CASA’s Audit Journey: Building Trust through Continual Improvement

After an extensive process that covered all organizational compliance areas from case files to financials to Board of Directors, Child Advocates San Antonio (CASA) is so proud to share our incredible audit results below: 

Policy Compliance - 100 % 

Board of Director’s File Compliance - 100% 

Human Resources File Compliance - 100% 

Case File Compliance - 99% 

Volunteer Advocate File Compliance - 100 % 

We are thrilled that our hard work and commitment shines through in these audit results from Texas CASA, and we cheer this amazing success! Over this extensive audit, we had zero compliance findings and zero follow-up action items. 

Employees, donors, and our community can trust in the accuracy of our audit findings and our demonstrated commitment to positive change. We recognize that this audit was not just a one-time event but part of a continuous cycle of improvement. 

We are on a journey of assessment, adaptation, and growth. We measure our progress, celebrate our successes, identify new areas for improvement and create action plans for excellence. 

The extensive internal audit processes we began two years ago have proven to be a vital tool in enhancing our organization's performance and integrity. We remained focused our commitment to excellence in achieving our mission, while maintaining transparency and building credibility. The drive of continual improvement, driven by the results of our audits, allows us to move forward with confidence, knowing that we are on a path of sustained success. 

A Journey to Excellence

By Angela Kester, VP of Quality Assurance and HR, CASA 

Over two years ago, CASA embarked on a challenging and rewarding journey. We began preparation for an extensive triennial audit of our organization's operations by Texas CASA. As the Vice President of Quality Assurance, my mission was to ensure that our business processes were not only efficient and compliant but also capable of fostering a culture of trust and excellence within our organization. 

The scope of the audit was vast, encompassing a wide range of topics that would significantly impact our certification, funding, and reputation. We began with an assessment of our organization's compliance to identify areas to strengthen and found that CASA overall was 71% with existing standards from Texas and National CASA. Our entire organization collaborated to achieve compliance. Over the next 2 years, we created, or strengthened, 35 organizational policies and plans in collaboration with our Board of Directors. We established a rhythm of internal peer-to-peer audits for case and volunteer files and tracked those metrics monthly. I met with each department’s Vice President monthly to assess and strategize about compliance and metrics related to their department. 

The list of topics under the audit's purview was extensive and included: 

Advocacy: Thoroughly reviewing case and volunteer files to assess best practice in advocacy, coaching, and documentation in alignment with our mission. 

Risk Management: Identifying potential risks and vulnerabilities, evaluating our risk management strategies, and recommending improvements to mitigate potential threats. 

Compliance and Governance: Ensuring that our organization adhered to all relevant laws and regulations, and that our Board of Director structure supports ethical decision-making. 

Financial Operations: A thorough examination of our financial statements, transactions, and controls to ensure accuracy, transparency, and compliance with regulatory standards. 

Process Efficiency: Analyzing our operational workflows and recommending process improvements to enhance efficiency. 

Information Security: Assessing the security of our data and IT systems, identifying vulnerabilities, and recommending measures to safeguard sensitive information. 

Human Resources: Evaluating our HR (Human Resources) policies, recruitment and training processes, and employee satisfaction levels to ensure a healthy and productive work environment. 

Quality Control: Examining our product and service quality standards and recommending enhancements to ensure consistent high-quality delivery. 

Social Responsibility: Auditing our social responsibility initiatives, such as diversity, equity, inclusion and belonging, Trauma-Informed Care, and community engagement to align with our values. 

As the audit approached, our team focused on transparency as we evaluated data trends. We pivoted to accommodate the new Texas Administrative Code (TAC) and Health and Human Service Commission (HHSC) requirements that were added frequently to our audit cycle's scope. We strived to demonstrate CASA’s values of excellence, integrity, commitment, and compassion throughout the audit process. 

We became the first local CASA program in the country to achieve national Trauma-Informed Care (TIC) certification during our audit preparation period and we incorporated TIC principles into our audit preparation process.

I conducted mock audits with many employees to encourage and equip them during their audit preparation. Volunteer advocate supervisors trained and supported our volunteer advocates as they committed to excellent documentation on their cases. We measured internally that our compliance was at least 97%, a 26% improvement from our initial assessment of 71% compliance at the beginning of our journey. Our fearless leader, President and CEO Angela White, addressed potential audit anxiety by modeling and frequently encouraging compassion for our colleagues during the audit preparation. 

Our audit was completed in September of 2023. The audit included: 

• 18 randomly selected case files 
• 12 randomly selected volunteer files 
• 6 randomly selected employee files 
• 12 months of board meeting minutes with attachments 
• 3 months of bank statements 
• Over 100 policy, plan, and organizational documents 

Interviews included the: 

• Board Chair, Kevin Moore 
• Board Treasurer, Matthew Barnfield 
• President/CEO, Angela White 
• Each Vice President 
• Program Staff 

Moving forward, our work towards CASA’s mission continues, bolstered by the tangible results we created and the trust we have built. As the Vice President of Quality Assurance, my role is to ensure that the audit process remains an integral part of our organizational culture. By fostering an environment where employees have clear expectations and understand the importance of audits in our pursuit of continual improvement, we guarantee a bright and sustainable future for CASA.