Organizational Standards
This webpage links resources developed by CAPLAW to specific Community Services Block Grant (CSBG) Organizational Standards to help Community Action Agencies (CAAs) in their compliance efforts. All of the resources developed by the national Community Action Partnership on the Standards are available on its website.
Note: CAPLAW is in the process of revising some of its resources pursuant to updates in the law; however, the concepts in these resources generally remain applicable.
- 1. Consumer Input & Involvement
- 2. Community Engagement
- 3. Community Assessment
- 4. Organizational Leadership
- 5. Board Governance
- 6. Strategic Planning
- 7. Human Resource Management
- 8. Financial Operations & Oversight
- 9. Data & Analysis
Public The department demonstrates low-income individuals’ participation in its activities.
Public The department analyzes information collected directly from low-income individuals as part of the community assessment.
Public The department has a systematic approach for collecting, analyzing, and reporting customer satisfaction data to the tripartite board/advisory body, which may be met through broader local government processes.
Public The department has documented or demonstrated partnerships across the community, for specifically identified purposes; partnerships include other anti-poverty organizations in the area.
Public The department utilizes information gathered from key sectors of the community in assessing needs and resources, during the community assessment process or other times. These sectors would include at minimum: community-based organizations, faith-based organizations, private sector, public sector, and educational institutions.
Public The department communicates its activities and its results to the community.
Public The department documents the number of volunteers and hours mobilized in support of its activities.
Public The department conducted or was engaged in a community assessment and issued a report within the past 3 years, if no other report exists.
Public As part of the community assessment, the department collects and includes current data specific to poverty and its prevalence related to gender, age, and race/ethnicity for its service area(s).
Public The department collects and analyzes both qualitative and quantitative data on its geographic service area(s) in the community assessment.
Public The community assessment includes key findings on the causes and conditions of poverty and the needs of the communities assessed.
Public The tripartite board/advisory body formally accepts the completed community assessment.
CAPLAW Resource: Tools for Top-Notch CAAs. This six-section Tool is intended to assist boards and management in their collaborative efforts to build well-governed and effective CAAs. Section 1. Making Board Meetings Matter of this Tool addresses the structure of board meetings and provides some guidance as to board meeting mechanics such as the process around voting to accept reports.
Public The tripartite board/advisory body has reviewed the department’s mission statement within the past 5 years and assured that: 1. The mission addresses poverty; and 2. The CSBG programs and services are in alignment with the mission.
Resources Organizational Standard 4.1 states that the Board reviews the organization’s mission statement within the last 5 years and ensures that it addresses poverty and the programs and services of the agency align with it. While the minimum requirement is the review, the Board has a fundamental duty to set the mission and direction of the organization. Watch this webinar to learn about meeting this standard, as well as leveraging Strategic Planning (Category 6) and promising practices to move beyond compliance. Association of Nationally Certified ROMA Trainers and Implementers presents.
Presentation: The Board’s Role in Setting the Mission & Direction of the CAA
Handouts: The Board’s Role in Setting the Mission & Direction of the CAA
Private The organization’s Community Action plan is outcome-based, anti-poverty focused, and ties directly to the community assessment.
Public The department’s Community Action plan is outcome-based, anti-poverty focused, and ties directly to the community assessment.
Public The department’s Community Action plan and strategic plan document the continuous use of the full Result Oriented Management and Accountability (ROMA) cycle or comparable system (assessment, planning, implementation, achievement of results, and evaluation). In addition, the department documents having used the services of a ROMA-certified trainer (or equivalent) to assist in implementation.
Public The tripartite board/advisory body receives an annual update on the success of specific strategies included in the Community Action plan.
Public The department adheres to its local government’s policies and procedures around interim appointments and processes for filling a permanent vacancy.
Public The department complies with its local government’s risk assessment policies and procedures.
Resources Organizational Standard 4.6 requires an organization-wide, comprehensive risk assessment to be done every two years and reported to the governing board. While the minimum requirement is the assessment and reporting to the board, it requires action and follow-up by the agency to benefit from the assessment. Watch this webinar to learn about meeting this standard, as well as risk management tools, resources, and promising practices to move beyond compliance. Melanie Herman, Executive Director of the Nonprofit Risk Management Center presents.
Presentation: From Risk Assessment to Comprehensive Risk Management
Handouts: BCP Worksheet Suite – Fillable PDF
Risk Assessment Action Plan Worksheet
Mission Possible: Understanding & Developing an Effective Mission Statement, Fall 2010 CAPLAW Update. This article offers a CAA board a process by which it may assess and revise its organization’s mission statement.
