Safeguards and protection for your library Policies and Procedures Table of contents Slides 2 – 14 Introduction and overview Slides 15 – 39 Fiscal responsibilities Slides 40 - 61 Library Facilities, including security and disaster planning Slides 62 – 76 Personnel Slides 77 – 86 Collection policies, including Children’s Services Slides 87 – 95 Intellectual Freedom Slides 96 –101 Public Access Computers Can you answer these questions? Does your library have up to date policies? What common policies don’t you have? Is there a process in place to regularly review policies? What is it? What should it be? Do you have an ethics policy? Why does our library need policies and procedures? What’s the difference between a policy and a procedure? A policy is a course of action on a specific topic adopted by a library. Procedures are the steps to be followed in implementing the policy. Library Policies Policies are the rules of the Library Policies should be developed thoughtfully and revised regularly Policies provide you and the library with legal protection Policies are useless unless you and your patrons know them Categorizing policies Internal Policies • personnel, disaster planning, etc. External Policies • dealing with the public These areas can be further broken down to suit your library’s particular organizational structure. Essential Policies Board Policies By-laws Meeting Protocols Continuing Education Ethics and conflicts of interest Friends Groups Financial accountability Essential policies, continued Security and Emergencies Public Safety Crisis Management Inclement Weather Facilities The Library Building and Grounds Meeting room and Displays Equipment Essential Policies, continued Personnel Policies Staff Manuals Union Contracts/Contracts Employee acknowledgement The Library as a “Limited” or “Designated” Public Forum Essential policies, continued Operational Policies Library hours and days open Lending rules, library cards, etc. Patron behavior Collection Management Selection Weeding Essential policies, continued Intellectual Freedom Challenges to library material Public Computers Sample Policies http://www.owlsnet.info/L4L/policies/sample.asp http://winslo.state.oh.us/publib/policies.html Ethics and the Public Library Conflicts of Interest General Municipal Law; Sec. 800 “no officer or employee shall have an interest in any contract with the municipality of which he is an officer or employee…” Inclusion of family members “Free” services prohibited Application to Association Libraries Friends Groups, the Library Director and the Library Board Common understanding of library’s goals Roles of the library administration and the Friends Importance of communication When conflict arises Address conflict ASAP Working toward the same end Clarify roles Establish liaisons Contact Empire Friends Fiscal Responsibility TWO THOUGHTS “Oh, don’t bother me,” said the Duchess, “I never could abide figures.” -- Lewis Carroll, Alice’s Adventures in Wonderland We are responsible public managers. -- Sandra Nelson, Planning for Results Financial policy involvement of a financial professional, a public budgeting process involving both Board and staff, good accountability, appropriate levels of support for the library and compensation of its staff, and the necessity for political work on behalf of the library BEST PRACTICES FOR FINANCIAL PROCEDURES The library manager attends all Board meetings The manager is involved in budget preparation and reporting Enough people can sign on the bank accounts so that the required number of signatures always is available to sign payroll and other deadline expenses. BEST PRACTICES, con’t. The library’s financial records are kept in the library, not on the treasurer’s dining room table, nor in the treasurer’s computer. This applies to all business records. WHOSE JOB IS THIS? The manager and treasurer draft the budget together. The finance committee may review the draft. The draft reflects the Board’s decisions in goal setting. The Board reviews, amends, and adopts the budget by resolution. FINANCIAL REPORTING Think of it as a cycle: The Budget tells you what you’re going to do – it forecasts. Monthly Reports tell you how you’re doing – they are snapshots of the present. The Audit looks back to tell you how you did. FINANCIAL REPORTS Prepared monthly Show opening balance, transactions, and ending balance for each fund Show actual versus budget for the month and the year-to-date. Include a balance sheet for an overall picture of the library’s finances. Include notes to comment or explain items as needed. THE AUDIT An annual evaluation of the library’s financial records and procedures. Vital to our responsibility of public accountability. Brings professional expertise and advice to the increasingly complex world of financial management. DO WE NEED ONE? The short answer is, YES!! The longer answer is, for a very small library, a professionally conducted CPA’s audit is expensive. Where’s the cut-off? What are the alternatives? YOU SHOULD HAVE A CERTIFIED AUDIT BECAUSE: Beginning in 2009 for the 2008 fiscal year, all non-profit agencies are required to file an IRS Form 990 tax return. YOU NEED A CERTIFIED AUDIT IF: you take in $25,000 or more annually. ALTERNATIVES TO THE CERTIFIED AUDIT Ask an accountant for a review rather than a certified audit. Appoint an audit committee of Board members Find qualified community members who will check the library’s books on a volunteer basis. FINANCIAL PROCEDURES Goal setting: manager recommends, Board reviews and revises; adopts by resolution Budget development: manager and treasurer draft, reflecting Board’s direction. Finance committee (all Boards should have one) reviews, revises. Board adopts budget by resolution FINANCIAL PROCEDURES: PAYING BILLS 1. 