Section 5: Infrastructure

This section focuses on infrastructure - the “behind the scenes” mechanisms that support nonprofit operations. 

Just like the scaffolding around a building under construction, organizational infrastructure provides the necessary support and structure for an RCO. Infrastructure involves things like facilities, technology, staff, strategy development, governance, human resources, and financial management. It is the framework that holds the organization together, allowing it to grow and develop. Without a sturdy infrastructure, an RCO may not be able to withstand the pressures of growth and could become unstable. As an organization matures, it's important to continuously review and strengthen this infrastructure.

Just like a building needs more scaffolding as it increases in height and complexity, an RCO’s infrastructure must evolve as the organization grows. This could mean implementing new data management systems, hiring additional staff to manage increasing workloads, or developing new strategies to guide the RCO’s growth.

Keeping the  infrastructure in good shape is as important as building it. An RCO must regularly check its systems to find and fix any issues. This could mean regular reviews of workflows, audits of financial systems, or looking at how well staff are doing and how resources are being used.

When an RCO was founded, the organization likely didn’t require much in the way of infrastructure and the threshold for what was created might have been set at “good enough for now.” As an RCO moves out of the start-up phase into growth and maturity, the needs for organizational infrastructure grow and change.

In her 2021 article, Don’t Rebuild, Upbuild! – Reimagining Nonprofit Infrastructure, Tiloma Jayasinghe says:

“Because it’s not readily visible, because it’s internal work, capacity-building often gets sidelined, and it is also dismally resourced. But when times get challenging, there is a dramatic difference between an organization that has strong infrastructure and one that doesn’t: one is resilient, while the other struggles and may even fail. Accordingly, there has been ongoing advocacy urging more investments in nonprofit infrastructure so that we can support nonprofits to be more resilient, stronger, and more impactful, all of which increase in urgency during challenging times.”

What we pay attention to grows, and what we ignore holds us back. 

As a leader, ask yourself these questions as you move through this section: 

• How does our infrastructure support or impede the work of each staff member and volunteer?
• How are we embedding equitable practices in our RCO? 
• Knowing I didn’t get into running a nonprofit so I could do all of the legal and HR stuff, how can I tap my network of colleagues, family, friends, and organizational volunteers and community members to help strengthen the RCO’s infrastructure?

The pieces of RCO infrastructure are connected and layered. Where an RCO is in its growth cycle will determine what infrastructure it's capable of building and what it should prioritize.  Below we explore concrete examples of where RCOs should focus their infrastructure development at various stages.

For RCOs just starting up:

1. Being legally compliant: Look up the federal and state nonprofit, employment, and other laws that your organization is governed by and make sure you check all the boxes. This can be everything from the minimum number of board members required by your state to posting labor laws in your break room.

2. Having your core policies in place: Policies are the formal standards that provide direction on how your organization can go about its operations. They are the overarching “rules” that define what the people in your organization must do or refrain from doing to achieve your mission. Most of your policies should be in your employee, volunteer, and financial handbooks, and they should only be changed with board approval. Having these figured out right away provides the foundation you need for most other operations.

3. Protecting yourself:  Risk management is always part of running an organization, and one of the first things you want to do is have General Liability and Directors and Officers (D&O) insurance in place. You may also be required by law in your state to carry other insurance, such as Workers Comp insurance, and many funders now also require organizations to have a Cyber Insurance Policy.

For RCOs in a growth phase:

1. Documenting your processes: Now that you have some experience, it’s a good time to start developing Standard Operating Procedures (SOPs) and recording them. Procedures are the steps taken to implement your overarching policies. Unlike policies, procedures do not need Board approval and might change frequently due to new tools, opportunities, or programs. Having a handbook of procedures that are kept up-to-date will save you time, promote employee self-sufficiency, and reduce confusion and mistakes.

2. Setting up technology and other tools: It’s easy to get overwhelmed by recordkeeping, daily operations, financial transactions, and all the other RCO “plates” you need to keep spinning. Before those plates start dropping, take the time to set up the technology platforms that can streamline your operations and help keep you organized. Look for secure, cloud-based systems and apps, such as the ones we discuss later in this chapter, that can minimize your paper files.

3. Organizing your recordkeeping and documentation: When you are audited (and it’s not a matter of “if” but “when”) you will need to produce a variety of financial and human resources records you should have retained. Check federal and state document retention requirements and put a system in place to keep documents organized and secure. 

For RCOs that have plateaued or are in a decline phase:

1. Assessing your personnel structure: As your organization evolves, you may be using an org chart that no longer makes sense for the scope and nature of your programs and services. Think about the synergy (or lack thereof) between your programs and consider reorganizing teams and/or reporting relationships to foster innovation.

