Transcript BOARD OF COMMISSIONERS TRAINING

BOARD OF COMMISSIONERS TRAINING
U. S. DEPT OF HOUSING AND URBAN DEVELOPMENT
The Commissioner’s Role
April 2009
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BOARD OF COMMISSIONERS
TRAINING SERIES
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
The Commissioner’s Role
The Executive Director’s Role
Program Management
Financial Operations and Oversight
Physical Facilities and Maintenance
Procurement and Contracting Overview
Preventing and Resolving Audit Findings
Performance Measures
PHAS, MASS, FASS, PASS, SEMAP
IX.
X.
Conducting an Effective Board Meeting
Emergency and Disaster Preparedness
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THE COMMISSIONER’S ROLE
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THE 4 Ws
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The objective of this phase of the training
series is to help you define your role as
commissioner
WHO YOU ARE AND YOUR LEVEL OF AUTHORITY
WHAT - YOU NEED TO DO TO FULFILL YOUR ROLE
- HAPPENS WHEN YOU MAKE DECISIONS
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WHY YOU MAKE DECISIONS AND ACT
WHEN ACTION IS REQUIRED
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The
Commissioner’s
Role
I. Social Responsibility
II. Unique Character and
Expectations
III. Privileges and
Liabilities
IV. Role and
Responsibility
V. Accountability
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Social Responsibility
As a public servant, Commissioner actions
should be:
 Open and transparent
 Honest
 Ethical
 Conducted in a manner to avoid conflicts of
interest or apparent conflicts of interest
 Free of personal or social considerations
 Based on sound business decisions
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Social Responsibility
Board Members:
 Serve in accordance with Federal, state
and local law, and existing authority policy
on conflicts of interest, accountability and
delegations of authority.
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Are prohibited from having direct or
indirect financial interests in the assets,
leases, business transactions or current
professional services of the agency.
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Social Responsibility
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May not be offered or receive preferential
treatment in the application for or receipt
of the HA’s facilities, equipment, (i.e. tools,
computers, use of trucks, etc.) and
services.
May not offer preferential treatment to
residents of or applicants for public
housing, individuals or businesses doing or
seeking to do business with the HA, and
the general community.
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Social Responsibility
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Confidentiality - Board members must avoid general
discussion of issues and problems that should not be
public information and that will negatively impact the HC.
Ex. Personnel, bids and contracts, resident issues
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Credibility – Evaluations of your credibility and
performance are directly related to:
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the quality of the decisions you make,
your ability to keep appropriate information confidential
your personal integrity and standards
your ability to make sound business decisions
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Unique Character and Expectations
The Board of Commission is unique because it:
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Performs a community service
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Serves without compensation
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Responsible for a multi-million dollar real
estate business, specifically “Property
Management”
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Unique Character and Expectations
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The HUD Act of 1968 requires that at least
one member of the Board be a resident of
assisted housing. The Resident member has
the same authority, expectations and legal
responsibilities as other Board members.
Board creation and authorities are derived
from state enabling legislation
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Unique Character and Expectations
The expectation of the Board is that you will:
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Provide decent, safe, and sanitary
housing
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Be financially responsible
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Make sound business decisions
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Think Corporate!!
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Unique Character and Expectations
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So, who has expectations of the Board?
EVERYONE!!
Appointing officials
Fellow commissioners
Executive director and staff
Residents
General public
HUD
You
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Unique Character and Expectations
In summary, Boards and Board Members are
to:
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Be Honest and ethical
Be Conscientious, hard working and
effective
Make sound business decisions
Act responsibly
Be financially responsible
Provide decent, safe, and sanitary housing
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Privileges and Liabilities
Serving on the HA Board is a A. Privilege – it is an opportunity to:
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Serve your community
Help others
Enrich your life through new experiences
B. Liability – fulfilling the role:
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Decisions may have legal and/or adverse
consequences
Members may be held personally liable for decisions
made
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Roles and Responsibilities
The role of the Board is to:
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Provide responsible leadership
Create sound policies and set goals for the agency
Comply with federal law and program regulations
Comply with state and local law
Be informed
Fulfill financial and fiduciary responsibilities
Monitor accomplishments and evaluate
performance of the agency
Support the Executive Director [ED] and provide
oversight of the ED’s activities and performance
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Roles and Responsibilities
Be a leader:
 Set a positive example – be a role model.
 Contribute your time, energy and know
how.
 Understand that you are ultimately
accountable for the performance of the
agency
 Do not be a blind unquestioning follower
 Set high standards for yourself and others.
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Comply with Federal Law and Program
Regulations
How do I comply with Federal Law and Program
Regulations without being an expert in the program?
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Hire a qualified Executive Director
Ask questions of the Director. Ask to see a copy of the
regulation and/or law
Attend industry conferences and bring back information to
your Board
Subscribe to industry publications
If it doesn’t feel right, it’s probably not right
Do your homework; go to the HUD website...www.hud.gov
Attend training sessions conducted by the local HUD office
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Comply with state and local law
State laws and local ordinances impact the operation
of your housing authority.
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Ohio Revised Code – Chapter 3735 Metropolitan Housing
Authority: Ohio law regarding the creation and operation
of public housing authorities.
The Ohio Public Records Act and Open Meetings Act
(also known as Ohio Sunshine Laws) – describes the
obligations for using and retaining records and how a
public body is required to conduct business.
State and local laws ordinances –
procurement, housing construction standards, etc.
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Be Informed
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Ensure that meetings are informative and productive:
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Review Financial Reports
Review and understand appropriate
documentation for prior to making decisions
When needed request additional information prior
to the meeting so that you arrive informed ready
to informed and participate
Utilize Robert’s Rules of Order or other generally
accepted procedures in conducting meetings
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Be Informed
Know your housing authority!
