ESSAE Board Manual 2015
Empire State Society of Association Executives, Inc.
120 Defreest Drive, Suite 100
Troy, New York 12180
518-463-1755; www.essae.org
ESSAE advances the association profession through a community
of knowledge, sharing, education and advocacy.
ESSAE 2015 Board of Directors Manual
Table of Contents
ESSAE Information
• ESSAE History
• ByLaws, Mission and Extracts from Articles of Incorporation
• Strategic Plan
• ESSAE Membership Report - 2014
Board Information
• Board of Directors List for 2015
• Board Responsibilities
• Definition of Roles - Board of Directors
• Definition of Roles - Executive Committee
• ESSAE President Job Description
• ESSAE Board Policies
Committee Information
• 2014 Task Force Talent Pool
• 2014 Committee & Task Force Policies
Financial Information
• 2015 ESSAE Budget
• 2014 Year End Investment Earnings Summary
• 2014 financial review
• D & O Insurance Information
Calendar
• 2015 Program & Board Meeting Calendar
2014 Information
• Board of Directors Meeting Minutes
• Monthly Financial Statements
• 2014 Member Associations
It All Began...A History of ESSAE
It all began in mid 1978 when Curt Mat- (SAEUNY President for 1991 representing the Capital
terson, operating then as an association man- Region Automobile Dealers Association) on Page 1.
agement firm, engaged in correspondence with
C.G. Peterman of the American Society of Asso- Nurick & Associates, Inc. headed by Lloyd
ciation Executives, based in Washington, D.C. Nurick (1982-83 SAEUNY President) acquired the
management chores in 1989 and included in the pack-
Mr. Peterman agreed with the idea of age was an account executive, Penny Maldonado.
forming an affiliate in upstate New York after After two years at the helm, Mr. Nurick resigned to
hearing Mr. Matterson’s charge that the New lead an association in Connecticut.
York Society of Association Executives, head-
quartered in New York City, could not fit the Over the years consideration had been given to
bill for the entire Empire State. It was noted employing a full-time executive director, and at this
that the Big Apple bunch did not provide ser- point the board of directors elected to make the big
vices to those folks toiling north of Westches- move. A search committee reviewed some 80 appli-
ter, and that the upstaters were not interested cations and resumes, and interviewed many before
in what was happening in the city. agreeing that the best choice was already behind a
desk in the SAEUNY office.
In October, a small group spearheaded
by Larry O’Brien (Associated Risk Managers That’s Penny Maldonado, of course, and she’s
of New York State) got together and set No- still behind that desk and on the road to furthering
vember 22 for a formal meeting of interested the interests of SAEUNY.
parties at the Fort Orange Club. Records are
sketchy, but it appears that Rosayne Light George Burton, ESSAE Historian
(Professional Insurance Agents), Ben Brews- [Editor’s note. In 1993, the SAEUNY membership voted to
ter (NYS Association of Life Underwriters), change the name of the association to The Society of Association
Lloyd Nurick (New York Association of Executives of New York State to better reflect the composition
Homes for the Aging, and Barbara Rodriguez of its statewide members. As a result of strong opposition by
(NYS Association of Architects) were most metropolitan New York’s allied society (NYSAE) the membership
involved. once again voted to change the association’s name in 1994 to the
Empire State Society of Association Executives, Inc. (ESSAE). In
In February, 1979, Mr. Brewster became addition, the executive director changed her name from Maldona-
the first president, with Ms. Light as vice do to Murphy. In 1999, her title was changed to President/CEO.
president, Mr. Matterson as secretary, and Jan In September of 2002, Cassandra Coville joined the ESSAE staff
Dorman (New York State Optometric Associ- as Member Services Coordinator. She was promoted to Director
ation) as treasurer. Association Executives of of Member Services in 2003.] In 2008, Sarah Murphy was ap-
Upstate New York was adopted as the name. pointed Director of Member Services.
The name “Society of Association Execu- Total AEUNY Membership--12/79
tives of Upstate New York” popped up atop
the newsletter in May of 1984, although no 97: 76 association executives
reference to the authority for such a change 21 suppliers
has been located. It is noted that the use of
the word “Society” relates to the national Total ESSAE Membership--12/09
organization.
580: 384 association executives
Matterson Associates managed the 196 suppliers
group until 1985 when Capital Hill Manage-
ment, headed by John Graziano, took over.
Interestingly, Vol. 1, Number 1 (February
1985) had a photo of a young Dan Harrison
Empire State Society of Association Executives, Inc.
BYLAWS AND EXTRACTS FROM ARTICLES OF INCORPORATION
EXTRACTS FROM ARTICLES OF INCORPORATION American Society of Association Executives.
1st The purposes for which the Society has been organized Section 7 - To undertake any other functions consistent with
are as follows: the law and these Bylaws which will further advance the use-
To provide the means for exchanging experiences and opinions fulness of this Society to its members.
through discussion and study of all aspects and functions of
an association and its management. To develop and encour- ARTICLE III - DEFINITIONS
age high standards of service and conduct by association
executives, thereby assuring that the affairs of their respective Section 1 - “Association” as used in these Bylaws, shall
associations shall be conducted in a professional manner. To include those organizations which are established to perform,
broaden and increase public understanding of the importance upon a mutual basis, an industrial, professional, service or
of associations in the local and national economies. To promote trade function for the purpose of promoting and protecting the
the purposes and effectiveness of associations by demonstrat- respective industry, profession, service or trade represented.
ing their aims are in the public interest.
2nd That the corporate name be Empire State Society of As- Section 2 - “Active Member,” as used in these bylaws, shall be
sociation Executives, Inc. any executive or staff personnel of any association.
3rd That the primary office of the corporation be located in
the County of Albany and State of New York. Section 3 - “Associate Member,” as used in these bylaws,
shall be any representative of companies which provide goods
ARTICLE I - NAME, OBJECT, LOCATION and/or services to associations.
Section 1- The name of this association shall be “Empire State Section 4 - “Affiliate Member,” as used in these bylaws, shall
Society of Association Executives, Inc.,” herein referred to as be any individual not covered by Active Member or Associate
“the Society.” Member and has a special interest in association management.
Section 2 - The object of this Association is to accomplish the ARTICLE IV - MEMBERSHIP
purposes as stated in the Articles of Incorporation.
Section 1 - Application For Membership. Application for ad-
Section 3 - The principal office of the Association shall be in mission to membership shall be made in writing to the Society.
the County of Albany. The Association may have such other The election to membership shall be by a vote of a majority of
offices as may, from time to time, be designated by the Board the Board of Directors. The Board may, in its sole discretion,
of Directors. deny membership to any individual. Upon approval by the
Board, an applicant shall become a member upon payment of
ARTICLE II - PURPOSE the required dues.
Section 1 - To provide the means for exchanging experiences Section 2 - Membership Dues. Dues for all classes of mem-
and opinions through discussion and study of all the aspects bership shall be established annually by the Board of Direc-
and functions of an association and its management. tors and shall be payable in advance at the beginning of the
Society’s fiscal year.
Section 2 - To develop and encourage high standards of service
and conduct by association executives, thereby assuring that Section 3 - Honorary Membership At its discretion, the
the affairs of their respective associations will be conducted in Board of Directors may grant Honorary Membership status to
a professional manner. former Society members or other individuals who have made
significant contributions to the field of association manage-
Section 3 - To maintain and encourage liaison with firms who ment. Honorary Members of the Society shall be exempt from
provide products and services to the association community. payment of any dues. Honorary members shall have all rights
of members except they may not vote or hold office in the
Section 4 - To broaden and increase public understanding of Society.
the importance of associations in the local and national econo-
mies. Section 4 - Continuation of Membership Upon granting
Section 5 - To promote the purposes and effectiveness of asso- membership status to an individual, such membership status
ciations by demonstrating their aims are in the public interest. shall continue subject to payment of dues and to the provisions
of Article XII. The Board of Directors, in its discretion, may
Section 6 - To cooperate with other local and regional groups also continue the membership status of individuals delinquent
of association executives and to maintain close liaison with the in the payment of dues for a period of time not to exceed ninety
ESSAE By-Laws and Extracts from Articles of Incorporation - Page 2
(90) days. Section 2 - Election and Terms of Office
a) The Board of Directors will annually elect a Chair of the
Section 5 - Revocation of Membership. The Board of Direc- Board, Vice Chair, Secretary, and Treasurer who shall serve
tors may expel a member of the Society for cause upon a two- in that capacity for a term of one year or until their successors
thirds (2/3) vote of the Board, provided the Society member have been elected and assume office. Such terms of office shall
has received reasonable notice of said cause and afforded a begin upon installation at the next annual meeting following
reasonable opportunity to respond to the Board. the election. Any Active Member may be an officer of the
Society.
ARTICLE V - BOARD OF DIRECTORS b) No member of the Executive Committee shall serve more
than two consecutive terms in the same office.
Section 1 - Management of the Society. The Board of Direc- c) No member of the Society shall serve as a Director-at-Large
tors is the elected body responsible for the corporate manage- on the Board for more than four consecutive years.
ment and fiduciary affairs of the Association. It is authorized,
by provisions of the applicable law, to do all things appropriate Section 3 - Removal, Resignation, Compensation. Any of-
and necessary for the development and perpetuation of the ficer elected or appointed by the board may be removed by the
Society. board with or without cause. A removal without cause shall
require a 90% vote of the entire Board of Directors. A removal
Section 2 - Board of Directors. The Board of Directors shall with cause requires a majority quorum vote. In event of the
consist of the Chair of the Board, Immediate Past Chair, Vice death, resignation, or removal of an officer, the Board, in its
Chair, Secretary, and Treasurer of the Society. There shall be discretion, may elect to appoint a successor to fill the unexpired
no more than eleven additional directors from the membership, term. Any two or more offices may be held by the same person,
two of whom may be associate members. Members of the except the offices of the Chair of the Board, and Secretary.
Board shall serve without compensation. Board of Directors shall serve without compensation.
Section 3 - Election to the Board of Directors. The non-of- Section 4 - Duties
ficer members of the Board of Directors shall be elected by the
members at each Annual Meeting of the Society from the slate a) Chair of the Board: Duties include Chair of the Board of
of candidates put forth by the nominating committee. Addi- Directors, and Executive Committee. Presides at all Associa-
tional nominations may be made from the floor. No individuals tion meetings, is a voting member of all committees (except
may be eligible for such election more than four (4) consecu- Nominating) and is the Association’s official representative.
tive years. Acts as spokesperson on matters of Association policy and
position.
Section 4 - Resignation from the Board of Directors. A director b) Immediate Past Chair: Shall serve as chair of the Nominat-
may resign at any time by giving written notice to the chairman ing Committee.
or the secretary of the Society. Unless otherwise specified in c) Vice Chair: Shall assume powers and functions of the Chair
the notice, the resignation shall take effect upon receipt. Ac- of the Board during the absence or for any other reason the
ceptance of the resignation by the Board of Directors shall not Chair of the Board is unable to perform as the Chair of the
be necessary to make it effective. Board. Shall also chair the Bylaws Committee.
d) Secretary: The secretary shall be responsible for all min-
Section 5 - Removal of Directors. Any or all of the directors utes, records and notifications to the Board of Directors.
may be removed for cause by vote of the members or by action e) Treasurer: The treasurer shall be responsible for the fiscal
of the Board. Directors may be removed without cause only by affairs of the Society, serve as chair of the Finance Committee
vote of the members. and provide reports and interpretations of the Society’s finan-
cial condition to the Board of Directors.
Section 6 - Board Vacancies. Vacancies occurring on the Section 5 - Vacancies in Board of Directors
Board of Directors because of a resignation or removal shall
be filled by a vote of a majority of the remaining Board of a) In the event of a vacancy in the office of the Chair of the
Directors. An individual designated by the Board to fill such Board, the Vice Chair shall serve as Chair of the Board until
a vacancy shall hold office for the unexpired term of his or her the next Society election.
predecessor. b) In the event of a vacancy of the Vice Chair, Secretary or
Treasurer, the Chair of the Board shall convene a special meet-
ARTICLE VI - OFFICERS AND DUTIES ing of the Board of Directors to appoint the vacant position
until the next Society election.