2. Updating employee and volunteer handbooks, policies and procedures. Times change and so do federal and state regulations. You may need to do a complete overhaul of your handbooks and policies to get them up-to-date if you haven’t paid much attention since they were created initially. Consider other changes in benefits that might affirm your commitment to RCO values and inspire your staff. Do you recognize Juneteenth or Indigenous People’s Day as paid staff holidays? Or perhaps you are now able to provide employee health benefits. Policy changes can breathe new life into your organization.

3. Integrating new technology. It might be time to make the switch to a new technology platform or update an old one to improve your RCO’s operational efficiency. From financial software to apps that support the delivery of peer recovery support services, the variety of technology platforms available are constantly changing and improving. 

Legal Requirements

Is your organization on track to meet your regulatory obligations this year?

Nonprofit organizations in the United States are subject to certain legal requirements. These requirements include obtaining tax-exempt status from the Internal Revenue Service (IRS) by filing Form 1023 or Form 1023-EZ, which requires providing detailed information about the organization's purpose, activities, and finances. Nonprofits must also comply with state laws regarding incorporation, governance, and reporting. Additionally, they are required to maintain accurate financial records, file annual tax returns (Form 990), and adhere to specific rules regarding fundraising and lobbying activities.

Most states have an association of nonprofits that provides local compliance information and other resources RCOs can use to set up their nonprofit organizations and find state-specific regulations. The National Council of Nonprofits has a directory of state nonprofit associations.

Nonprofit Bylaws

When did we last review our bylaws and make sure they are aligned with our operations, and we are in compliance with them? 

Nonprofit bylaws are a set of rules and regulations that govern the internal operations of a nonprofit organization. These bylaws outline the structure, purpose, and responsibilities of the organization, as well as the procedures for decision-making and governance. Bylaws typically cover areas such as membership, board of directors, officers, meetings, voting, financial management, and amendment procedures. They are legally binding and provide a framework for the organization's operations and compliance with applicable laws and regulations. Nonprofit organizations are required to have bylaws in place to ensure transparency, accountability, and effective management. Compliance with bylaws is essential to maintain the organization's tax-exempt status and fulfill its mission in a responsible and ethical manner.

RCOs often include a statement in the “Qualifications and Election of Directors'' section of their bylaws that states something similar to “a minimum of 50% of the Board of Directors must self-identify as people in personal recovery from their own Substance Use Disorders.” Including this requirement in RCO bylaws affirms the organization’s commitment to being led and governed by the recovery community.

Here is a resource for helping write or revise nonprofit bylaws. 

Fiduciary Responsibilities

Are we in compliance with our bylaws? What do we need to do to get in compliance? How well does the board understand and fulfill its fiduciary responsibilities?

See Section 8: Boards for more details about the roles and responsibilities of the board. Below, you’ll learn about what is legally required for nonprofit boards.

The fiduciary responsibilities of a board of directors include acting in the best interest of the organization, managing financial resources, ensuring compliance with laws and regulations, and maintaining transparency and accountability in decision-making. They must also oversee the performance of the executive team, evaluate and mitigate risks, and protect the RCO's assets. Additionally, board members are responsible for setting strategic goals, monitoring progress, and making informed decisions to promote the long-term success and sustainability of the RCO.

Legally, boards fulfill three primary duties: 

1. Duty of Care: Take care of the nonprofit by acting in good faith and for the best interests of the organization; ensuring prudent use of all assets, including facility, people, and good will;
2. Duty of Loyalty: Make decisions that are in the best interest of the nonprofit, not in the best interest of any individual board member or other organization; ensure that the nonprofit's activities and transactions are, first and foremost, advancing its mission; Recognize and disclose conflicts of interest.
3. Duty of Obedience: Know, follow, and help the nonprofit comply with all applicable laws and regulations; follows its own bylaws and adheres to its stated corporate purposes/mission; continue to develop as effective board members.
4. Note: Some states, like Ohio, have additional duties that are required by the state. Make sure to check your state’s Attorney General’s office for any additional state-specific requirements. 

Some critical points that are often overlooked:

• The executive director should not be an active voting member of the board - they are a non-voting member.
• Clarify the roles and responsibilities of the board vs key leadership positions such as the president or treasurer, and make it clear in the bylaws and position descriptions.

Conflict of Interest 

Are we consistently asking board members to complete the conflict of interest policy?

A conflict of interest is when someone has personal interests that may influence them when making decisions. Conflicts of interest often come up in nonprofits when individual staff or board members have roles or investments in businesses that may benefit from the nonprofit’s actions. Here are a few conflicts of interest from BoardSource:

• The chief executive of the organization is a spouse or close relative of the board member.
• A board candidate is also the chief executive of an organization with a similar mission and program structure.
• A board candidate is expected to participate in fundraising but is affiliated with an organization that is competing for the same funding.

