Transcript COMMISSIONERS AND THE ACC - Public Housing Authorities

COMMISSIONERS OBLIGATIONS
AND REQUIREMENTS
ROLES, COMPLIANCE, INSURANCE,
LEGAL ISSUES, CRISIS MANAGEMENT
THE CREATION
• PART OF THE CITY, COUNTY OR STATE?
• FEDERAL AGENCY?
• SO WHAT IS IT?
STATE LAW
• CREATED AS MUNICIPAL CORPORATION
• FUNDED BY FEDERAL GOVERNMENT UNDER
CONTRACT
• CHARTER/ARTICLES OF INCORPORATION
• BYLAWS
OFFICIAL PUBLICATIONS
• THE ANNUAL CONTRIBUTION CONTRACT
• THE HUD ETHICS MANUAL
THE CREATION
• PART OF THE CITY, COUNTY OR STATE?
• FEDERAL AGENCY?
• SO WHAT IS IT?
STATE LAW
• CREATED AS MUNICIPAL CORPORATION
• FUNDED BY FEDERAL GOVERNMENT UNDER
CONTRACT
• CHARTER/ARTICLES OF INCORPORATION
• BYLAWS
GOVERNING BODY
• BOARD OF COMMISSIONERS
– APPOINTED, ELECTED?
– RESIDENT COMMISSIONER
– OATH OF OFFICE
– TRAINING/ORIENTATION
– RESPONSIBLE TO WHOM?
– SIGN THE ACC IF FUNDING RECEIVED
BOARD DUTIES
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SELECT AN EXECUTIVE DIRECTOR
MAKE POLICIES
RECEIVE REPORTS
PASS RESOLUTIONS
SIGN DOCUMENTS FOR SUBMITTAL AS
REQUIRED
• FOLLOW ALL OF THE RULES AND
REGULATIONS.
DETAILED LOOK
• ANNUAL CONTRIBUTIONS CONTRACT
– SIGNED BY CHAIRPERSON OF THE BOARD
– HOUSING AUTHORITY BOUND BY TERMS
– PARTS A & B
– COVERS: MISSIONS, COVENANTS TO DEVELOP,
COOPERATION AGREEMENT, USE OF MONEY
ACC OVERVIEW
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BUDGET REQUIREMENTS
CIVIL RIGHTS REQUIREMENTS
INSURANCE REQUIREMENTS
EMPLOYER REQUIREMENTS
DEFAULT PROCEDURES
WAIVERS
AND: CONFLICTS OF INTEREST
• IN ACC AND REPUBLISHED
• ETHICS MANUAL FOR PHA’S
• ADDED FORMS AND INFORMATION
OTHER RESOURCES
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STATE ETHICS LAW
ETHICS COMMISSION OPINIONS
ATTORNEY GENERAL OPINIONS
HUD WEBSITES
OTHER WEBSITES
STATE ISSUES
• LOCAL STATE LAW
• PUBLIC EMPLOYEE?
• NATURE OF HOUSING AUTHORITY: STATE,
LOCAL, COUNTY, MUNICIPAL, FEDERAL
AGENCY?
• LOOK TO ORGANIZATION STATUTES AND
DOCUMENTS
STAFF AND/OR COMMISSIONERS
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WHO IS AN “OFFICIAL”
WHERE DOES FUNDING COME FROM?
CASE LAW
ATTORNEY GENERAL OPINIONS
DO WE WANT TO ASK FOR ONE?
WHAT CONTROLS?
