation of a Volunteer Supervisor
Providing Critical Performance Feedback
Sample Personnel File Contents
22 Texas CASA Best Practices Manual I December 2014 Edition
SAMPLE EMPLOYEE APPLICATION
Standard 6.E.2-6.
23 Texas CASA Best Practices Manual I December 2014 Edition
Please submit your cover letter and resume with completed application.
CASA Program, Inc. Employment Application
Applicant Information
Full Name: Date:
Last First M.I.
Address:
Street Address Apartment/Unit #
City State Zip Code
Phone: ( ) ____________________________ E-mail Address:
Date Available: Desired Salary: $________________
Position Applied for:
Are you a U.S. citizen?
YES
NO
If no, are you authorized to work in the U.S.?
YES
NO
Have you ever applied to or worked for this
company before?
YES
NO
If yes, when?
Have you ever been convicted of a crime?
YES
NO
If yes, please
list the charges
and explain.
_______________________________________________________________________________________________________________
How did you learn about CASA Program and this position? _______________________________________________________________
Date you will be available to work______________________
Do you have any objections to working overtime if necessary?_____________________________________________________________
Education
High
School: Address:
From: To: Did you graduate?
YES
NO
Degree:
College: Address:
From: To: Did you graduate?
YES
NO
Degree:
Other: Address: _________________________________________________
From: To: Did you graduate?
YES
NO
Degree:
24 Texas CASA Best Practices Manual I December 2014 Edition
References
Please list three professional references not related to you, whom you have known for at least one year.
Full Name: Relationship:
Company: Phone: ( )
Address:
Full Name: Relationship:
Company: Phone: ( )
Address:
Full Name: Relationship:
Company: Phone: ( )
Address:
Employment History for Most Recent Three Positions (starting with current/most recent position)
Company: Phone: ( )
Address: Supervisor:
Job Title: Starting Salary: $ Ending Salary: $
Responsibilities:
From: To: Reason for Leaving:
May we contact your previous supervisor for a reference?
YES
NO
Company: Phone: ( )
Address: Supervisor:
Job Title: Starting Salary: $ Ending Salary: $
Responsibilities:
From: To: Reason for Leaving:
May we contact your previous supervisor for a reference?
YES
NO
Company: Phone: ( )
Address: Supervisor:
Job Title: Starting Salary: $ Ending Salary: $
Responsibilities:
25 Texas CASA Best Practices Manual I December 2014 Edition
From: To: Reason for Leaving:
May we contact your previous supervisor for a reference?
YES
NO
Summarize any job-related training, skills, computer knowledge, licenses, certificates, and any other information you
believe is relevant to your qualifications for this job:
____________________________________________________________________________________________
Authorization and Signature
I certify that the facts contained in this application are true and complete to the best of my knowledge and understand
that any misrepresentations, falsifications, or omission of information may be grounds for refusal to hire; or if
employed, termination.
I authorize investigation of all statements contained herein and references and employers listed above to give you any
and all information concerning my previous employment and any pertinent information they may have, personal or
otherwise, and release CASA Program from all liability for any damage that may result from utilization of such
information.
I also understand and agree that this does not in any way create a contract for employment.
I also authorize CASA Program to conduct a social security number verification check, a Fingerprint-Based Background
Check (FBC), a Child Abuse and Neglect Central Registry Check, and any other background checks necessary for
employment with the organization.
Social Security Number:_______________________
***If you have lived outside of Texas within the past seven years, please list your previous, out-of-state addresses
below:
________________________________________________________________________________________________
________________________________________________________________________________________________
Signature: Date:
CASA Program, Inc. is an Equal Opportunity Employer.
SAMPLE EVALUATION OF A VOLUNTEER SUPERVISOR
Standard 6.I.
26 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley
Employee Evaluation CASA Program, Inc.
Confidential Report
Employee Name
Type of Appraisal (Place X below to select Annual, Other- specify)
Annual Other (specify)
Employee SSN
Period Covered
From To
Date of Employment
Functional Title
CASA Volunteer Supervisor
Supervisor’s Title
27 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley
Section I
Performance Appraisal
Referring to the functional job description for this employee’s position, enter the critical job elements in the first column. Special expectations, which have been identified, should also be noted in this column. Compare
the employee’s actual performance with the applicable standard and rate observed performance. Supporting
comments are to reflect to what extent the employee exceeded or fell below the standard. (Use additional
sheets if necessary.)
Performance Standards, Critical Job Elements, and Special
Expectations
B=Below
M=Meets
E=Exceeds
Supporting Comments
Represent CASA to the court, to child welfare agencies including CPS, and
other community agencies who serve abused and neglected children and
their families
Assist with volunteer recruitment, retention and recognition activities
Supervise court advocate volunteers, providing guidance and direction
Review and assign cases in a timely manner
Keep accurate record of dates of Hearings, Trials, Planning and
Placement Meetings
Confer with advocates on a regular basis to assure the case is
progressing appropriately
Review Court Reports and co-sign with advocate
File Court Report according in accordance with the guidelines outlined in
Cooperative Working Agreement with Texas Department of Family and
Protective Services (TDFPS) and assure distribution of same to
appropriate individuals
Accompany advocates to Court Hearings, PPT’s and staffings
Assist in making contacts and/or visits
Provide information regarding community resources
Collect and verify volunteer’s monthly contact/time/mileage logs
Report concerns regarding volunteer advocates to the Program Director
Maintain case records for all cases under your supervision
Participate in initial volunteer training, as presenter and as facilitator
Participate in monthly CASA continuing education activities as needed
Complete 12 hours of CASA continuing education annually
Affiliate with other local and state organizations when appropriate
Attend regional, state and national conferences and meetings when
appropriate
Complete special projects and tasks as assigned by the Program Director
or Executive Director
28 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley
Section II
Employee Development
A development plan must be provided for each employee. This development plan must address any critical job
element/performance standard rating that is below standard. Any employee meeting/exceeding all standards
of performance will have a development/enrichment plan provided. Enter any training activities, or other
experiences which are planned to improve this employee’s performance. Include the names of persons responsible for the accomplishment of all aspects of this development plan. Also, include dates by which
planned actions are to be accomplished and cite training resources.
Performance Standard/
Development Plan Planned Activity(ies) Resources
Progress
Dates
Dates for
Completion
29 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley
Section III
Supervisor Comments
Supervisor’s comments will include additional observations and/or constructive criticisms regarding the individual’s performance not covered in Section I to include among other subjects the following:
Communication Skills (verbal, written, interacting)
Attendance/Usage of Leave (ability to use time wisely in the performance of job duties)
Attitude (toward supervision, extra assignments not included as a critical job element, relating to other
units/customers horizontally and vertically, employee initiative, coaching/mentoring, other)
Initiative (degree of independence, self-motivation and resourcefulness in performing job duties)
Commitment (loyalty and dedication to agency mission)
30 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley
Section III (Continued)
Employee Comments (optional)
Employee comments may include reactions, concerns, agreement or disagreement regarding the Performance
Appraisal/Development Plan. Each employee being appraised is strongly encouraged to reflect on the
following:
(1) Appraisal content.
(2) Resources to perform the job (positive/negative).
(3) Management support (positive/negative).
(4) Relevance of job description and proposed changes to current job description.
Employees must update their personnel files at this time, e.g., change of address, change of education
levels, etc.
Section IV
Signature Blocks
I have discussed this performance plan with the
employee.
I have read, understand, and have received a copy of
this appraisal. I understand my signature does not
necessarily indicate agreement and I am free to
respond in writing within 5 workdays for my file.
Supervisor’s Signature Date Employee’s Signature Date
Supervisor’s Printed Name Employee’s Printed Name
PROVIDING CRITICAL PERFORMANCE
FEEDBACK
Standard 6.J.
31 Texas CASA Best Practices Manual I December 2014 Edition
Credits: National CASA Association
I. Pre-Notification Checklist
Before giving corrective feedback or notifying an employee of deficient performance, a supervisor
should verify that performance, not management, is the problem by asking the following questions:
1. Are the expectations clear to the employee?
2. Has the employee received the requisite training to do the job?
3. Does the employee understand why it is important to do the job correctly and the consequences
of doing the job incorrectly?
4. Is the supervisor holding the employee accountable for job performance? Are there appropriate
and consistent consequences for non-performance?
5. Does the supervisor recognize and reward positive performance?
6. Has the supervisor given the employee the freedom to be successful?
7. Is the employee facing any obstacle to performing as expected?
8. Are the supervisor’s expectations reasonable?
Prior to counseling an employee for unsatisfactory performance, a supervisor should determine if the
problem is caused by a breakdown or deficiency in the system or organization. If this is the case, then
the supervisor should take steps to rectify the problem. If, however, the supervisor is able to answer yes
to all the above questions and there is no breakdown or deficiency in the system or organization, then
the supervisor has properly managed the employee and warning the employee is in order.
II. Guidelines for Informing Employees
Whenever a serious performance problem arises, the supervisor should meet with the employee to
review the issue, provide guidance and advising, and assist the employee in determining the resolution.
When giving corrective feedback, you must help the employee understand exactly what was
unsatisfactory, explain the consequences and clarify expectations for future performance. The
supervisor should schedule follow-up meetings to track the employee’s progress and to ascertain if the employee needs additional guidance or resources. Constructive, timely feedback enables the employee
to succeed in the job.
The following approach (SPRINT) will help you determine what to say when counseling an employee and
the order in which to say it.
Specific actions/issues: Explain exactly what the employee did wrong. Identify the role or
policy the employee violated or the area of sub-standard performance.
Problems created: Explain why the rule, policy or standard exists and what problems are
created if the employee fails to observe the rule, policy or standard.
32 Texas CASA Best Practices Manual I December 2014 Edition
Credits: National CASA Association
Realistic expectations: State exactly what you expect the employee to do to correct the
immediate problem and improve future performance. Help the employee develop an action
plan to meet your expectations.
Involvement: Describe the role you are willing/able to play to help the employee improve
performance.
Noticeable progress: Explain how you will determine if the problem has been corrected and
performance improved.
Timely consequences: Establish dates for progress checks and explain the consequences of
unsatisfactory progress.
After the counseling session, follow up immediately with written feedback, summarizing the action plan
and the outcome expected. Monitor the action plan for compliance. Recognize any noticeable progress
made. If the employee does not meet the conditions of the action plan then the manager has no
recourse but to place the employee on probation.
SAMPLE PERSONNEL FILE CONTENTS
Standard 6.K.
