texas casa quality assurance best practices manual...

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].

http://texascasa.org/learning-center/

mailto:[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

NONPROFIT GOVERNANCE


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

SAMPLE BOARD MEMBER FILE CONTENTS

Standards 2.A-B., 5.C.


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.


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


Paid staff Staff

Board members Board

Non-Board/Committee Volunteers Staff


Function/Task Suggested Primary Responsibility

Board Staff Other

Develop procedures and evaluate performance of:


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.


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.


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.


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


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.


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


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.


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.




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.




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?




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.


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.


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

NONPROFIT ADMINISTRATION


Standard 6: Human Resources Management

Sample Employee Application

Sample Evaluation of a Volunteer Supervisor

Providing Critical Performance Feedback

Sample Personnel File Contents

SAMPLE EMPLOYEE APPLICATION

Standard 6.E.2-6.


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:


YES

NO

Degree:

Other: Address: _________________________________________________


YES

NO

Degree:


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:


Company: Phone: ( )

Address:


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: ( )



Responsibilities:



YES

NO

Company: Phone: ( )



Responsibilities:




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.


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



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



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



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)



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.


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.


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.


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.

VOLUNTEER MANAGEMENT


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

SAMPLE VOLUNTEER RECRUITMENT PLAN

Standard 7.A.1.


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




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




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




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.




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.


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.


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.


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.


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

FINANCIAL AND RISK MANAGEMENT


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

SAMPLE ANNUAL FUND DEVELOPMENT PLAN

Standard 10.B.1.


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.



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)



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.



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.



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.



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?



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.



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.


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.



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.



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.



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.



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.


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.


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



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.


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



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






FY15 INTERNAL CONTROLS QUESTIONNAIRE



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


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


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

SAMPLE INDIVIDUALIZED ADVOCACY AND

ACTION PLAN

Standard 7.D.


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: ( ) - .



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:

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

_____________________________________________________________________________



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?



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



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



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



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



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



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.


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


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)


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.


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.


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.



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.



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


[Executive Director]

CASA Executive Director


EDUCATIONAL ADVOCACY

Standard 7.E.5.


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.


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.


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.


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.


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.