Section 1 - Officers and Directors c) The Board of Directors shall fill vacancies in director posi-
a) The officers of the Society shall be the Chair of the Board, tions as they deem necessary until next the Society election.
Immediate Past Chair, Vice Chair, Secretary, and Treasurer. d) Any three unexcused absences from regular meetings of the
b) There shall be up to eleven directors. Board of Directors shall subject the Director to removal from
the Board position. Such vacancy shall be declared by majority
ESSAE By-Laws and Extracts from Articles of Incorporation - Page 3
vote of the Board of Directors. There shall be four standing committees. These committees
shall be the Executive Committee, the Bylaws Committee,
ARTICLE VII - EXECUTIVE AND STAFF the Finance Committee, and the Nominating Committee. The
Finance and Bylaws committees shall be appointed by the
Section 1- Appointment. The Board shall employ a salaried Board of Directors and serve a term of two years or until their
chief executive who shall have the title of President and Chief successors are appointed.
Executive Officer and whose term and conditions of initial
employment shall be specified by the Board. The Executive Section 1 - Executive Committee. There shall be an Executive
Committee is delegated the authority to determine the ongoing Committee of the Board of Directors composed of the Chair of
compensation and other financial arrangements of the President the Board, Vice Chair, Secretary and Treasurer of the Society.
and CEO. Such data will be reported to the Board of Directors. The Executive Committee shall have the power of the Board
Section 2 - Authority and Responsibility. The President, as of Directors to transact business of the Society between regular
Chief Executive Officer, shall manage and direct all activities Board Meetings.
of the Society subject to the policies of the Board of Directors
and through the office of the Chair of the Board. The President Section 2 - Bylaws Committee
and CEO shall employ and may terminate the employment a) The committee shall be composed of five members.
of members of the staff necessary to carry on the work of the b) The Vice Chair shall serve as chair of the Bylaws Commit-
Society and fix their compensation within the approved budget. tee.
The President and CEO shall define the duties of the staff, c) The committee shall review and evaluate existing bylaws
supervise their performance, establish their titles, and delegate and consider proposals for changes submitted by members.
those responsibilities of management as shall be in the best The committee shall prepare the proposed amendments, in
interest of the Society. appropriate language, for review by the Board of Directors and
approval by membership at the annual meeting.
ARTICLE VIII - MEETINGS d) Cause bylaws changes to be distributed to the membership
annually.
Section 1- Annual Meeting. The Annual Meeting of the Section 3 - Finance Committee
Society will be held in January each year at a date and site ap- a) The committee shall be composed of seven members.
proved by the Board of Directors. The presence at this meeting b) The Treasurer shall serve as chair of the Finance Commit-
of no less than ten percent (10%) of the regular members of tee.
the Society shall constitute a quorum and shall be necessary to c) The committee shall:
conduct the business of the Society.
1) Review the financial status of the Association.
Section 2 - Board of Directors. There shall be at least three 2) Advise the Board of Directors regarding financial policies
meetings of the Board of Directors annually; at least one in and financial positions.
conjunction with the annual meeting. Other meetings shall be 3) Prepare an annual budget for approval by the Board of
held at such times and places as determined by the Board of Directors.
Directors. d) Shall cause financial statements to be distributed to the membership
annually in the Society’s official newsletter or by any other method
Section 3 - Notification of Meetings.. The secretary shall determined adequate by the Board of Directors.
cause to be mailed to all members in good standing, at the
address as it appears on the membership roster, a notice stat- Section 4 - Nominating Committee
ing the date, time, and place of all Society meetings at which a) The Nominating Committee members shall be appointed by
voting will take place on the business of the Society. Members the Chair of the Board annually. The Immediate Past Chair
shall receive notice of all meetings of the Society of this type at shall be the chair of the Nominating Committee.
least fourteen (14) days prior to the meeting date. b) Nominations for the committee shall be solicited through
the official newsletter at least 90 days prior to the annual meet-
Section 4 - Availability of Membership Roster. A member- ing. Nominations shall be reviewed by the Board of Directors.
ship roster showing the list of members as of the most current The Board of Directors shall prepare a slate of nominees to be
membership report shall be produced at any meeting of the presented to the membership for election at the annual meeting.
Society upon the request of any Active member who has given c) The Nominating Committee shall serve in the year they are
written notice to the Society that such request will be made at appointed.
least ten (10) days prior to such meeting. All individuals ap- d) Only members as defined in Article III, Section 2 of these
pearing on such roster as an Active member in good standing Bylaws may serve on the Nominating Committee.
shall be entitled to vote at the meeting.
ARTICLE X - ELECTIONS
ARTICLE IX - STANDING COMMITTEES
Section 1. The Nominating Committee shall prepare a slate of
members for director positions to be filled.
ESSAE By-Laws and Extracts from Articles of Incorporation - Page 4
Section 2. The Nominating Committee shall present the slate The fiscal year of the Society shall be January 1 to December
for election by the membership at each annual meeting of the 31.
Society.
ARTICLE XV - Bylaws AMENDMENTS
Section 3. In case of a tie, the choice shall be decided by lot
and drawn by the Secretary. The Secretary shall be responsible The Bylaws may be adopted, amended or repealed by a vote of
for assembling a council of tellers to assist in the tallying of two-thirds (2/3) of the regular members responding at a sched-
votes. uled meeting of the Society or by mail ballot as per Article XII
of these Bylaws.
Section 4. The induction of new directors shall occur at the
annual meeting. ARTICLE XVI - CONSTRUCTION
ARTICLE XI - QUORUM If there be any conflict between the provisions of the certificate
Section 1. Ten percent of the membership of the Society and of incorporation and these Bylaws, the provisions of the certifi-
five members of the Board of Directors, one of whom shall be cate of incorporation shall govern.
the Chair of the Board, or Vice Chair, shall constitute a quorum
for the transaction of business at the annual membership meet- ARTICLE XVII - DISSOLUTION
ing of the Society.
Section 2. A majority of the Board of Directors, one of whom The Society shall use funds only to accomplish the objectives
shall be the Chair of the Board or Vice Chair, shall constitute a and purposes specified in these bylaws and no part of said
quorum for the transaction of business by the Board of Direc- funds shall inure or be distributed to the members of the Soci-
tors of the Society. ety. On dissolution of the Society, any funds remaining shall
be distributed to one or more regularly organized and quali-
ARTICLE XII - INDEMNIFICATION fied, educational, scientific or philanthropic organizations to be
selected by the Board of Directors.
Every director, Officer, employee of the Society, and such others as
specified from time to time by the Executive Committee, shall be ARTICLE XVIII - PARLIAMENTARY PROCEDURE
indemnified by the Society against all expenses and liabilities, in-
cluding counsel fees, reasonably incurred or imposed upon them in Robert’s Rules of Order, as last revised, shall be the parlia-
connection with any proceeding to which they may be made a party, mentary authority for all matters of procedure not specifically
or in which they may become involved by reason of being or having covered by the Bylaws or by the specific rules of procedure
been a Director, Officer or employee of the Society, or any settle- adopted by the Society.
ment thereof, whether the person is a Director, Officer or employee
at the time such expenses are incurred, except in such cases wherein
the Director, Officer or employee is adjudged guilty of willful mis-
feasance or malfeasance in the performance of duties. The forego-
ing right of indemnification shall be in addition to and not exclusive
of all other rights to which the indemnified may be entitled.
ARTICLE XIII - REFERENDA
Whenever, in the judgment of the Board of Directors, any ques-
tion shall arise which it believes should be put to a vote of the
active membership and when it deems it is inexpedient to call
a special meeting for such a purpose, the Board of Directors
shall, unless otherwise required by these bylaws, submit such
a matter to the membership in writing by mail for vote and
decision, and the question thus presented shall be determined
according to a majority of the votes received by mail within
60 days after such submission to the membership. Any and all
action taken in pursuance of a majority mail vote in each such
case shall be binding upon the Society in the same manner as
would be action taken at a duly called meeting.
ARTICLE XIV - FISCAL YEAR
2012-2015
Strategic
Plan
OVERVIEW
On September 20, 2011, the Board of Directors of the Empire State Society of Association Executives (ESSAE)
conducted a Strategic Planning Session at its offices in East Greenbush, New York. The purpose of the session
was to provide a forum for ESSAE leaders and supporters to brainstorm ideas, share concerns and plan for the
future. Capitol Hill Management Services of Albany provided the facilitation for the session.
The following report outlines the content of the Strategic Planning Session. The document was finalized and
adopted by the board of directors at its meeting on February 2, 2012.
The following ESSAE leaders were present for the Strategic Planning Session:
Board of Directors Kathy Febraio, CAE, ESSAE Director
Executive Director
James Calvin, CAE, ESSAE Chair New York State Speech, Language & Hearing Association
President
New York Association of Convenience Stores Rebecca Marion Flach, ESSAE Director
Vice President of Membership & Communication
Robert Schneider, CPA, CAE, ESSAE Vice Chair Retail Council of New York State
Director of Finance
New York State School Boards Association Tina Gerardi, MS, RN, CAE, ESSAE Director
Chief Executive Officer
Randy McCullough, CAE, ESSAE Treasurer NYS Nurses Association
Deputy Executive Director
New York State Funeral Directors Association Lori Rehm, ESSAE Director
Assistant Director of Group Sales
Dick Poppa, CAE, AAI, ESSAE Immediate Past Chair The Sagamore
President & Chief Executive Officer
Independent Insurance Agents & Brokers of New York, Inc. Deb Trulli-Cassale, ESSAE Director
Ellen Bagley, ESSAE Director Joseph Van De Loo, ESSAE Director
Director of Information Services Chief Executive Officer
NYS Health Facilities Association, Inc. Association Development Group, Inc.
Carol Bartlett, ESSAE Director Staff
Senior Sales Manager
Visit Rochester Penny Murphy, CAE, ESSAE President & CEO
Cheryl Brenn, CAE, ESSAE Director Sarah Murphy, ESSAE Vice President
Director of National Programs
Hugh O’Brian Leadership for Youth Alaina Maldonado, ESSAE Director of Programs and Events
John Evers, ESSAE Director
Executive Director
Food Bank Association of NYS
Facilitation
Brian Buff of Capitol Hill Management Services/Center for
Non-Profit Development facilitated the session.
Strategic Vision
Mission: To advance the association profession through a community of
knowledge, sharing, education and advocacy.
Strategic Principles:
1. Be the primary organization to meet the needs of association and not-for-profit executives.
2. Be the recognized voice for the association profession.
3. Develop and promote educational programs and services to meet
the emerging needs of members and other ESSAE stakeholders.
GOal 1 – COMMUNITY- Provide leadership opportunities which advance and serve the profession of asso-
ciation and not-for-profit management, through service on the ESSAE board and other volunteer opportunities.
Provide annual forums for connecting association and not-for-profit professionals to establish valuable relation-
ships and share knowledge.
GOal 2 – INFORMaTION & KNOWlEDGE - Be the authority and clearinghouse for information on as-
sociation leadership and management.
GOal 3 – PROFESSIONal DEVElOPMENT/TRaINING - Provide relevant and timely learning experi-
ences and resources to enrich and improve professional and organizational effectiveness offered at the ESSAE
meetings and events, through our website, newsletters and publications. Be recognized as a preeminent source
of association professional development in New York State.
GOal 4 – aDVOCaCY & aWaRENESS - Successfully advocate and/or educate the profession, public,
elected leaders, legislative bodies and other stakeholders the contributions and value of the association manage-
ment profession. Be on the forefront of addressing the legislative and regulatory initiatives that affect
the practice of association and not-for-profit management.
GOal 5 – GROWTH & VITalITY - provide innovation and initiative to assure ESSAE’s growth, vitality
and continued ability to serve its members, through valuable educational initiatives, online resources, network-
ing opportunities, partnerships and other activities that contribute to membership growth and retention. Maintain
fiscal stability and viability in pursuit of ESSAE’s mission.
