Board
Policy Manual
Alcohol
and Drug Addiction Services Board
Six
(513) 867-0777
Board Policy Manual
Table of Contents
Executive Limitations
Global
Executive Constraint (B-1)
Provider
Contracting (B-2)
Treatment
of Staff (B-3)
Financial
Planning and Budgeting (B-4)
Financial
Condition and Activities (B-5)
Asset
Protection (B-6)
Compensation
and Benefits (B-7)
Emergency Executive
Director Succession (B-8)
Communication and Support
to the Board (B-9)
Board-Executive Director Linkage
Global
Board-Executive Director Linkage (C-1)
Unity
of Control (C-2)
Accountability
of the Executive Director (C-3)
Delegation
to the Executive Director (C-4)
Monitoring Executive
Director Performance and Executive Director Comp. (C-5)
Governance Process
Global
Governance Commitment (D-1)
Conflicts
with Previous Policies (D-2)
Governance
Style (D-3)
Board
Job Description (D-4)
Agenda
Planning (D-5)
Board
Officers (D-6)
Board
Members’ Code of Conduct (D-7)
Board
Committee Principles (D-8)
Cost
of Governance (D-9)
POLICY TITLE: ENDS POLICIES (A-1)
Those residents who are or who may be directly or indirectly affected
by substance abuse in
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: GLOBAL EXECUTIVE CONSTRAINT (B-1)
The executive director shall not cause or allow any practice, activity,
decision, or organizational circumstance that is either unlawful, imprudent, or
in violation of commonly accepted business and professional ethics.
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: PROVIDER CONTRACTING (B-2)
The executive director shall not enter into any
provider contract that is inconsistent with Ends policies or involves
unacceptable means.
Accordingly, the executive director
shall not:
1.
Enter into or maintain any contracts
with providers that do not demonstrate a commitment to best practices and
outcome evaluation.
2.
Enter into or maintain any contracts
with providers that do not provide services in an environment that is safe,
dignified, pleasant, and supportive.
3.
Terminate or substantially change any
provider contracts without the authorization of the board.
4.
Enter into any contracts with new
providers without the authorization of the board with the exception of
individual case arrangements.
POLICY TYPE: EXECUTIVE LIMITATIONS
With respect to the treatment of staff, the executive director shall
not cause or allow conditions that are unfair, undignified, discriminatory as
defined by federal and state law, or otherwise illegal.
Accordingly, he or she shall not:
1.
Operate without written personnel
policies that:
a.
clarify personnel rules for staff,
b.
protect against unfair treatment of
staff, or
c.
provide for effective handling of
grievances.
2.
Prevent staff from grieving to the board
when internal grievance procedures have been exhausted.
3.
Fail to acquaint staff with their rights
under this policy.
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: FINANCIAL PLANNING AND BUDGETING (B-4)
Financial planning for any fiscal year or the remaining part of any
fiscal year shall not deviate materially from the board’s Ends priorities, risk
fiscal jeopardy, or fail to be derived from the board’s biannual Community
Plan.
Accordingly, the executive director
shall not allow budgeting that:
1.
Contains inadequate information about:
a.
credible projection of revenues and
expenses,
b.
separation of capital and operational
items, and
c.
planning assumptions.
2.
Expends more funds in any fiscal year
than are conservatively projected to be available.
3.
Provides less for board prerogatives
during the year than is determined by the board in accordance with the Cost of
Governance policy.
4.
Permits board administrative expenses
that exceed 12% of anticipated revenue.
POLICY TYPE: EXECUTIVE LIMITATIONS
The executive director shall not allow fiscal jeopardy or a substantial
deviation from board priorities established in Ends policies.
Accordingly, the executive director
shall not:
1.
Fail to maintain positive cash flow.
2.
Fail to maintain an operations reserve
for positive cash flow and financial contingencies.
3.
Expend funds for provider contracts in
such a manner as to deviate substantially from board priorities established in
Ends policies.
4.
Expend funds in excess of the total
amount allocated by the board for the board administrative budget.
5.
Expend funds in excess of the amount
budgeted for staff salaries.
6.
Make a single purchase or financial
commitment:
a.
wherein normally prudent protection has
not been given against conflict of interest;
b.
of over $10,000 without having obtained
comparative prices and quality unless approval of the board is obtained;
c.
of over $25,000 without the approval of
the board;
d.
that is not in accordance with
requirements for competitive bidding where applicable as established by the
state of
(This prohibition does not
apply to employed personnel, provider payments for services, the MACSIS client
information/claims management system, and consultants funded with private
foundation or federal grants.)
7.
Receive, process, or disburse funds
under controls that are insufficient to meet the Auditor of State’s standards.
8.
Allow government filings to be overdue
or inaccurately filed.
9.
Fail to provide the board with a monthly
financial report that includes at a minimum, expenditures and revenues year to
date and statement of cash position.
10.
Acquire, lease, or dispose of land,
and/or facilities without prior board approval.
11.
