ADMINISTRATION

The personnel responsible for management functions of the organization, including fiscal management, human resources, and service delivery. Such personnel determine organizational goals, acquire and allocate resources to carry out a program, coordinate activities toward goal achievement, and monitor, evaluate, and make needed changes in processes and procedures to improve the likelihood of goal achievement. The term is synonymously used with MANAGEMENT.		  
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  MANAGEMENT

See ADMINISTRATION		  
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  AGENCY HEAD

See CHIEF EXECUTIVE OFFICER		  
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  PLANNING

The process of specifying objectives, evaluating the means for their achievement, and exercising deliberate decision making about appropriate courses of action.		  
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  POLICY

A written statement of principles, values, or intent that provides a basis for consistent decision making and guides the actions of staff, management, and board of trustees. A policy is intentionally broad in its language and application. The following is an example of an anti-discrimination policy:

"[Organization Name] shall not discriminate on the basis of race, color, religion (creed), gender, age, national origin (ancestry), disability, marital status, sexual orientation, or military status, in any of its activities or operations. These activities include, but are not limited to, hiring and firing of staff, selection of volunteers, selection of vendors, and provision of services."

In contrast, a procedure is a detailed, step-by-step description of a process. It tells the reader how to do something. Generally, policies are implemented through procedures. For example, the above anti-discrimination policy would require a detailed grievance procedure in order to operationalize it within an organization.

The governing body has the fiduciary responsibility for setting organizational policy. Therefore, policies must be approved and periodically reviewed by the organization's governing body. However, the governing body typically delegates (via policy) the responsibility for policy development to management. In owner-operated for-profit companies, the owner can act as the company's governing body, depending on the company's corporate structure.

In a public agency the responsibility for setting and reviewing policies may belong to the agency's management team, elected officials, another governmental agency, or as is often the case, a combination of the above.

  
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  SERVICE

One or more organization-operated programs or activities that have a common general objective and deploy the organization's material and human resources in a planned and systematic manner. An organization that publicly promotes or identifies itself in writing as offering a service, is licensed to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.		  
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  COMMUNITY

A specific group of people living in the same locality and who may share a common culture, values, and norms. Communities can also be defined by race, religion, ethnicity, age, occupation, political status, tribal affiliation, interest in particular problems or outcomes, or other common bonds. The term "community" encompasses worksites, schools, tribes, residential neighborhoods, business districts, recreational areas, and health and human service sites.		  
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  LEADERSHIP

A nonprofit organization's leadership consists of its governing body, chief executive officer, and may also include its senior management. In a public agency the term refers to the agency head and administration team. The term "leadership" is not generally applied to for-profit organizations. With respect to COA standards, in for-profit organizations the term leadership applies to the owner and board of directors if one exists.		  
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  ASSESSMENT

An evaluation, which utilizes professional expertise and skills in the collection and analysis of data to understand and describe the nature of service needs of an individual, family, or group. Assessment, as in needs assessment, is also used to determine priorities of program planning and service development for the organization as a whole. See also DIAGNOSIS.		  
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  OBJECTIVE

A sub-goal stated in operational terms, i.e., a statement that makes clear what expected results are to be measured or assessed.		  
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  SERVICE POPULATION

A group or target population that the organization's services are designed to serve in accord with its mission, and which includes the organization's service recipients. An organization's service population may be defined by geographic location, specific problems or needs, religion, ethnicity, culture, or other factors.		  
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  INDICATOR

A described activity, event, outcome, or benchmark used for measurement in monitoring the quality and outcome(s) of service.		  
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  NEEDS ASSESSMENT

An initial survey undertaken to determine the special service needs of a defined population.		  
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  CONSUMER

The individual, family, group, or community that seeks or receives services.		  
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  PROGRAM

A system of services offered by an organization. For example, an organization providing a mental health service may offer several mental health programs to different populations, e.g., a mental health program for adolescent teens. The word "program" can be used interchangeably with the word "service" or to describe specific programs.		  
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  EVALUATION

The review and assessment of organizational operations, programs and services.		  
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  PERFORMANCE

A measure of how well an organizational system provides services to consumers. Performance is often based on key indicators, such as rates of service, cost per consumer, degree of satisfaction with services, and extent of consumer access to services.		  
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  CONFLICT OF INTEREST

A conflict between an individual self-interest and the public good. Example: an organization that operates a day treatment program awards a food services contract to a local restaurant that is owned by a governing body member. From a legal standpoint, "conflict of interest" is a term used in connection with fiduciaries and their relationship to matters of private interest or gain to them. When used to suggest disqualification of a fiduciary from performing his or her sworn duty, the term refers to a clash between public interest and private pecuniary interest of the concerned individual.		  
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Administration and Management
  
Private Org Public Agency  

PA-AM 7: Administrative Responsibilities*

 

The agency head or designee(s):

  1. conducts long-term planning;
  2. develops and adopts policy;
  3. provides financial oversight;
  4. oversees the agency’s operations and services; and
  5. enhances and promotes community-agency relationships.
Interpretation: A large agency is likely to have offices, units, committees or a task force structure to accomplish these goals, and a small agency may not require such a framework. When the agency can demonstrate that leadership carries out administrative responsibilities effectively and thoroughly through regular meetings and clear lines of responsibility, implementation of the standard will be achieved.