2. 3. 4. 5. 6. Authorization to purchase goods Receipt of goods Approve payment Write the check Sign the check File the records VOUCHERS The voucher authorizes payment. It shows: Who is being paid How much Charged to what account Signature or initials of authorizing individual CHECKS The library manager approves most bills and prepares checks for treasurer’s signature. Checks above a certain amount of money may require two signatures. Checks should be paid on a regular schedule, generally twice a month. A check may be written outside that schedule if payment deadlines require. PAYROLL Payroll is complex and if filings are not done in a timely manner, the penalties are expensive. Use a payroll service such as Paychex or ADP, or be sure your payroll software is updated annually to reflect current tax law. The Library System provides payroll services for member libraries employing seven or fewer people. A payroll service will insure that payroll taxes are paid on time. DOCUMENTATION OF PAYROLL EXPENSES Time sheets are the basis of payroll documentation and all paychecks should be prepared from them. The library needs to be able to establish the person, date, and times worked. This is necessary for accurate handling of workers compensation claims, Human Rights Commission investigations, and so forth. Time sheets also keep track of sick and annual leave balances. They should be signed and dated by the employee and by the person approving the payroll and kept forever. BANK ACCOUNTS Keep a file of the current signature cards and be sure they are changed every time signers change. Open additional accounts in separate banks as needed to keep deposited amounts within the FDIC insurance limit. Banks will bid on banking services: ask them for a free safe deposit box, or a sweep account, or free checking for employees . . . See what they will do for you. FINANCIAL CONTROLS FOR THE SMALL LIBRARY How can you protect your library from theft or fraud? Separate financial duties as much as you can. If the manager prepares the checks, then the treasurer should do the bank reconciliations. MORE CONTROLS Use the voucher system vigorously. It provides 4 points of approval for every expenditure. Use consecutively numbered checks, purchase orders, and vouchers. Keep unused checks locked up at all times. STILL MORE CONTROLS …. Use second signatures on large checks. Have written financial policies and procedures and follow them. Establish a by-laws clause about self-dealing and profiting from library operations. AND FINALLY . . . . Periodic review of financial controls by the finance committee Annual scrutiny of financial controls by the auditor ASSUME NOTHING BEST PRACTICES FOR FINANCIAL CONTROLS Each check is signed and supporting documentation reviewed by someone other than the check preparer. The library’s financial records are kept in the library. Blank checks are kept locked up and no checks are written out of number sequence. Copies of the audit are mailed by the auditor directly to the Board President and executive committee. HOW PEOPLE STEAL MONEY Because the bad news is that sometimes they do. They steal cash receipts from fines or fund-raisers. They write checks to library vendors like the phone company, but for their own bills. They falsify financial reports and audits. They make side deals with vendors. WHAT YOU CAN DO Be sure that: the Board understands the financial reports and the library’s financial situation. both Board and staff understand and are following all policies and procedures. people doing financial work take scheduled vacations during which their part of the work is performed by someone else. ASSUME NOTHING! Library Facilities The Building and Entrance The Library Board and the Director must be able to answer: Does the Board have a “Building and Grounds” or “Facilities” committee? Are there Building and Grounds/Facilities policies that includes clear-cut procedures? The Building Who does the library call or contract with for routine repairs? Is there a plan in place for exterior maintenance of the library that includes regular inspections of the roof, windows, siding, and gutters? Does the library budget include money for routine maintenance as well as reserve funds for building emergency repairs? Meeting Rooms Policies Forms Scheduling Mechanisms Meeting Rooms: Other Considerations What technology (i.e., equipment, sound systems) is available? Is there an outside entrance to the meeting room? Is there a kitchen in or close to the meeting room? Are there restrooms close to the meeting room? Can the