ESSAE
Perennial Goals
Effective Advocacy with Legislators & Regulators
ESSAE will effectively advocate on behalf of associations and on behalf of association
professionals with legislators, regulators, judicial bodies and other organizations as
necessary.
Effective Financial and Operational Management
ESSAE will operate the organization in a financially responsible manner and manage the
association’s infrastructure to optimize human and financial resources.
Effective Member and General Public Communications
ESSAE will execute tactics that achieve its communication goals with each of the key
audiences -- members, prospective members, the association community, related business
organizations, opinion leaders, consumers, and the media.
Effective Member Directive Governance
ESSAE will successfully manage its governance to effectively develop future leadership
and to maximize the involvement of association professionals to promote excellent policy
development.
Effective Membership Retention and Recruitment
ESSAE will engage in membership recruitment initiatives and strive to maintain a high
level of membership retention.
Effective Member Focused Education, Conferences and Member Resources
ESSAE will deliver consistently high quality education programs, trade shows and
conferences, and will provide high quality member programs, services and resources.
Perrenial goals from 2008 - 2010 Strategic Plan facilitated by Richard A. Poppa, AAI, CAE
Adopted by the board of directors December 11, 2008
GOal 1 – COMMUNITY Group to work with Staff Status
Strategy Membership
1 Refine and utilize the ESSAE database task force/project leaders
to:
SIG Chairs
a. recruit new members and target spe- Staff
cific member segments for program and
services Board
Board/Nominating Committee/Young
b. identify trends and opportunities for de-
velopment of new programs and services. Association
Professionals Group
2. With the exception of standing com-
mittees, abandon the traditional model of Board
committee service to one that affords the
member the opportunity to contribute in
the manner they wish. Solicit members to
join task forces for special projects, create
microvolunteering opportunities, such as
greeters, discussion facilitators, evalua-
tion collectors, resume reviewers, speaker
introducer, etc.
3. Open special interest groups to all
members and hold regularly to provide
more opportunities for contact and net-
working.
6. Develop a profile directory to deter-
mine external product and service needs
of members for the benefit of promoting
discounts for members as well as provide
information to suppliers to best serve ES-
SAE members.
7. Conduct a salary survey of CEO and
key staff in the upstate New York associa-
tions.
8. Continue Board efforts to review and
identify all possible candidates who could
bring their talents to ESSAE; expand cur-
rent leadership and continue reaching out/
recruiting these possible future leaders,
especially emerging young professionals.
Develop an across-the-board leadership
succession plan.
9. Utilize the information and resources
of ASAE and allied partners to enhance
ESSAE’s offerings and encourage commu-
nity among state and national association
communities.
GOAL 2 – INFORMATION & KNOWLEDGE
Strategy Group(s) to work with Staff Status
1. Continue to expand and utilize e- marketing
commnications with stakeholders.
2. Expand and utilize social media marketing
outreach to engage members and
prospective members in ESSAE
and its offerings.
3. Ensure that all ESSAE informa- board, members
tion is being distributed throughout
member-associations; conduct
educational effort with CEOs, ask-
ing them to forward/share/promote
ESSAE information through the
ranks.
4. Reduce print newsletter to six members
per year; each issue to focus on
topic areas, such as meetings, lead-
ership, finance, etc.
5. Establish a task force to develop marketing
an economic impact statement for
ESSAE to promote the organiza-
tion and association management
profession. Use the resulting infor-
mation for marketing and media
opportunities.
GOal 3 – PROFESSIONal DEVElOPMENT/TRaINING
Strategy Group(s) to work with Staff Status
1. Expand the Association Leader- ALA
ship Academy (ALA) offerings to
include a graduate level or ad-
vanced modules.
2. Brand other existing or new pro- board, program
grams to add cache—as with ALA.
3. Identify and develop needed members, program
topics as indicated by the mem-
bership in surveys and program
evaluations. Seek ways to enhance
programs through technology, in-
novation and high level presenters.
Continue to offer opportunities for
peers to share knowledge. Broaden
educational offerings to include
programs for 501(c) 3 not-for-prof-
its.
4. Continue to ally with organi- board, program
zations such as MPI, NYSHTA,
PRSA, SHRM to bring cutting
edge information and training to
members.
GOAL 4 – ADVOCACY & AWARENESS
Strategy Group(s) to work with Staff Status
1. Develop grassroots education/ government affairs, board
outreach program for ESSAE to
inform government officials of the
benefits and value of ESSAE.
2. Look into the feasibility of government affairs, board
conducting an ESSAE Education
Day at the New York State Capitol
where leaders and members can
promote the association, profes-
sion and contributions to the state’s
economy and society
3. Seek out opportunities that government affairs, board
concern the profession, such as
sessions with COPI, the Attorney
General’s Office of Charity, etc.
GOAL 5 – GROWTH & VITALITY
Strategy Group(s) to work with Staff
1. Work with supplier members board
to tailor advertising and sponsor-
ship solutions to encourage ongo-
ing relationships that are mutually
beneficial.
2. Establish bundled membership board
and sponsorship/advertising oppor-
tunities for association executives
and suppliers.
3. Discuss the possibility of estab- board
lishing an ESSAE foundation, to
afford more opportunities to ap-
ply for grants and save money on
programming.
ESSAE 2015
A solid and expanding core of members interested in being a vital part of a community of
associations and nonprofits who share knowledge, make a difference
to our stakeholders and look to innovation and expertise to shape the future
of the organization for the benefit of the membership.
mobile apps video conferences statewide connections
think tanks
webinars
microvolunteering opportunities social gatherings
mentor program
partnerships Association Leadership Academy professional development
awards and recognition benchmark studies and models
study sessions
member discounts
online communities career resources
special projects special interest groups internship program for
associations
A solid foundation of past A vibrant and active com-
chairs, founders and tenured munity of both young and
members providing historic tenured association execu-
reference and knowledge tives who have access to
who can be called upon for the most timely educational
think-tanks, projects, pro- and informational services
grams and guidance. and diverse opportunities
for networking.
2012-2015
Strategic Plan
Strategies
BoaRD TIMElINE STaTUS
Goal 1 – CoMMUNITY Engaged Whorton Marketing Report was delivered April 2012. Cost
& Research at .80 per survey. $99 for participants, $199 nonpartici-
Conduct a salary survey of CEO and key staff in Survey sent in March, pants.
the upstate New York associations. board
Empire State 67 37%
Continue Board efforts to review and identify all Need to set up a meeting with Working with Whorton Group and allieds
possible candidates who could bring their talents board (or a subgroup) Nominat- to develop an economic impact study.
to ESSAE; expand current leadership and con- ing and Young Professionals to Survey being developed 10/13.
tinue reaching out/recruiting these possible future discuss a succession plan. New
leaders, especially emerging young professionals. chair of YAP contacted.
Develop an across-the-board leadership succes-
sion plan. (board/Nominating Committee/Young Outreach to Greg Melia at ASAE Collaborated with the NESAE on Well-
Association Professionals Group) regarding working more together; ness and Leadership Event. Nine NESAE
no response - will follow up. Spoke attendees participated in the two-day
Utilize the information and resources of ASAE and with Baron at ASAE regarding event at The Sagamore.
allied partners to enhance ESSAE’s offerings and bookstore during conference; ASAE
encourage community among state and national as- will send a few titles to display, cata-
sociation communities. board logs, and book flyers, and will set
up a promotion code that would be
active in their online store to would
give our attendees 10% off member
pricing during our conference.
Goal 2 – INFoRMaTIoN & KNoWlEDGE This initiative will follow member- In the first two weeks of November,
ship project of refining database. in preparation for the 2013 budget,
Ensure that all ESSAE information is being dis- Penny is calling all CEO members
tributed throughout member-associations; con- CEOs need to identify secondary to discuss 2013 professional devel-
duct educational effort with CEOs, asking them members for succession planning opment needs, and encouraging their
to forward/share/promote ESSAE information and professional development. promotion of ESSAE programs and
through the ranks. board, members services to their staff.
Staff met with new CEO Brad Gill
regarding ESSAE offerings 9/9.
Goal 3 – PRoFESSIoNal DEVEloPMENT/ We are attempting to fuse two 2013: ESSAE will partner with the
TRaINING programs together - the Wellness NYS Hospitality and Tourism Asso-
and Wisdom Day - with the An- ciation for its 2013 Meetings Institute.
Brand other existing or new programs to add nual Leadership Symposium. The
cache—as with ALA. board, program “Wellness and Leadership Sympo- A technology forum was held on
sium” will be held at the Turning April 4 at which Garry Polmateer
Continue to ally with organizations such as MPI, Stone Resort September 27-28. talked about technology disrupters.
NYSHTA, PRSA, SHRM to bring cutting edge Attendees were very positive about
information and training to members. board, ESSAE is working with Gram- the meeting and look forward to
program mercy Communications to hold a future gatherings.
media training program in April for
members. We will also be working ESSAE partnered with the New
with NBT Bank on a program on England SAE for its Wellness and
Fraud during the summer. Leadership Event on September 11-12
at The Sagamore.
STATUS
The third tier of the Association
2012: March featured a joint effort with Leadership Academy is developed
MPINENY. The Joint Meetings Institute with The College of Saint Rose. 18
had 100 attendees. Proceeds were split participants enrolled for the 8 session
between the two organizations. certificate course.
The fusion of Wellness day was moder- A CEO forum on Small Association
ately successful, with 60+ attendees to Survival is being held on December
events and programs. 10 in response to calls for assistance.
BOARD TIMELINE STATUS
GOAL 4 – ADVOCACY & AWARENESS A meeting of the government affairs
committee needs to take place.
Develop grassroots education/outreach program
for ESSAE to inform government officials of the ESSAE has been monitoring the
benefits and value of ESSAE. government af- recent guidelines posted by JCOPE,
fairs, board as well as responses by lobbying
groups.
Look into the feasibility of conducting an ES-
SAE Education Day at the New York State Capi- In response to a member request,
tol where leaders and members can promote the ESSAE disseminated informa-
association, profession and contributions to the tion regarding an effort to collect
state’s economy and society. government affairs, signatures for a comment letter
board in response to JCOPE regulations
requiring disclosure of income. The
Seek out opportunities that concern the profes- comment letter was sent with more
sion, such as sessions with COPI, the Attorney than 30 signatures by concerned
General’s Office of Charity, etc. government af- associations.
fairs, board
Worked with Jason Lilien to refine
Not for Profit Revitalizationi Act,
Provided letters of support to AG,
legislation sponsors and Governor.
Two of the five programs offered at
the 10/13 Autumn ideas event focus
on advocacy.
GOAL 5 – GROWTH & VITALITY Sarah has been working one- 2012 Sarah’s efforts in garner-
on-one with regular advertisers ing sponsors and advertising has
Work with supplier members to tailor advertising and sponsors to tailor a pro- increased our revenues in those
and sponsorship solutions to encourage ongoing gram to best suit their needs. categories over the previous year.
relationships that are mutually beneficial.
Sarah developed a bundled We have garnered a new spon-
Establish bundled membership and sponsorship/ sponsor/advertising opportu- sor/advertiser, Geico, for 5K.
advertising opportunities for association execu- nity sheet (attached) to attract
tives and suppliers. larger sponsors. 2013: Two membership recruit-
ment efforts were made in 2013
Discuss the possibility of establishing an ESSAE Gathering information; will in the Spring and Fall. The first
foundation, to afford more opportunities to apply set up meeting with those who garnered 8 new CEOs. The sec-
for grants and save money on programming. recently started a foundation to ond was an offer to attend the au-
discuss +/- tumn event for free to prospects.
Six prospects attending.
A chart detailing the decline of
advertising and sponsorships
from 2008 to date will be sent
to associate members requesting
future support.