PA-AM 7.01

 

Strategic planning responsibilities include:

  1. envisioning and setting the agency’s strategic direction; and
  2. active support for inclusive, management-directed, agency-wide involvement inlong term planning that occurs every 4-5 years.
Update: Added Second Interpretation - 6/01/10
Added Second Interpretation
Interpretation: For the purposes of these standards, “long-term planning,” and “strategic planning” are synonymous. The chosen time frames for planning cycles should be logical and will vary depending on the external environment, including social, economic, demographic and regulatory forces.
Interpretation: For credit counseling agencies long-term planning should occur every 2-3 years.
Note: Please see Template: Strategic Plan in the Tools Index for additional assistance with this standard.
Note: Please see Behavior Support and Management Policy and Procedure Template in the Announcements section of your My COA account for additional assistance with this standard.
NA The agency is a network management entity.

PA-AM 7.02

 

The agency’s management team reviews and approves the long-term plan framework, to ensure that planning encompasses:

  1. a review of the agency’s mission, values, and mandates;
  2. an assessment of strengths and weaknesses;
  3. measurable goals and objectives that flow from its mission and mandated responsibilities; and
  4. appropriate strategies for meeting identified goals, including consideration of the agency’s continued development and sustainability and possible need to redirect, eliminate, or expand service to respond to changing community demographics and needs.

Interpretation: At least once every long-term planning cycle, the agency’s leadership should review a demographic profile of its defined service population that includes the following:

  1. economic indicators;
  2. gender;
  3. age;
  4. unique cultural attributes;
  5. racial/ethnic composition;
  6. religious affiliation, as appropriate to the services provided; and
  7. language(s) of choice.

To enhance its assessment, the agency can draw upon the findings of other external needs assessments, such as those conducted by the United Way, municipal planning boards, universities, or other agencies with a community-wide focus. Demographic data should be collected within the limits of applicable law.

Note: Please enter demographic information on the organization's service population on the Community Demographic Profile.
Note: Please see Template: Strategic Plan in the Tools Index for additional assistance with this standard.
Note: Please see Behavior Support and Management Policy and Procedure Template in the Announcements section of your My COA account for additional assistance with this standard.
NA The agency is a network management entity.

PA-AM 7.03

 

Policy development and implementation responsibilities include:

  1. adopting policies;
  2. reviewing policies periodically and when legal requirements or regulations change;
  3. adopting any changes to policies resulting from recommendations;
  4. assuring effective, uniform implementation of policies; and
  5. assessing the costs and benefits to consumers and the state or county implementing policies.
Interpretation: Oversight entities, for example, legislative committees, and the agency head must actively exercise their policy-setting prerogative, that is, policies are periodically reviewed as a whole, and specific policy matters regularly receive attention.

PA-AM 7.04

 

Resource management and development responsibilities include:

  1. setting resource development targets and goals, as reflected in federal, state, and county budgets and/or consolidated plans;
  2. using available resources efficiently;
  3. ensuring the full use of resources available to support the agency’s programs and services; and
  4. ensuring the most flexible possible use of resources to support effective programs and services.
Interpretation: Agencies are required to establish resource development targets and goals, and to pursue available flexible funding, for example, waivers. COA recognizes that not all agencies fund-raise; however, fundraising is a vital means of achieving a flexible revenue base. Fundraising activities are evaluated under PA-ETH 3.

PA-AM 7.05

 

Responsibilities of the agency head include:

  1. appointment and/or approval of an administrative team;
  2. delegation of authority and responsibility for agency management and policy implementation;
  3. oversight and annual evaluation of staff performance;
  4. adherence to conflict of interest laws and regulations regarding employment activities outside of the agency to ensure such activity does not interfere with her/his administrative responsibilities; and
  5. an annual evaluation of the effectiveness of administrative team members.
related PA-ETH 3

PA-AM 7.06

 

At least annually, the agency head assumes or assigns responsibility for conducting an assessment of overall agency risk.

Update: Revised Standard, Added Interpretation - 12/01/10

PA-AM 7.06 Original Standard:

At least annually, the agency head assumes or assigns responsibility for assessing areas of overall agency risk that include, but are not limited to:

  1. compliance with legal requirements, including licensing and mandatory reporting laws, and fiscal accountability;
  2. insurance coverage and liability issues;
  3. contracting practices; and
  4. research involving service recipients.
related PA-ETH 2
Interpretation: This standard is connected to PA-RPM 2.01, which addresses the assessment of risks related to legal requirements; insurance and liability; health and safety; human resources; contracting; client rights and confidentiality; finance; and conflicts of interest. In order to receive a rating of “1” on PA-AM 7.06, the agency head or designee should review the results of those assessments all together, at least once a year. An agency may receive a rating of “2” as long as the agency head or designee reviews the results of the risk assessments annually, even if they are not reviewed all together, as a whole, in one sitting.
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PURPOSE: The agency achieves its vision, mission and strategic goals to assure appropriate use of public resources for the public good through sound administration and effective management.
 
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