meeting room, kitchen, and restrooms be used when the library is closed? Is there a storage area in or adjacent to the meeting room for craft supplies, equipment, and chair or table storage? Exhibits, Displays and Bulletin Boards Equipment for Patrons New York State minimum standards require that all public libraries have: • • • • • telephone photocopier microcomputer and printer telefacsimile machine other equipment necessary to facilitate access to information Additional Equipment Microfilm or microfiche reader/printer Ellison or similar die-cut machine Typewriter Digital camera Laptop computers Media projector DVD or Video Cassette Player Equipment Policies It is essential that policies for use of library equipment are in place and reviewed regularly. Questions to ask when developing an equipment policy include: Equipment Policy What may be used by the public? Is age a factor for use? “Use of Equipment Policy” separate from “Computer Use Policy” ? Is there a charge? (copier, printer, fax machine) Can staff use personally? How will exceptions be granted? The Grounds The Library Board and the Director must be able to answer these questions: grounds maintenance safety for patrons and staff lighting The Parking Area The Library Board and the Director must be able to answer these questions: regular inspections maintenance: snowplowing, resurfacing accessible parking with signage Security Collection security Burglary protection Display and/or display case protection Security Policies Areas to consider: Entry and exit procedures Meeting room registration Special collections Entry key management procedures Personal belonging restrictions Library Security Libris Design offers detailed instruction about library security Disaster Planning and Emergency Contacts Dealing with Emergency Situations All staff should receive instruction about how to handle emergencies. Procedures must be developed so that staff knows who to call or contact first in the case of emergency. Dealing with Emergency Situations Staff training in basic first aid – Red Cross or ambulance corps Where the first aid kit is located? Develop a timetable for training on a recurring basis. Dealing with Emergency Situations Similarly, staff must receive instruction about what to do if they discover a forced entry. Contact your local police or sheriff’s department to see if they offer training on workplace safety. Dealing with Emergency Situations If the library has a security system, staff must be instructed not to enter the building if the alarm is sounding. All staff should know where fire extinguishers are located and how to use them. Dealing with Emergency Situations Evacuation plan should be discussed with staff annually; part of orientation for new staff. Diagram of emergency exits should be displayed. A meeting place for staff to gather outside should be established. Disaster Planning Board of Trustees should develop a disaster plan that is reviewed on a regular basis. An emergency contacts list should be included. Procedures must be in place to handle situations like break-ins. Links to other disaster plans may be found in the Resource List. PERSONNEL The library director is the only employee supervised by the library board The director is responsible for the management and supervision of all other library employees Staffing and Strategic Planning 5 Year Goals Changing expectations for libraries and workplaces Checklist of personnel policies Legal Aspects of Employment What is Compensation Direct Compensation Indirect Compensation Total Compensation Hiring Process Overview Writing job descriptions Hiring and the ADA Interviewing Making job offers Orientation and training Probationary periods Hiring and the 5 – Year Plan Library goals Staff workload Job descriptions Writing Job Descriptions Structuring the position Abilities and skills Sample job descriptions Advertising Hiring and the ADA Americans with Disabilities Act Equal opportunities Essential Job Functions Reasonable Accommodations Orientation and Training Elements of the Orientation Personnel files Opportunities for meeting staff Interesting early tasks Training Managing Employee Job Performance Overview Probationary Periods Annual Performance Evaluations/Reviews Performance Issues/Disciplinary Action Terminating Employees Rewarding Employees Probationary Periods What are probationary periods? 6 months – 1 year Importance of feedback Annual Performance Evaluation Useful in establishing goals for employees. Identifying areas for training Provides standard documentation for job performance Provides management and staff with a clear view of expectations for the coming year. Assures that work standards and expectations are clearly understood Managing Performance Standards and expectations Document everything! Follow library procedure for addressing disciplinary issues. Disciplinary Action Process If the issue is not resolved, you need to initiate your library’s disciplinary procedure. Verbal Warning Written Warning Termination – the last resort Prepare by reviewing the disciplinary action and termination policy, the processes of attempting to correct the problem, and any documentation