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FEDERAL LAW
REGULATIONS
STATE LAW
HANDBOOKS
CONTRACTS
ATTORNEY GENERAL OPINIONS
THE ISSUE DEFINED
• FOLLOW THE MONEY
– PROCUREMENT
– OWNERSHIP
– APPEARANCE OF IMPROPRIETY
– CONTRACTS TO FRIENDS
– “WE CAN ALL EAT STEAKS INSTEAD OF
HAMBURGERS”
PUBLIC PERCEPTION
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FUNDING CRISIS: PERKS, TRAVEL, FOOD
EMPLOYEE ACTIONS: TALKING
RUMORS: RESIDENTS COMPLAIN
COMPLAINTS TO MEDIA
OFFICIAL INQUIRIES
• HUD
• ANONYMOUS COMPLAINTS
• STATE/LOCAL GOVERNMENT INQUIRIES
THE RULES
• PUBLIC HOUSING
– APPLIES TO PRESENT OR FORMER MEMBERS OF
PHA GOVERNING BODY
– ANY EMPLOYEE WHO FORMULATES POLICY
– NEPOTISM
– DISCLOSURE
– WAIVERS
EXAMPLES
• CONTRACTS
– FAMILY MEMBER AND BOARD/STAFF
– FORMER MEMBERS
– RUNNING FOR OFFICE
– BOARD MEMBERS TEMPORARILY BEING
EMPLOYEE OF PHA
– INCLUDES GRANTS
MORE EXAMPLES
• CONTROLLING EXPENDITURES
– DESIGNATED BANK, BANKER, FUNDS
– DESIGNATED PROGRAMS
– HIRING COMMISSIONER SPOUSE AT PHA
SECTION 8
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INTEREST IN A HAP CONTRACT
FAMILY MEMBERS OWNING
DISCLOSURE
WAIVERS
TO VOTE OR NOT TO VOTE?
– MINUTES SHOULD REFLECT
HATCH ACT
• BIPARTISAN RACES
• EMPLOYEES OF PHA
• STATE AND LOCAL EMPLOYEES
OTHER CONSIDERATIONS
• INSURANCE REQUIREMENTS
• DIRECTORS AND OFFICERS LIABILITY
INSURANCE
WAIVER FORMS
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INCLUDED IN WAIVER
GET WAIVER FIRST
IN WRITING: SEE DEFINITIONS
LOCAL, REGIONAL, NATIONAL?
LEGAL/LAWSUITS
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HUD legal notification policy
Selecting attorney
Insurance issues
Settlement
Filing Suit
Attorney on retainer ????
Who is represented?
LITIGATION GUIDE
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NOTICE TO HUD
THREATENED OR ACTUAL
ATTORNEY CHOICE
SETTLING CASES?
APPEALING CASES?
WHEN A PROBLEM DEVELOPS
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NOTIFY ALL IN THE CHAIN
GET ADVICE OF ATTORNEY
NOTIFY HUD?
DEALING WITH THE MEDIA
FIXING THE PROBLEM
AVOIDING PROBLEMS
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DON’T BE GREEDY
FOLLOW ADVICE OF DIRECTOR
SEEK LEGAL HELP
SEEK ASSISTANCE FROM ATTORNEY GENERAL
FOR STATE ISSUES
• SEEK ADVICE OF HUD FOR FEDERAL ISSUES
• DON’T BE AN EXAMPLE
AUDITS
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INSIST ON GOOD AUDIT
DEVELOP FINANCE/AUDIT COMMITTEE
REPORT ANY POSSIBLE PROBLEM
IF FOUND – REPORT IT, DON’T BE CAUGHT
A CASE
• CHAIRMAN OF BOARD DOES NOT LIKE THE
DIRECTOR
• GOES DOOR TO DOOR ASKING RESIDENTS
ABOUT THE DIRECTOR
• TERMINATES DIRECTOR
• NAMES SPOUSE AS NEW DIRECTOR
AND ONE MORE
• DIRECTOR FINDS PROBLEM WITH HUD
REQUIRED REPORT – INFORMATION WAS
FALSE WHEN SENT TO HUD
• REPORTS THAT TO THE BOARD AND HUD
• DIRECTOR FINDS PROBLEM WITH SPENDING
AND SPECIAL ACCOUNT
• COMMISSIONER THREATENS DIRECTOR
PLANNING
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FIVE YEAR PLAN
ANNUAL PLAN