As a project for future income,
ESSAE embarked on a executive
search and resume assistance ef-
fort. Currently ESSAE is working
with the NYS Association of Fire
Chiefs to replace its CEO.
ala TIMElINE STaTUS
Goal 3 – PRoFESSIoNal DEVEloPMENT/ Expecting to hear back from St. Lecture Series One: Friday, October 19, 2012
TRaINING Rose regarding the advanced Presenter Marc Hardy, Ph.D., Director of
ALA program in mid-September Nonprofit Executive Programs, Nonprofit
Expand the Association Leadership Academy regarding roll-out, terms etc. Professional Development, University of
(ALA) offerings to include a graduate level or Notre Dame will present a three-hour lecture
advanced modules. titled “Sharing Fire: the Power of Personal
Encouragement Philanthropy.”
GoVERNMENT aFFaIRS
Lecture Series Two: Friday, November 9,
Goal 4 – aDVoCaCY & aWaRENESS 2012
David M. Van Slyke, Ph.D., Department
Develop grassroots education/outreach program of Public Administration and International
for ESSAE to inform government officials of the Affairs, Maxwell School of Citizenship and
benefits and value of ESSAE. Public Affairs, Syracuse University will pres-
ent a three hour program entitled “Strategic
Look into the feasibility of conducting an ES- Management for Association Executives.”
SAE Education Day at the New York State Capi-
tol where leaders and members can promote the A meeting of the government affairs com-
association, profession and contributions to the mittee needs to take place.
state’s economy and society
ESSAE has been monitoring the recent
Seek out opportunities that concern the profes- guidelines posted by JCOPE, as well as
sion, such as sessions with COPI, the Attorney responses by lobbying groups.
General’s Office of Charity, etc.
In response to a member request, ESSAE
disseminated information regarding an
effort to collect signatures for a comment
letter in response to JCOPE regulations
requiring disclosure of income. The com-
ment letter was sent with more than 30
signatures by concerned associations.
The GAC committee conducted a confer-
ence call to discuss the AG legislation and
make recommended revisions. The legisla-
tion was sent to the Governor for signing.
MaRKETING A successful revamp of the ESSAE Web site
affords more opportunities for social outreach,
Goal 2 – INFoRMaTIoN & KNoWlEDGE with more additional resources being added.
Continue to expand and utilize e-commnications New national data from ASAE updated on
with stakeholders. web site.
Expand and utilize social media outreach to en- Alaina continues to add more resources to
gage members and prospective members in ES- the Web site, and provides ongoing informa-
SAE and its offerings. tion, articles of news of interest on both our
facebook and web site pages.
Establish a task force to develop an economic
impact statement for ESSAE to promote the orga- 2013: The newly developed suppliers guide
nization and association management profession. was created at no charge to ESSAE.
Use the resulting information for marketing and
media opportunities. A new speaker listing feature was added to the
membership directory, listing speakers on a
variety of topics.
A list of lobbyists and strategic planning
facilitators will be added in October.
ESSAE has a presence on all major social
media sites and is most active in Facebook.
Staff updated and refreshed buttons and im-
ages on Web pages. Reviewed all allied web
sites for ideas and implementation is taking
place ongoing.
MEMBERSHIP TIMElINE STaTUS
Goal 1 – CoMMUNITY Committee met in June. members as well as attracting new members
· ESSAE will develop targeted approaches
1 Refine and utilize the ESSAE database to: · Current ESSAE members will be to specific prospect groups (executives,
encouraged to bring a non-member to middle management, young professionals)
a. recruit new members and target specific mem- events such as October’s Idea Market for recruitment
ber segments for program and services · Committee, Board and tenured · ESSAE will research existing models of
members will be asked to serve as organization-wide memberships for larger
b. identify trends and opportunities for develop- ambassadors at ESSAE (and other) member organizations, and bundled event
ment of new programs and services. events to assist in familiarizing new registration-membership fees to encourage
and prospective members with exist- additional and on-the-spot memberships,
NoMINaTING ing ESSAE members respectively
· ESSAE will request its executive · ESSAE will utilize existing membership
Goal 1 – CoMMUNITY members bring a non-member CEO in NYCOM to reach out to prospects in the
to executive forums (and receive a educational and charitable realms to bolster
Continue Board efforts to review and identify all discounted rate if a fee is charged) affiliate memberships
possible candidates who could bring their talents · ESSAE will obtain ASAE member · ESSAE will research a potential col-
to ESSAE; expand current leadership and con- list to identify additional prospects laboration with the Rockefeller Institute to
tinue reaching out/recruiting these possible future · Committee will review ESSAE’s offer governance programming to engage
leaders, especially emerging young professionals. website, make suggestions to enhance a significant cross-section of current and
Develop an across-the-board leadership succes- with regard better serving existing prospective members
sion plan.
By October 15 – confirm current board board was sent, and returned survey
interest for 2013 service, and identify of interest for service in 2013
those rotating off the board.
Board chair requested name(s) from
By October 20 – solicitation to the each board member for recommenda-
membership for 2013 board openings tion to 2013 board.
By December 10 – send nominating A list of prospects was provided to
committee candidate submission list to the board during the Spring and Fall
prepare slate recruitment efforts with a request for
board outreach.
By December 20 – meeting or confer-
ence call to finalize slate The board was also charged with
identifying future leaders for the
By January 1 – notice to membership board and many have submitted
of proposed slate recommendations.
February 7 – Annual Meeting and
Awards Banquet, Albany Hilton down-
town, 5 pm
TaSK FoRCE/PRojECT lEaDERS Solicitation was very suc-
cessful, with sign ups of all
Goal 1 – CoMMUNITY standing committees and
task forces, and an addi-
With the exception of standing committees, aban- tional 30 sign ups for mi-
don the traditional model of committee service croopportunities. Greeters,
to one that affords the member the opportunity to eval collectors and speaker
contribute in the manner they wish. Solicit mem- introducers will be utilized
bers to join task forces for special projects, create starting at April 24 event.
microvolunteering opportunities, such as greet-
ers, discussion facilitators, evaluation collectors,
resume reviewers, speaker introducer, etc.
PRoGRaM TIMElINE STaTUS
Goal 3 – PRoFESSIoNal DEVEloPMENT/ We are attempting to fuse two ESSAE partnered with the New
TRaINING programs together - the Wellness England SAE for its Wellness and
and Wisdom Day - with the An- Leadership Event on September 11-
Brand other existing or new programs to add nual Leadership Symposium. The 12 at The Sagamore.
cache—as with ALA. board, program “Wellness and Leadership Sympo-
sium” will be held at the Turning A technology forum was held on
Identify and develop needed topics as indicated Stone Resort September 27-28. April 4 with Garry Polmateer on
by the membership in surveys and program evalu- technology disrupters.
ations. Seek ways to enhance programs through Program committee recommend-
technology, innovation and high level presenters. ed topics for the year, which ESSAE partnered with the New
Continue to offer opportunities for peers to share include a mobile app session and England SAE for its Wellness and
knowledge. Broaden educational offerings to a program on grants writing. Leadership Event on September 11-
include programs for 501(c) 3 not-for-profits. 12 at The Sagamore.
2012: March featured a joint effort
Continue to ally with organizations such as MPI, with MPINENY. The Joint Meetings The third tier of the Association
NYSHTA, PRSA, SHRM to bring cutting edge Institute had 100 attendees. Proceeds Leadership Academy is developed
information and training to members. were split between the two organiza- with The College of Saint Rose. 18
tions. participants enrolled for the 8 session
certificate course.
The fusion of Wellness day was mod-
erately successful, with 60+ attendees ESSAE met with CVB representa-
to events and programs. tives on ways to improve the 2014
annual conference and exhibit. The
2013: ESSAE partnered with the NYS TS task force will meet 11/1 to dis-
Hospitality and Tourism Association cuss theme, sponsor ideas, program-
for its 2013 Meetings Institute. ming and attendance building.
YoUNG aSSoCIaTIoN PRoFESSIoNalS We hope to schedule a meet- Alaina has been doing a great job
ing of the YAP, under a new of building up the Young Associa-
Goal 1 – CoMMUNITY chair, following the work of tion Professionals page to generate
the membership initiative. interest by our newest members.
Continue Board efforts to review and identify all http://www.essae.org/?page_
possible candidates who could bring their talents id=1039
to ESSAE; expand current leadership and con-
tinue reaching out/recruiting these possible future A list of young professionals is
leaders, especially emerging young professionals. building, and a number of new
Develop an across-the-board leadership succes- members have expressed interest
sion plan. in working with staff in developing
programs and events.
The YAP group met Thursday,
April 18. There were ten in at-
tendance and the discussion was
lively and enthusiastic. Plans are
being made for a variety of future
offerings, including more breakfast
meetings, charity work and social
events.
CEO Survey Responses
Hello ESSAE CEOs!
In an effort to produce meaningful and useful programs and services for our members in 2013, we are calling on the chief executives of our member associa-
tions to provide input on your opinions to the following three questions:
1. In what ways could ESSAE assist you in 2013?
2. What kinds of professional development would you like to see offered by ESSAE in 2013, both for yourself and your staff (e.g., addressing a specific
challenge, meeting a certification requirement, gaining access to specific new knowledge)
3. What service(s) would you like to see ESSAE provide in 2013 that is not currently offered to members?
Jay Simson, CAE, President 1. I haven’t been to many programs due to a schedule that makes getting out tough. Best programs are
ACEC New York those either early 7:30am or at lunch so I can tie in a meal and quick (1-1.5 hours total) program/learning
session. Our biggest association issues are dealing with JCOPE and their challenges with uncertainties and
Answered below- but please probably learning new things on what associations are doing with technology to serve members- that’s af-
note that I haven’t attended a fordable and not too complex for staff to learn and implement.
session in quite some time due
to other commitments. 2. Noted above- technology for all aspects of association management
3. ??
Mark R. Nelson, Ph.D., MBA, 1. My association? Hard to say. I know where many of our problems are, but the staff involved are not
CAE, CIO, here in NY. Me personally – the networking and knowing of possible other opportunities is always of
National Association of interest.
College Stores
2. One area we (and several other associations I have observed) could use some PD would be around “pub-
Diane Kennedy lic relations” – how to recast our association and its value/relevance. Sort of the “it takes a professional”
President idea – how do we communicate to the public or other constituencies the value of our particular profession/
New York News Publish- industry to others. I have seen a few associations grapple with this problem – NACS certainly does. Just a
ers Assn. thought.
3. Again, not entirely sure. ESSAE meets the needs and expectations I have of it. Focus and good deliv-
ery is sometimes the right thing. I will keep thinking on it though and see if something particular comes to
mind.
Hi, Penny! Actually, I would have suggested something on telecommuting, but of course, I’m registered
for the session next week. I think as budgets tighten, we’ll all have to find ways to save money, and office
rental is a big chunk of our budget. Albany landlords have somewhat of an unwritten “gentleman’s agree-
ment” to keep rents at a certain level, and our experience has been that they will leave office space empty
for years rather than offer lower rent than the going price. It makes it very difficult for a small association
like ours to maintain office space anywhere near downtown Albany. But maybe others have found ways to
minimize the space they need and use some mixture of telecommuting and flexible work schedules to make
it work. And this may be something next week’s program will address, but I’d love a hands-on session
on using Skype and other remote meeting tools. I’d also love to see sessions on different types of health
insurance, retirement benefits, etc. I always get a lot out of the sessions on financial best practices and
how to comply with new laws and accounting standards.Some of the state agencies are now focusing their
enforcement efforts on smaller associations. Thank you for asking for our input! I know you do a whole lot
with very little, and even though I don’t get as involved as I should, I really appreciate what you do.
CEO Survey Responses - 2
Carol Napierski 1. I wonder if ESSAE creates a virtual office that smaller providers could buy resources like:
Executive Director Graphic support
NY Medical Equipment Administration support
Providers IT support
2.
3. SIG- operational management: share ideas of efficiencies and resources avaialble
Tom Stebbins 1. So far, so good! The professional development stuff is great. If we could get more downstate
Executive Director folks involved that would be excellent, since many of us have lots of NYC members and it would
Lawsuit Reform Association be helpful to connect more with the City.
of NYS
2. Fundraising/membership would be a strong value-add. I feel like I am doing most everything
right, except for fundraising.