33 Texas CASA Best Practices Manual I December 2014 Edition
Employee Selection and Screening
☐ Employee Application
☐ Reference Documentation
☐ Verification of Education
☐ Proof of eligibility to work in the United States (I-9 form)*
☐ Social Security Number Verification
☐ Fingerprint-Based Background Check (FBC)
☐ Child Abuse and Neglect Central Registry
☐ Re-screenings of Employee Every Two Years if applicable
Other Documents
☐ Job Description
☐ Signed Confidentiality Agreement
☐ Signed Annual Conflict of Interest Agreement
☐ Emergency Contact Information
☐ Training Records
☐ Performance Evaluations
☐ Letters of commendation
☐ Disciplinary actions
☐ Termination summaries
*I-9 Forms may be kept in a separate file. If government employees inspect your I-9 forms, you do not
want to allow them access to your employees' private personnel files and the confidential information
they contain. In the interest of employee confidentiality and restricted access, you may want to isolate
your employee I-9s in one folder that is specifically dedicated to I-9 storage. This protects your
employee's privacy and also saves the employer from potentially answering additional questions.
34 Texas CASA Best Practices Manual I December 2014 Edition
VOLUNTEER MANAGEMENT
35 Texas CASA Best Practices Manual I December 2014 Edition
Standard 7: Volunteer Management
Sample Volunteer Recruitment Plan
Sample Court Observation Form
Sample Volunteer Evaluation Form
Volunteer to Case Ratio Calculation
Sample Child Transportation Permission Form
36 Texas CASA Best Practices Manual I December 2014 Edition
SAMPLE VOLUNTEER RECRUITMENT PLAN
Standard 7.A.1.
37 Texas CASA Best Practices Manual I December 2014 Edition
Recruitment and Retention Plan for CASA Program, Inc. FY 2015
Goal 1. Recruit and train 30 CASA volunteers
Goal 2. 20% of new volunteers will be representative of targeted demographic
Goal 3. 90% of new volunteers will accept case appointment within 45 days of completion of training
Goal 4. 80% of volunteers with case assignments in FY2015 will continue service into the next fiscal year
Strategy Description Team Action Items Individual/s
Responsible Resources Deadline/s
Word of
Mouth (WOM)
Train staff, volunteers and board
members on effective recruiting.
1. Conduct WOM training
for staff
2. Conduct WOM training
at board meeting
3. Add WOM component to
volunteer in-service
training
1. PD
2. Board
Member
3. Vol. Rec.
Team
Member
1. 9-30-14
2. 9-30-14
3. 10-30-14
38 Texas CASA Best Practices Manual I December 2014 Edition
Strategy Description Team Action Items Individual/s
Responsible Resources Deadline/s
Targeted
Recruitment
Recruit additional board members and
volunteers to serve on Recruitment
and Retention Team.
Develop strategies to attract and
retain a diverse volunteer pool.
Media (Paid
and Earned)
Corporate/
Community
Partnerships
Engage community organizations and
local business to promote
recruitment.
Publicize the value of CASA volunteers
through acknowledgement of
supportive employers.
1. Meet with Community
Liaison at HP
2. Identify and contact
state agency managers
regarding state policy for
CASA volunteers
39 Texas CASA Best Practices Manual I December 2014 Edition
Strategy Description Team Action Items Individual/s
Responsible Resources Deadline/s
Online
Recruiting
Use website and social media to
ensure clear and current recruitment
information available. Use effective
marketing photos, stories and
messages to recruit diverse
volunteers.
1. Post annual training
calendar
2. Develop website update
protocol
Events
Host events that attract potential
volunteers and program supporters.
Include volunteers in event planning
to increase program engagement.
Print Materials
40 Texas CASA Best Practices Manual I December 2014 Edition
Strategy Description Team Action Items Individual/s
Responsible Resources Deadline/s
Pre-Service
Training
Offer five classes, including varied
times and locations in FY15.
Include tenured volunteers in CASA
panel discussions.
1. Weeknight training-Sept.
2. Weekend training- Nov.
3. Weeknight training- Jan.
4. Blended learning -Jan. &
Feb.
5. Weekend training-May
In-Service
Training
Use in-service training opportunities
to make personal contacts with
tenured volunteers and promote
ongoing professional development
and program engagement.
1. Offer two CASA 201
Refresher trainings
2. Offer scholarships to
Texas CASA Annual
Conference
1. Obtain funding
to provide six
full scholarships
to TC conference
Volunteer
Management
Skills
Ensure volunteer-centered supervision
through staff training and other
professional development
opportunities.
1. Conduct closed case
evaluations with
volunteers
Additional
Strategy
Track retention data using CASA
manager and create monthly reports.
41 Texas CASA Best Practices Manual I December 2014 Edition
Strategy Description Team Action Items Individual/s
Responsible Resources Deadline/s
Additional
Strategy
Track recruitment information,
including referral sources, program
contacts, and follow-up.
Track and analyze volunteer training
drop-out data to inform training
practices.
Plan Review Dates: 11-30-14
03-15-15
07-01-15
SAMPLE COURT OBSERVATION FORM
Standard 7.C.7.
42 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Denton County
Volunteer Name: _____________________
Date of Courtroom Observation:___________________ Hours Spent Observing: _________
1. Please give the name of the case you observed, if available, & the name of the CASA supervisor who
was present.
2. How did the CASA volunteer give the court report to the judge?
3. What rules are posted regarding conduct & activities prohibited in the courtroom?
4. Were the parents present at court? If so, what were your impressions?
5. How are the parents doing on their services?
6. What other professionals on the case were present for the hearing?
7. What impressions do you have of the judge?
8. Did the CASA volunteer give any testimony? (Explain briefly)
9. Were the needs of the child(ren) discussed? (Explain briefly)
10. What was the outcome of the hearing? (Explain briefly)
_______________________________ ______________________________
Volunteer Signature Date Supervisor Signature Date
SAMPLE VOLUNTEER EVALUATION FORM
Standard 7.D.7.
43 Texas CASA Best Practices Manual I December 2014 Edition
VOLUNTEER EVALUATION FORM
At Case Closure
Volunteer: _______________________________ Date: _____________________
Name of case closing: ___________________ # years/months on case: ________
1. Future case assignment (Discuss if volunteer wants another case; recommended - yes/no; what type
of case; did volunteer feel successful on this case?)
2. What strengths does this volunteer have?
3. Respond to the following - excellent - good - satisfactory - poor - Give explanations
Contact with child:
Contact with the family:
Contact with other professionals:
Attendance at hearings, and other case related meetings:
Assessment skills:
Reliability:
Court report writing skills/performance in court:
Contact with supervisor:
Staff completing form: ____________________________________________ Date: _______________
Volunteer Signature: ______________________________________________ Date: _______________
VOLUNTEER TO CASE RATIO CALCULATION
Standard 7.D.9.
44 Texas CASA Best Practices Manual I December 2014 Edition
At the core of its mission, CASA programs exist to recruit, train and supervise volunteers in best interest
advocacy. For a variety of reasons, some programs serve children using paid CASA staff. To ensure that
this practice is not over utilized, Texas CASA includes a minimum percentage of 70% (the minimum
percentage of cases that must be served by volunteers) as part of Texas CASA Standards. Programs
falling consistently beneath the minimum of 70% must submit action plans to reverse the trend.
Calculating Volunteer to Case Ratios
1. Select the four most recent quarters of performance data.
2. Take the number of cases served by volunteers and divide by the total number of cases served by
the program for each quarter. This will give you the volunteer to case ratio.
3. Add all four percentages derived from above and divide by four. This will reflect the volunteer to
case ratio for the previous four quarters.
Example:
Quarter 4 FY12 Quarter 1 FY13 Quarter 2 FY13 Quarter 3 FY13 1-Year
Average:
Number of
cases served
by the
program:
87 89 81 88 86
Number of
cases served
by volunteer
during
quarter:
66 65 62 69 65
VCR: 76% 73% 77% 78% 76%
* Please note: Texas CASA Quality Assurance Reviewers utilize the most recent full fiscal year’s performance to derive the volunteer to case ratio that is reported on the Quality Assurance Report.
SAMPLE CHILD TRANSPORTATION
PERMISSION FORM
Standard 7.E.7.
45 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Brush Country CASA
When transporting CASA children or their family members, it is extremely important to consider their
safety as well as your own safety. All applicants must provide a copy of a valid current driver’s license and adequate personal automobile insurance.
The volunteer must have written permission of the child’s legal guardian or custodial agency before transporting a child.
The volunteer must obtain permission of the Volunteer Coordinator or the Vice President of
Programs.
The volunteer must have written permission from the Texas Department of Family and
Protective Services.
Child/Children’s Name(s):________________________________________________________________
Case Name and Cause Number:___________________________________________________________
I understand that CASA Program and CASA Volunteer_________________________________________
in the course of working on behalf of the above named child(ren) may transport the children by car, and
so I give my permission.
CASA Volunteer
Date
CASA Supervisor
Date
DFPS Representative
Date
Legal Guardian
Date
46 Texas CASA Best Practices Manual I December 2014 Edition
FINANCIAL AND RISK MANAGEMENT
47 Texas CASA Best Practices Manual I December 2014 Edition
Standard 10: Financial, Facility and Risk Management
Sample Annual Fund Development Plan
Fund Development Readiness Assessment
Sample Risk Management Plan
Standard 11: Record Keeping
Sample Record Retention Policy
CVC/VOCA Grant Contractual Requirements
Sample Crime Victims Compensation Benefits Procedures
Internal Controls Chart
FY15 Internal Controls Questionnaire
48 Texas CASA Best Practices Manual I December 2014 Edition
SAMPLE ANNUAL FUND DEVELOPMENT PLAN
Standard 10.B.1.
49 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
2012 FUND DEVELOPMENT PLAN
I. 2012 FINANCIAL GOALS
PROJECTED OPERATING BUDGET: $618,118.00
Income Categories FY 2011 Income Actual FY 2012 Income
Projections
% of Total 2010 Income
Government
(Fed/State/County)
$385,972.00* $380,851.00 62%
Foundations 37,003.00 27,000.00 4%
Individuals/Family
Trusts
62,033.00 53,000.00 9%
Service Organizations 2,045.00 2,000.00 .3%
Federated Campaigns
(i.e., indirect public
support such as United
Way, CFC, etc.)
89,692.00 107,000.00 17%
Special Events 32,155.00 32,000.00 5%
Other (Unsolicited
Income)
17,955.00* 3,000.00 .5%
Interest Income 1,800.00 2,500.00 .4%
1998 Audited Excess
Revenues
10,767.00 1.8%
TOTAL INCOME $628,655.00 $618,118.00 100%
*(including approximately $13,000 in one-time gifts)
II. STRATEGIC GOALS (non-monetary goals impacting success of plan)
100% giving by the board of directors, executive director, and key staff (92% giving was
achieved in previous FY).
100% participation by board in some fundraising task, including cultivation of donors
(65% participation was achieved in previous FY).
Enhanced communications re: fund development within the board and with prospects,
including regular presentations at board meetings by fund development chair.
Develop plan for ongoing recruitment/training of fundraising volunteers. Recruit a
minimum of ten non-board volunteers to work in fund development.