BUDGET
AUDITS
BOARD RETREATS
STAFF LEADS
BOARD ACTIONS
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PASS POLICIES
HIRE EXECUTIVE DIRECTOR
PERFORMANCE REVIEWS
RECEIVES REPORTS
DIRECTOR AND THE BOARD
• HIRED BY THE BOARD
• HELPS THE BOARD DO THEIR JOB
• DAY TO DAY MANAGEMENT
– DIRECTOR
• IMPLEMENTS POLICIES
• REPRESENTS THE ORGANIZATION
• HIRES, DIRECTS, SUPERVISES, EVALUATES AND
DISCIPLINES ALL STAFF
• PREPARES BUDGET
MORE DUTIES
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MANAGES FINANCES
PREPARES REPORTS
OVERSEES ASSETS
MAKES RECOMMENDATIONS
PLANS OPERATIONS
MAKES REPORTS
INFORMS ABOUT ORGANIZATION STATUS
AND MORE
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REPORTS ON RESULTS OF BOARD ACTIONS
KNOWS WHAT IS GOING ON IN AGENCY
HANDLES COMPLAINTS
ADMINISTERS THE PROGRAMS
MAKES REGULAR REPORTS TO THE BOARD ON
THE PHA PROGRAMS AND NEEDS
• PREPARES ANNUAL REPORTS
ROLE OF THE ED
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VITAL PART OF THE BOARD TEAM
IMPORTANT REPORTING RESPONSIBILITY
DOES NOT WANT A “RUBBER STAMP”
IS THE SECRETARY/TREASURER OF THE BOARD
HAS A FIDUCIARY DUTY (LIKE BOARD)
HAS ONE BOSS – THE FULL BOARD
THE BOARD HAS ONLY ONE EXECUTIVE
DIRECTOR
THE BOARD
• NO DIRECT RESPONSIBILITY OTHER THAN
THROUGH THE DIRECTOR FOR DAY TO DAY
OPERATIONS
• NO “SHORT CIRCUIT” – REMIND STAFF AND
RESIDENTS ABOUT CHAIN AND PROPER
CHANNEL
• REFER COMPLAINTS
PROBLEMS AND CONCERNS
• PROBLEMS ARE BEST RESOLVED AT THE
LOWEST LEVEL IN THE CHAIN
• CONCERNS/COMPLAINTS SHOULD BE
REPORTED TO THE ED FOR RESOLUTION
• BEWARE OF BECOMING LIABILE
BOARD AND STAFF
• BE CONCERNED ABOUT STAFF
• RECOGNIZE THE STAFF
• MAKE PERSONNEL POLICY CHANGES AS
REQUIRED OR AS NEEDED
• DON’T BECOME INVOLVED IN STAFF
PROBLEMS
MEETINGS
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ATTEND ALL MEETINGS
PREPARE FOR MEETINGS
PARTICIPATE IN DISCUSSIONS
COOPERATE WITH MEMBERS
MAKE THE MEETINGS WORK
COMPROMISE
WORK TOWARD CONSENSUS
MEETINGS, CON’T.
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BEGIN ON TIME
STICK TO THE AGENDA
FOLLOW THE BYLAWS AND POLICIES
ASK FOR INFORMATION BEFORE THE MEETING
WHEN POSSIBLE
• DON’T USE MEETINGS AS SOAPBOX
• DON’T BE SINGLE MINDED
• DECISION OF THE BOARD IS THE DECISION
ED EVALUATION
• USE AS POSITIVE EFFORT TO COMMUNICATE
WITH DIRECTOR
• DON’T USE TO DOCUMENT ERRORS
• AWARD GOOD PERFORMANCE
• DEMAND CORRECTION FOR POOR
PERFORMANCE
OTHER CONSIDERATIONS
• BOARD SHOULD EVALUATE ITSELF AND HOW
IT OPERATES
• EVALUATE ANNUALLY
• SET GOALS
• GET CONTINUING EDUCATION
• DO WHAT IS BEST FOR THE BOARD
• DO PRESENTATIONS
• WATCH THE MEDIA!!!!!
WATCH OUT !!!!
• http://www.youtube.com/watch?v=ubCehMD
Q85Q&feature=youtube_gdata
• SPOKESPERSON?
• EMPLOYEES?
• BOARD CHAIR?
MAKING IT WORK
• KNOW MEMBERS, RULES, ED, AND
PROCEDURES
• KNOW THE BOARD’S DYNAMICS
• ROLE OF BOARD:
– LEADER?
– CRITIC?
– SUPPORTER?
KEEP A NOTEBOOK
• BYLAWS
• BUDGETS
• MAJOR POLICIES: ACOP, ADMIN, PERSONNEL,
ETC.