3. Frankly (and this is probably my fault), I am not sure what you all offer. Do you all have
insurance plans? I don’t even know. A quick and handy reference list would help.
Michael J. Mendrick 1. Keep doing what you are doing – being inventive, innovative and responsive. Even though I
Executive Director may not be at each (or even many) events these days I still appreciate the energy and effort you
Professional Ski Instructors of put into programming and services for members.
America
American Association of 2.
Snowboard Instructors
Eastern Division 3. Free money, free cars, free vacations. J Other than that I think you are on target with the com-
bination of social and professional programming you offer. Congrats and thanks to all on the staff
Vito Grasso and BOD. . .
Executive Director
NYS Academy of 1. Negotiate agreements with vendors commonly used by associations for discounted services
Family Physicians and products such as:
- Audits
- Media relations
- Printing
- Website design and maintenance
- Teleconferencing
- Webinars
- Travel insurance
- Event insurance
- Health insurance
- Vision and dental insurance
- Human resources compliance (state and federal labor law)
- Payroll services
2. I have two employees going through the CAE process. It would be helpful if ESSAE could
offer a sample test experience for CAE candidates; i.e. an actual test using questions from a previ-
ous exam with a panel of experts who would walk through the questions and responses with the
candidates. We do something similar with physicians who are required to take self assessment
modules to maintain their board certification. The dialogue regarding how to answer questions is
very helpful in teaching candidate how to organize their thoughts and what to look for in deter-
mining what the question covers.
3. Access to group insurance products and discounts.
CEO Survey Responses - 3
Mark Yavornitzki, CAE Since I am no longer a Chief Executive of a member association, I’m not sure I can answer all the
Principal questions. But as a Contract Consultant/Lobbyist, I would emphasize the need to continue having
GR Initiatives, LLC a yearly program devoted to Advocacy and to perhaps include updates on JCOPE rules and regu-
lations and their effect on association lobbyists and lobbying client associations.
Also, have we ever considered getting together a couple times a year, those of us who have served
as Board Chairs and are still around and in the association business for coffee and donuts at the
ESSAE office, (or a brown bag lunch) just to catch up with one another, exchange ideas and to
stay in touch with what is going on with the association?
Peter Mannella 1. I struggle with membership development and quantifying the benefits of membership----ideas
Executive Director and support in this area would help a lot
New York Association for Board training and fiduciary training
Pupil Transportation & Succession planning---enough said
Cyr Foundation for Excel-
lence in School Transporta- 2. Budget development and management (corollary---reading and analyzing financial state-
tion ments and P&Ls)
Also---time management---keeping a focus on important tasks and not losing time in the minutiae
(Hard for a solo operation)
Planning operations --- setting timelines for projects and such
3. Cracker barrel opportunities---to share ideas and frustrations
What happens when I burn out? What to do?
Mechanics of conference planning---is there an assumption that ESSAE members inherently
KNOW what to do?
Richard A Poppa, CAE, AAI 2. In light of Sandy, a class or multi-part webinar series on the role associations
President & Chief Executive play for their members and the industry they serve during crisis situations would
Officer be great. It should include a segment on internal communications plans to keep
Independent Insurance your staff safe and able to assist, communications to members—how, what and
Agents & Brokers of New what means, social media uses in these times, advocacy checklist of things to ad-
York, Inc. dress for members, disaster preparedness planning, etc.
More programming in the area of advocacy/legislative activities. ESSAE intro-
duced a day-long program 2 years ago that was excellent. It was really the only
program focused on the advocacy/legislative activities of associations.
Programs on revision of UBIT statutes, change in dues deductibility, change in
charitable deductions, healthcare etc.
3. More Webinars that offer CAE credits as it is difficult to get to Albany for
classes all of the time. A topic could address the increased scrutiny that 501 c(6)
organizations may face in the future by the IRS and perhaps give checklists or
some tangible thing to help us prepare and measure our vulnerability and identify
where it is.
2014 Jan Feb ESSAE Membership Report Nov Dec
156 2012 - 2014
61 124
90 Mar Apr May June July Aug Sept Oct
157 42
A1 - primary association 156 24 157 123 124 124 122
A2 - secondary 61 14 64
association 57 46 45 45 42 139
8
A3 - tertiary association 90 90 64 64 64 63 20
S1 - primary associate 160 510 151 130 137 139 139 11
7
S2 - secondary associate 24 25 19 18 18 20 22
Affiliate 14 15 10 10 11 11 3
Honorary 8 7 4 6 6 6 4
CVB 1 23 23 23 22 436
CVB 2 513 502 5 4 4 3
CVB 3 4 4 4 4
Total 428 435 438 432
2013
A1 - primary association 109 127 146 150 152 152 153 155 156 156 156 156
A2 - secondary
association 37 52 57 61 61 61 61 61 61 61 61 61
A3 - tertiary association 71 82 87 89 91 91 91 91 90 90 90 90
S1 - primary associate 59 100 145 156 157 158 159 161 162 163 164 163
S2 - secondary associate 8 13 22 24 24 24 24 24 24 24 24 24
Affiliate 0 8 10 12 12 12 13 14 14 14 14 14
Honorary 8 8 8 8 8 8 8 8 8 8 8 8
Total 292 390 475 500 505 506 509 514 515 516 517 516
2012
A1 - primary association 109 118 146 149 151 151 150 150 152 152 153 153
ESSAE Membership Report
2012 - 2014
A2 - secondary 48 52 59 60 61 62 62 63 62 62 63 63
association
78 91
A3 - tertiary association 72 102 92 92 93 93 93 93 92 92 91 166
S1 - primary associate 78 159 160 160 161 163 165 166 166 166
16 27
S2 - secondary associate 14 10 20 22 26 28 28 28 27 27 27 14
Affiliate 8 8 12 13 13 12 13 13 13 13 14 8
Honorary 8 384 8 8 8 8 8 8 8 8 8 522
Total 337 496 504 512 515 517 520 520 520 522
2011
A1 - primary association 120 133 142 144 148 151 153 154 154 154 155 156
A2 - secondary 39
association 45 48 54 61 62 63 63 63 63 63 64
A3 - tertiary association 67 73 81 87 96 99 101 103 104 104 105 105
S1 - primary associate 75 94 103 134 149 159 165 166 166 166 168 169
S2 - secondary associate 11 16 19 21 22 23 23 23 23 24 24 24
Affiliate 7 9 12 14 14 15 15 15 15 15 15 16
Honorary 7 7 7 7 7 7 7 7 7 7 7 7
Total 326 377 412 461 497 516 527 531 532 533 537 541
ESSAE Program Attendance
2011-2015
2011 2012 2013 2014 2015
n/a n/a
January none '11 & '13, Revit/Reform NPs '12 n/a 21 n/a 150
• Seminar
February Annual Meeting & Awards Banquet 202 187 181 133
March Meetings Institute (with MPI 2012) 53 111 51 47
• Seminars 65 incl 40 51
• Luncheon
April Assn Metrics '11, Reten Wars '12, Tech & YAP Forums '13 21 54 12, 11td n/a
• Seminar
• Luncheon 34 50 n/a n/a
May Annual Conference & Exposition 81 77 109 66
• Education Sessions (5 in 2013, 7 in 2014) 288 299 318 182
• Luncheon 208 198 102 124
• Expo Attendees 220 217 215 180
• Exhibitors 125 125 111 102
• Booths
79+8
September Wellness & Leadership Symposium 79 nesae 35
• Bob Harris 2012, Paul Belford 2013 n/a
n/a 18 13 25
• Wisdom Session 35
• Networking Reception & Dinner 20 21 30 10
• Golf 12
• Cruise (2014-river, museum) 46 69 86
20 26 23
n/a n/a 36
October Autumn Idea Market (Nov '13) 74 63 86 81
• Seminars 57 47 71 61
• Luncheon 60 48 65 62
November Membership '11 84 n/a n/a n/a
December Annual Holiday Party 206 196 181 180
2015 ESSAE OFFICERS AND BOARD OF DIRECTORS
Chair Immediate Past Chair Vice Chair
Kathy Febraio, CAE Ellen Melchionni, CAE Debra Trulli-Cassale
Executive Director Vice President Park Strategies, LLC.
NYS Speech-Language-Hearing President
NY Insurance Association 125 State Street
Association Inc. 130 Washington Avenue Albany , NY 12207
930 Albany Shaker Road
Albany, NY 12210 (518) 426-3800
Latham, NY 12110 518-432-4227; Fax 518-432-4220 [email protected]
518-786-0947; Fax: 518-786-9126
[email protected] www.parkstrategies.com
[email protected] www.nyia.org Secretary
www.nysslha.org
Treasurer Tom Coté, MBA, CAE
Executive Director
Rebecca Marion Flach
Executive Director NYS Psychological Association
3 Pine West Plaza, Suite 308
Hope Full Life Center, Inc. Albany, NY 12205
2480 US Route 9W (800) 732-3933
Ravena, NY 12143( [email protected]
518-894-4828 www.nyspa.org
[email protected]
Brian Buff Darryl Leggieri Sue Ellen Wagner
Vice President Director of Sales & Marketing Executive Director, Healthcare Trustees of
Association Management Division The Saratoga Hilton New York State and
Capitol Hill Management Services, Inc. 534 Broadway VIce President, Community Health
1450 Western Avenue, Suite 101 Saratoga Springs, NY 12866 HANYS
Albany, NY 12203-3539 518-693-1000 One Empire Drive
(518) 463-8644 Ext.125 [email protected] Rensselaer, NY 12144
[email protected] www.thesaratogahotel.com 518-431-7837
Donna Denley, CAE Kristen Myers CAE [email protected]
Director of Finance Senior Director of Member Services
NYS Academy of Family Physicians LeadingAge New York ESSAE Staff:
260 Osborne Road 13 British American Blvd., Suite 2 Penny Murphy, CAE
Loudonville, NY 12211 Latham, NY 12110
518-489-8945 (518) 867-8847 President & CEO
[email protected] [email protected] [email protected]
Jeannine S. Garab www.leadingageny.org Alaina Maldonado
Executive Director Mark R. Nelson, Ph.D., MBA, CAE Director of Programs and Events
Epilepsy Foundation of Northeastern New Independent Consultant and Researcher [email protected]
York, Inc. Failsafe Innovation LLC
3 Washington Square 31 Shaker Bay Rd 518-463-1755
Albany, NY 12205 Latham, NY 12110
(518) 456-7501 http://thecite.blogspot.com
[email protected] [email protected]
Kelly L. Garceau James Page
Executive Director Director of Information Technology/
New York Physical Therapy Association Member Services
5 Palisades Drive, Suite 330 NYS School Boards Association
Albany, NY 12205 24 Century Hill Drive
518-459-4499 Latham, NY 12110
[email protected] 518-783-3748
Kim Keenan [email protected]
Sales Manager Tom Stebbins
Turning Stone Resort Executive Director
P.O. Box 126, 5218 Patrick Road Lawsuit Reform Alliance of New York
Verona, NY 13478 99 Washington Ave, Suite 310
315-361-8505 Albany, NY 12210
[email protected] (518) 512-5265
[email protected]
www.lrany.org
Board Roles
Know ESSAE’S ConStitution And By-LAwS
REAd BoARd mAtERiALS pRioR to mEEtingS
AttEnd BoARd mEEtingS, EduCAtionAL pRogRAmS And Any funCtionS whERE
youR pRESEnCE AS A BoARd mEmBER wouLd BE BEnEfiCiAL
pARtiCipAtE And RECRuit mEmBERS in ESSAE gRASSRootS EffoRtS
ASK quEStionS of thE mEmBERShip--ACt AS LiAiSon/omBudSmAn foR pRofES-
Sion
KEEp up diALoguE with othER BoARd mEmBERS
BE pREpAREd to pARtiCipAtE in BoARd dELiBERAtionS
SuppoRt ESSAE poSitionS
oBSERvE pARLiAmEntARy pRoCEduRES
REfRAin fRom intRuding on AdminiStRAtivE iSSuES thAt ARE thE RESponSiBiL-
ity of mAnAgEmEnt, ExCEpt to monitoR thE RESuLtS And pRohiBit mEthodS
thAt ConfLiCt with BoARd poLiCy
SuppoRt ACtionS tAKEn By thE BoARd on BEhALf of thE mEmBERShip EvEn
whEn in A minoRity poSition on SuCh ACtionS
Board Responsibilities
* dEfinE whAt SuCCESS iS foR thE ASSoCiAtion, thEn mEASuRE, EvALuAtE
* EStABLiSh A dECiSion mAKing StRuCtuRE foR poLiCy dEvELopmEnt
* dEfinE thE ASSoCiAtion’S viSion foR thE futuRE - StRAtEgiC pLAn
* fuLfiLL fiduCiARy oBLigAtionS - mEEt LEgAL And finAnCiAL
* SERvE AS ChAmpionS of thE ASSoCiAtion
EnSuRE miSSion of ESSAE iS CARRiEd out And thAt thE ASSoCiAtion opERAtES
within itS ByLAwS
ContinuE thE LEgAL oR CoRpoRAtE ExiStEnCE of thE ASSoCiAtion. EnSuRE
thAt it mEEtS LEgAL REquiREmEntS foR thE ConduCt of BuSinESS.