Develop new prospects for both personal solicitation campaign and direct mail
solicitation; cultivate family foundations/trusts.
Strengthen donor cultivation program and board and staff understanding of the purpose
and process of cultivation.
50 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
Actively involve staff, volunteers and board in special events and fundraising activities
(e.g., direct mail-outs, 5K, Mardi Gras, volunteer recognition evening, Birdies for Charity,
in-kind contributions such as graphic design/print work for direct mail and publications,
etc.)
Strengthen coordination between the community relations and fund development
committees to further support fundraising efforts.
Maintain systems for ongoing monitoring/evaluation of progress in all areas of fund
development.
III. SOLICITATION STRATEGIES
A. Annual Campaign and Major Donations Activities
1. Board and Staff Solicitation (Chairs: Board Pres., Fund Dev. Chair)
Time Frame: Annual Campaign - September-December, 2012
# of Prospects: 32
Goal: 100% giving; $7,000 (Amount raised in previous FY: $7,800)
Method: Personal solicitation. Request amounts based on donor history (one-time
annual giving in lieu of multiple direct mail solicitations; these individuals will, however,
get notice of special events.)
Solicitors: President and Fund Development Chair
2. Individual Solicitation (Chair(s): Name(s), with 12 team solicitors)
Time Frame: Annual Campaign - September-December, 2012; major donor relationship-
building activities throughout the year
# of Prospects: 250-275 top individual donors, Advisory Board, family trusts/foundations
Goal: $30,000; 60% renewals, 15% gift upgrades ($28,500 received/pledged for FY 2011)
Method: Personal solicitation by board and non-board volunteers (one- time annual
giving in lieu of multiple solicitations.)
Solicitors: (names)
B. Special Events
1. CASA 5K (Walk Chair: Name)
Time Frame: May 6, 2013
Targeted # of Walkers: 100
Goal: $16,000 gross/$14,800 net (FY 2011 Walk grossed $16,100)
Method: WOM by staff, board and volunteers, news articles in local/regional papers,
advertisement, radio spot and TV PSAs, post on website and Facebook page
2. Mardi Gras Ball (Chair(s): to be named)
Time Frame: February 2013
# of Prospects: 50 individuals (previous attendees/invitees, new)
51 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
Goal: $17,000 gross/$9,500 net; 350 guests, volunteers, and board ($14,000 raised by
2011 Mardi Gras Ball)
Method: Personal requests from staff and board, close interaction with SCBTS
coordinators, monthly newsletter announcement.
C. Direct Mail
Each direct mailing will have a different theme to encourage multiple gifts and to reach
individuals with varied interests. Direct mailing is responsibility of fund development
chair.
Federated Campaign Mailings
Letter to previous donors through United Way, Day of Giving, and CFC campaigns to
encourage renewal in the 2012 campaign and possible gift upgrade.
Time Frame: August-November 2012
# of Prospects: 500 previous donors (including board members who choose to
contribute through the donor option program)
Goal: United Way: $35,000; 75% renewal, 15% upgraded gifts ($34,000 raised in most
recent campaign) DoG & CFC:$7,000 ($7,300 raised in most recent campaign)
Method: Mailings; newsletter articles, publicity in workplaces.
Direct Mail
Time Frame: December, 2012
# of Prospects: 2,500 (1,000 new)
# of Donors: 200
Goal: $8,000; 60% renewal, 15% gift upgrades, 5% new donors ($8,000 raised in most
recent CASA holiday drive)
Method: Mailing with remit enclosure; follow-up articles in newsletter; holiday mailing
possibly signed by board members/staff/volunteers. Follow-up mailing to major donors
in previous campaign who have not renewed their gift.
Direct Mail
Time Frame: April-May, 2013
# of Prospects: 3,000 (1,000 new)
# of Donors: 200
Goal: $8,000; 60% renewal, 15% gift upgrades, 5% new donors ($6,000 raised in 2011
friends of CASA drive)
Method: Mailing with remit enclosure; follow-up articles in newsletter; and follow-up
letter within one month to non-respondents (if staff resources permit). Mailing possibly
signed by selected board members and volunteers. Follow-up mailing to major donors in
previous campaign who have not renewed their gift.
52 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
D. Government and Foundation Grants
Time Frame: On-going throughout the year
# of Reports: 165
# of New Prospects: at least 10
Goal: $365,528: 9 government applications; $30,000: 15 foundation proposals; $65,000:
United Way Grant (include in Fed. Campaign Total)
Method: Finance Director and relevant program staff prepare grant applications.
IV. Cultivation Strategies (Making "Friends")
The purpose of cultivation is:
1. To add prospects to our donor base and develop them to become active supporters and
regular donors; and
2. To improve relationships with current board members, donors, volunteers, and other
friends of CASA to build a greater understanding of how they can help us achieve our
mission.
Donor and volunteer recognition are critical to the cultivation process. Cultivation needs to be
discussed regularly at board meetings to encourage each board member to become part of the
cultivation process.
A. Open Houses:
This is a responsibility of the P.R. Committee; chair(s) to be named through that
committee.
Time: Twice per year: December, 2008 (Donor Recognition) and April, 2009 (Volunteer
Recognition)
Goal: Appreciation evenings at CASA for donors and volunteers; opportunity to see
facilities, meet staff, volunteers and board; recruitment of potential volunteers; and
cultivation of potential donors.
Method: Special mailings with invitations; newsletter articles; public announcements;
personal invitations by board.
Responsible: staff, board and volunteers
B. Communications
Holiday Card: Holiday card to 300 friends and major donors (not a solicitation)
E-Newsletter: 6x per year. Sent to agency mailing list (3,500+) provides regular updates
on agency programs, legislature updates, activities, and special events. Mailing list
includes funders, donors, volunteers, local colleges/universities, elected officials, other
agency executives, and service providers.
53 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
Annual Report: Annually to coincide with September 1 fiscal year. Mail in September.
This is a major communications tool sent to government and private funding sources,
large donors, agency executives, and public officials, and is submitted with most
proposals and requests to large donor prospects.
CASA Yearbook: Another major communications tool featuring success stories.
Distributed at annual Recognition Evening and mailed to major corporate sponsors of
event and major ad-takers, major funding sources as well as new prospects.
Other Publicity/Public Relations: A separate public relations plan will be developed by
P.R. Committee to help reinforce cultivation efforts of this Fund Development Plan. A
close communications linkage between the Fund Development and P.R. Committees
needs to be maintained to support the objectives of the Fund Development Plan
adequately.
V. Monitoring the Fund Development Plan and Process
The Development Committee will meet 6 times a year to review the progress of the plan
and, with development staff, will identify problems and solutions.
Development staff and committee chair will discuss development issues on a regular
basis.
Committee chair and development staff will monitor sub-committee chairs; committee
chair will follow-up re: problems.
Development Committee will discuss fund development plan and progress at monthly
board meetings.
Development staff will provide financial and statistical data with which to help evaluate
progress of the plan.
VI. 2012 Fund Development Calendar
NOTE: Include a fund development calendar with specific monthly meeting agenda items that
include future event planning, donor updates and plans, action steps, fund development goal
attainment and review of completed actions/events.
FUND DEVELOPMENT READINESS
ASSESSMENT
Standards 10.B.1., 10.E.
54 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
The purpose of this exercise is to assess and uncover your fund development achievements and
challenges. It is meant to be used as a tool to stimulate productive discussions that shed light on what is
needed for your organization to achieve its fund development goals as part of the growth planning
process.
Depending on your organizational structure, the likely participants will include the executive director,
any staff who are/were involved directly in fundraising, the board, and any additional individuals
involved in helping your program in the area of fund development.
Completing the Assessment
Individually, rank your perception of organizational readiness in each of the twenty-two questions
related to fund development leadership/support, finances and planning. Thoughtfully consider the
current state of your organization and evaluate the overall performance over the last 1-2 years rather
than singling out one fund-raising event. Make notes regarding areas that you would like to explore in
group discussion.
Keep in mind that there no “wrong” answers. What is most important is thoughtful rating and open group discussion. Although consensus may result regarding certain points of discussion, consensus-
building is not the main purpose of completing this assessment.
Following the Completion of the Assessment
Ideally, the meeting leader will conduct a group discussion following the individual completion of the
assessment. Review each question and poll the group for ratings on each question. If there are wide
variations on the response to a question, explore the topic with the group. Note where there is general
consensus in areas of strength or weakness. Share with the group that it is very common for
organizations to engage in boosting their readiness before expanding their fund development activities.
Essentially, this assessment “takes the pulse” of your current fund development health. Preparing to successfully engage in expanded fund-raising actions is essential to successfully undertaking new and
aggressive fund development activity. Taking this assessment is the first step to understanding your
program’s strengths and areas for improvement. Consider the results of this Fund Development Readiness Assessment as it relates to achieving and sustaining growth. How will your Fund Development
Action Plan address these areas?
55 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
Rating
1-10
Rating Scale: Please use any numerical score between 1 and 10 in which:
1=NO readiness/support/experience/success/understanding
5=SOME readiness/support/experience/success/understanding
10=COMPLETE readiness/support/experience/success/understanding
Question
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
Our local CASA program has a strong, positive image and reputation within the
community.
We have documented evidence of community support (i.e. consistent financial
contributions from individuals and local businesses, community leaders on the board,
recognition by the press and local government, an active volunteer base).
Our constituencies understand and support our mission and vision. (They may also
understand our purpose and need for fund expansion.)
Our record of service to the local communities is above reproach.
We have an annual budget that is approved, understood and monitored by the board.
This budget includes all program and administrative/management expenses and all
sources and use of funds.
We have a clear understanding of the programs that run at a surplus/deficit and have
identified ways to capitalize on and address these programs.
We have a written statement of our financial position that is immediately available to
potential individual and organizational donors.
We have a solid history of fund-raising success and our constituents have responded
positively in the past to our fund-development efforts.
We currently have strong financial stability (i.e. our funding and donations are
identifiable and stable for the next few years, we have a good diversity of funds--<30%
from one source, we work collaboratively with other agencies, etc.).
The funding we seek is available in our community and/or from our constituents.
We have an adequate number of active board members.
The board provides clear leadership within our organization.
The board actively participates in fundraising.
We have among our staff, board members and volunteers well-informed, influential and
experienced leaders.
We have one or more staff dedicated to fund development, excluding the ED.
56 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Texas CASA Growth Planning Toolkit
16.
17.
18.
19.
20.
21.
22.
Beyond this inner circle of leaders, we have available to us a substantial body of
additional staff and volunteers who are willing to assist in fundraising planning and
activities.
Comprehensive planning, involving board and staff, has been completed, which has
resulted in up-to-date written strategic plans.
Our identified funding needs and cases-for-support are a logical outgrowth of our
strategic plan (for growth).
