Or. Admin. Code § 419-400-0040

Current through Register Vol. 63, No. 12, December 1, 2024

Section 419-400-0040 - Licensing Umbrella Rules: Governance

(1) Governing board requirements.

(a) A child-caring agency must have a governing board that has responsibility for its mission, operation, policy, finances, and practices. These responsibilities must be stated in writing.

(b) The governing board of a child-caring agency must be a board of directors consisting of no fewer than five responsible individuals of good moral character who are citizens or legal residents of the United States.

(c) A child-caring agency must maintain a list of the members of the governing board that includes the name, address, telephone number, and board office.

(d) Members of the governing board of a child-caring agency that is a nonprofit child-caring agency may not receive compensation for serving on the board, other than reasonable reimbursement for the expenses associated with their services.

(e) Effective Jan. 1, 2020, except for a child-caring agency with five or fewer employees:

(A) Employees and family members of employees may not serve as the board chair.

(B) At least 51 percent of board members must be nonrelated to an employee of the child-caring agency.

(2) Responsibilities of the governing board. The governing board of a child-caring agency must have all of the following responsibilities:

(a) To provide leadership for the child-caring agency.

(b) To be responsible for establishing the child-caring agency's by-laws and policies, to monitor the agency's programs consistent with its policies and mission, and to guide program development.

(c) To adopt by-laws that provide a basic structure for the operation of the programs of the child-caring agency.

(d) To develop by-laws for selection and rotation of its members.

(e) To ensure the employment of a qualified executive director and to delegate appropriate responsibility to that individual for the administration, management, and operation of the child-caring agency, including the employment of all child-caring agency staff and the authority to dismiss any staff member.

(f) To formally evaluate the executive director's performance annually and keep a copy of the evaluation signed by the board chair in the executive director's personnel file.

(g) To approve the annual budget of anticipated income and expenditures necessary to provide the services described in its program description.

(h) To review an annual report of actual income and expenditures.

(i) To obtain and review an annual independent financial review or audit of financial records when required by these rules or requested by the Department.

(j) To establish and ensure compliance with personnel practices for the selection and retention of staff sufficient to operate the child-caring agency.

(k) To ensure a written quality improvement program that identifies systematic efforts to improve its services.

(l) To keep permanent records of meetings and deliberations on major decisions affecting the delivery of services.

(3) Executive director or program director requirements. A child-caring agency must operate under the direct supervision of an executive or program director appointed by the governing board. The executive director or program director must have all of the following qualifications:

(a) Knowledge of the requirements for providing care and treatment appropriate to the child-caring agency's programs.

(b) Ability to maintain records on children in care and families, personnel, and the child-caring agency in accordance with these rules.

(c) Ability to direct the work of staff.

(d) No history of conduct indicating it may be unsafe to allow the individual to supervise the care of children.

(e) Health sufficient to carry out the duties of the position.

(f) Good moral character, including honesty, fairness, and respect for the rights of others.

(g) Approval from the Department's Background Check Unit as required in OAR 407-007-0200 to 407-007-0370.

(4) The executive or program director must be responsible for all of the following:

(a) The daily operation and maintenance of the child-caring agency and its facilities in compliance with the rules in OAR chapter 413, division 215 and the established program budget.

(b) Administration of policies and procedures to ensure clear definition of staff roles and responsibilities, lines of authority, and equitable workloads that ensure safe and protective care, supervision, and treatment of the children served by the child-caring agency.

(c) Ensuring that only individuals whose presence does not jeopardize the health, safety, or welfare of the children in care served by the child-caring agency are employed or used as volunteers.

(d) Recruiting, employing, supervising, training, or arranging for these activities.

(e) Reporting to the governing board on the operation of the child-caring agency.

(f) Providing for appropriate staff to assume the executive or program director's responsibility for the operation and maintenance of the child-caring agency whenever the executive or program director is absent from the child-caring agency.

(g) Terminating from employment any staff member who is unsuitable or who performs in an unsatisfactory manner.

(h) Complying with all laws, and ensuring that all child-caring agency employees, contractors, and agents comply with all laws, including mandatory child abuse reporting laws.

(i) Ensuring that the child-caring agency, including its employees, contractors, and agents, complies with all licensing rules and regulations and internal policies and procedures of the child-caring agency.

(5) Suitability. For the Department to evaluate the suitability of a child-caring agency and its staff, the child-caring agency must immediately disclose to the Department all of the following information:

(a) Each instance in which the child-caring agency or a member of its staff or board of directors has lost the right to provide services to children or families in any jurisdiction and the basis for each action.

(b) The circumstances and disposition of any licensing denial, suspension, or revocation; or any other negative sanction or proposed sanction by an oversight body, or loss of private accreditation, against the child-caring agency or a member of its staff or board of directors, if the denial, suspension, or revocation; or any other negative sanction or proposed sanction results from conduct that is relevant to the child-caring agency's, staff's, or board member's ability or fitness to carry out the duties imposed by these rules and governing statutes.

(c) For the previous 10 years, any disciplinary action against or investigation of the child-caring agency or a member of its staff or board of directors by a licensing or accrediting body, including the basis and disposition of each action, if the disciplinary action or investigation results from conduct that is relevant to the agency's or staff's or board member's ability or fitness to carry out the duties imposed by these rules and governing statutes.

(d) Any instance the child-caring agency becomes aware of in which the child-caring agency or a member of its staff or board of directors has been found guilty of any crime under federal, state, or foreign law if the violation results from conduct that is relevant to the agency's, staff's, or board member's ability or fitness to carry out the duties imposed by these rules and governing statutes.

(e) Any civil or administrative violation involving financial irregularities by the agency or a member of its staff or board of directors under federal, state, or foreign law if the violation results from conduct that is relevant to the agency's, staff's, or board member's ability or fitness to carry out the duties imposed by these rules and governing statutes.

(f) For the previous five years, any instance in which the child-caring agency, a member of its board of directors, or its executive or program director has filed for bankruptcy if the bankruptcy is relevant to the agency's or board member's ability to carry out the duties imposed by these rules and governing statutes.

Or. Admin. Code § 419-400-0040

SCF 6-1995, f. 12-22-95, cert. ef. 12-29-95; CWP 29-2008, f. & cert. ef. 10-17-08, Renumbered from 413-210-0060; CWP 12-2016(Temp), f. & cert. ef. 7-1-16 thru 12-27-16; CWP 22-2016, f. & cert. ef. 12-1-16; CWP 29-2018, temporary amend filed 04/05/2018, effective 04/05/2018 through 09/29/2018; CWP 57-2018, amend filed 06/29/2018, effective 06/29/2018; CWP 126-2018, amend filed 12/26/2018, effective 01/01/2019; Renumbered from 413-215-0021 by CWP 26-2022, filed 11/28/2022, effective 12/1/2022

Statutory/Other Authority: ORS 418.005, ORS 418.240, ORS 418.255 & ORS 409.050

Statutes/Other Implemented: ORS 418.205 - 418.327