Adopt poLiCiES whiCh dEtERminE thE puRpoSE, govERning pRinCipLES, funC-
tionS And ACtivitiES And CouRSE of ACtion foR thE ASSoCiAtion.
mAintAin fiduCiARy RESponSiBiLity
- SEt finAnCiAL poLiCiES And AnnuAL BudgEt
- dELEgAtE impLEmEntAtion of poLiCiES to thE ChiEf StAff ExECutivE &
monitoR
ContRiButE to thE oRgAnizAtion’S Bottom LinE
mAintAin EthiCAL StAndARdS
- mAintAin BoARd ConfidEntiALity
- RECognizE ConfLiCtS of intERESt
RESpECt And SuppoRt StAff
- mAintAin AppRopRiAtE LinES of CommuniCAtion
- undERStAnd And mAintAin SEpARAtE RoLES
RESpECt othER BoARd mEmBERS
EnhAnCE thE puBLiC imAgE of ESSAE
RECRuit othER voLuntEERS
Board Relationships
Association: A group of people who voluntarily come together to solve common problems, meet common
needs and accomplish common goals. An effective association is one that recognizes and focuses on the
common SELf-intEREStS of its members.
three basic functions of the board:
to APPROVE outcomes to be accomplished
to make sure the desired outcomes are being ACHiEVED
to ensure that RESOURCES necessary for achievement are available and used EffiCiEntLy.
three primary roles of the board: Adjudicatory
Corporate: Choose between positions presented:
- make choice
- hire the chief staff officer - compromise/creative alternative
- maintain a strategic plan - decide not to decide
- oversee programs and resources of the
organization
Legislative
- establish operational policy
- approve positions on issues of interest to
the membership
Distinction between Governance and Management
Governance: Management:
Specifies outcomes, constraints and desires. Specifies process to achieve outcomes within gov-
May suggest how best to accomplish desired ernance restraints
outcomes.
MUSt participate in decisions about constraints
Determines financial resources available to to ensure flexibility required to accomplish out-
management and generally where the available comes.
resources are to be allocated. Can serve as a source of needs and desires pre-
sented to governance.
Informs governance of resources required and
recommends cost effective allocation.
Identifies information required to make sound Identifies information needed for sound policy
policy decisions and makes decisions regarding decision-making, may make policy recommenda-
policy. tions and participate in policy deliberations. Speci-
fies process for carrying out policy.
Maintains focus on the good of the organization. Maintains focus on the good of the organization.
Monitors progress and initiates conflict resolution Monitors progress and initiates conflict resolution
where required to move the association ahead. where required to move the association ahead.
Board Rights
to BE fuLLy infoRmEd ABout RESponSiBiLitiES, timE CommitmEnt, oRgAnizAtion,
EtC. BEfoRE ACCEpting thE poSition of BoARd mEmBER
to hAvE oppoRtunitiES foR oRiEntAtion And BoARd tRAining whiCh wiLL ASSiSt
thE BoARd mEmBER to funCtion EffECtivELy
to BE KEpt infoRmEd thRough ACCuRAtE finAnCiAL REpoRtS, REguLAR And
thoRough BRiEfingS By StAff, EtC., ABout thE opERAtion of thE oRgAnizAtion.
to ExpECt thAt voLuntEER timE wiLL not BE wAStEd By LACK of pLAnning, Co-
oRdinAtion oR CoopERAtion within thE oRgAnizAtion oR BoARd
to BE ASSignEd joBS thAt ARE woRthwhiLE And ChALLEnging, with fREEdom to
uSE ExiSting SKiLLS oR dEvELop nEw onES.
to BE ABLE to dECLinE An ASSignmEnt if SKiLLS/intERESt iS not AppRopRiAtE
to hAvE SuCCESSfuL joB ExpERiEnCES thAt pRovidE oppoRtunitiES foR pERSonAL
gRowth
to BE tRuStEd with ConfidEntiAL infoRmAtion thAt wiLL hELp thE BoARd mEm-
BER CARRy out ASSignmEntS And RESponSiBiLitiES
to Know thAt whEthER oR not thE voLuntEER woRK iS EffECtivE And whAt RE-
SuLtS hAvE BEEn oBtAinEd
to BE RECognizEd At AppRopRiAtE timES foR onE’S woRK And invoLvEmEnt AS A
BoARd mEmBER.
Liability of Officers and Directors
offiCERS And diRECtoRS of An ASSoCiAtion oRdinARiLy SERvE voLuntARiLy
without pAy thEy SERvE BECAuSE of thEiR intERESt in SEEing thE tRAdE oR
pRofESSion AdvAnCE
thERE iS A RiSK of pERSonAL LiABiLity StEmming fRom BoARd ACtivitiES on
BEhALf of thE ASSoCiAtion. oRdinARiLy, An ASSoCiAtion offiCER oR diRECtoR
who ACtS in good fAith - uSing oRdinARy diLigEnCE And CARE - wiLL not BE
found LiABLE.
in gEnERAL, An honESt offiCER oR diRECtoR who uSES REASonABLE diSCREtion
hAS no pERSonAL LiABiLity foR thE ASSoCiAtion’S dEBtS oR oBLigAtionS.
offiCERS And diRECtoRS ARE EntitLEd to RELy on thE AdviCE And opinion of
CREdEntiALEd ExpERtS SuCh AS ACCountAntS And AttoRnEyS.
offiCERS And diRECtoRS who BEComE invoLvEd in, oR pRoviding AppRovAL foR,
ASSoCiAtion ACtivitiES thAt ARE oBviouSLy outSidE thE powER And AuthoR-
ity of thE ASSoCiAtion CouLd BE SuBjECt to pERSonAL CiviL LiABiLity.
ACtivitiES of offiCERS And diRECtoRS whiCh intEntionALLy CAuSE injuRy oR
dAmAgE to pERSonS oR pRopERty (toRtS) CouLd BE SuBjECt to LiABiLity EvEn if
thE ACtivitiES wERE CARRiEd out At thE BEhESt of thE ASSoCiAtion. thE ASSo-
CiAtion mAy ALSo BE SEpARAtELy LiABLE. thESE ACtivitiES CouLd RESuLt in Com-
pLAintS SuCh AS nEgLigEnCE, SLAndER, intERfEREnCE with ContRACt RightS.
offiCERS And diRECtoRS who KnowingLy AppRovE CRiminAL ACtivitiES, SuCh
AS AntitRuSt vioLAtionS (E.g.,, pRiCE fixing, REStRAint of tRAdE, ELiminAtion
of CompEtition) CAn RESuLt in pERSonAL CRiminAL LiABiLity
thERE iS ASSoCiAtion LiABiLity foR AntitRuSt vioLAtionS of AnyonE ACting
with thE AppAREnt AuthoRity of thE ASSoCiAtion.
offiCERS And diRECtoRS uSuALLy ARE not LiABLE foR thE pERfoRmAnCE of
ContRACtS EntEREd into By thE ASSoCiAtion unLESS fRAud iS invoLvEd.
StAtE StAtutES And thE ASSoCiAtion’S own ByLAwS fREquEntLy dEfinE thE
dutiES of offiCERS And diRECtoRS. to KnowingLy And wiLLfuLLy fAiL in thoSE
dutiES CouLd RESuLt in pERSonAL LiABiLity. mERE inCompEtEnCE oR BAd judgE-
mEnt (AS diStinguiShEd fRom BAd fAith) ARE not Enough on whiCh to BASE
pERSonAL LiABiLity.
Financial Responsibility
Treasurer: shall serve as the chief fiscal officer of the association. Specific responsibilities include:
Fiscal Planning
- in consultation with the finance committee, elected officers, executive director and appointed chairs,
prepare the proposed annual budget for presentation to the Board; with finance committee and execu-
tive director, provide counsel regarding future financial directions the association.
Fiscal Management
- verify the periodic financial reports provided by staff
- monitor association expenditures and income to assure meeting the established goals and objectives
of the association and maintain financial solvency
- require that association personnel authorized to process association monies be bonded.
Fiscal Reports
- present the annual fiscal report (audit/financial review) to the membership at the annual meeting
Fiscal Policies
- With finance committee and executive director, develop and monitor adherence to policies and pro-
cedures as necessary for sound fiscal management of the association
Prevention of Liability - the 4 I’s
Indemnification - when the organization agrees (usually by provision in the bylaws) to pay the judg-
ments and related expenses incurred by those who are covered by the indemnity, when those expenses
are the result of a misdeed while acting in the service of the association. It cannot extend to criminal
acts and may not cover willful acts which violate civil law.
Insurance ( e.g.,, general liability, directors and officers liability, fidelity bonds, meeting cancellation)
- shifts the risks from the individuals involved to a third party - insurance company. Again, criminal
law liability can’t be shifted to insurance, such as liable, slander, employee discrimination, and anti-
trust matters.
Immunity - is available when the law provides that a class of individuals, under certain circumstanc-
es, is not liable for a particular act or set of acts or for failure to undertake a particular act or set of
acts. Several states have enacted immunity laws for officers and directors of nonprofit organizations,
protecting them in case of asserted civil law violations, particularly where these individuals are func-
tioning as volunteers.
Incorporation - is an additional form of protection against personal liability. A corporation is regard-
ed as a separate legal entity. Liability is generally confined to the organization and does not normally
extend to those who manage it. For this reason alone, a nonprofit organization should be incorporated.
Also, incorporation spells out procedure and policy, such as how many directors the organization must
have, voting rights, board terms, etc., which in effect protect those who adhere to these policies and
procedures.
Job Description for Chief Executive Officer
• Maintain an aggressive and proactive program of membership development and retention
through development of recruitment material, advertisements, promotional brochures and other
publications; establish and maintain databases of current and prospective members throughout the
state; conduct membership analyses for use by membership committees.
• Serve as executive editor of the association’s newsletter, obtaining and editing articles
containing timely and useful information of interest to association executives; secure advertising.
Produce, edit and solicit advertising for an annual membership directory.
• Maintain a comprehensive library of resources for members; conduct research on associa-
tion issues for members as needed.
• Arrange and coordinate all meetings, forums and conventions, including design and pro-
duction of announcements, brochures and meeting materials. Arrange meeting logistics, negotiate
contracts, engage speakers, select program content and formats.
• Serve as spokesperson and liaison with media. Produce and disseminate regular press
releases to print and electronic media pertaining to all significant activities of the association and
accomplishments of its officers and members.
• Recruit, hire, train, supervise and evaluate association personnel.
• Develop and conduct an annual conference which includes programs, exhibit, and other
special events and programs consistent with the objectives of the association.
• Maintain an effective government relations program to represent the interests of the mem-
bership to appropriate government agencies.