We have prepared credible documentation of the funding needs and opportunities that
explain the details, the project(s), and the history. Our plan focuses on positive
outcomes, benefits, and the people served.
We have a process in place to address significant obstacles that may be uncovered
before or during the fund development campaign.
We are intentionally ready to undertake one or more fund development projects. We
have in place or can recruit experienced development staff, board members, volunteers,
highly accurate and retrievable donor/prospect and financial records, appropriate
policies and procedures (gift processing and acceptance, donor and volunteer
recognition, investment, and adequate support personnel and technology).
The organization has the financial resources necessary to plan and conduct a fund-
raising campaign, and the leadership is unanimously committed to the project.
Notes:
SAMPLE RISK MANAGEMENT PLAN
Standard 10.G.
57 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Southeast Texas
Risk Management Philosophy
CASA Program, Inc. is committed to identifying and addressing risks the organization faces. The views of
personnel at all levels of the organization are considered and will be reviewed annually at a Board and
Staff Retreat in which participants identify risk management priorities and strategies for avoiding,
reducing and sharing risk.
Risk Management Goals
To involve appropriate personnel at all levels of the organization in protecting the mission and assets of
the organization.
General Safety Principles
CASA Program, Inc. strives at all times to operate in compliance with local, state, and federal
laws and regulations.
CASA Program, Inc. adheres to the standards of the National and Texas CASA Associations.
Safety and risk management activities are multi-faceted and include:
o thorough screening, selection and training of volunteers, staff and board;
o creating and enforcing policies, standards, guidelines and procedures;
o maintaining safe and secure facilities;
o establishing procedures to be followed in the event of an emergency;
o maintaining clear communication channels; and
o purchasing insurance coverage as a financing mechanism for certain risks, but
recognizing that insurance is not a substitute for vigilance in planning and implementing
a risk management program.
Responsibility for Risk Management
Board of Directors
Sets risk management goals, adopts annual operating budget with risk management included.
Reviews operational reports to determine compliance and future priorities.
Ensures compliance with standards set by the National and Texas CASA Associations.
Adopts and establishes policies and standards.
Reviews the organization’s insurance program annually. Reviews the organization’s risk management plan annually.
Legal Counsel for the Organization
Serves as advisor to the board of directors in legal matters, making referrals to specialists on an
as-needed basis.
Advises staff on the contracts, agreements, forms, etc.; reviews contracts on an as needed basis.
Executive Director
Assigns staff to design and carry out safety and risk management activities.
Assigns staff to perform annual review of the safety and risk management activities.
Executes contract for the organization.
Keeps the board apprised to emerging risks facing the organization.
58 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Southeast Texas
Shares responsibility with the Executive Committee to contact Texas CASA and National CASA to
share any necessary information, subject to confidentiality restrictions.
Executive Committee
Champions organization-wide efforts to protect the vital assets of CASA Program, Inc. and
engage key stakeholders in risk management activities.
Convenes periodically to review the agency’s priority risks and corresponding risk management strategies.
Oversees the development and implementation of loss prevention programs.
Shares responsibility with the Executive Director to contact Texas CASA and National CASA to
share any necessary information, subject to confidentiality restrictions.
STRATEGIES
Risk Financing Insurance
CASA Program, Inc. is committed to protecting its financial and human assets to the greatest extent
possible. The program seeks to eliminate or reduce as much as practicable the conditions, activities, and
practices that cause insurable losses. The organization purchases insurance to protect against such
losses.
Human Resources
Screening
Board, staff and volunteers are screened in compliance with National and Texas CASA standards, which
include background checks.
Written Employment Policies
CASA Program, Inc. believes that written employment policies are an essential risk management tool.
The organization has compiled its key employment policies in a document titled the Employee
Handbook. New policies are communicated verbally and in writing to all employees.
Employee Orientation & Training
All new employees participate in orientation the first week with the organization. Each new employee is
given a copy of their job description and a written copy of the personnel policies during the orientation
and signs an acknowledgement of receipt and understanding of the policies and their job description.
Staff will also sign a statement of confidentiality during their orientation. Staff members are required to
complete the new volunteer training curriculum and be sworn in by a judge. They are then required to
complete on-going training as available to increase their knowledge, skills and get updates on policy
changes. All staff members will sign the conflict of interest policy annually.
Staff & Volunteer Supervision
CASA Program, Inc. provides adequate supervision for its employees and volunteers as outlined in
National CASA’s Standards for State CASA/GAL organizations. Volunteers must complete the new
volunteer training course, be sworn in by a judge and attend 12 hours of in-service training annually.
Performance Appraisal Process
CASA Program, Inc. develops and implements periodic evaluations of all employees and volunteers as
set forth in the National CASA Standards for State CASA/GAL organizations.
59 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Southeast Texas
Financial Management
Financial Responsibilities and Objectives
It is the responsibility of the board of directors to formulate financial policies and procedures and review
the operations and activities of CASA Program, Inc. on a periodic basis. The Executive Director acts as
the primary fiscal agent: with the responsibility for implementing all financial management policies and
procedures on a day to day basis.
The financial management objectives of CASA Program, Inc. are to:
preserve and protect financial assets needed for mission critical activities;
exercise appropriate care in the handling of incoming funds and disbursement of outgoing
funds, in compliance with funding requirements; and
strive for transparency and accountability in fiscal operations.
Budgeting Process
The Finance and Executive Committee of the board and Executive Director work collaboratively to
prepare a budget for each fiscal year which is submitted to the board for approval.
Internal Controls
CASA Program, Inc. has adopted internal control policies and procedures that are outlined in a separate
document and reviewed yearly by an outside auditor.
Audit
CASA Program, Inc. engages the services of a reputable, independent CPA firm to conduct an annual
audit of the organization’s financial statements.
Facility Risks
The program’s facility is inspected on a regular basis to ensure safety and compliance with regulations.
Workplace safety posters and worker’s compensation information is updated regularly and posted.
Technology and Information Management
Technology Policy
CASA Program, Inc. information and office technology systems (networks, software, computers,
telephones, printers, copiers, etc.) are tools provided to employees and volunteers for CASA-related
business. The Executive Director reserves the right to access employees’ computers or files at any time.
Staff is expected to use good judgment in their use of the organization’s information and office technology systems, especially electronic mail, taking care to protect confidential case information. No
applications are to be downloaded from the internet without prior approval.
Media Policy
Members of the program including board, staff and volunteers will not make any comments to the
media concerning our children’s cases, or use CASA’s name in giving an opinion on any other case or issue without express consent from the Executive Director or the Board President.
60 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Southeast Texas
Safeguarding Equipment and Systems
Policy on Systems Inventory and Documentation
To safeguard its office and technology assets, the program maintains a complete inventory of its
electronic equipment and computer and technology systems. The inventory is updated whenever new
equipment is acquired or discarded.
Protecting Confidential Information
CASA Program, Inc. maintains numerous files containing personal data, client case information, financial
information, and other confidential or proprietary information. These files may be in paper or electronic
form. Confidential documents will be secured in locked filing areas. Any employee/volunteer whose
work requires access to confidential documents should ensure that files are returned to their secure
location. Persons who knowingly obtain unauthorized access to confidential information will be subject
to discipline, up to and including termination.
Systems Backup
CASA Program, Inc. understands the importance of maintaining computer operations in order to deliver
services. A backup of the entire drive/server is performed regularly. Employees are instructed to save all
documents on the server, and save a copy of each document to their individual hard drive.
Crisis Management
Emergency Planning
CASA Program, Inc. will distribute policies and procedures that need to be enacted in the event of a
business interruption to all staff initially at orientation and annually thereafter or any time a policy or
procedure is added, eliminated or changed.
Crisis Communication Policy
CASA Program, Inc. is committed to taking a preemptive approach to public relations crises. No one is
authorized to speak to the news media during a crisis without clearance from the Executive Director or
Board President. The Executive Director and Executive Committee share the responsibility to contact
Texas CASA and National CASA to share any necessary information, subject to confidentiality
restrictions.
Crisis Plan
When a crisis unfolds, the Executive Director or his or her designee will gather and verify information
about the crisis; and with the board president, assess the severity of the matter and determine how
information is to be released and who is to be notified.
Evacuation Policy
CASA Program, Inc. will protect the health and safety of its employees and volunteers by designing a
building evacuation plan and by educating staff as to their roles and responsibilities in the event of an
evacuation. The evacuation route will be posted throughout the building.
Special Accommodation
Persons who require special assistance during an evacuation are to be assisted by the nearest available
staff person.
61 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Southeast Texas
Planned Evacuation
In a planned evacuation (i.e. due to weather) employees are to secure their work area and assist with
common work areas by:
Unplugging and covering equipment and appliances.
Moving low-lying equipment to higher surfaces when possible.
Storing important documents in a covered area off the floor.
Providing the ED with information how and where they can be reached.
Checking in with the Executive Director, via cell phone and computer whenever possible, to
determine when operations will resume and to get and give updates.
Notifying the Program Director and ED of any case or volunteer-related concerns.
Checking on children from their case load as soon as possible.
The Executive Director will attempt to notify the board president.
The Executive Director will notify staff and board when operations are to resume.
SAMPLE RECORD RETENTION POLICY
Standards 2.B.7-9., 6.K., 7.G., 11.A.6.
62 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of West Texas
CASA Program, Inc. shall provide efficient, economical, and effective controls over the creation,
distribution, organization, maintenance, use and disposition of all records.
Records are maintained and stored on a fiscal year basis, on site at the CASA Program,Inc.
office.
Confidentiality of sensitive information contained in both electronic and hard copy files is
maintained by limited access to the following types of documentation:
Board member records
Personnel records
Volunteer records
Donor records
Salary information
Case files
Access to such documents is limited with locked filing cabinets and password protection.
Records Release Policy
In the event that CASA is served with a subpoena or court order, or in the event that any
employee becomes aware of a government investigation or the commencement of any
litigation against or concerning CASA Program, Inc., such employee shall inform the Executive
Director. The Executive Director will notify the Executive Committee or the Board of Directors,
and if determined necessary, seek the advice of counsel for appropriate action. Notice of any
governmental or grantor audit will be provided to the Board of Directors and the Executive
Director in coordination with the Board of Directors will provide a response. Requests for
Federal Tax Return Form 990 must be made via mail or email and directed to the Executive
Director for response.
Public Information Act
As a recipient of government funding, CASA Program, Inc. is required to maintain compliance
with the Public Information Act. Open records requests received via mail or email will be
directed immediately to the Executive Director for review. Requests will be handled on a case-
by-case basis in accordance with the requirements in the Public Information Act. The Executive
Committee of the Board of Directors will be advised of the request within a reasonable time
frame. The Executive Director and the Executive Committee shall seek counsel as determined
appropriate, given the nature of the request.
