Indicators of Compliance
Examples of the Indicators of Compliance

The following support documents (indicators of compliance) must accompany the standards self-assessment tool. Be sure to include the date that the document was created and/or most recently revised and approved.

EXAMPLES:

The list below includes links to examples of supporting documents. These sample documents are from various CASA/GAL programs across the country and are compliant with National CASA Standards. These are not meant to be templates for simple copying. Not all indicators of compliance will have examples, as some are static documents that a program either has or doesn’t have based on their model and income base (i.e. Court Rules, Form 990). If you plan to utilize any of these documents for your program, be sure to review the document closely, adapt or modify as required and appropriate, paying close attention to applicable state and local laws. Also, be sure to get approval from your governing body before implementing any new policies or procedures. If you have questions about any of the Indicators of Compliance, please check in with your regional program specialist, state director and/or quality assurance specialist.

To download a single Sample Indicator of Compliance, right click on it's link, and select
'Save Target As'  to save it to your hard drive.

Standard 1: CASA/GAL Program Mission and Purpose

• Mission Statement (14 KB PDF)
• Articles of Incorporation (357 KB PDF)
• Written Working Agreement with Court (39 KB PDF)
• State Statute Relating to CASA/GAL Program
• Court Rules Relating to CASA/GAL Program

Standard 2: Program Governance 

• Bylaws (51 KB PDF)
• Program Organizational Chart (22 KB PDF)
• List of Current Governing or Advisory Board Members w/ Affiliations (47 KB PDF)
• Board Member Job Description (15 KB PDF)
• Board Orientation Checklist
  • Sample 1 (25 KB PDF)
  • Sample 2 (29 KB PDF)
• Conflict of Interest Policy (12 KB PDF)
• Written Agreement with Umbrella Organization
• Board Recruitment Strategy Plan
• Board Election and Screening Procedures (15 KB PDF)

Standard 4: National Affiliation

• Sample of Graphics Usage

Standard 6: Human Resource Management

• Personnel Policies (82 KB PDF)
• Equal Employment Opportunity Policy (12 KB PDF)
• Job Descriptions for Staff Positions
  • Executive Director (44 KB PDF)
  • Program Coordinator (40 KB PDF)
  • Volunteer Supervisor (32 KB PDF)
  • Volunteer Supervisor-Case Manager (36 KB PDF)
  • Volunteer Coordinator (40 KB PDF)
• Resume of Chief Executive Officer and Program Administrator
• Screening Policy for Staff (24 KB PDF)
• Staff Orientation Checklist ( 28 KB PDF)
• Sample Employee Performance Review Form
  • Sample 1 (50 KB PDF)
  • Sample 2 (72 KB PDF)
• Succession Plan
  • Sample 1 (84 KB PDF)
  • Sample 2 (16 KB PDF)
• Written Grievance Procedure (11 KB PDF)
• Employee Access and Review Records Policy
• Whistleblower Policy (12 KB PDF)

Standard 7: Volunteer Management

• Job Description for CASA/GAL Volunteer (43 KB PDF)
• Volunteer Application (98 KB PDF)
• Volunteer Interview Questions
• Volunteer Reference Form (66 KB PDF)
• Volunteer Training Agenda (23 KB PDF)
• Table of Contents from Volunteer Training Manual (if other than National CASA training curriculum)
• Volunteer Policies and Procedures (59 KB PDF)
• Policy on Volunteers Transporting Children (27 KB PDF)
• Volunteer Termination Policy (23 KB PDF)
• Sample Court Order Appointing CASA/GAL Volunteer (57 KB PDF)
• Sample Notice of Volunteer Appointment Form (11 KB PDF)
• List of In-Service Training Offered in Prior Calendar Year, Including Topic, Date and Length of Time (24 KB PDF)
• Exception Form for Exceeding the Two-Case Limit (63 KB PDF)
• Exception Form for Monthly Visit Standard (60 KB PDF)

Standard 8: Financial, Facility and Risk Management

• Verification of Non-Profit Status (501c3)
• Financial Internal Controls Policy (32 KB PDF)
• Most Recent Year-End Financial Statements
• Operating Budget for Current Fiscal Year
  • Sample 1 (75 KB PDF)
  • Sample 2 (41 KB PDF)
• Most Recent IRS Form 990 (for programs with expenditures over $25,000 annually)
• Most Recent Financial Review (for programs with expenditures between $25,000 and $100,000 annually)
• Most Recent Program Audit (for programs with expenditures of over $100,000 annually)
• Proof of Any Forms of Liability Insurance and/or Statutory Immunity
• Risk Management Plan

Standard 9: Public Relations

• Program Brochure
• Written Crisis Management Plan

Standard 10: Planning Evaluation

• Most Recent Report of Statistical Information (COMET/CASA Tracker/Aggregate Data) (75 KB PDF)
• Written Confidentiality Policy (10 KB PDF)

Standard 11: Record Keeping

• Sample Case Data Entry Form
• Volunteer Release Form (17 KB PDF)
• Records Retention Policy (11 KB PDF)

Standard 12: Inclusiveness and Diversity

• Inclusiveness and Diversity Plan
  • Sample 1 (139 KB PDF)
  • Sample 2 (19 KB PDF)
• Inclusiveness and Diversity Plan Progress Report

Your Input

As always, we welcome your questions, comments, and suggestions about the quality assurance system. Please direct your input to staff@nationalcasa.org or by telephone at 800-628-3233.