• Manage the finances of the association, including preparation of an annual operating bud-
get, long-range forecasting needs, billing, hiring and supervision of financial staff. Insure that all
funds, physical assets and other property are appropriately safeguarded and administered.
• Plan and coordinate meetings of the board of directors, provide periodic reports to the
board, have regular contact with elected officials and the board and its committees on policy mat-
ters and other issues as appropriate.
• Maintain appropriate relationships with other associations, industry, government, public
service organizations and vendors to enhance the image of the association.
• Provide necessary support and liaison to committee chairs and committees, and assure that
committee decisions and recommendations are submitted to the board of directors for approval.
POLICY
MANUAL
Empire State Society of Association Executives, Inc.
991 Broadway, Suite 208
Albany, New York 12204
518-463-1755; Fax: 518-463-5257
www.essae.org
Adopted 9/4/09 by the ESSAE Board of Directors
1
INTRODUCTION
The purpose of this manual is to establish the policies and procedures for the
association by which the leadership and staff of ESSAE will perform to pro-
vide reasonable assurance that the operations are effective and efficient.
This manual has been developed through the incorporation of various op-
erations, including accounting, auditing, and not-for-profit best practices.
The finance committee will review this manual annually to assure adher-
ence to the policies and procedures, identify and analyze any relevant risk,
and make recommendations to the board of director for additions or modi-
fications to the policies if deemed necessary.
The Board of Directors adopted this manual at a meeting held on Septem-
ber 4, 2009 at the The Sagamore Resort in Bolton Landing, New York.
1
TABLE OF CONTENTS
• Association Structure
• Code of Ethics Policy
• Conflict of Interest Statement
• Antitrust Policy
• Whistleblowing Policy
• Sexual Harrassment Policy
• Fiduciary Responsibilities
• Investment and Reserve Policies
• Staff Benefits Policy
• Employee Retirement Benefit Policy
• Credit Card Policy
• Insurance Coverage
• Finance Vendor Contact Information
• Record Retention Schedule
ASSOCIATION STRUCTURE
The Empire State Society of Association Executives, Inc. is a 501(c)(6) not-for-profit membership organization,
serving the professional staff of associations in New York state. The primary source of funds to cover ESSAE
operating expenses is dues from members and income from services provided to members.
ESSAE is governed by its Board of Directors. The daily affairs of the association are managed by a President &
CEO under the direction of the Board of Directors.
The association’s fiscal year is January 1 – December 31. The financial statements are prepared in accordance
with generally accepted accounting principles (GAAP) for not-for-profit organizations. The financial statements
are reviewed annually by independent certified public accountants. In 2002, the Board of Directors established a
policy that an audit be performed every other year.
In general terms, the President & CEO is directly responsible for the management of the association’s finances
under direction of the Board of Directors and finance committee as set forth in this manual. The treasurer is
responsible for overseeing the financial affairs and reviewing all related reports. The policies and procedures
contained within this manual outline specific roles and responsibilities of the individuals within the association
(board members, officers, and staff), and for contractual service providers. It is everyone’s responsibility to
recognize and perform his or her fiduciary responsibilities on a timely basis.
CODE OF ETHICS
Members of the Board of Directors of the ESSAE are committed to observing and promoting the highest stan-
dards of ethical conduct in the performance of their responsibilities on the board of ESSAE.
CONFLICT OF INTEREST
All individuals acting on behalf of ESSAE are expected to conduct themselves in a manner that assures the best
interest of the association. Individuals will report any potential conflict of interest to the President & CEO and/
or Board of Directors as appropriate, and in an appropriate case will recuse themselves as it relates to personal
conflict of interest.
This policy shall apply to each officer, director, trustee, committee chair, committee member and employee as-
sociated with or employed by the association, all of whom recognize their positions of trust and expectations to
act in good faith at all times.
ANTITRUST
It shall be the policy of the Empire State Society of Association Executives, Inc. (ESSAE) to be in compli-
ance with all Federal and State Antitrust laws, rules and regulations. These policies and procedures apply to all
membership, board, committee and other meetings of ESSAE, and all meetings attended by representatives of
ESSAE.
WHISTLE BLOWING
The Empire State Society of Association Executives (ESSAE) is committed to high standards of ethical, moral
and legal business conduct. In line with this commitment, and ESSAE’s commitment to open communication,
this policy aims to provide an avenue for employees to raise concerns and reassurance that they will be protect-
ed from reprisals or victimization for whistle blowing. This whistle blowing policy is intended to cover protec-
tions if concerns are raised regarding ESSAE regarding incorrect financial reporting; unlawful activity; activities
that are not in line with ESSAE policy, including the Code of Conduct; or activities, which otherwise amount to
serious improper conduct.
Reporting- The whistle blowing procedure is intended to be used for serious and sensitive issues. Such con-
cerns, including those relating to financial reporting, unethical or illegal conduct, may be reported directly to:
the board chair or any officer of the board.
Employment-related concerns should continue to be reported to the President and CEO.
The action taken by ESSAE in response to a report of concern under this policy will depend on the nature of
the concern. The ESSAE Board of Directors shall receive information on each report of concern and follow-up
information on actions taken.
SEXUAL HARASSMENT POLICY
It is the policy of the Empire State Society of Association Executives (ESSAE) that all employees should be
able to work in an atmosphere free of sexual harassment. Sexual harassment includes unwelcome sexual ad-
vances, requests for sexual favors, and other verbal, visual or physical conduct of a sexual nature.
ENDORSEMENT POLICY
The Empire State Society of Association Executives (ESSAE) does not permit its name, logo or written materi-
als to be copied, republished, excerpted, hypertext-linked to a Web site, or otherwise used for any commercial
purpose, including advertising, or to suggest any endorsement, affiliation or sponsorship of any third-party
product or service, without the prior written permission of ESSAE. Accordingly, no entity or individual may, in
any written, verbal or electronic communication, including but not limited to press releases, promotional materi-
als, advertisements, articles, videotapes, emails, telephone calls or face-to-face discussions, state or imply in any
way that ESSAE has endorsed, recommended, approved, sponsored or taken any other position regarding any
product or service without ESSAE prior written consent, and only to the express terms such consent is given.
All requests must be reviewed and approved by the ESSAE board of directors via the president and CEO.
FIDUCIARY RESPONSIBILITIES
BOARD OF DIRECTORS
The Board of Directors is the elected body responsible for the corporate management and fiduciary affairs of the
association. It is authorized, by provisions of the applicable law, to do all things appropriate and necessary for
the development and perpetuation of the Society. Members of the board serve without compensation.
• Chair of the Board: duties include chair of the Board of Directors and executive committee. Presides at all
association meetings, is a voting member of all committees (except nominating) and is the association’s official
representative. Acts as spokesperson on matters of association policy and position.
• Immediate past chair: Shall serve as chair of the nominating committee.
• Vice chair shall assume powers and functions of the chair of the board during the absence or for any other rea-
son the chair of the board is unable to perform as the chair of the board. Shall also chair the bylaws committee.
• Secretary shall be responsible for all minutes, records and notifications to the Board of Directors.
• Treasurer shall be responsible for the fiscal affairs of the society, serve as chair of the finance committee and
provide reports and interpretations of the society’s financial condition to the Board of Directors.
EXECUTIVE COMMITTEE
The Executive Committee is responsible for overseeing the management of the business and affairs of the as-
sociation between board meetings and for ensuring any other directives established or adopted by the board are
being implemented on a timely basis.
FINANCE COMMITTEE
The Finance Committee shall: review the financial status of the association; advise the Board of Directors re-
garding financial policies and financial positions; prepare an annual budget for approval by the Board of Direc-
tors; and shall cause financial statements to be distributed to the membership annually in the society’s official
newsletter or by any other method determined adequate by the Board of Directors.
President & CEO
The President, as chief executive officer, shall manage and direct all activities of the society subject to the
policies of the Board of Directors and through the office of the chair of the board. The President and CEO
shall employ and may terminate the employment of members of the staff necessary to carry on the work of the
society and fix their compensation within the approved budget. The President and CEO shall define the duties of
the staff, supervise their performance, establish their titles, and delegate those responsibilities of management as
shall be in the best interest of the society. Specific Duties:
Reviews and approves deposit reports.
Reviews and approves disbursements, invoices, refunds, and reimbursements.
Reviews bank statements monthly.
Reviews and/or produces all required reports in the preparation of the monthly reporting of the association’s
financial position for review by the Treasurer.
Distributes financial reports to the Board of Directors via mail or e-mail.
Reviews, in conjunction with the Treasurer, annual financial statements, as prepared by the bookkeeper and/or
accounting services provider in preparation for the independent audit or financial review.
Provides assistance to the independent auditor during the annual audit.
Develops the annual budget for review and approval by the finance committee.
Monitors and reports the status of any investment vehicles to the treasurer. Manages any account changes upon
authorization and specific direction from the treasurer.
President & CEO shall be authorized sole signer on all checks related to budget-approved expenditures up to
$20,000. Unbudgeted expenditures or those over the authorized check amount are subject to Treasurer approval.
All other duties necessary to ensure the smooth operation of the Association.
BOOKKEEPER
ESSAE may retain the services of a professional bookkeeping/accounting service to provide knowledge and
technical training for staff. The bookkeeping/accounting services provider will perform certain functions, most
on a monthly basis, as outlined in this manual. Such functions may include, but are not limited to, review of the
general ledger, preparation of all bank account reconciliations, monthly financial reports, the annual financial
statements as well as any required Form 1099s.
ACCOUNTING SERVICES PROVIDER
A CPA who is an accounting service provider will prepare the Annual IRS Form 990 (for organizations exempt
from income tax) as well as an independent audit or financial review (alternates each year). The provider of
these services will also be available on an as needed basis for additional questions and assistance.
PAYROLL PROCESSING SERVICE PROVIDER
ESSAE may retain the services of a professional payroll processing company as directed by the President &
CEO to provide to provide payroll services such as processing and calculating payment of the association’s fed-
eral (Form 941) and state payroll taxes (NY-45-MN), annual W-2s and all quarterly/year-end payroll tax filings
as required.
INVESTMENT AND RESERVE POLICIES
In accordance with its fiduciary responsibilities to the Association to ensure that the Association’s available
financial resources are invested with care, skill, prudence and diligence, the Board of Directors establishes the
following objectives for the Association’s investments:
1. Minimization of risk 2. Maximization of income
3. Sufficient liquidity to meet operating needs 4. Preservation of capital
5. Minimization of third party fees
Governing Authority: To ensure that these objectives are met, the President/CEO and ESSAE officers jointly
will carry out the investment strategy by developing, maintaining and, if appropriate, terminating business rela-
tionships with financial institutions.
All securities must be purchased in the public market and held by a third-party custodian.
A quarterly review of the Association’s investments will be provided to the Board of Directors. Information will
also be provided on the Association’s investments as part of the budget process.
Asset Allocation Guidelines - Up to 20% of reserves can be invested in equity securities. “Equity securities”
shall mean and be limited to domestic and foreign common stocks, preferred stocks, convertible securities,
rights and warrants traded on United States Stock Exchanges. Investments must be made in well-established
quality companies, including smaller companies, whose securities enjoy ready marketability. The remaining bal-
ance of the reserve fund will be invested in investments defined below.
Investments - the portfolio assets may be invested in the following acceptable vehicles: U.S. Treasury obliga-
tions, money market funds, corporate obligations, U.S. Government agency obligations, certificates of deposit,
commercial paper, mutual funds and bonds.
Money market and mutual funds should be managed and administered by reputable, experienced financial insti-
tutions and registered with the SEC. Corporate obligations should have an investment grading of “A” or better.
Certificates of deposit should be up to FDIC limits with financial institutions with a BB or better rating. Com-
mercial paper should have A1, P1 rating by Moody’s or Standard and Poor.
Limitations - Appropriate funds should be available for potential liquidity demands.
RESERVE FUND
The Association will establish a Reserve Fund to achieve and maintain reserves sufficient to ensure that it has
financial means to continue to provide critical support to its members in both the short and long term. Specifi-
cally, the purpose of the Reserve Fund is to:
- sustain basic operations and core member services during a short-term economic downturn, and
- cover unbudgeted and extraordinary expenditures brought about by unanticipated challenges or opportunities.