63 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of West Texas
*Electronic case records are kept a minimum of seven (7) years from case closure. Electronic case files
are backed up on a separate system as least once a week, and the backup is kept off site.
CASA Program, Inc. keeps VOCA files three (3) years and CVC four (4) years after the grant term closing or
resolution of all audit findings concerning either grant, whichever is longer.
DOCUMENT TYPE MINIMUM REQUIREMENT
Financial:
Accounts payable ledgers and schedules 7 years
Audit reports Permanently
Bank reconciliations 2 years
Bank statements 3 years
Checks (for important purchases & payments) Permanently
Contracts, mortgages, notes, leases (expired) 7 years
Deeds, mortgages and bills of sale Permanently
Duplicate deposit slips 2 years
Depreciation schedules Permanently
Expense analyses/expense distribution schedules 7 years
Year-end financial statements Permanently
Insurance policies (expired) 3 years
Insurance records, current accident reports, claims Permanently
Internal audit reports 3 years
Inventories of products, materials, supplies 7 years
Invoices (to customers, from vendors) 7 years
Payroll records and summaries 7 years
Tax returns and worksheets` Permanently
Trademark registrations and copyrights Permanently
Withholding tax statements 7 years
Human Resources:
Employment applications 3 years
Personnel files (terminated employees) 7 years
Retirement and pension records Permanently
Timesheets 7 years
Correspondence (general) 2 years
Correspondence (legal and important matters) Permanently
Volunteer Files:
Volunteer applications 3 years
Volunteer files (former or terminated volunteers) 7 years
Case Files:
All case file documentation (supervisors and volunteers) for
closed cases
7 years or until the youngest
child is 21 years old
CRIME VICTIMS COMPENSATION POLICY AND
PROCEDURE
CVC/VOCA Grant Contractual Requirements
64 Texas CASA Best Practices Manual I December 2014 Edition
Volunteer Training
CASA Volunteers will receive instruction during New Advocate Training about Crime Victims
Compensation rights, requirements, restrictions, benefit claims, and applications. They will be given
copies of brochures explaining CVC rights and application forms in English and in Spanish so that they
can assist any clients who may qualify for CVC services. This assistance can involve various activities
including directly assisting the victim or their “caregiver” in filling out the benefit claim, referral to
another victim service agency or entity that will fill out the required claim information, and follow-up
notification to the victim or their family when the child victim is placed outside of CPS custody.
CASA Program Responsibility
When a volunteer accepts a new case, the volunteer will research qualifications for Crime
Victims Compensation.
The Case Supervisor will document in the case file if the case qualified for claim assistance. (see
CVC Documentation Form – attached)
If the case qualifies for CVC assistance, the program will contact the family to assist with
application completion for all child victims.
If the child is permanently placed in a foster home or adopted the volunteer will follow up to
tell the permanent caregiver the information about the child’s benefits and how to file a claim.
A claim should be filed when there is reason to believe there has been a criminally injurious act to the
child such as sexual assault, child endangerment or physical abuse and such a crime has been reported
to law enforcement. When a child’s case documentation submitted to the CASA program indicates that
there were possible criminal violations by the parent(s) that may have included elements of child
endangerment and these violations were reported to law enforcement, then a claim should be filed. The
OAG will investigate the case and determine if elements of endangerment did exist and if the child is
eligible for benefits.
The Case Supervisor and Volunteer will insure that follow-up is provided so that when the child finds a
permanent home and is placed out of CPS custody, the new family is notified that a claim was
submitted and the child may be eligible and approved for future CVC benefits. This will also be
documented on the CVC Documentation Form in the case file.
65 Texas CASA Best Practices Manual I December 2014 Edition
Sample form for case file:
Crime Victims Compensation Documentation
A claim should be filed when there is reason to believe there has been a criminally injurious act to the
child such as sexual assault, child endangerment or physical abuse and such crime has been reported to
law enforcement. When a child’s case documentation submitted to the CASA program indicates that there were possible criminal violations by the parent(s) that may have included elements of child
endangerment and these violations (such as operating a meth lab) were reported to law enforcement,
then a claim should be filed. The OAG will investigate the case and determine if elements of
endangerment did exist and if the child is eligible for benefits.
CHILD NAME VOLUNTEER
NAME
Qualifies for
CVC? (Y/N)
Notes on CVC Services
Received/ Notification
Date
Case Supervisor Signature Date
INTERNAL CONTROLS CHART
CVC/VOCA Grant Contractual Requirements
66 Texas CASA Best Practices Manual I December 2014 Edition
Two people open the mail together and log all incoming checks?
The person preparing the deposit slip is different
from the person making the deposit?
Two signatures are required on all checks, if
not the $ amount allowed for one signature is low?
Accounting software (bookkeeping) is handled by one individual with a
backup for when that person is absent?
The person doing the initial bank statement
reconcilation receives the bank statements directly
and unopened?
The person conducting the initial reconciliation is different from the person
handling the bookkeeping?
Credit cards have low limits and are reconciled monthly by an individual who is not issued a credit
card?
Here’s what you
need to know No
No
No
No
No
No
No
To ensure one individual is not opening
incoming cash and checks that are received
through the mail, two people should be
designated to open the mail together and log
all income cash and checks.
Bank deposits are to be reviewed and signed
off by two persons. At least one other
individual other than the person preparing the
deposit slip should review and initial before a
deposit is made.
The $ amount allowing for only one signature
should be set in policy and approved by the
board of directors. All persons authorized to
sign checks should also be approved by the
board of directors and included in policy.
Accounting software access should be carefully
restricted and the person handling
bookkeeping should have a backup when
absent.
If a hard copy of the bank statement is used,
then the statements are delivered directly and
unopened to the person conducting the initial
bank reconciliation. Online access is also
acceptable.
The person conducting the initial monthly bank
reconciliation cannot be the same person
responsible for making payments and/or
performing the bookkeeping duties. If
bookkeeping services are contracted out then
the contractor must provide assurances that
they are segregating those duties accordingly.
Monthly credit card statement reconciliations
are required and must be performed by a
person who does not have use of a credit card.
Written credit card policies should be in place
and approved by the Board of Directors.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Here’s what you need to know
Here’s what you need to know
Here’s what you need to know
Here’s what you need to know
Here’s what you need to know
Here’s what you need to know
FY15 INTERNAL CONTROLS QUESTIONNAIRE
CVC/VOCA Grant Contractual Requirements
67 Texas CASA Best Practices Manual I December 2014 Edition
Program Name: Title or Position
Who receives or picks up the daily mail?
Title
Title
Who is responsible for opening the mail?
Title
Title
Who records any checks or cash received? Title
Is there a backup for opening mail and
recording checks? If so, list the position. □Yes □No Title
Who prepares the bank deposits?
Title
Does another person review and sign deposit
slips before they are taken to the bank? If so,
list the position.
□Yes □No Title
Who makes the actual bank deposits? Title
Whom has the Board approved to sign checks?
Title
Title
Title
Title
Are two signatures required on all checks? If
not, what is limit for one signature? □Yes □No Limit?
What accounting software does your program
use?
Who is responsible for maintaining the
accounting books?
Title
Who serves as the backup for maintaining the
books?
Title
Who else has access to the accounting
software?
Title
Does the person handling the bookkeeping take
a vacation each year and the backup handle the
bookkeeping in their absence?
□Yes □No
Who conducts the initial bank reconciliation?
Does that person receive the bank statements
directly and unopened? Does another person
do a second reconciliation?
Title
□Yes □No □Yes □No
Does the person doing the initial reconciliation
view the bank statement online or does the
person receive a hard copy of the bank
statement? If done online, who has access to
the online statement?
□Online □Hardcopy □Both
Title
68 Texas CASA Best Practices Manual I December 2014 Edition
Are the bank reconciliations conducted
monthly? If not, why? □Yes □No
Is the person conducting the initial bank
reconciliation different from the person
performing the bookkeeping duties?
□Yes □No
Do accounting books clearly identify the source and
application of grant funds through a chart of accounts
and project ledgers?
□Yes □No
Does your program issue credit cards to staff and if so
whom are they issued to?
□Yes □No Title
Title
Title
Title
Does your program have board approved written
accounting/internal control procedures for the use and
distribution of credit cards?
□Yes □No
Who is responsible for the review and reconciliation of
the credit card statements?
Title
How often are credit card balances reconciled?
Has your VOCA and CVC funds been secured with a
current fidelity bond at the correct amount of
coverage?
□Yes □No
REQUIRED SIGNATURES:
Executive Director
Date
Board President
Date
Board Treasurer
Date
ADVOCACY FOR CHILDREN
69 Texas CASA Best Practices Manual I December 2014 Edition
Standard 7: Volunteer Management
Sample Individualized Advocacy and Action Plan
Sample Case Supervision Report
Sample Case Contact Logs
Sample Court Report
Educational Advocacy
Medical Advocacy
Standard 9: Planning and Evaluation
Tracking Volunteer Hours and Advocacy
70 Texas CASA Best Practices Manual I December 2014 Edition
SAMPLE INDIVIDUALIZED ADVOCACY AND
ACTION PLAN
Standard 7.D.
71 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
The CASA advocate volunteer will be busy advocating for the child’s needs, advocating for services for the child and family, monitoring the service plans, monitoring placements, communicating with
everyone involved with the child’s care and well-being, gathering information from the child’s service providers and from the parent’s service providers, looking for family connections and advocating for permanency.
Part of gathering information will involve contacting school personnel and viewing the educational
portfolio, contacting mental health providers, contacting health providers and accessing the child’s health passport, contacting relatives and anyone with a relationship to the child, and making
recommendations to the court based on the information learned.
Typically, the CASA VOLUNTEER agrees to:
Conduct a thorough, independent investigation on the basis of independently obtained information.
Maintain confidentiality of all information regarding the case.
Complete required documentation including records of contact, regular contact with program staff,
monthly reports to CASA and Court Reports.
Utilize support and supervision provided by program staff.
Follow the CASA program’s policies and procedures at all times.
In an effort to provide the highest level of quality advocacy, the CASA volunteer advocate and the CASA
supervisor may create a specialized advocacy plan based on the unique needs of the child(ren) and
family. This plan will more than meet the minimum expectations of service on a case and ensure the
needs of the child are truly met.
An agreement may include a unique advocacy plan like the sample below signed by both the CASA
advocate and the CASA program:
This INDIVIDUALIZED ADVOCACY and ACTION PLAN has been agreed upon by:
CASA VOLUNTEER: ________________________ DATE:____________________
PROGRAM STAFF: _________________________ DATE:____________________
*Preferred phone: ( ) - .
72 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
1. PLAN FOR VISITING CHILDREN:
Visit/observe children at their placement 1x every ___________________.
Visit/observe children at school 1x every ___________________.
Visit/observe children at daycare 1x every ___________________.
Phone/mail/email/facetime children, as appropriate, every___________________.