Conflict of interest policies are created to make board member and staff relationships known to the full group so the organization can decide how those individuals should participate in decision-making discussions. Legally, boards must have a written conflict of interest policy and must disclose this policy on the IRS Form 990. It is also important that boards understand and agree on how they want to manage conflicts as they arise. 

Per BoardSource: “A comprehensive policy defines the purpose of the policy and includes a statement of commitment and understanding of this purpose by each board member. A policy incorporates a disclosure form that every board member signs annually after listing all financial, professional, and other relevant affiliations that might affect their decision-making during the coming year. This disclosure is kept on file and updated as necessary. The policy also describes the manner in which it addresses board members with a conflict. Each board member should be expected to bring up any unexpected conflicts of interest that may arise during deliberations.”

Here are some sample Conflict of Interest Policies pulled together by the National Council of Nonprofits.  

Annual Requirements and Best Practices:

• Each state has rules governing the minimum number of board members and the requirements regarding how often the board must hold a member meeting. It is recommended that the board meets at least quarterly or according to the frequency listed in your bylaws and to have a public or member meeting annually.
• Publicly disclose the nonprofit’s three most recent Form 990s by:
  • Posting on the organization's website or
  • Posting on another website (GuideStar.org or similar website) or
  • Providing copies upon request or
  • Inspection at an office of the organization
• Adopt and comply with conflict of interest, whistleblower, and document and retention policies as well as confidentiality agreements. Review these annually.
• Conduct annual performance reviews of the executive director and discuss and approve the director’s compensation and benefits package.
• Ensure board of directors meeting minutes reflect the board approval of the organization’s annual budget.
• Donors who have contributed $250 or more need written acknowledgement in order to claim a tax deduction. The acknowledgement should contain the following information:
  • name of the organization;
  • amount of cash contribution;
  • description (but not value) of non-cash contribution;
  • statement that no goods or services were provided by the organization, if that is the case;
  • description and good faith estimate of the value of goods or services, if any, that organization provided in return for the contribution; and
  • statement that goods or services, if any, that the organization provided in return for the contribution consisted entirely of intangible religious benefits, if that was the case.

Resources:

Nonprofit Compliance Checklist

Charities and Nonprofits: IRS

National Council of Nonprofits: Running a Nonprofit

Human Resource Practices

Who is currently fulfilling HR duties in our RCO? If we don’t have an HR professional on staff, should we outsource any HR functions? Do we have any written policies on hiring, training, and evaluating staff and volunteers?

RCOs need human resource functions to effectively engage with and manage their workforce, ensure compliance with labor laws, and support the organization's mission. HR staff or departments play a crucial role in recruiting and hiring qualified employees who are passionate about the RCO's cause. They also handle employee onboarding, training, and development to enhance productivity and job satisfaction. HR departments are responsible for managing employee benefits and compensation, ensuring fair and equitable treatment for all staff members. Additionally, they handle employee relations, resolving conflicts and promoting a positive work environment. Overall, HR staff or departments are essential in supporting the RCO's goals and ensuring the well-being of its employees.

Most RCOs don’t have the luxury of having an entire HR department and often the HR role is included in the duties of one or more staff members. It is essential to think through your organization’s HR needs and ensure that HR tasks aren’t ignored.

Nonprofit HR offers some ideas on How to Manage HR duties Without an HR Department or HR professional on staff:

• Outsourcing HR functions to an HR firm
• Retain an HR consultant for project-based needs
• Recruit a board member that is an HR professional

If your budget or time constraints doesn’t allow for the options above, consider the following:

• Get educated on what HR is and isn’t
• Consider sharing resources with a peer organization
• Subscribe to services providing HR legal updates
• Tap into networks of HR professionals, such as a local nonprofit HR Directors group, Taproot Foundation, or a local Society for HR Management (SHRM) Section
• Attend nonprofit conferences where HR people gather
• Join the Society for HR Management (SHRM) or similar organizations

Whether your organization is experiencing amazing (but unexpected) growth or it is having a difficult time retaining valuable staff, having HR professional expertise will support your organization’s long-term sustainability.

Human Resource Recordkeeping

Whether your RCO is primarily run by volunteers or has a large staff of paid employees, you must maintain Human Resources records and follow federal and state record retention policies. It’s easy to get overwhelmed by varying record retention requirements and many organizations adopt 7 years as the standard, which exceeds most federal and state requirements. Keep both digital and paper records in a secure location and limit access. At a minimum, maintain three separate employment record files:

Personnel File

Each employee should have a personnel file for job-related documentation, such as hiring records, performance reviews, disciplinary actions and job descriptions. In many states employees have the right to view, or request a copy of, their personnel files, and you should know what the law requires in your state.