WORK AS A TEAM
• THE TEAM HAS THE POWER AND AUTHORITY
TO ACT
• ED IS A MEMBER OF THE BOARD TEAM
• LISTEN TO OTHER MEMBERS
• EXPLAIN YOUR POSITION CLEARLY
• BE FRIENDS WITH OTHER MEMBERS
• DON’T BE AFRAID TO AGREE OR DISAGREE
TEAM DYNAMICS
• DON’T LET DISAGREEMENT CARRY OVER TO
NEXT ISSUE
• RESPECT WHAT OTHERS HAVE TO SAY
• AVOID FORMING VOTING BLOCKS AND/OR
CLIQUES
• ACCEPT THE FACT THAT THERE WILL BE SPLIT
VOTES
• IF IN MINORITY, ACCEPT THE MAJORITY AND
LEAVE DISAGREEMENTS AT THE TABLE
GOOD PRACTICES
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BALANCE LEADING AND DELEGATING
LET ED HELP YOU DO YOUR JOB
ADOPT LONG AND SHORT RANGE PLANS
AVOID TURF BATTLES
SET PARAMETERS ON HOW THE SYSTEM
OPERATES
• ASK FOR ADVANCE NOTICE OF MEETING
ITEMS
WHAT THE BOARD MONITORS
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FINANCES AND THE BOTTOM LINE
VACANCIES
MODERNIZATION PROCESS
SECTION 8 UTILIZATION
RESIDENT PROGRAMS
PROJECT BASED ISSUES
EXECUTIVE DIRECTOR
MONITORING, CON’T
• REVIEW RESIDENT SURVEY RESULTS
• ANNUAL REPORTS TO HUD
• AUDIT AND FINANCIAL STATEMENT
DEVELOPING POLICIES
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NEEDS IDENTIFIED
FACTS GATHERED
ISSUES DELIBERATED
OUTCOME ISSUES
POLICY WRITTEN
POLICY REVIEWED, NOTICE TO RESIDENTS
BE AN ADVOCATE
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PROMOTE THE AGENCY
GO TO CIVIC CLUBS
ATTEND NEIGHBORHOOD MEETINGS
INFORM DIRECTOR OF NEEDS
DEALING WITH THE PRESS
– ED IS THE CONTACT
– KNOW WHAT TO SAY AND WHAT NOT TO SAY
DELEGATE RESPONSIBILITY
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DIRECTOR IMPLEMENTS POLICY
ALLOW THE STAFF TO DO THEIR JOB
TRUST THE STAFF
DON’T BE AFRAID TO ASK QUESTIONS
AVOIDING TROUBLE
• ACTS OF THE MAJORITY ARE THE ACTS OF THE
BOARD
• THE MEDIA: HOW TO WORK WITH THEM,
OFFICIAL SPOKESPERSON, WHAT ABOUT BAD
PRESS?
• MAINTAIN IMAGE OF THE BOARD
COMPLAINTS
• REFER ALL TO DIRECTOR
• REMIND RESIDENTS AND EMPLOYEES TO
CONSULT WITH DIRECTOR
• DON’T MAKE PROMISES
• AVOID LOSING YOUR INSURANCE COVERAGE
• NOTIFY DIRECTOR OF PUBLIC COMPLAINTS
AND ISSUES
RULES
• KNOW THE BYLAWS
• FOLLOW THE BYLAWS
ACTIONS
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ON RESOLUTIONS
ON POLICIES
SIGNING REPORTS
NO DAY-TO-DAY GOVERNANCE
AVOID:
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BEING MANAGERS
POLITICS
PERSONNEL MATTERS
BECOMING TOO INVOLVED WITH EMPLOYEES
AND TENANTS
DO NOT:
AMBUSH STAFF
SEND PEOPLE TO BE HIRED OR HOUSED
SEND FRIENDS FOR CONTRACTS
ASK FOR PERSONAL FAVORS
TAKE A CHANCE ON VIOLATING ETHICS
USE OFFICE FOR POLITICAL PURPOSES
SNUB HUD
REMEMBER
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ACT AS A TEAM
FOLLOW ALL RULES AND REGULATIONS
MAKE SUGGESTIONS
ASK FOR REPORTS AND INFORMATION
BE UNIFIED
STAY UP TO DATE
CONCLUSION
• GENERAL RULES
– AVOID APPEARANCE OF IMPROPRIETY
– FOLLOW THE RULES: ALL OF THEM
– ASK BEFORE ACTING
– DISCLOSE ANY POSSIBLE ISSUES
– TAKE ADVICE GIVEN
– WATCH WHAT YOU ARE DOING!!