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

• 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

• 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

• 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

• WHO IS AN “OFFICIAL”• WHERE DOES FUNDING COME FROM?• CASE LAW• ATTORNEY GENERAL OPINIONS• DO WE WANT TO ASK FOR ONE?

WHAT CONTROLS?

• 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

• 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

• 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

• INCLUDED IN WAIVER• GET WAIVER FIRST• IN WRITING: SEE DEFINITIONS• LOCAL, REGIONAL, NATIONAL?

LEGAL/LAWSUITS

• HUD legal notification policy• Selecting attorney• Insurance issues• Settlement• Filing Suit• Attorney on retainer ????• Who is represented?

LITIGATION GUIDE

• NOTICE TO HUD• THREATENED OR ACTUAL• ATTORNEY CHOICE• SETTLING CASES?• APPEALING CASES?

WHEN A PROBLEM DEVELOPS

• NOTIFY ALL IN THE CHAIN• GET ADVICE OF ATTORNEY• NOTIFY HUD?• DEALING WITH THE MEDIA• FIXING THE PROBLEM

AVOIDING PROBLEMS

• 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

• 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

• FIVE YEAR PLAN• ANNUAL PLAN• BUDGET• AUDITS• BOARD RETREATS• STAFF LEADS

BOARD ACTIONS

• 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

• MANAGES FINANCES• PREPARES REPORTS• OVERSEES ASSETS• MAKES RECOMMENDATIONS• PLANS OPERATIONS• MAKES REPORTS• INFORMS ABOUT ORGANIZATION STATUS

AND MORE

• 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

• 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

• ATTEND ALL MEETINGS• PREPARE FOR MEETINGS• PARTICIPATE IN DISCUSSIONS• COOPERATE WITH MEMBERS• MAKE THE MEETINGS WORK• COMPROMISE• WORK TOWARD CONSENSUS

MEETINGS, CON’T.

• 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=ubCehMDQ85Q&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

• 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

• 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

• NEEDS IDENTIFIED• FACTS GATHERED• ISSUES DELIBERATED• OUTCOME ISSUES• POLICY WRITTEN• POLICY REVIEWED, NOTICE TO RESIDENTS

BE AN ADVOCATE

• 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

• 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

• ON RESOLUTIONS• ON POLICIES• SIGNING REPORTS• NO DAY-TO-DAY GOVERNANCE

AVOID:

• BEING MANAGERS• POLITICS• PERSONNEL MATTERS• BECOMING TOO INVOLVED WITH EMPLOYEES

AND TENANTS

DO NOT:

AMBUSH STAFFSEND PEOPLE TO BE HIRED OR HOUSEDSEND FRIENDS FOR CONTRACTSASK FOR PERSONAL FAVORSTAKE A CHANCE ON VIOLATING ETHICSUSE OFFICE FOR POLITICAL PURPOSESSNUB HUD

REMEMBER

• 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!!