Checklist for documents to keep in a personnel file:

• Job description(s)
• Resume and/or employment application
• Offer letter
• Authorizations for background checks
• Certifications, licenses or proof of educational degrees or training
• Drivers’ license and proof of auto insurance (if employee drives as part of the job)
• Personal and emergency contact information
• W-4 tax exemption form
• Benefits enrollment forms
• Beneficiary and dependent benefit forms
• Employee acknowledgment of receipt of Employee Handbook or any additional Employer Policies
• Performance evaluations
• Letters of commendation
• Attendance records (but not payroll records)
• Disciplinary memos
• Personnel action form (also called employee change forms): Changes in salary, job title, etc.
• Payroll information including direct deposit authorization, memos related to wages attachments or garnishments, request/authorization forms for leaves of absence (excluding medical certification)
• Letters of resignation or termination

Medical File

The Americans with Disabilities Act (ADA) and Health Insurance Portability and Accountability Act (HIPAA) require you to keep medical records separate from general personnel files. Examples of items that should be separated into an employee medical file include:

• Benefits claims
• Medical records
• Doctors notes
• “Reasonable Accommodation” requests
• Medical Leave documents
• Workers Compensation claims and related documents  

I-9 Employment Eligibility Verification File

All U.S. employers must properly complete Form I-9 for every individual they hire for employment in the United States. This includes citizens and noncitizens. Keep forms for all employees in one separate folder and retain the forms in accordance with federal regulations for Employment Eligibility Verification. Make sure you use a current version of the Form I-9, which includes an expiration date in the upper right hand corner.

Resources:

Bamboo HR 101 Guide 

Nonprofit Risk Management Center

U.S. Department of Labor State Labor Laws

Workplace Laws

Like all employers, RCOs must comply with federal and state workplace laws. Review the federal labor laws below and make sure you are in compliance. Each state also sets laws related to fair employment and workplace safety and you will also need to comply with your state’s workplace regulations. Go to the State Labor Offices site for a list of each state and their labor office contact information.

Americans with Disabilities Act 

As peer-led organizations, RCOs advocate on behalf of and actively recruit employees who may be managing substance use disorders, mental illness, or both. The Americans with Disabilities Act (ADA) recognizes these conditions as disabilities and prohibits discrimination against them in employment and other areas. 

The ADA directs employers to provide reasonable accommodations, which are adjustments to a work setting that make it possible for qualified employees with disabilities to perform the essential functions of their jobs. For example, flexible scheduling is a reasonable accommodation RCOs might make for an employee to maintain therapy appointments or to access prescribed medications for Opioid Use Disorder that are dispensed under the supervision of a practitioner.  

Providing reasonable accommodation for people with disabilities to perform the core functions of their job is not the same as giving an employee special privileges, excusing inappropriate behavior, or allowing them to neglect essential job requirements. Keep the focus on what the functions of the job are and consider the following:

• It may be necessary to request medical information from the employee’s health care provider if the employee requests accommodation and the disability is not apparent.
• The employee is the best resource for information about accommodation needs. Consult with them to clarify what they need and identify the appropriate reasonable accommodation. 
• You might ask the employee to review the position description with their health care provider to develop appropriate accommodations for the core job functions. 

Resources:

Employers and the ADA: Myths and Facts

ADA and Opioid Use Disorder

Accommodation and Compliance: Mental Health Conditions

Employers’ Practical Guide to Reasonable Accommodation Under the Americans with Disabilities Act (ADA)

Applying Performance and Conduct Standards to Employees with Disabilities

How to Tips for Employers 

Office of Disability Employment Policy

Employee Benefits

The most common benefits offered by nonprofits include group health insurance coverage, paid time off, family leave, workers’ compensation, and retirement plans. RCOs often operate on strict budgets and face budget constraints, making it a challenge to provide competitive salaries. When this is the case, it is important to get creative and consider other benefits your employees care about.

When a nonprofit is just getting started or has a limited budget for group health insurance coverage, Health Reimbursement Arrangements (HRAs) might be an option. HRAs are employer-funded group health plans from which employees are reimbursed tax-free for qualified medical expenses up to a fixed dollar amount per year. Unused amounts may be rolled over to be used in subsequent years. The employer funds and owns the arrangement. Learn more about HRAs at CMS.gov.

Another health insurance option for small employers is the Small Business Health Options Program (SHOP). To qualify for SHOP insurance, your nonprofit must have 1-50 full-time equivalent employees. Learn more about SHOP at Healthcare.gov. Some professional membership organizations, such as the Alliance for Recovery Centered Organizations or some state associations for nonprofit organizations, also offer member medical plan options that enable small organizations to access health care benefits for their employees.