2. PLAN FOR MEETING PARENTS:
Visit/observe parents when visiting children at ___________________ 1x every
___________________.
Monitor parents’ compliance with Treatment Plan via treatment providers. Phone/email contact with parents 1x every ___________________.
3. PLAN FOR MEETING RELATIVES:
Advocate for and attend Family Group Conference.
Advocate for Circle of Support.
Research and contact relatives and significant non-relatives of the child.
4. PLAN FOR MEETING WITH CHILD CARE PROVIDERS:
Visit with Foster Parents when visiting the children ___________________ x/month.
Phone/email contact to Foster Parents 1x every ___________________.
In-person contact with daycare staff 1x every ___________________ (when visiting children).
Phone/email contact with daycare staff 1x every ___________________.
5. PLAN FOR MEETING WITH SCHOOL PERSONNEL:
In-person contact with school personnel 1x every __________________ (when visiting children).
Phone/email contact with school personnel 1x every ___________________.
6. PLAN FOR MEETING WITH HEALTH AND MENTAL HEALTH CARE PROVIDERS:
Advocate for and verify all children have a medical passport as soon as possible.
Monitor children’s medical and mental health status via treatment providers.
Phone/email contact to children’s therapist 1x every ___________________. Phone/email contact to children’s doctor 1x every ___________________.
7. CONTACT WITH PROFESSIONALS (CPS worker, AAL, attorneys):
Phone/email contact to caseworker 1x every ___________________.
Phone/email contact to AAL 1x every ___________________.
Attend all CPS staffings. (First one will be in ___________________.)
Attend any staffings held by other agencies/schools in relation to the children.
Access Case Connection information every ___________________.
8. ADDITIONAL CASE CONCERNS TO BE ADDRESSED:
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
_____________________________________________________________________________
73 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
INDIVIDUALIZED ADVOCACY and ACTION PLAN
CASE SUMMARY
Type of Abuse:
Custody of Children:
Resource Needs of Parents:
Needs of Children:
HOW CAN CASA MAKE A DIFFERENCE IN THIS CASE?
Goal:
What is our plan for balancing family preservation, child protection, and permanence?
74 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
CASE IMPACT CHECKLIST:
Left-hand column: At case assignment, CASA volunteer advocate and supervisor will discuss and
establish goals, needs, or desired outcomes applicable for the child(ren) in the case. Desired advocacy
will need to be updated throughout the duration of the case since the needs and circumstances of the
child and family are likely to change.
Right-hand column: The CASA volunteer indicates the specific services that were provided.
Applicable
CASA Advocacy Role
Provided
Medical Advocacy
□ Yes □ No
[1] Recommend or facilitate a needed medical evaluation or
assessment, including vision or hearing screens, as well as
evaluation of dental or health issues or an evaluation by ECI for
children aged 0 to 3.
□ Yes □ No
□ Yes □ No [2] Review the child’s Health Passport. □ Yes □ No
□ Yes □ No [3] Recommend assessments based on specific concerns (FASD,
developmental delay, etc.) □ Yes □ No
□ Yes □ No [4] Search for community resources to address a child’s special
needs. □ Yes □ No
□ Yes □ No [5] Recommend to the court special medical treatments for a child. □ Yes □ No
□ Yes □ No
[6] Act as liaison to facilitate communication between caseworkers,
caregivers and medical providers (maintaining case
confidentiality). □ Yes □ No
□ Yes □ No [7] Follow-up in placement to ensure the child is taking prescribed
medications. □ Yes □ No
□ Yes □ No [8] Follow-up in placement to ensure the child is receiving
occupational therapies (not including medication). □ Yes □ No
□ Yes □ No [9] Contact the child’s medical consenter to discuss any specific
medical concerns or issues. □ Yes □ No
□ Yes □ No
[10] Other:
______________________________________________________
_______________________________________________________
□ Yes □ No
75 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
Applicable
CASA Advocacy Role
Provided
Behavioral Health Advocacy
□ Yes □ No
[1] Discuss the child’s prescribed medications with a pharmacist (only providing age, weight and medication types/doses) and
request a Psychotropic Medication Utilization Review (PMUR) if
needed to address concerns about the overmedication and
incorrect medication of the child.
□ Yes □ No
□ Yes □ No
[2] Express concerns to a therapist regarding a child’s needs or known issues related to trauma, emotional, behavioral or social
functioning. □ Yes □ No
□ Yes □ No [3] Confirm the therapist has current mental health care records or
information needed to provide services. □ Yes □ No
□ Yes □ No
[4] Provide first-hand knowledge of daily-life or weekly-life
background information to a therapist, information only you can
provide. □ Yes □ No
□ Yes □ No
[5] Attend treatment team meetings and challenge the current
treatment plan if it does not meet a child’s therapeutic needs or targeted outcomes.
□ Yes □ No
□ Yes □ No [6] Advocate for a new therapist for a child if needed. □ Yes □ No
□ Yes □ No
[7] Recommend training or recommend a community resource for
foster parents training related to the psychological or emotional
needs of the child in their care as well as trauma, grief and loss. □ Yes □ No
□ Yes □ No
[8] Act as liaison to facilitate communication between caseworkers,
caregivers and psychological providers (maintaining case
confidentiality). □ Yes □ No
□ Yes □ No [9] Recommend to CPS and/or the court psychological services that
may be helpful in meeting additional needs of the child. □ Yes □ No
□ Yes □ No [10] Recommend joint family or sibling therapy, if indicated. □ Yes □ No
□ Yes □ No [11] If indicated, recommend an evaluation for substance use or
abuse for the child or youth. □ Yes □ No
□ Yes □ No [12] If indicated, recommend an evaluation for substance use or
abuse for the parent(s). □ Yes □ No
□ Yes □ No
[13] Other:
_______________________________________________________
_______________________________________________________
□ Yes □ No
76 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
Applicable
CASA Advocacy Role
Provided
Sustaining Family Connections
□ Yes □ No
[1] “Mine” the case record at DFPS by thoroughly reviewing all
written information in hard or electronic files for names of
relatives (ALL) or anyone who may have a special interest in the
child. Pay particular attention to Notice of Hearings.
□ Yes □ No
□ Yes □ No
[2] Conduct or request a search from the DFPS Diligent Search Unit
on viable relatives (you do not have to limit the number) and/or
use free search engines and public records to locate their last
known address (ex: white pages, Facebook, searchsystem,
rootsweb)
□ Yes □ No
□ Yes □ No
[3] Talk with the child/youth about the people you’ve identified and get their input on who they know, feel close to, would like to
have a relationship with, who they feel safe with and what type
of relationship they are interested in with various relatives.
□ Yes □ No
□ Yes □ No
(4) Make initial contact with everyone you believe to have the
potential of either having a positive connection with or being
permanent placement for the child/youth. Track your contact and
plan for future contact.
□ Yes □ No
□ Yes □ No
[5] Provide informal mediation or arrange mediation of a conflict
situation among relatives and/or caregivers to maintain current
placement. □ Yes □ No
□ Yes □ No [6] Encourage relatives to contact and comply with Child Protective
Services. □ Yes □ No
□ Yes □ No
[7] Notify DFPS of the relatives you’ve contacted and the degree of interest they’ve expressed in being a connection for the child. Request DFPS approve appropriate persons for contact with or
visitation with the child/youth.
□ Yes □ No
□ Yes □ No
[8] If the kin or fictive kin is open to becoming a potential placement
for the child, provide them with information about DFPS, the
application process, a homestudy, and benefit options for kin
placements.
□ Yes □ No
□ Yes □ No
[9] Make recommendations for sibling, parent, grandparent or other
family member, fictive kin visitation needs or on-going contact
with the child(ren). □ Yes □ No
□ Yes □ No
[10] Other:
_______________________________________________________
_______________________________________________________
□ Yes □ No
77 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
Applicable
CASA Advocacy Role
Provided
Educational Advocacy
□ Yes □ No [1] Confirm the current caregiver has the educational portfolio or, if
they do not, advocate with CPS for them to receive it. □ Yes □ No
□ Yes □ No
[2] Verify either the educational portfolio or the appropriate school
records and evaluations have been provided to current school
personnel. □ Yes □ No
□ Yes □ No [3] If needed, recommend a better school placement, better
academic testing, or a more appropriate “fit” for the child. □ Yes □ No
□ Yes □ No
[4] Request an ARD meeting for the child, if indicated, to evaluate
the need for special education services or an Independent
Education Plan (IEP). □ Yes □ No
□ Yes □ No [5] Encourage the foster placement to provide tangible rewards that
recognize and encourage the child(ren)’s schoolwork. □ Yes □ No
□ Yes □ No [6] Build a relationship with school personnel by maintaining regular,
on-going contact with teachers. □ Yes □ No
□ Yes □ No [7] If a child is moved within the same school district, advocate for
them to remain in the same school (TX Education Code 54.211) □ Yes □ No
□ Yes □ No [8] Challenge a teacher’s or counselor’s academic recommendations
and/or actions to advocate for a child’s educational needs. □ Yes □ No
□ Yes □ No [9] Recommend tutoring for a child, if needed, in order to improve
their academic standing. □ Yes □ No
□ Yes □ No [10] Consider accelerated instruction for youth in secondary school
or a Graduate Record Examination (GRE) to complete high school. □ Yes □ No
□ Yes □ No [11] Attend the child’s school events. □ Yes □ No
□ Yes □ No [12] Advocate for and encourage parents or family members to
advocate for a child’s educational needs. □ Yes □ No
□ Yes □ No [13] Advocate for an “aging out” youth to obtain copies of their
records, and help them apply for vocational school or college. □ Yes □ No
□ Yes □ No [14] Consider serving as the child’s “surrogate parent” with regard to
educational needs. Training and certification is required. □ Yes □ No
□ Yes □ No
[15] Other:
_______________________________________________________
_______________________________________________________
□ Yes □ No
78 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
Applicable
CASA Advocacy Role
Provided
Legal Advocacy
□ Yes □ No [1] Maintain written or verbal contact with the attorney ad litem. □ Yes □ No
□ Yes □ No [2] Keep attorneys apprised of placement issues of which you may be
aware. □ Yes □ No
□ Yes □ No [3] Provide informative, factual, concise court reports to aid the
court’s decision-making. □ Yes □ No
□ Yes □ No
[4] Advocate for the child’s voice in court either through appearance, meeting with the judge in chambers, a child or youth court
report, or by teleconference. □ Yes □ No
□ Yes □ No [5] Recommend court hearing (or trial) arrangements that minimize
the stressful impact on the child if they are called to testify. □ Yes □ No
□ Yes □ No
[6] Challenge an attorney’s recommendations of a child’s expressed interest if they are not meeting with child, consulting or
representing the child. □ Yes □ No
□ Yes □ No [7] Clarify immigration status and advocate for an undocumented
child to receive legal residency or citizenship. □ Yes □ No
□ Yes □ No [8] Advocate for a youth’s juvenile records to be sealed prior to their
“aging out” of CPS custody. □ Yes □ No
□ Yes □ No
[9] Advocate for the protection and pursuit of a child’s legal rights, utilizing the Bill of Rights for Children and Youth in the Foster
Care. □ Yes □ No
□ Yes □ No [10] Participate in a mediation, advocating for a child’s best
interests. □ Yes □ No
□ Yes □ No [11] Explain the legal process and system to the child and placement. □ Yes □ No
□ Yes □ No [12] Recommend plans for a youth who wishes to remain in care past
18. □ Yes □ No
□ Yes □ No
[13] Act as liaison between parties (ad Litems, legal system, CPS
workers, child, family) leading up to -- and preparing for -- a trial
date. □ Yes □ No
□ Yes □ No
[14] Other:
_______________________________________________________
_______________________________________________________
□ Yes □ No
79 Texas CASA Best Practices Manual I December 2014 Edition
Credits: Child Advocates-Denver CASA, Child Advocates San Antonio and Hill Country CASA
Applicable
CASA Advocacy Role
Provided
Placement Stability Advocacy
□ Yes □ No
[1] Make home visits looking for indicators of placement breakdown
due to stressors in the caretakers’ life (e.g., marital discord, a parent’s serious illness, financial stress, child-care stress).