Tools for Top-Notch CAAs. This six-section Tool is intended to assist boards and management in their collaborative efforts to build well-governed and effective CAAs. Section 1 Making Board Meetings Matter of the Tool discusses the structure of board meetings and provides some guidance as to when and how annual updates discussions may occur in a meeting.
Do the Right Thing: How to Cultivate a Culture of Compliance and High Ethical Standards, (2016 edition). This Guide demonstrates – through interviews with CAAs, links to resources from compliance and ethics experts, and sample documents – practical steps CAA boards and management can take to ensure that their organizations operate effectively and in compliance with the many requirements that apply to them.
Partnership Resource: The following webinars address planning tools for executive transitions, leadership succession models, development programs for future leaders, and organizational sustainability:
- Exits from the Top (2014)
- Executive Transition Management (2012)
- Leadership Succession Planning (2012)
- Batter Up: Developing a Leadership Bench for your Organization (2012)
- Part 1. Organizational Sustainability Planning,
- Part 2. Executive Succession Planning
- Part 3. Executive Transition Management (2012)
- Batter Up! Building Your Leadership Bench (2012)
Nonprofit Risk Management Center Tool and Resources (2015). This resource provides CAAs with a comprehensive risk assessment tool along with risk management policies and resources.
CAPLAW/Partnership Resource: CAA Leader’s Legal Guide (2016). This Guide provides CAA leaders with an overview of the many legal requirements they will work with on a regular basis. Chapter Three: Financial Management of Federal Grants of the Guide includes a brief discussion of internal controls and links to internal controls resources.
- Standard 5.1
- Standard 5.2
- Standard 5.3
- Standard 5.4
- Standard 5.5
- Standard 5.6
- Standard 5.7
- Standard 5.8
- Standard 5.9
1. At least one-third democratically-selected representatives of the low-income community; 2. One-third local elected officials (or their representatives); and 3. The remaining membership from major groups and interests in the community.
Public The department’s tripartite board/advisory body is structured in compliance with the CSBG Act, by either:
1. Selecting the board members as follows:
- At least one third are democratically-selected representatives of the low-income community;
- One-third are local elected officials (or their representatives); and
- The remaining members are from major groups and interests in the community; or
2. Selecting the board through another mechanism specified by the State to assure decision-making and participation by low-income individuals in the development, planning, implementation, and evaluation of programs.
Please note under IM 82 for Public Entities the law also requires that a minimum of 1/3 of tripartite board membership be comprised of representatives of low-income individuals and families who reside in areas served.
Public Not applicable: Review of bylaws by an attorney is outside of the purview of the department and the tripartite board/advisory body, therefore this standard does not apply to public entities.
Public The department documents that each tripartite board/advisory body member has received a copy of the governing documents, within the past 2 years.
Public The department’s tripartite board/advisory body meets in accordance with the frequency and quorum requirements and fills board vacancies as set out in its governing documents.
Resources Organizational Standard 5.5 requires the governing board or advisory body to meet in accordance with the frequency and quorum requirements, as well as fill board vacancies as set in the bylaws. This standard in particular can often present more of a challenge during times of crisis or inability to meet in-person, such as the COVID-19 Pandemic. Board training and orientation (standards 5.7 and 5.8) can present similar challenges. Many Community Action Agencies (CAAs) have adapted to continue to meet these standards and develop creative strategies to effectively govern during challenging times. Watch this webinar with CAPLAW to learn more about covering board meetings during COVID-19, including virtual meetings and compliance with open meeting laws – including specific CAA examples.
Presentation: Effective Governance Despite Challenging Times
Handouts: HCCT ProAction Case Study
NKCAC Case Study
Public Each tripartite board/advisory body member has signed a conflict of interest policy, or comparable local government document, within the past 2 years.
Public The department has a process to provide a structured orientation for tripartite board/advisory body members within 6 months of being seated.
Public Tripartite board/advisory body members have been provided with training on their duties and responsibilities within the past 2 years.
Public The department’s tripartite board/advisory body receives programmatic reports at each regular board/advisory meeting.
Public The department has a strategic plan, or comparable planning document, in place that has been reviewed and accepted by the tripartite board/advisory body within the past 5 years. If the department does not have a plan, the tripartite board/advisory body will develop the plan.
Public The approved strategic plan, or comparable planning document, addresses the reduction of poverty, revitalization of low-income communities, and/or empowerment of people with low incomes to become more self-sufficient.
Public The approved strategic plan, or comparable planning document, contains family, agency, and/or community goals.
Public Customer satisfaction data and customer input, collected as part of the community assessment, is included in the strategic planning process, or comparable planning process.
Public The tripartite board/advisory body has received an update(s) on progress meeting the goals of the strategic plan/comparable planning document within the past 12 months.