Other creative ways to create a robust benefits package for employees:

• Flexible work arrangements
• Recognition programs
• Professional development opportunities
• Health and wellness benefits

Resource: Read about ideas on workplace flexibility in “Great Workplaces Share Their Top Examples of Workplace Flexibility” from Great Place to Work.

Employee Policy and Procedures

The purpose of an Employee Policy and Procedure Manual is to provide clear guidelines and expectations for employees regarding their rights, responsibilities, and conduct within the organization. It serves as a comprehensive reference document that outlines the RCO's policies and procedures, including but not limited to, employee benefits, code of conduct, leave policies, performance expectations, and disciplinary procedures. The manual helps ensure consistency and fairness in the treatment of employees, promotes a positive work environment, and assists in mitigating legal risks by clearly communicating the RCO's policies and expectations.

The Employee Policy and Procedure Manual is one of the most prescriptive documents many RCOs have. It outlines what is expected of staff, how the organization commits to supporting employees, what is considered acceptable and unacceptable, and what is tracked and monitored. This is the embodiment of the organization’s values and a reflection of how it lives its mission and vision. RCOs and other peer-run nonprofit organizations should commit to annual review, discussion, and audit of their manuals. To be most effective and genuinely supportive of diverse perspectives, the RCO should intentionally seek out input and guidance from all staff during an annual review of policies and procedures.

Sample Policies from RCOs

Substance Use Policy

“To help ensure a safe, healthy, and productive work environment for our employees and others, to protect Company property, and to ensure efficient operations, The Company has adopted a policy of maintaining a workplace where the consumption of substances that can lead to impairment is prohibited while performing work duties and/or while on Company property, except when the use is pursuant to a licensed medical practitioner's instructions and the licensed medical practitioner authorized the employee or individual to report to work. This policy applies to all employees and other individuals who perform work for the Company. The Company maintains a policy of non-discrimination and will endeavor to make reasonable accommodations to assist individuals recovering from substance and alcohol dependencies. This includes the right of any employee to self-disclose struggles with substance use in order to seek treatment. If an employee self-identifies a need for treatment and has not endangered the organization or those we serve, we will work with them to find appropriate recovery support and consider reassigning them as appropriate for their capabilities if possible. Violation of this policy will result in disciplinary action, up to and including termination of employment.”

Appropriate Attire Policy or Dress Code Policy

Keeping in mind the work that we do and to whom we provide services, as well as maintaining a focus on trauma-informed care, proposed rules and guidelines for appropriate staff attire are found below.

1. First and foremost, it is important to recognize that staff members will find themselves in a variety of situations throughout the week depending on their work duties. Staff are expected to dress appropriately to perform those duties. Staff attire plays a role in the overall perception of the organization by people in our community. We are peers, allies, partners, colleagues, and examples. These guidelines and rules are meant to serve as a tool to help our staff represent our organization in the best possible way. Please speak to your supervisor for clarification on these guidelines.
2. These rules and guidelines are meant to be gender neutral, as we recognize that people dress themselves as a form of self-expression.
3. In situations where staff are representing the organization in public (i.e. presentations, court, board meetings, outreach tabling, council meetings, conferences, etc.), it is up to staff to have an idea of what type of attire would be most appropriate. When in doubt, business casual or professional is a good default, or ask a supervisor.

Resources:

Sample Employee Policy Manual Table of Contents from Recovery ATX

Sample Employee Handbook from FAVOR Upstate SC

Creating an Effective Employee Handbook for Your Nonprofit from the Nonprofit Risk Management Center

Code of Ethics and Grievance Policy

RCOs must have an employee and volunteer code of ethics in place, and easily accessible grievance procedures, to protect service recipients and stakeholders engaged with the organization. The code of ethics guides the conduct of RCO employees and volunteers and should reflect your organization’s recovery values (see Section 2), such as accountability to the recovery community, all pathways of recovery, or diversity, equity and inclusion. Examples that might be in an RCO’s code of ethics include:

• Use a strengths perspective. View all individuals as capable human beings with rights, feelings and value. 
• Maintain individual responsibility for my own conduct in all areas including but not limited to substance use.
• Accept as a personal duty the responsibility to keep up to date on emerging issues affecting the recovery community and to conduct themselves with professional competence, fairness, impartiality, efficiency, and effectiveness.

The code of ethics is incorporated into the Employee and Volunteer Handbooks, but should also be posted in common areas if your RCO has a physical location or on your website if you are a virtual site. Similarly, your RCO should have a publicly posted grievance policy for participants engaged in the RCO’s services. 

Resources:

The Recovery Project’s Code of Ethics Policy

SOS RCO Volunteer Code of Ethics Policy

The Happier Life Project Code of Ethics Policy

Thrive Peer Recovery Services Client’s Rights & Grievances Policy

Indiana Recovery Network Certified RCO Grievance Policy

Performance Reviews

Performance reviews are one way we support and respect our employees. How consistent and transparent are our processes?