□ Yes □ No
□ Yes □ No [2] Provide a new placement with (additional) information regarding
a child's needs (maintaining case confidentiality). □ Yes □ No
□ Yes □ No
[3] Ensure the foster parent’s concerns with the child’s behavior (in the foster home) are addressed in order to keep the child from
having to be moved. □ Yes □ No
□ Yes □ No [4] Locate resources for direct necessities (clothes, school supplies,
etc.) and extra-curricular activities (band, sports, camp, etc.) □ Yes □ No
□ Yes □ No [5] Facilitate communication between all parties to ensure stability. □ Yes □ No
□ Yes □ No [6] Research additional resources for families struggling to maintain
custody. □ Yes □ No
□ Yes □ No (7) Act as a liaison to ensure children 16 and older have the services
they need to prepare for independent living. □ Yes □ No
□ Yes □ No (8) Help access PAL classes for children 16 and older. □ Yes □ No
□ Yes □ No
(9] Act as a liaison with caseworker to ensure that the child(ren) 16
and older who are not able to live independently have been
referred to appropriate social service agencies (e.g., APS, MHMR). □ Yes □ No
□ Yes □ No
[10] Other:
_______________________________________________________
_______________________________________________________
□ Yes □ No
SAMPLE CASE SUPERVISION REPORT
Standard 7.D-E.
80 Texas CASA Best Practices Manual I December 2014 Edition
TODAY’S DATE: SPECIALIST: ______________________ 1. CASE INFORMATION:
Case name and Cause #: _________________________________________________ A. Date of next Court Review: __________________________________________ B. Date of next ISP: ____________________________________________ C. Date of FGC: _____________________________________________________ D. Copy of current DFPS Service Plans: Family ____Child’s/Children’s ______ Parents’ _____
2. VOLUNTEER INFORMATION:
Volunteer’s name: _______________________________________________________ Date Volunteer assigned case: FOC __ GAL Helping Heart/Co-CASA assigned: Yes No _____ Name: ________________________________________________________________
3. CASE ACTIVITY SINCE LAST REVIEW:
A. Volunteer contact summary: Circle all that apply
Child(ren) DFPS Attorneys Placement Agency
Therapists
CV Caseworker DFPS Attorney Foster Family Child(ren)
Supervisor AAL Agency CW Mother’s
Mother Adoption Father’s Attorney School/Day Care Father’s
Father Mother’s Attorney
Drug Treatment Probation
Relatives
81 Texas CASA Best Practices Manual I December 2014 Edition
B. Volunteer Statistics Review Period: to
In-kind Donation
Contacts # Meetings/Staffings Court Hearings Other
Hours Child ARD Hearings
Miles Family ISP Mediation
Goods Relatives Adoption
Placement
C. Frequency of Contact with Child(ren): D. CASA’s recommended Permanency Plan for Child(ren):
(Note: If different from DPRS Plan, please note that plan as well)
Next Court Hearing: _____
Time Line (days left on case until Permanency):
4. ACTION ITEMS
A. Genogram started? Completed? Copy in Master File? _______
B. Court Report submitted for last hearing? Yes No ______ (If no, please state circumstance or reason)
C. Priority Issues and Volunteer Goals in this case (complete for all that apply): C-1. Legal Issues C-2. Placement Issues
C-3. Therapeutic Needs
C-4. Special Needs (include Medical Needs)
82 Texas CASA Best Practices Manual I December 2014 Edition
C-5. Educational Needs C-6. Parents’ Issues (include primary Service Plan goals, as well as strengths and needs of
each parent) C-7. Family Dynamics C-8. Other Issues 5. VOLUNTEER’S COMMENTS regarding their involvement in the case (include areas of
accomplishment, as well as areas needing attention, if applicable):
6. SUPERVISOR’S COMMENTS regarding Volunteer’s involvement in the case (include areas of accomplishment, as well as areas needing attention, if applicable):
7. PERFORMANCE MEASURES
Volunteer has been given a copy of Minimum Expectations of Service to a Child Policy? Yes No
How will we measure CASA’s effectiveness in handling this case between now and the next Case Review Conference?
________________________________________ _________________________________ CASA VOLUNTEER DATE
_____ __________________________________ CASA SUPERVISOR DATE
SAMPLE CASE ACTIVITY LOG
Standard 7.E.5.
83 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Tarrant County
Supervisor Name:
Case Name:
Advocate Name:
Month, Year:
Case Activity
Assigned/ Closed Case
Contact w/ CPS CW
(Monthly)
Review CPS File
Contact Ad Litem
(Monthly)
Attended Court Hearing
- Submit Report
Visit Child In Home
(1x/mo local)
Contact with Therapist,
Doctor
Health Passport
Verified/View
Contact with School/D.Care
Educational Passport
Verified/View
Observed Parent Visit
CVC info verified/given
Contact w/ CASA
Supervisor (Monthly)
SAMPLE COURT REPORT
Standard 7.E.5.i.
84 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Williamson County
Cause No. xx-xxx-xxx
IN THE INTEREST OF § IN THE DISTRICT COURT OF
____________ § ___________ COUNTY, TEXAS
MINOR CHILD(REN) § _______ JUDICIAL DISTRICT
Date of Review: ____________________ Type of Hearing: ____________
CASA of Williamson County, Texas
RECOMMENDATIONS
The recommendations section should be an executive summary of our court report. A concise explanation
should accompany each recommendation. In addition, all recommendations made in this section should
be supported by information in the CASE SUMMARY SINCE LAST REVIEW section.
Based on the following summary and observations, CASA respectfully recommends:
1. Legal-i.e. The child should remain in TMC of DFPS at this time.
2. Placement-Are we recommending the child remain where they are currently? Do we have
another placement that we think is in their best interest to be placed in instead? Are we exploring
any other placements for the child?
3. Visits-Supervised visits with either/both parents? Sibling visits needed?
4. Child’s Services-What services is each child receiving? Are we recommending these continue at
increased, decreased, same frequency? Any additional services that we are recommending for the
child?
5. Parent(s) Plan of Service-What services is each parent receiving? Are we recommending these
continue at increased, decreased, same frequency? Any additional services that we are
recommending for each parent?
THE CHILD(REN)/SITUATION This section should contain the reasons for DFPS involvement—a brief overview of referral history. List
each child, the date that they came into care (the removal date), and what the allegations were.
CASE SUMMARY (SINCE LAST REVIEW)
This is CASA’s___ report to the court since being assigned as Guardian Ad Litem on____________.
This section is the “meat” of the report. The case summary is an update on the Child(ren)’s progress,
Parent(s)’ Progress and Kinship Care.
85 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Williamson County
Child(ren)’s Progress Each child should have a paragraph including the following pieces of information:
Child- Describe the child. (Physical, Hobbies and Personality. Be sure to include something
unique about the child)
Current Placement-(General) Location and overview of adjustment there, including foster
parent reports (with direct quotes whenever possible)
Therapy-Child’s therapist’s reports about progress (direct quotes whenever possible) Visitation-How often child is visiting with his or her family (i.e. parents, other siblings not in
same placement, etc.)
Education-Grade level in school, teacher reports about progress (direct quotes when possible),
whether or not the child is receiving special educational services and if so, the date of the next
ARD meeting
Medical/Mental Health Information-including the name of the medical designee and using the
following table:
Medical or psychiatric
diagnoses
Medications and
dosages
Possible side effects Expected date of
termination of treatment
ADHD Straterra Dizziness, dry mouth,
decreased appetite,
weight loss
Long-term
Anxiety/Sleep
Disturbances
Trazedone Nausea, dizziness,
insomnia, agitation
May 2012
Child’s expressed wishes to CASA about their placement, permanency, etc. (if child is verbal)
Parent(s)’ Progress Each parent should have a paragraph listing the following information:
Participation in court-ordered services using the following table:
Court-Ordered Service Status
BVCASA Participated in evaluation and recommended educational
program. Completed on 2/15/2012.
Parenting Classes Attended 7 out of the 12 offered classes since last hearing.
Psychological Evaluation Completed on 1/10/2012.
Individual Therapy Attended 5 out of 9 sessions offered since last hearing.
Parent’s service provider’s reports about progress (with direct quotes whenever possible) Current housing and employment status.
Example: “Mr. Jones has been fairly consistent in participating in the court’s plan for services. His therapist reports that although he has missed a few sessions, he has called in advance to cancel two of
them due to work conflict. The therapist stated to this CASA on 3/1/2012 that Mr. Jones “has come to see his responsibility in the children’s situation that led to the removal. He has made great progress and is
moving toward reunifying with his children.”
Note: If a parent is incarcerated, the CASA must still contact that person by mail to find out if they would
like to offer information they feel should be considered for best interest of child(ren), as well as any
additional family members that would have information for CASA to contact.
Kinship Care
State what relative placement options have been explored (temporary or long-term) and the outcome of
each as well as what additional supports extended family have stated that they could provide.
86 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of Williamson County
PERMANENCY PLAN State the DFPS permanency and concurrent plans. Then state the CASA perspective on this plan. If CASA
is in disagreement with the DFPS Permanency Plan, the reason(s) for this disagreement, along with a
recommended alternative plan, should be concisely stated.
Example: “The current DFPS Permanency Plan is a family reunification with a concurrent of adoption by a non-relative. CASA currently agrees with this plan with the exception that if family reunification is
not possible, all relative placement options should be explored prior to adoption by a non-relative.”