Resources Organizational Standards 6.5 and 9.3 focus on reporting progress toward strategic plan goals (6.5), as well as an analysis of outcomes and associated adjustments to the board on at least an annual basis. While the minimum requirement is to report this information once a year, there are ways to involve the Board and communicate the information clearly so they can better fulfill their role of governance and oversight. Watch this webinar to learn about meeting this standard, as well as utilizing a scorecard or dashboard to organize and communicate data, as well as other promising practices to move beyond compliance. Barbara Mooney from the Association of Nationally Certified ROMA Trainers presents. Handouts Slides: Evaluating Strategic Plan Progress with Agency-Wide Scorecards
- Standard 7.1
- Standard 7.2
- Standard 7.3
- Standard 7.4
- Standard 7.5
- Standard 7.6
- Standard 7.7
- Standard 7.8
- Standard 7.9
Public Not applicable: Local governmental personnel policies are outside of the purview of the department and the tripartite board/ advisory body, therefore this standard does not apply to public entities.
Public The department follows local governmental policies in making available the employee handbook (or personnel policies in cases without a handbook) to all staff and in notifying staff of any changes.
Public The department has written job descriptions for all positions. Updates may be outside of the purview of the department.
Public The department follows local government procedures for performance appraisal of the department head.
Public The compensation of the department head is made available according to local government procedure.
Public The department follows local governmental policies for regular written evaluation of employees by their supervisors.
Public The department provides a copy of any existing local government whistleblower policy to members of the tripartite board/advisory body at the time of orientation.
Public The department follows local governmental policies for new employee orientation.
Public The department conducts or makes available staff development/training (including ROMA) on an ongoing basis.
- Standard 8.1
- Standard 8.2
- Standard 8.3
- Standard 8.4
- Standard 8.5
- Standard 8.6
- Standard 8.7
- Standard 8.8
- Standard 8.9
- Standard 8.10
- Standard 8.11
- Standard 8.12
- Standard 8.13
Public The department’s annual audit is completed through the local governmental process in accordance with Title 2 of the Code of Federal Regulations, Uniform Administrative Requirements, Cost Principles, and Audit Requirement (if applicable) and/or State audit threshold requirements. This may be included in the municipal entity’s full audit.
Public The department follows local government procedures in addressing any audit findings related to CSBG funding.
Public The department’s tripartite board/advisory body is notified of the availability of the local government audit.
Public The department’s tripartite board/advisory body is notified of any findings related to CSBG funding.
Public Not applicable: The audit bid process is outside of the purview of tripartite board/advisory body therefore this standard does not apply to public entities.
Public Not applicable: The Federal tax reporting process for local governments is outside of the purview of tripartite board/advisory body therefore this standard does not apply to public entities.
1. Organization-wide report on revenue and expenditures that compares budget to actual, categorized by program; and 2. Balance sheet/statement of financial position.
Public The tripartite board/advisory body receives financial reports at each regular meeting, for those program(s) the body advises, as allowed by local government procedure.
Public Not applicable: The payroll withholding process for local governments is outside of the purview of the department, therefore this standard does not apply to public entities.
Public The tripartite board/advisory body has input as allowed by local governmental procedure into the CSBG budget process.
Public Not applicable: The fiscal policies for local governments are outside of the purview of the department and the tripartite board/advisory body, therefore this standard does not apply to public entities.
Public Not applicable: Local governmental procurement policies are outside of the purview of the department and the tripartite board/advisory body, therefore this standard does not apply to public entities.
Public Not applicable: A written cost allocation plan is outside of the purview of the department and the tripartite board/advisory body, therefore this standard does not apply to public entities.
Public The department follows local governmental policies for document retention and destruction.
Public The department has a system or systems in place to track and report client demographics and services customers receive.
Public The department has a system or systems in place to track family, agency, and/or community outcomes.
Public The department has presented to the tripartite board/advisory body for review or action, at least within the past 12 months, an analysis of the agency’s outcomes and any operational or strategic program adjustments and improvements identified as necessary.
Resources Organizational Standards 6.5 and 9.3 focus on reporting progress toward strategic plan goals (6.5), as well as an analysis of outcomes and associated adjustments to the board on at least an annual basis. While the minimum requirement is to report this information once a year, there are ways to involve the Board and communicate the information clearly so they can better fulfill their role of governance and oversight. Watch this webinar to learn about meeting this standard, as well as utilizing a scorecard or dashboard to organize and communicate data, as well as other promising practices to move beyond compliance. Barbara Mooney from the Association of Nationally Certified ROMA Trainers presents. Handouts Slides: Evaluating Strategic Plan Progress with Agency-Wide Scorecards
Public The department submits its annual CSBG Information Survey data report and it reflects client demographics and CSBG-funded outcomes.