Without the authorization of the board,
formally request from the
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: ASSET PROTECTION (B-6)
The executive director shall not allow the assets to be unprotected,
inadequately maintained, or unnecessarily risked.
Accordingly, he or she shall not:
1. Fail to follow a
proactive approach to asset maintenance and planning.
2.
Develop property rental fees without
regard to:
a.
board financial goals, and
b.
support of provider services.
3.
Fail to acquire and maintain a facility
reserve fund adequate to cover liability and maintenance/repair needs.
4.
Unnecessarily expose the organization,
its board, or staff to liability claims.
5.
Fail to protect information and files
from loss or significant damage.
6.
Endanger the organization’s credibility
and public image.
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: COMPENSATION AND BENEFITS (B-7)
The executive director shall not cause or allow jeopardy to fiscal
integrity or public image with respect to employment, compensation, and
benefits.
Accordingly, he or she shall not:
1.
Change his or her own compensation and
benefits.
2.
Promise or imply permanent or guaranteed
employment.
3.
Establish non-competitive compensation
and benefit levels for staff.
4.
In developing a budget allocation for
staff salaries, fail to consider the following:
a.
the financial condition of the board,
b.
overall board operation efficiency and
effectiveness, and
c.
staff needs of the board.
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: EMERGENCY EXECUTIVE DIRECTOR SUCCESSION
(B-8)
The executive director shall not fail to have at least one staff person
familiar with board and executive director issues and processes.
POLICY TYPE: EXECUTIVE LIMITATIONS
POLICY TITLE: COMMUNICATION AND SUPPORT TO THE
BOARD
(B-9)
The executive director shall not permit the board to be uninformed or
unsupported in its work.
Accordingly, he or she shall not:
1.
Neglect to submit monitoring, decision
preparation, and other information required by the board (see policy on
Monitoring Executive Director Performance) in a timely, accurate, and
understandable format.
2.
Fail to advise the board if the board is
not in compliance with its own policies on Governance Process and
Board-Executive Director Linkage.
3.
Fail to marshal for the board as many
points of view and options as are needed for fully informed board decisions.
4.
Fail to provide a mechanism for official
board, officer, committee or ownership/stakeholder communications.
5.
Fail to report in a timely manner an
actual or anticipated non-compliance with any policy of the board.
6.
Fail to support the identified training
needs of the board.
POLICY TYPE: BOARD-EXECUTIVE
DIRECTOR LINKAGE
POLICY TITLE: GLOBAL BOARD-EXECUTIVE DIRECTOR LINKAGE
(C-1)
The board’s sole official connection to the operational organization,
its achievements, and conduct will be through an executive director.
POLICY TYPE: BOARD-EXECUTIVE
DIRECTOR LINKAGE
POLICY TITLE: UNITY OF CONTROL (C-2)
Only decisions of the board acting as a body are binding on the
executive director.
Accordingly,
1.
Decisions or instructions of individual
board members, officers, or committees are not binding on the executive
director except in rare instances when the board has specifically authorized
such exercise of authority.
2.
The executive director can refuse
requests for information or assistance that are disruptive or require significant
staff resources.
POLICY TYPE: BOARD-EXECUTIVE
DIRECTOR LINKAGE
POLICY TITLE: ACCOUNTABILITY
OF THE EXECUTIVE DIRECTOR (C-3)
The executive director is the board’s only link to operational
achievement and conduct; therefore all authority and accountability of staff
are considered the authority and accountability of the executive director.
Accordingly,
1.
The board shall never give instructions
to person(s) who report directly or indirectly to the executive director.
2.
The board shall refrain from evaluating,
either formally or informally, any staff other than the executive director.
3.
The board shall view the executive
director’s performance as identical to organizational performance. Organizational accomplishment of board-stated
Ends and compliance with Executive Limitations policies will be viewed as
successful performance.
POLICY TYPE: BOARD-EXECUTIVE
DIRECTOR LINKAGE
POLICY TITLE: DELEGATION
TO THE EXECUTIVE DIRECTOR (C-4)
The board shall instruct the executive director through written
policies that prescribe the organizational Ends to be achieved and Executive
Limitations policies to be followed, allowing the executive director to use any
reasonable interpretation of these policies.
1.
The board will develop policies
instructing the executive director to achieve certain results, for certain
recipients, at a specified cost. These
policies will be developed systematically from the broadest, most general level
to more defined levels, and will be called Ends policies.
2.
The board will develop policies that
limit the latitude the executive director may exercise in choosing the
organizational means. These policies
will be developed systematically from the broadest, most general level to more
defined levels, and they will be called Executive
Limitations policies.
3.
The executive director may use any reasonable interpretation of the
board’s Ends and Executive Limitations policies to make all additional
decisions. The board will respect and
support the executive director’s choices.
4.
The board may change its Ends and
Executive Limitations policies, thereby shifting the boundary between board and
executive director domains.
5.
To facilitate compliance with state
regulations, the Board explicitly delegates the following responsibilities to
the Executive Director
1.
Approval of payment of vouchers and
submission of these to the county auditor for payment
2.
Exercise of control over out-of county
travel by staff.