involved. The employee’s immediate supervisor is responsible for handling the termination proceedings. At the termination meeting: Make sure to have another manager or Board member present. Hold the meeting in a confidential and private place. Inform, don’t discuss. Guidelines will be defined by your disciplinary procedures and policy. Since termination is the final step of established disciplinary procedures, it should not come as a surprise to the employee. Successful Supervision Overview Challenges in the small library Checklist for creating a positive & productive workplace Communication Meetings Teambuilding Training The Collection Circulation policies and Operational procedures Lending rules Library cards Overdues Patron Behavior Collection Development Policy Identification, selection, acquisition, and evaluation of materials. A set of resources that will be most useful for your community. Why are a collection development policy and subsequent procedures helpful to you? • Point of reference for staff to make informed decisions • Guidelines and protection for addressing donations and patrons’ concerns about materials. Elements of a Collection Development Policy Goals of the collection Materials Selection Collection Evaluation and Assessment Reconsideration of Materials Sample Collection Development Policy Evaluation of Collection On a yearly basis Review the selection policy and goals for the collection. Depth and range Subsections: Reference, juvenile, large print, etc. Replacement and updating of materials Assess the collection Weeding What do we do with discarded books? HAVE A PLAN Sell Donate Recycle (as paper or art) Throw away Public Concerns about Weeding Post your Collection Development Policy on your web page Post signs Designate a contact for questions Children’s Services Resources online For information on long-range planning and policies for youth services at your library, see: Nothing but the Best: Professional Standards for Youth services in Public Libraries in New York State. Albany, NY: New York Library Association Youth Services Section, 2006. Kids Welcome Here! Writing Public Library Policies That Promote Use by Young People. Anne E. Simon, Ed. Albany, NY: New York Library Association, 1990. Also, Kids Still Welcome Here! An Update of Public Library Policies That Promote Use by Young People. Albany, NY: New York Library Association Youth Services Section, 2001. Many Moons: A Year of Planning for Youth Services Librarians in Public Libraries in New York State (in .PDF format) Policies for Juvenile Borrower Records Ages eligible Parental permission Not required Required Family Cards Laws and Statements about Intellectual Freedom Required library policies Statements to include in library policies Relevant laws Banned and challenged materials Censorship vs. selection Difference between “challenged” and “banned” materials When the censor comes When the patron is in front of you After the patron leaves Challenges can be opportunities Banned Books Week Access of patrons to library service Restricting access to materials Restricting programs Public spaces in the library Intellectual Freedom & Youth “A person’s right to use a library should not be abridged because of origin, age, background, or views.” –ALA Library Bill of Rights in loco parentis Confidentiality vs. Privacy “What happens in the library, stays in the library.” Bill Barnes and Gene Ambaum, Unshelved. Privacy = un-scrutinized inquiry Confidentiality = keeping Personally identifiable information (PID) from the public eye and ear Library Policy on Confidentiality What happens to collected PID Third party restrictions on use of PID Opt–in Borrower information given over the phone How borrowers give permission for others to use card NYLA’s Intellectual Freedom Checklist Have – policies & procedures Do – training & PR Know – laws & community Keep in Touch - communicate & read Tell the World – promote intellectual freedom Resources ALA Office for Intellectual Freedom: Intellectual Freedom Manual, 6th ed. ALA: 2002. New York Library Association’s Intellectual Freedom Manual Public Access Computers Public Access Computers The computer use policy should be available to users. Information on the library’s printing policy and charges should be clearly displayed. Public Access Computers Is library staff trained to help library users with their computer-related questions? Are staff members familiar with the computer use policy and aware of how much assistance to provide library users? What competencies are expected of library staff? Public Access Computers The building should have enough circuits and electrical outlets and network drops for present and future needs. Surge protection, antivirus software, and firewall security is essential. Youth & Library Computers Potential access to all Internet sites Parent discomfort with computer technology Youth comfort with computer technology Internet and Acceptable Use Policy Filters – Issues for All Ages Purpose of filters Caveats about using filters Keeping it in perspective Strategies for safe Internet surfing Policies and procedures safeguard and protect your library, your patrons, and you.