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Know the scope of your housing authority – the types of
programs, number of units, budget, staff size and major plans
and projects underway and needed improvements
Know your PHAS and SEMAP scores
Know if you are you a high performing or troubled agency and
why. If troubled know what is being done to correct the HA’s
performance
Hold your Executive Director accountable for performance issues
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Be Informed
Know the physical condition of your PHA!
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Drive by and look at your facilities
Know the scope of your Capital Fund
program
Are units well-maintained?
Are there too many vacant units?
Are units vacant for long periods of time?
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Be Informed
Know and understand the HA’s legal responsibilities
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The Annual Contributions Contract denotes all HA
contractual obligations with HUD. Failure to carryout these
obligations may result in HUD declaring a default of its
contract with the agency.
Know the role of your attorney and use the expertise wisely
o Attorney’s should not be required to attend every Board meeting
o Be aware of the fact that calls and meetings with attorney’s are time
consuming and expensive.
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Stay informed regarding litigation and grievances
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Know applicable federal, state and local laws
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Be Informed
Know, understand, and monitor the
financial condition of the agency
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Financial statements and reports
IPA and OIG Audits
Utilize the expertise of your financial staff, fee
accountants and auditors. When necessary obtain
special briefings and training
General Depository Agreement
Program insurance requirements
Make decisions based on financial facts and related
information
Make sound business decisions
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Be Informed
Fiduciary responsibilities:
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the responsibility to protect and preserve housing
resources and assets
an obligation to others to operate the agency in the
interest and welfare of others
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Be Informed
To fulfill your fiduciary responsibilities:
 Establish internal management
controls
 Develop standard operating
procedures
 Codify – if it isn’t written its not official
and can’t be enforced
 Be consistent in carrying out oversight
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Be Informed - Policies
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authority By-Laws
Personnel Policies
Disposition Policy
Capitalization Policy
Admission and
Continued Occupancy
Policies
Housing Choice Voucher
(Section 8)
Administrative Plan
Travel Policies
Credit Card Policies
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Rent Collection Policy
Procurement Policy
Resident/HA Contracts
Grievance Procedures
Informal Hearing
Procedures
Confidentiality Policy
Conflict of Interest
Policy
Disclosure Policy
Vehicle Usage Policy
Cell Phone Usage Policy
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Support and Oversight of the Executive
Director
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The Executive Director is the Chief
Operating Officer and responsible for
running the Housing authority.
Your role is to provide leadership and
establish policy. The executive director
is responsible for the day-to-day
operations of the agency.
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Support and Oversight of the
Executive Director
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Rely on the Executive Director and key
executive staff for professional expertise.
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This does not mean that you fail to:
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ask questions
require supporting documentation
monitor and evaluate
institute corrective action when necessary
Do not interfere in the day-to-day
operations of the agency
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Support and Oversight of the
Executive Director
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Refer resident and public concerns and
complaints to the Director not directly
to agency staff.
Do not attempt to perform the
Director’s job. When you intervene you
undermine the Director’s authority.
Speak to the Director with one voice.
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Support and Oversight of the
Executive Director
Establish policies for the Director and
staff to follow
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Mission Statement – develop or revise and
implement a statement that reflects the
HC’s objectives
Have clear policies for subjects such as
travel, vehicle usage, cell phone usage,
credit card usage, etc... Be aware that the
same policies apply to your travel.
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Support and Oversight of the
Executive Director
Goals:
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Set annual goals for the agency and hold the
Director accountable to those goals.
Goals should be achievable and improve agency
performance.
The results to be obtained should be clearly
defined.
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Goals should be measurable and attainable.
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Progress reports should occur at least quarterly.
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Support and Oversight of the
Executive Director
If the goals are not being met determine the reasons
for the gap between the planned goals and the
level of performance
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Determine that goals are realistic and that
appropriate resources exist
Look for patterns and trends
Make sure the Board’s performance is not part of the
reason for the shortfall
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Support and Oversight of the
Executive Director
Evaluate agency performance and
monitor accomplishments!
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Oversight is your most important function
Inadequate oversight is a problem in every
troubled housing authority
Match accomplishments against goals
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Support and Oversight of the
Executive Director
Evaluating performance is critical!
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Formal performance evaluation tools should be in
place for the Director. The Director should also
have formal performance evaluation tools for all
employees of the agency.
A formal performance evaluation of the Director
should occur at least once a year. The Director
should ensure that all employees receive a formal
performance evaluation at least once a year.
Provide feedback periodically so that employees
can determine the level of their performance
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Support and Oversight of the
Executive Director
How do I evaluate the Director’s
performance?
 Public Housing Assessment System (PHAS)
 Section 8 Management Assessment System (SEMAP)
 HUD Comprehensive/Management Reviews, RIM
Reviews, etc.
 IPA/OIG Audits
 Financial Reports
 Occupancy Rates
 Condition of Units
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Appropriate
recognition is
impossible in the
absence of an
Evaluation
system.
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Fulfilling your role requires action
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Initiate
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Make decisions –timely and based on fact
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Establish policies
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Set and Enforce standards
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Remember
Failing to make a decision is a decision
and
Failing to act is an action!!
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Do you feel as if the
Commissioners are responsible
for everything?
THEY ARE RESPONSIBLE FOR
EVERYTHING !!!
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If we do all of
this what does
The ED do
?
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The ED runs the operation
and does the actual work !
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Know that you cannot say “they didn’t do
it” –
the question is did you perform
your responsibilities in such a
manner that “they” were
empowered and required to do it.
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‘ THE BUCK STOPS WITH YOU ’
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