In addition, this section should include an approximation of the time remaining on the case before final
orders must be entered. Include an expected time frame of events from CASA’s perspective given the case continues at its current progress and pace.
Example: “There are only five months remaining in the 12-month timeframe on this case. Given the
mother’s participation in most of the services, her recent acquisition of housing, and her therapist’s reports of progress, CASA would recommend that reunification plans begin within the next two months if
current rate of progress continues, allowing for adequate monitoring of the reunification by all parties
before final orders must be entered.”
AREAS OF CONCERN This section will assist in pointing out and making very clear what problems stand in the way of reaching
the identified permanency goal. It should be a relatively short “re-capping” of two or three of the most critical areas of concern already discussed in the body of the Case Summary section. These items should
also be numbered and should resemble the “Recommendation Section.”
Example: “1. The mother only recently acquired housing. CASA would like to observe the stability of this
residence over the next month prior to reunification plans proceeding.”
SUMMARY OF CONTACTS MADE BY CASA
This CASA has spent a total of ____hours completing an investigation on this case.
Person Contacted: Relationship: Dates/Type of Contact:
Foster mom Foster mom for Johnny 9/26/2012 (phone); 10/1/2012 (visit);
10/6/2012 (visit)
Alan Attorney AAL 9/26/2012 (email)
Johnny Child 10/1/2012 (visit)
Casey Caseworker CPS 9/26/2012 (email); 9/27/2012 (visit)
Ms. Apple Johnny’s teacher 9/28/2012 (visit at school)
Ms. Messina Johnny’s therapist 10/1/2012 (phone)
Mary Smith Mother 9/27/2012 (visit)
Respectfully Submitted,
[Awesome Volunteer]
Guardian ad Litem Volunteer
CASA of Williamson County, TX
[Volunteer Coordinator]
CASA Volunteer Coordinator
CASA of Williamson County, TX
[Executive Director]
CASA Executive Director
CASA of Williamson County, TX
EDUCATIONAL ADVOCACY
Standard 7.E.5.
87 Texas CASA Best Practices Manual I December 2014 Edition
Credits: A Closer Look: Educational Advocacy, Rebecca Gomez, LCSW
Educational Portfolio
The Educational Portfolio is a collection of educational documents and information designed to follow
each foster child regardless of whether their residence changes. This is important because one of the
factors that place foster children at risk is frequent school disruptions and the Educational Portfolio is
intended to mitigate the impact of these changes. The goal of the portfolio is to ensure that the child,
caregiver, and caseworker have access to the latest educational records at all times.
The portfolio should facilitate the enrollment of children when they experience placement changes. It
also serves the purpose of ensuring that the child is placed appropriately in their new school and
receives needed services.
It is the responsibility of the caregiver or the youth (if they are of appropriate age) to keep the portfolio
updated and ensure that it is complete. The Child Protective Services (CPS) caseworker is required to
ensure that this information is transferred to the child’s case file. The CASA volunteer should be able to access this information through both the foster parent directly and through the child’s caseworker.
The portfolio is required to contain the following basic items for all children:
report cards
transcripts
birth certificate
immunization records
placement authorization form
list of medications the child takes during the school day
standardized testing scores
school withdrawal authorization
social security card
In addition, to the basic information contained in the educational portfolio, children who receive special
education services are also required to have these documents in their portfolio:
Notices of Admissions, Review, and Dismissal (ARD) meetings
The child’s Full and Individual Evaluation (FIE) or any other testing provided by the school.
The child’s Individualized Education Plan (IEP) Current Individual Family Service Plan (IFSP)
Documentation of any services received
Individual Transition Plan or Summary of Performance
Ways CASA Volunteers Can Provide Educational Advocacy for Youth
Assist teachers and principals in understanding the foster care system- It is important that school
officials understand the myriad of challenges that children in foster care face and the multiple systems
they must maneuver.
88 Texas CASA Best Practices Manual I December Edition
Credits: A Closer Look: Educational Advocacy, Rebecca Gomez, LCSW
Maintain contact with the school- It is essential that school personnel have a sense that someone will
advocate for the child and you also can serve as a resource for helping them better understand how to
meet the child’s needs.
Encourage older children to take an active role in maintaining their Educational Portfolios- It is crucial
that they learn to manage their own educational information and advocate for their educational needs.
These skills will assist them as they transition out of foster care into independent living.
Study the rules- Be willing to visit the Texas Education Agency (TEA) website and look up educational
policies when advocating for a child. Knowledge is power.
Work with your local CASA program to develop good relationships with local school systems- If
advocating for a child placed outside your local program’s jurisdiction, your local CASA staff can inquire about knowledge and working relationships with the school in their area.
Take an active role in assuring the educational portfolio is complete, current and utilized.
Attend ARD’s if your CASA child is in special education- Encourage the foster parent serving as the
surrogate parent to take a very active role in the child’s education, or serve as a surrogate parent
particularly for children in residential treatment settings.
Encourage children to talk about their school experiences and aspirations- School friendships and
extra-curricular activities can be a very positive support for a child in foster care.
MEDICAL ADVOCACY
Standard 7.E.5.
89 Texas CASA Best Practices Manual I December 2014 Edition
Health Passport
The Health Passport (HP) is a computer-based system that has health data about children in the STAR
Health program. The HP is not a full medical record. It has information on doctor and dentist visits,
hospital stays, prescriptions and shot records. The guardian ad litem has the right to view the online
medical information contained in the Health Passport as part of providing medical advocacy for children.
In 2011, Texas CASA and DFPS agreed to a process by which programs can access this important
information online.
Effective advocacy for children incudes addressing and understanding the information contained in the
Health Passport.
Local CASA Program Health Passport Access
Local CASA programs are granted access to the HP of children to which they are appointed by the court.
CASA staff members are the only individuals who are granted access through a DFPS process and
password. CASA volunteers and other CASA staff must view the electronic HP from the computer of the
authorized user.
Ways CASA Volunteers Can Provide Medical Advocacy for Youth
Recommend or facilitate a needed medical evaluation or assessment, including optical, dental or
hearing. Verify a child’s medical file is complete by ensuring the CPS caseworker has access to their Health Passport.
Recommend to the court special medical treatments or assessments based on specific concerns
(FASD, developmental delay, etc.)
Act as liaison to facilitate communication between caseworkers, caregivers and medical
providers (maintaining case confidentiality). Follow-up in placement to ensure the child is taking
prescribed medications is receiving occupational therapies (not including medication).
Request a psychiatric review of prescribed medications to address concerns about possible
overmedication and incorrect medication.
Express concerns to a therapist regarding a child’s needs or known issues related to emotional, behavioral or social functioning.
Confirm the therapist has current mental health care records or materials needed to provide
services. Provide first-hand knowledge of daily-life or weekly-life background information to a
therapist, information only you can provide.
Challenge the current treatment plan if it does not meet a child’s therapeutic needs or targeted outcomes. Advocate for a new therapist for a child if needed.
90 Texas CASA Best Practices Manual I December 2014 Edition
Recommend training or recommend a community resource for foster parent training related to
the psychological or emotional needs of the child in their care as well as issues related to grief
and loss.
Act as liaison to facilitate communication between caseworkers, caregivers and psychological
providers (maintaining case confidentiality).
Recommend to CPS and/or the court psychological services that may be helpful in meeting
additional needs of the child.
Act as a liaison to ensure children 16 and older have the services they need to prepare for
independent living.
TRACKING VOLUNTEER HOURS AND
ADVOCACY
Standard 9.A.2.b.iii.
91 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley, CASA of Trinity Valley, Fannin County Children’s Center
Tips for Success:
Train volunteers on the value of tracking, recording, and submitting their advocacy activities during
pre-service training.
Emphasize in initial trainings that it is important to turn in volunteer hours because these
volunteer hours are critical for data, grant reporting and demonstrating the values of CASA to
the public.
New volunteers train on how to submit their volunteer hours and advocacy activities.
Emphasize that turning in volunteer hours is a requirement as a CASA volunteer, and supervisors
will remind volunteers regularly to turn in timesheets.
Remind volunteers constantly and consistently to turn in their timesheets. Make sure to praise and
thank each volunteer when they do turn in their timesheets.
Assign multiple staff members to remind volunteers to turn in their timesheets.
o EXAMPLE: In addition to the Volunteer Coordinator’s consistent reminders, the Administrative Assistant sends out one reminder at the end of each month to all
volunteers asking them to turn in their time logs to their coordinators by the 3rd of the
next month.
Allow volunteers to submit their volunteer hours on their website. To help volunteers
remember how to report their hours, CASA of Trinity Valley gives all its volunteers mouse pads
that have a place for volunteers to take their sharpies and write their username and password
on to fill out and submit the timesheet.
92 Texas CASA Best Practices Manual I December 2014 Edition
Credits: CASA of the Brazos Valley, CASA of Trinity Valley, Fannin County Children’s Center
Give incentives to volunteers so that they fill out and submit their timesheets on time.
Program staff can give out prizes to volunteers who submit their timesheets in a timely manner.
Volunteer Supervisors can be given incentives to collect timesheets from all their volunteers
regularly.
Give volunteers flexibility on how they want to record and turn in their time.
Fannin County Children’s Center provides a simple timesheet to volunteers so that they do not
feel overwhelmed or confused as they turn in their hours.
Allow the volunteers to use their own words to describe their activity. Then once turned in,
staff members review it and mark what is allowable by VOCA and what is not. That way it is
easier for the volunteers to turn in their contact logs and staff members use their discretion on
what activities are allowed by the VOCA grant and which ones are not.
Voices for Children, Inc. staff members provide a template monthly time log form for the
volunteers to use, however, staff let them know they can just send their volunteer coordinator
“an email or word document with all of their contacts and a brief summary of the contacts and time spent on the case.”
Voices for Children, Inc. staff members track the timesheets submitted by quarter.
Use continuing education classes to support their data tracking.
CASA of Trinity Valley provides one in-service training per year that addresses volunteer
timesheets and their importance.
Another way to ensure that volunteers complete their timesheets is to provide 10 minutes each
continuing education class for volunteers to fill out their timesheets or work on their activity
logs.
Remind volunteers of the impact of their work and of CASA’s mission.
At the annual volunteer banquet for the past two years, the Executive Director of CASA of Trinity
Valley has given a "State of the Program" address and placed on the tables a print out with
cumulative stats for the program as well as individual counties. These numbers illustrate the
hours and miles done for child advocacy for the year. However, the executive director stresses
that these numbers are likely underreported and they would show even more if all volunteers
dutifully reported all of their advocacy activities. “The key was each time I said ‘reported’ as opposed to ‘actual.’ When I did this in 2011 I had about 30% reporting and then in 2012 it
increased to 50%.”
Remind everyone including volunteers, board members and staff that they are stakeholders and
they have a vested interest in knowing how the program is operating. We are all part of
something bigger because we aim to provide a CASA for every child.
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