The Board of Directors has set a reserve goal of six months operating expenses. The Reserve Fund will be
funded by board allocation, the exact amount to be determined annually by the Board of Directors.
STAFF BENEFITS
The Executive Committee has approved sick, vacation, personal and holiday benefits offered to our staff, and
recommend the adoption of the following policies:
Vacation: one week after 6 months; 2 weeks in years 1-5; 3 weeks in years 5-10; 4 weeks after 10 years. No ac-
crual, no payout
Sick: one day per month. Accrue up to 30 days, no payout (current CEO receives 15 days in view of her years
with the association).
Personal: three days per year; no accrual, no payout
Holidays: 10 days in total: New Years Day, Presidents Day, Memorial Day, Independence Day, Labor Day,
Thanksgiving Day and Friday following, Christmas Eve and Christmas Day, one floating holiday (Columbus,
Veterans, or any other)
Benefits package also includes 100 percent premium payment for single health insurance and ten percent (of an-
nual salary) contribution toward retirement effective one year from date of employment.
EMPLOYEE RETIREMENT BENEFIT
The Association shall provide, at the discretion of the Board of Directors, an employee retirement benefit to
eligible employees in the form of a SEP IRA. Employees are eligible to participate after six months of employ-
ment. Employees may contribute a percentage of their salary up to the maximum dollar threshold determined
by the Internal Revenue Service. Employees are responsible for determining the amount of their own personal
contribution, managing their funds among the available investment alternatives, and the distribution percentages
of their funds among the available investment alternatives.
CREDIT CARD
The President & CEO will obtain a corporate credit or debit card for ESSAE and all payments should be made
in such a manner as not to accrue interest. The credit card may be used for specific purchases where payment is
required in advance or when a vendor will not establish credit for ESSAE, and staff travel expenses. No credit
cards are to be issued to any members, including officers, or association volunteers. Currently the only autho-
rized staff member is the President & CEO.
RECORD RETENTION
All records of the association are maintained in the ESSAE office. The Internal Revenue Service requires all
financial records in support of the association’s annual tax return shall be retained for seven years following the
date of filing of the return, or longer if any audit or investigation has been initiated.
INSURANCE COVERAGE
The Board of Directors is responsible for determining annually, the types of insurance and amounts of coverage
to be obtained by ESSAE, based upon recommendations of the President & CEO.
DIRECTOR AND OFFICER INSURANCE: ESSAE maintains insurance on behalf of any person who is a duly
elected member of the board or its employees of ESSAE.
REAL PROPERTY AND GENERAL LIABILITY: ESSAE maintains insurance for personal property that in-
cludes, but is not limited to, all owned and leased office space, furniture, computers, equipment, etc.
ESSAE maintains general liability and workers compensation insurance that includes, but is not limited to, neg-
ligent acts to third parties that result in bodily injury, personal injury, advertising injury, or property damage.
FINANCE RELATED VENDOR CONTACT INFORMATION
BANK & CREDIT CARD: NBT Bank
Key Contact(s): Bryce Cutler, AVP & Branch Manager
Location: 425 Columbia Turnpike, Rensselaer, NY 12144
Phone/email: 518-477-4376; [email protected]
BROKERAGE FIRM: UBS
Key Contact(s): Melissa Riven Mirabile, Portfolio Manager
Location: UBS Financial Services Inc, 80 State Street, Albany, NY 12207
Phone/email: [email protected]; Direct 518-445-1614
BOOKKEEPING SERVICES: FSC Group, Inc.
Key Contact(s): Scott Booth
Location: 120 Washington Avenue, Suite 300, Albany, NY 12210
Phone/E-mail: 518-281-2754; [email protected]
ACCOUNTING SERVICES PROVIDER: DeChants, Fuglein & Johnson, LLP
Key Contact(s): Mary Anne Skavina, CPA, Partner
Location: 4 Avis Drive, Latham, NY 12110
Phone: 518-785-1211; e-mail: [email protected]
D&O INSURANCE AGENCY: AON Association Services
Josh Srnka
Key Contact(s): 1120 20th Street NW, Washington, DC 20036
800-432-7465
Location:
Phone:
WORKERS COMPENSATION & The Hartford via Brown & Brown of NY, Inc.
BUSINESS OWNERS AGENCY: 750 Pierce Road, Clifton Park, NY 12065
Location: 518-371-2111
Phone:
ADP Payroll Processing
PAYROLL PROCESSING PROVIDER: 445 Electronics Parkway, Liverpool, NY 13088 Phone:
Location: 1-888-453-1302; 315-457-5220
RECORD RETENTION SCHEDULE 7 years
7 years
Accident Reports and Claims 7 years
Accounts payable ledgers and schedules Permanently
Accounts receivable ledgers and schedules 7 years
Audit reports of accountants Permanently
Bank reconciliations Permanently
Investment records; ledgers, transfer registers Permanently
Cash receipt books 7 years
Charts of accounts Permanently
Checks (canceled) 7 years
Checks and related invoices with papers pertaining to the underlying transaction) Permanently
Contracts and leases (following expiration) 3 years
Contracts and leases (in effect) Permanently
Correspondence (general) 3 years
Correspondence (legal and important matters only) Permanently
Correspondence (routine) with members, customers, or vendors 7 years
Depreciation schedules 7 years
Duplicate deposit slips 3 years
Employee personnel records (applications, resumes, reviews, etc.), following termination Permanently
Employment applications (non hires) Permanently
Financial statements (end-of-year, other months optional) 3 years
General ledgers (and end-of-year trial balances) Permanently
Insurance policies (expired) Permanently
Insurance policies (in effect) 3 years
Insurance records, current reports, claims, policies, etc. 7 years
Internal reports (miscellaneous) 7 years
Inventories of products, materials, and supplies 7 years
Invoices to members and customers Permanently
Invoices from vendors 3 years
Newsletters Permanently
Membership applications 7 years
Minutes of directors and committees, including by-laws and charter Permanently
Payroll records and summaries
Tax returns and worksheets and other documents relating to income tax
ESSAE 2014 Committees, Task Forces and Micro-opportunities
Association Leadership Academy Suzanne Jensen
Jennifer Mauer, CAE The Business Council of NYS
NYS Veterinary Medical Society Maura Ryan
Archa Wacholwicz NYS Government Finance Officers’ Association
NYS School Boards Association
Rita Lashway, CAE Government Affairs
NYS School Boards Association Randy McCullough, CAE, Chair
Kristin Myers, CAE NYS Funeral Directors Association
LeadingAge New York Kathy Febraio, CAE
James Page NYS Speech Language Hearing Association
NYS School Boards Association Kelly Garceau
Irene Saulsbery, CMP NY Physical Therapy Association
NYS Association of Realtors
Richard Poppa, CAE, AAI
Awards Panel Independent Insurance Agents & Brokers of NY
Tedi De Martino Jay Simson, CAE
NY Association of Homes and Services for the Aging/FLTC American Council of Engineering Companies of NY
Kathy Leitgeb Mark Yavornitzki, CAE
NYS Bowling Proprietors Association GR Initiatives, LLC
Ellen Melchionni, CAE Marketing
NY Insurance Association, Inc. Melissa Carrier
Jennifer Rexius , CMP Total Events LLC
Albany Marriott Hotel Jan Chesterton
Kim Keenan NYS Hospitality & Tourism Association
Turning Stone Resort Cassandra Anderson, CAE
Jennifer Hickey Bruce, CMP New York Insurance Association, Inc.
CCi Consulting Archa Wacholwicz
NYS School Boards Association
ByLaws Laura Burns, RCE
Kathy Febraio, CAE Greater Capital Association of Realtors
NYS Speech Language Hearing Association Adam Jacobsen
Randy McCullough, CAE Villa Roma Resort
NYS Funeral Directors Association Membership
Robert Schneider, CAE Ellen Bagley
NYS School Boards Association NYS Health Facilities Association, Inc.
Kelly Garceau Mark Nelson, Ph.D., CAE
NY Physical Therapy Association National Association of College Stores
Tracy Russell, CAE
Finance NYS Psychological Association
Ellen Melchionni, CAE ,Chair Frank Capaldo
New York Insurance Association, Inc. Independent Bankers Association of NYS
Robert Schneider, CAE Adam Jacobsen
NYS School Boards Association Villa Roma Resort
James Calvin
NY Association of Convenience Stores
Jay Simson, CAE
American Council of Engineering Companies of NY
Committees, Task Forces and Microopportunities 2014 Carol Bartlett
Volunteers Laura Burns, RCE
Mark Yavornitzski, CAE
Nominating Panelist/speaker James Page
Linda D’Agostino, CMP
Randy McCullough, CAE Mark Nelson, Ph.D., CAE Kevin Cook
NYS Funeral Directors Association Denise Alper, CAE Denise Alper, CAE
Cassandra Anderson, CAE association finance, operations
New York Insurance Association, Inc. Mark Yavornitzski, CAE mentor/mentee
Tedi DeMartino government affaris Mark Nelson, Ph.D., CAE
LeadingAge New York Kathleen Gormley Linda Persico, CMP
Rita Lashway, CAE Jennifer Hickey Bruce, CMP Jennifer Hickey Bruce
NYS School Boards Association
James Calvin, Linda D’Agostino, CMP
New York Association of Convenient Stores
greeter
Program Carol Bartlett
Debra Trulli-Cassale Michelle Endries
Schenectady County Community College
Carol Bartlett Laura Burns, RCE
VisitRochester Linda D’Agostino, CMP
Elizabeth Seme Rose DiLilleo
NYS Turfgrass Association/Elizabeth Seme Inc.
Adam Jacobesen Kevin Cook
Villa Roma Resort Carol Napierski
Kathy Gormley, CMP Denise Alper, CAE
LeadingAge New York
James Page discussion facilitator
NYS School Boards Association
Darryl Leggieri Mark Nelson, Ph.D., CAE
The Hilton Saratoga Springs Jennifer Hickey Bruce, CMP
Trade Show Task Force* Laura Burns, RCE
Maureen Barringer, Barringer Associates Mark Yavornitzski, CAE
Ellen Clickner, The Business Council of NYS Linda D’Agostino, CMP
Christina Curley, Lake George CVB Denise Alper, CAE
Linda D’Agostino, Visit Buffalo
Tedi DeMartino, LeadingAge NY evaluation collector
Scott Jackson, CMP, NYS Health Facilities Assn. Nancy Hooks
Mary Jo Janis, Saratoga CTB Carol Napierski
Ryan Marx, Woodclifff Hotel & Spa
Kim Perone, Meeting Experts International
Jennifer Rexius, Albany Marriott
John Percy, Niagara Tourism and Convention
Corporation
WeB Resource resume reviewer
Mark Nelson, Ph.D., CAE Jennifer Hickey Bruce, CMP
National Association of College Stores
Michael Borges Kevin Cook
New York Library Association Denise Alper , CAE
James Page
NYS School Boards Association speaker introducer
Jennifer Hickey Bruce, CMP
ESSAE Committee & Task Force Policies
1. No task force or committee chair may make formal contact or official communication with the membership
on behalf of ESSAE without approval. A request to communicate with the membership shall be coordinated
through the president, who will seek approval by the ESSAE executive committee.
2. The input of task force or committee chairs will be sought by the board chair and president when establishing
council or committee membership.
3. Task Force and committee chairs shall not correspond about ESSAE business with any individual or group
outside ESSAE, or with any government agency/individual without the approval of the the president, who will
seek approval by the ESSAE executive committee.
4. Task Force and committee chairs are invited to attend board of directors meetings to report on their council/
committee activities, or for approval of proposed projects. Chairs should contact the president for information
and to request placement on the board agenda.
Task Force/Committee Reports
The chair or a member of the task force or committee is asked to complete the attached form after each council/committee
meeting. The form is designed to simplify the reporting processs and eliminate the task of taking minutes.
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