Performance reviews are a structured evaluation process that assesses an employee's job performance and contributions to the RCO's mission and goals over a period of time. It typically involves feedback from supervisors and peers, as well as a self-assessment by the employee. Reviews often look at key performance areas such as job knowledge, quality of work, productivity, teamwork, communication, and adherence to organizational values and policies. The purpose of the performance review is to provide constructive feedback, identify areas for improvement, recognize achievements, align individual performance with organizational objectives, and identify how peers, supervisors, and leaders can better support the employee.

Resources:

Sample Performance Review Policy & Procedures from Recovery ATX 

Link to Executive Director Performance Evaluation templates

Performance Management Plans

How are we providing consistent feedback to employees and documenting progress? What is our process for ensuring that our staff and teams are meeting their responsibilities and given opportunities to develop professionally?

Different from annual performance reviews, a performance management plan (PMP) is a tool used to maintain and improve staff members performance. PMPs are often used when an employee isn't meeting basic expectations of their job (frequently late to meetings, doesn’t keep up with documentation, misses shifts without notification or explanation) or when they need support in achieving their professional development goals. Effective PMPs are an opportunity to document areas where there is room to improve and the skills or changes needed to meet those goals. PMPs need to be documented and conducted in a transparent and equitable manner. 

Leadership and Management Structures

What does the leadership structure in our organization look like? How are we intentionally building a culture of shared leadership?

RCOs often operate with a flatter hierarchy than conventional nonprofits, and organizational decision-making is a shared responsibility among all staff and community stakeholders. Ideally, leadership and management structures in RCOs are decentralized and collaborative. Roles and responsibilities are distributed based on expertise and interest, rather than formal titles or positions. This allows for a more flexible and inclusive approach to management, where everyone has a voice and can contribute to the RCO's goals. Communication is key in these structures, as it ensures that information flows freely and decisions are made collectively. To put it simply, leadership and management structures in RCOs should prioritize collaboration, empowerment, and shared leadership.

However, shared leadership and management are not standard or commonly practiced structures here in the US. They require ongoing communication, relationship building, and systems of accountability and structure that everyone helps to create, practice, and maintain. 

Here are a few resources that have helped other RCO leaders develop organizations and cultures of shared leadership, management, communication, and collaboration: 

Doing More with More: Putting Shared Leadership into Practice, Nonprofit Quarterly

Is a Shared Leadership Model Right for your Nonprofit?, from liveabout.com

Five Elements of Collective Leadership from Nonprofit Quarterly

Learning to Share Power Within an Organization podcast from the Collective Impact Forum.

Staff Supervision

What is the supervision policy within our organization? Is it a written policy? Is it accessible to all staff? Is the supervision policy put into practice?

There’s an adage: “The most important part of supervision is that it happens.” Within any nonprofit, all staff will need some sort of supervision. The board of directors provides guidance and oversight to the executive director, seasoned staff provide guidance and mentorship to newer staff. The type of supervision is usually determined by the organization’s culture, structure, policies, and procedures. The purpose of supervision is to ensure the supervisee has the tools and resources needed to complete their job, create and attain professional development goals, and to ensure the supervisee is integrated into and feels supported by the organization and their colleagues.

RCOs promote recovery leadership development. A core strategy of RCOs might be supporting people along a path that moves from receiving the RCO’s services, to serving as a volunteer and then as an employee of the RCO, to becoming a supervisor or manager within the organization. Making the transition from colleague to supervisor can be difficult, however, and investing in supervisor training will benefit both the employee and your organization. Supervisors may need coaching in how to set boundaries or how to provide constructive feedback, for example. SAMHSA, N.A.P.S., and C4 Innovations offer training and resources on supervision in peer-run organizations.

Within RCOs, many, if not all, staff members will have similar lived experience to the people and communities they serve. This may include histories of trauma, poverty, homelessness, and involvement in the judicial system. This requires thoughtful planning when creating a supervision structure. Quality, empathetic supervision practices can increase confidence and help to reduce empathic distress. It is vital to create a supportive workplace culture that promotes equity, agency, and genuinely honors lived experience.

In the article, Trauma-Informed Supervision: Building Strong Relationships and Organizations, Anole Halper provides a framework of six principles for Trauma-Informed Supervision based on six principles for Trauma-Informed Care (see table below):

Supervision in Peer Recovery Support Services

What does our state require when it comes to supervising Peer Recovery Support workers? How do we integrate and practice individual, group, and observational supervision within our work to provide opportunities for learning and growth?

