3.7 Who’s Really the Boss?
By now, you may be wondering who is actually in charge of human services agencies and whether they are private or public. Public agency employees in Oregon are responsible for being in compliance with the following entities:
- Federal and state laws
- Oregon Administrative Rules (OARs)
- All applicable (statewide) policies of the Oregon Department of Administrative Services (DAS)
- The central administrative agency of the Oregon state government
- All applicable ODHS or OHA (agency) policies, processes, or procedures
- Provisions of collective bargaining agreements (for represented employees; State of Oregon, 2022)
That is a lot of regulatory oversight! Private agency employees are not immune from oversight, as they too must comply with federal and state laws and OARs. They also are responsible for complying with agency policies and accreditation regulations. It is easy to understand why a service user experiences delays in services when the systems created to serve them get bogged down with the bureaucracy designed to keep the service user safe. However, just because it can be explained doesn’t mean it is acceptable to delay services due to red tape, and understanding a little about who governs what can help explain the process and improve it. In addition to regulatory rules, agencies must also keep in mind how the professional ethics of the field guide their services. This will be discussed in more detail in Chapter 7.
Regulatory Requirements
For an agency to provide services, they must acquire permission to work with humans. For public agencies, that authority is given by the legislature. Private agencies must apply for a license; in some cases, become accredited by a regulatory organization, such as the Joint Commission on Accredited Health Organizations (JCAHO), Commission on Accreditation of Rehabilitation Facilities (CARF), or Council on Accreditation (COA); and demonstrate compliance with applicable laws, statutes, and regulations. Let’s break those down.
Law, statutes, and regulations
A law is defined as a rule, usually made by a government, that is used to order the way in which a society behaves. Laws can be federal, state, or local, and they follow a strict hierarchy of authority. Agencies must comply with the most restrictive law when writing policies. Laws are cumulative and remain in effect until a new law is passed or an existing law is repealed. Statutes are also laws, but statutes are not cumulative and have been developed by a governing body such as a city council, state legislature, or national legislature.
Regulations have the next higher level of authority and are generally developed within an act that the legislature passes. Acts, such as the Civil Rights Act, are time-limited and need to be renewed, which means that regulations, unlike laws, are also time-limited and subject to renewal.
OARs are developed by the public agency, board, or commission to explain how to implement the Oregon Revised Statutes (ORSs) they oversee. Private agencies must be familiar with all laws and regulations to ensure they have written the correct policies and procedures and are implementing them appropriately. Depending on their license, private agencies are monitored and reviewed by a public agency every one to two years. Failure to be in compliance with all laws and regulations can result in the loss of licensure and the inability to continue to provide services.
Accreditation
Some agencies add another layer of regulations by becoming certified or accredited. The accreditation process requires the agency to rigorously assess themselves using a very detailed checklist. The benefits of accreditation include increased reputation, more thorough strategic planning, increased accountability, and help ensuring compliance with federal and state laws. Also, having an external review gives an agency a different perspective into the quality of their services, paperwork, and processes. Some grants and other funding streams require an agency to be accredited to apply for funding, and some states make accreditation part of their licensing requirements.
Getting the Most from the Board of Directors
The last level of external structure and monitoring is the agency’s board of directors (BODs). BODs come in many sizes and can fulfill a variety of roles for the agency. Some BODs are active and get involved in the day-to-day functioning, while others are passive and only communicate with the senior leadership. The purpose of a BOD is to provide oversight, prevent fraud, and ensure that agency monies, policies, and procedures are ethical and legal. Board members can be held personally liable if they fail to provide an agency with oversight.
In general, BODs have three primary duties: duty of care, duty of loyalty, and duty of obedience. Duty of care requires BODs to review agency incorporation documents, such as the article and bylaws, and update them regularly. Duty of loyalty requires members to act in the best interest of the agency and avoid conflicts of interest where the member would experience personal gain. For example, if a member were a real estate agent, they could advise the agency on a real estate purchase but could not be the listing or selling agent. Finally, duty of obedience refers to ensuring that the agency is not operating outside of the scope of service as defined by the agency’s rules, policies, and bylaws (Kester and Miller, n.d.).
Board members serve for a variety of reasons. For some, it is a leadership opportunity where they can grow their skills outside of their current employment. Others find networking with other board members and increasing their knowledge of a new organization to be enough, while some are motivated to make a difference beyond donating money to a good cause. They desire to be part of the solution for a human problem.
Here are some questions about regulatory bodies that you as an intern might find helpful:
- Does the agency hold any certifications or accreditations?
- How does the agency stay current on changing laws and regulations?
- What is the BOD’s role in the agency?
- Have you ever attended a board meeting?
- What licenses does the agency hold?
- When is the next licensing audit?
Understanding the regulatory requirements can often offer a deeper understanding of the whys and hows of service provision.
Who’s Really the Boss Licenses and Attributions
“Who’s Really the Boss” by Sally Guyer MSW is licensed under CC BY 4.0.
the rules a country, state, or other governing body sets, maintains, and enforces. Violations of laws are illegal and can be punished by fines, probation, or incarceration. In the United States, there is a hierarchical structure for authority: federal, state, county, and local.
the process of the organization being evaluated by an independent third party entity for conformity to and compliance with a specific set of industry standards.
the rules a governing body sets, maintains, and enforces. Violations may result in fines and loss of licensure or certifications.
Ethics are a code of morals or a philosophy that guides an individual’s behaviors and actions. Ethics also include a set of standards or code of conduct set forth by a company or profession.
a law written by a legislative body.
Outlines the steps and processes involved in incorporating an agency’s mission, vision, and values into their day to day activities.
the continuous development of a supportive system of sharing information and connections between individuals and groups that share common interests