Indicators of Compliance
Examples of the Indicators of Compliance

The following support documents must accompany the State Standards Self-Assessment Instrument. (Coming Soon) Electronic submission via floppy disk or compact disk is preferred.

Be sure to include the date that the document was created and most recently revised and approved. For larger documents, such as personnel policies, the table of contents along with any sections that are referred to in the self-assessment will be sufficient. The self-assessment question(s) referred to in each document is indicated in parentheses.

EXAMPLES:

The following list includes links to examples of supporting documents. These are examples of what other programs have done and are compliant with National CASA standards. These are NOT meant to be templates for simple copying. 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 the governing body before implementing any new policies or procedures. There are additional examples of documents in National CASA's Guide to Program Development and Achieving Our Mission, which is available from the CASAnetStore.

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 I: CASA State Organization Mission

• Mission Statement 
  • Sample Mission Statement #1  (24 KB MS Word) 
  • Sample Mission Statement #2  (20 KB MS Word)

Standard II: CASA State Organization Governance 

• Agreement with Umbrella Organization
  • Sample Letter of Understanding  (108 KB PDF)
• List of Current Governing or Advisory Board Members with Affiliations Noted
  • Sample Board of Directors List  (32 KB MS Word)
• Written Plan for Staff and Board Diversity
  • Sample Diversity Plan 1  (32 KB MS Word)
  • Sample Diversity Plan 2  (40 KB MS Word)
• Bylaws
  • Sample By-Laws #1  (71 KB MS Word)
  • Sample By-Laws #2  (59 KB MS Word)
• Board Orientation Checklist
  • Sample Board Orientation Checklist #1  (23 KB MS Word)
  • Sample Board Orientation Checklist #2  (25 KB MS Word)
• Board Member Job Description
  • Sample Board Member Job Description #1  (24 KB MS Word)
  • Sample Board Member Job Description #2  (118 KB PDF)

Standard III: Code of Conduct

• Code of Conduct
  • Sample Code of Ethics

• Conflict of Interest
  • Sample Conflict of Interest Policy #1
  • Sample Conflict of Interest Policy #2

Standard IV: Compliance with Laws and Regulations

• Articles of Incorporation
  • Sample Articles of Incorporation #1  (244 KB PDF)
  • Sample Articles of Incorporation #2  (113 KB PDF)

Standard V: Planning, Assessment and Evaluation

• Strategic Plan
  • Sample Strategic Plan #1  (34 KB MS Word)
  • Sample Strategic Plan #2  (106 KB MS Word)
• Strategic Plan Progress Report
  • Sample Strategic Plan Report  (54 KB MS Word)
• Copy of Data Collection Policies and Procedures
  • Sample Data Collection Policy  (32 KB MS Word)

Standard VI: Human Resource Management

• State Organizational Chart
  • Sample Organizational Chart #1  (23 KB PDF)
  • Sample Organizational Chart #2  (138 KB PDF)
• Resume of Administrator
  • Sample Administrator Resume  (102 KB PDF)
• Job Descriptions for Staff Positions
  • Sample Position Description - Standards Coordinator  (49 KB PDF)
  • Sample Position Description - Volunteer Coordinator  (69 KB PDF)
• Personnel Policies
  • Sample Policy and Procedures Manual #1  (55 KB MS Word)
  • Sample Policy and Procedures Manual #2  (1.2 MB PDF)
• Equal Employment Opportunity Policy
  • Sample Equal Employment Policy #1  (359 KB PDF)
  • Sample Equal Employment Policy #2  (58 KB PDF)
• Screening Policy for Staff
  • Sample Applicant/Staff Screening Policy #1  (529 KB PDF)
  • Sample Applicant/Staff Screening Policy #2  (20 KB MS Word)
  
• Staff Orientation Checklist
  • Sample Staff Orientation Process #1  (75 KB PDF)
  • Sample Staff Orientation Process #2  (22 KB MS Word)
  
• Sample Employee Performance Review Form
  • Sample Employee Work Profile  (106 KB MS Word)
  • Sample Employee Performance Plan  (193 KB PDF)

Standard VII: Financial and Risk Management

• Operating Budget for your Current Fiscal Year
  • Sample Operating Budget #1  (20 KB MS Excel)
  • Sample Operating Budget #2  (21 KB MS Word)
• Verification of Non-Profit Status (501c3)
  • Sample Non-Profit Status Verification Letter  (41 KB PDF)
• Most Recent Year End Financial Statements
  • Sample Year-End Financial Statement #1  (25 KB MS Excel)
  • Sample Year-End Financial Statement #2  (85 KB PDF)
• Most Recent IRS Form 990 (for organizations with expenditures over $25,000 annually )
  • Sample 990 Form #1  (559 KB PDF)
  • Sample 990 Form #2  (1.2 MB PDF)
• Financial Internal Controls Policy
  • Sample Internal Controls Procedure  (60 KB PDF)
  • Sample Financial Policy, Records and Procedure  (45 KB MS Word)
• Copy of Management Letter from Audit
  • Sample Management Letter from Audit  (82 KB PDF)
  
• Most Recent Organization Audit (for non-profit organizations with expenditures of over $100,000 annually)
  • Sample Auditors Report #1  (93 KB PDF)
  • Sample Auditors Report #2  (186 KB PDF)
  
• Proof of any forms of Liability Insurance and/or Statutory Immunity
  • Sample Liability Insurance Document  (89 KB PDF)
• Risk Management Plan including potential liabilities
  • Sample Risk Management Plan  (67 KB MS Word)
  • Risk Management Plan FAQ  (43 KB MS Word)
• Fundraising Development Plan
  • Sample Fundraising Development Plan  (33 KB MS Word)
  • Sample Fundraising Projections  (33 KB MS Word)

Standard VIII: Public Relations / Education

• Crisis Management Communication Plan
  • Sample Crisis Communications Manual  (1.2 MB PDF)

Standard IX: Communications

• Samples of materials produced with proper usage of the CASA word marks, slogans and logos (two)
  • Sample #1  (33 KB PDF)
  • Sample #2  (8 KB PDF)

Standard X: Quality Assurance

Standard XI: National CASA Affiliation

• Samples of data collection surveys received from local programs
  • Sample Data Collection Survey #1  (436 KB PDF)
  • Sample Data Collection Survey #2  (156 KB PDF)

Standard XII: New State Organization Development

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.