The purpose of supervision in Peer Recovery Support Services is to provide guidance, oversight, and professional development for peer support workers. Supervision ensures that peer support workers adhere to ethical guidelines, maintain professional boundaries, and provide effective support to individuals experiencing substance use challenges or in recovery. It also helps to enhance the skills and knowledge of peer support workers through ongoing training and feedback.

Peer support workers, like any employee, should get ongoing supervision from someone who understands the scope of the position and the knowledge and skills needed to perform it. Certification requirements for peer support workers vary from state to state, and in some cases maintaining certification may be contingent on the worker receiving supervision from a credentialed or otherwise qualified supervisor. Periodic supervision from a licensed behavioral health professional may also be required.

Here are some of the different functions of supervision in Peer Recovery support services, adapted from the Peer Support Toolkit (2023)

Administrative Supervision

• Orienting and placing staff
• Planning, assigning, and delegating work
• Monitoring, reviewing, and evaluating work
• Coordinating work
• Sharing information
• Explaining administrative functions
• Liaising with community
• Assisting with time management

Formative Supervision

• Assessing strengths and growth opportunities
• Identifying the knowledge and skills necessary to do the work
• Providing teaching, training, and learning resources, including professional and leadership development
• Using learning opportunities that arise when reviewing individuals who are receiving support
• Educating other staff on the role of peer support

Supportive Supervision

• Advocating for the adoption of authentic peer recovery support services
• Reassuring
• Encouraging
• Recognizing efforts
• Providing opportunities to “vent”
• Giving perspective
• Encouraging self-care
• Creating opportunities for connecting with other peer staff

Resources:

Supervisor of Peer Workers Self-Assessment- BRSS TACS

Substance Use Disorder Peer Supervision Competencies

Standard Operating Procedures

How do we standardize communications and train others on how to complete routine tasks within our organization?

Standard Operating Procedures (SOP) provide clear and consistent instructions or guidelines on how to carry out a task or process within an organization. Too often organizations rely on seasoned staff or founding board members to retain and communicate institutional knowledge of “how things work around here.” This not only puts the RCO at risk if the unexpected happens, but places an undue burden on those staff or board members to maintain that responsibility.

While undertaking the creation of a SOP manual can be a daunting task, the benefits of ensuring that everyone in the RCO knows what to do and how to do it are well worth the time investment. In the long run, SOPs help Executive Directors and staff focus on staff development, providing strategic direction, and creating innovative programs, rather than being bogged down answering routine process questions. SOP manuals also serve as an indispensable tool for ensuring the mission can continue during times of transition or leadership changes.  Having a Standard Operating Procedures manual for your RCO is essential to sustainability for several reasons including:

• Consistency and efficiency: SOPs offer consistent frameworks and guidelines for carrying out various organizational tasks, processes, and procedures ensuring everyone is on the same page and understands their roles and responsibilities.
  • For example, having a SOP for hosting an event ensures that the events or planning committee stays within budget, that permits for the venue are obtained in a timely manner, and that a well-planned volunteer program is in place.
• Reduced errors and risks: SOPs provide step-by-step instructions and recommended best practices.
  • For example, having a SOP for data management ensures that the RCO  is meeting all confidentiality requirements, data privacy rules and data security laws.

• Training and onboarding: SOPs provide a resource for onboarding new employees and volunteers.
  • Having a SOP for recruitment and hiring new employees or volunteers can help to ensure the RCO is following anti-discrimination laws and has consistent hiring practices.
• Succession planning: SOPs ensure continuity when key staff leave the RCO and minimize disruptions to operations.
  • A SOP for succession planning should include a process for internal leadership development.

• Performance evaluations: SOPs ensure fair and balanced assessments of staff performance.
  • The SOP will help ensure performance evaluations are completed on a regular basis in a consistent, unbiased manner for all staff.
• Continuous improvement: Quarterly or annual reviews of SOPs allow for updating procedures as processes change and grow, and identifying areas for improvement.
  • Including multiple levels of staff in the development and review of SOPs increases staff and board responsibility and accountability in meeting the RCO’s mission.

Resource: Template - Standard Operating Procedures

Technology 

When did we last assess our processes, systems, and tools, to ensure they are most effectively supporting our efforts?

Technology is vital for our work in this digital, connected world. Technology is about the structures, systems, programs, and processes we use to make our work efficient, effective, and impactful. If an RCO doesn't invest in its technology, it may struggle to serve its communities effectively.

Document Management 

How does our process for organizing, storing, and managing organizational documents help or hinder us?

Forms, contracts, receipts, historical documents, annual reports, newsletters, marketing materials, the list goes on… These are all documents that may be floating around your desk or office that would be better served being stored in using a document management system. 

