Be prepared!
Individuals applying for or receiving PHA program assistance have certain rights guaranteed by the U.S. Constitution when the PHA takes certain adverse actions against them. These rights are referred to as due process.
For example, when the PHA makes a decision that has a negative impact on an applicant or recipient of assistance, that individual is often entitled to appeal the decision.
Once an appeal is requested, the individual is entitled to a review or informal hearing, depending on the type of program and the individual's status as an applicant or recipient.
The work that you do as a hearing officer embodies these legal principles.
Holding hearings
Establish a routine for yourself for preparing for hearings, holding hearings, and writing the hearing decisions.
Step #1: Prepare for the case.
- Know the relevant HUD regulations (CFRs), case law, and PHA policies for holding hearings and for denials and terminations.
- Read the hearing packet and note issues for inquiry at the hearing.
- Avoid any ex parte communications (that is, have no contacts with the parties outside of the hearing about the merits of the case).
Step #2: Prepare the setting.
- Arrange a private space for hearings.
- Consider safety precautions as necessary.
- Arrange appropriate seating and work space.
Step #3: Prepare yourself to listen.
- Remove the day's distractions from your mind.
- Arrange your workspace in an orderly fashion.
- Settle yourself into your role as the one in charge of the hearing.
- Be ready to listen carefully and avoid bias and stereotyping.
Step #4: Open the hearing and prepare the parties.
- Start on time.
- Introduce all those present.
- Describe the procedure for the hearing and put the parties at ease.
- Describe the parties' rights.
- Explain the consequences of disruptive behavior.
- Describe the issues to be covered.
- Swear in those who will be testifying. (In some states, individuals authorized to administer oaths to witnesses are limited to judges, court clerks, notaries public, attorneys, etc. A PHA may choose to have an onsite notary swear in witnesses and then leave the hearing.)
Step #5: Keep the hearing orderly.
- Monitor the time and conduct of the hearing.
- The party with the burden of proof goes first to present their case (usually the PHA).
- No one interrupts.
- Cross-examination is only allowed after a witness completes testimony.
Step #6: Ensure all relevant evidence is presented.
- Stay on track, and keep the parties on track.
- Take notes.
- Ask clarifying questions, as necessary.
- Do not become an advocate for either party.
- Limit irrelevant or repetitious evidence or witnesses.
- Allow parties to sum up their positions and/or rebut evidence.
Step #7: Prepare to write the decision.
- Conduct any additional research that's needed.
- Consult a subject matter expert (SME) on a regulation or policy if necessary (not someone involved in the case, and do not discuss the merits of the case!)
- Think about what you heard and identify the facts based on a preponderance of evidence. Your decision must be based solely and exclusively upon the facts presented at the hearing.
- Apply the relevant regulations, case law, and PHA policies to the facts.
- Analyze whether the PHA followed due process.
- Analyze whether the PHA's initial decision is supported by a preponderance of evidence. The PHA's initial decision must be in accordance with the law, HUD regulations, and PHA policies.
Step #8: Prepare the decision.
- Follow a regular format for the written decision.
- Write a clear, reasoned, complete decision.
- Identify who was present at the hearing.
- State your findings of fact.
- State your conclusions, identifying the relevant findings of fact (evidence), laws, regulations, and PHA policies supporting the conclusions.
- Cover all the issues in the PHA notice.
- Identify any findings or conclusions based on credibility.
- Use appropriate citations for HUD regulations, PHA policies, lease, etc.
- State whether the PHA's initial decision is upheld, overturned, or sent back for more information.
- Sign the decision.
You can have confidence that sound and fair decisions will result from being prepared for each step of the hearing process.
NMA senior trainer Rhonda Brown, an attorney, has served as a hearing officer for nearly a decade. In addition to handling both HCV and public housing hearings for PHAs in western Washington State, she is also a full-time administrative review judge for a state agency, where she has been hearing appeals and writing decisions for over 20 years.
Ms. Brown, who currently teaches the NMA Hearing Officer Workshop, was also part of the team that developed the workshop. Contact sales@nanmckay.com to bring this training to your agency.