When RCOs start out, the energy and ideas are held by a group of founding visionaries and doers. Maybe they meet daily or weekly and come up with plans verbally or on the back of napkins and scrap paper. As the idea becomes a reality, a nonprofit is formed and more people are brought in to help the idea take shape, and documenting the work becomes necessary. Pretty soon, there are multiple versions, multiple months or years of reports, and more ways that people are involved that require the RCO team to have systems to keep everything up to date. 

One of the first steps in managing physical documents in nonprofits is developing a Document Retention and Destruction Policy that is based on state law and tailored specific to your nonprofit. Most state nonprofit associations offer guidance on this topic. 

Regardless of location, all RCOs must retain these documents permanently:

• Articles of Incorporation
• Audit reports, from independent audits
• Corporate resolutions
• Checks
• Determination Letter from the IRS, and correspondence relating to it
• Financial statements (year-end)
• Insurance policies
• Minutes of board meetings and annual meetings of members
• Real estate deeds, mortgages, bills of sale
• Tax returns

The more information/people/ideas/grants/funders/peers/fill-in-the-blank you have to manage, however, the more having a management system is critical to success. As Seth Godin said, “Our digital habits matter… If you adopt a file naming system (each version gets a number, from 1 to X, so the latest file always has the highest number before its name), then you won’t have to try to figure out which is the most recent version.” 

Not all RCO leaders got into running the RCO for the joy of managing and storing things, or even deciding how to set those systems up. Fortunately, many tools now exist to help us with creating the technology for effective document management and storage for digital information. Here are a few that can help in different ways: 

Free/Inexpensive Software and Apps for Nonprofits

How have we improved our systems as software, apps, and other computer-based technology has improved, and become affordable?

In addition to using, tracking, and organizing files and other content, the digital world is now full of software, applications, programs, and products devoted to making specific aspects of business life easier. The table below includes a brief list of various software and apps that have been successfully used and appreciated by RCOs. Before you sign up for any technology platform, know that most companies offer a nonprofit rate or discount. However, it is not always apparent from the company website how to get the discount. Always do a web search that includes the name of the software or app + “nonprofit”. In most cases the information on how to get the discount will pop up right away.

Physical Infrastructure 

Location

What is the role of our physical location, and what kind of access does our community need to our space? How does our RCO affect the neighborhood it lives in?

When an RCO becomes resourced enough to move into a space uniquely suited to its needs, the community location and affordances of the space are important to consider. Physical location and physical structure are felt and experienced by employees, volunteers, and potential participants as communicating what and who an RCO values. Easy and accessible public transit locations, parking, sidewalks, elevators or stairs all create opportunities or barriers to an organization. Interior spaces and the lighting, seating, bathrooms, and temperature also influence whether people feel welcomed to stay awhile.  

It’s important to realize that physical locations aren’t just the buildings that house an RCO and the services it provides. These locations are situated in communities that have histories and cultures that are affected by the RCO's presence, one way or another. Asset mapping and outreach into the areas surrounding the RCO are vital tools to ensure that the communities are integrated into what the RCO hopes to accomplish. Bringing the surrounding communities into the fold also builds communal sustainability as the RCO becomes a part of the social landscape and local support network. 

Office Infrastructure

How comfortable am I, and are other staff, with the office furniture and arrangement? Are there ergonomic or other health-related issues we might need to improve upon? How does our physical space and set up support, or limit, our work?

So far, this section has focused on the processes, systems, regulations, and policies an RCO must have in place to successfully complete the difficult, confidential, and important work RCO’s do every day. The quality of the workspace, meeting rooms, computers, office materials, desks, chairs, and tables are also critical to the success of a team’s efforts. 

RCOs often can find discounted or donated office furniture through a local ReUse program or through a charity like Green Standards. Although it’s possible to meet many of your furniture and equipment needs through programs such as this, make sure that employees and volunteers have the proper equipment to perform their jobs effectively and without risk of injury. Chairs, desks, computers and other standard office features need to meet standards for ergonomically correct workstations. 

Consider also the effect that physical environments have on perception. Limiting an RCO’s spending on the office equipment can have a cascading impact on staff, participants, the perception of the RCO, and the impacts the RCO can have. Here is a piece from Vu at NonprofitAF highlighting these issues. While RCOs want to be budget-conscious, they also want to affirm that the community that governs, leads, and is supported by the RCO deserves respect and recognition. 

Section 1: Pause & Reflect

At the end of each section, take time to reflect on what was presented, consider how it applies to your unique situations, structures, and goals of your RCO, and identify possible next steps. 

CAPRSS Considerations

At the end of some sections in this guide, you will find a segment titled “CAPRSS Considerations”. These segments highlight particular aspects of Council on Accreditation of Peer Recovery Support Services (CAPRSS) standards that relate to the section topic. See the paragraph below for more information on pursuing CAPRSS accreditation.