Internal Policies Development Tips & Samples
The library boards’ ultimate responsibility is to ensure and protect the reputation of the institution – best realized through the adoption of clearly written library policies. Written policies provide consistency for patrons and staff, help to resolve misunderstandings, reduce incidents of conflict and help to protect from litigation.
The MHLS Public Library Policies Development Tips & Samples is divided into four key parts:
Policy Basics | Internal Policies | External Policies | Essential Documents
Internal Policies:
Policies that impact library operations.
Board
Development Questions:
- How often will the Board meet and where?
- How many make up the Board’s quorum?
- How can special meetings of the Board be called and how will the members and the community be notified?
- Note that NYS Open Meeting Law must be observed, including proper use of executive sessions.
- Absenteeism of Board members: acceptable excuses, reporting of planned absences, removal of a trustee
- Filling mid-term vacancies.
- Who will take the meeting minutes? OF what will the meeting minutes consist?
- Procedures for managing public comment period (public expression).
Sample Policies:
Development Questions:
- Does they library subscribe to the Code of Ethics of the American Library Association?
- What type of experience do you hope a patron has at your library?
- Consider issues such as cell phones, food or drinks, concealable weapons and animals (besides service animals) in the library.
- What behavior is unacceptable in the library on on library property?
- How are patrons made aware of the code of conduct for your library?
- What should a staff person do if a patron is not following your code of conduct policy?
- Under what circumstances would the police be brought in?
- What would the appeal process be for a patron that has been ejected under your policy?
Sample Policies:
Development Questions:
- A library’s conflict of interest policy must comply with the NYS Nonprofit Revitalization Act that went into effect in July 2014. It must include:
- a definition of the circumstances that constitute a conflict of interest;
- procedures for disclosing a conflict to the audit committee or, if no audit committee, to the board;
- a requirement that the person with the conflict not be present at or participate in board/committee deliberation or vote on the matter giving rise to the conflict;
- a prohibition against any attempt by the person with the conflict to influence improperly the deliberation or voting on the matter giving rise to the conflict;
- a requirement that the existence and resolution of the conflict be documented in the corporation’s records, including in the minutes of any meeting at which the conflict was discussed or voted upon; and
- procedures for disclosing, addressing, and documenting related party transactions in accordance with NPCL §715
- It is also recommended that you include space on the policy for all new people associated with the library to sign and date that they read it.
- A “Conflict of Interest Disclosure Form” should be attached to your policy.
Sample Policies:
- Education Law § 260-d, requires all public and association library board trustees complete two hours of State approved training annually, beginning in 2023. The New York State Library has drafted this model policy for libraries to adopt concerning these annual training requirements:
Development Questions:
- What is the process to notify the board of a planned absence?
- What excuses for an absence are acceptable?
- If a trustee fails to notify the appropriate authority of a pending absence for three consecutive meetings will that trustee be deemed to have resigned from the Board (as allowed for in NYS Education Law)?
- Can a Trustee be removed? If yes, be clear that under NYS Education Law (226) a Trustee may be removed by the vote of a majority of the entire board if they follow proper procedure:
- Such removal shall be upon notice and on examination and due proof of the truth of a written complaint by any Trustee alleging misconduct, incapacity or neglect of duty.
- At least one week’s notice of the proposed action must be given to the accused and to each Trustee.
Sample Policies:
Administrative Policies
Development Questions:
- What qualifies as an “emergency” or “disaster”?
- Who is responsible for reporting an emergency situation to the proper authorities (calling 911)?
- What is the chain of command for reporting an emergency situation to those beyond first responders (board, insurance company, etc.)
- Is necessary contact information and a copy of the Business Continuity Plan available off-site (in case you cannot get into the building)?
- If an emergency occurs when the library is closed, who is responsible for overseeing the management of the situation? Who is that person’s back-up?
- Are staff expected to file an incident report after the situation is under control? If yes, who is that submitted to?
Sample Policies:
Development Questions:
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- What strategies do you have for enhancing equity, diversity and inclusion, and combating discrimination?
- What is your organization’s commitment to implementing these strategies?
- What will be the impact on hiring, employee benefits, customer service and workplace culture?
Development Questions:
- What records retention and dispositions schedules does the library follow?
- Who is in charge of following the schedules?
- How and where are files stored?
- Is there an electronic back-up of files? Where are these kept?
Sample Policies:
Development Questions: Sample Policies:
Development Questions:
- Who is the records management officer?
- Does the library require that a specific form be used to file a FOIL request?
- Does the library charge for copies to be made of requested items?
- Expected turn around time for requests to be filled.
Sample Policies:
Development Questions:
- Define “inclement weather”.
- Who is responsible for deciding when to close the library? Who is responsible for deciding when to close the library when the Director is not available?
- How will staff be notified if the library is closing? (Phone call to all staff?, Message on library voice mail? Message in staff email? Listen to closings on radio? Phone tree? etc.)
- How will the public be notified that the library is closed?
- What media/venues will announce the closing of the library? (radio, local TV, websites, social media, phone messages, etc.)
- If the library is to close for the day, how far in advance must the announcement to staff be made?
Sample Policies:
Background Information:
Development Questions:
- Who is the spokesperson for the library?
- Who handles public relations for the library?
- Which are the newspapers of record for the library?
- Does the library send out press releases? If so, where to?
- Does the library maintain a social media presence? If yes, who is authorized to post and manage that presence?
- What types of content restrictions are there on postings to library social media?
Sample Policies:
Development Questions:
- Who will be able to access security systems and recordings?
- When and under what circumstances is it permissible for authorized personnel to access security systems and recordings?
Development Questions:
- Is the library committed to the sustainability of the organization and the greater global community?
- What steps will the library take towards that commitment?
- Are you committed to examining and reducing your library’s environmental footprint?
- What is the employee and trustee role in this area?
- What does your library expect of vendors and contractors in this area?
Sample Policies:
Financial Controls Policies
Development Questions:
- Who is authorized to make purchases on behalf of the library?
- At what dollar threshold must the director receive board approval for a purchase?
- When does staff need to get multiple bids?
- How are records kept?
Sample Policies:
Development Questions:
- Does the library make investments?
- What investments are allowable?
- Who oversees the library’s investments internally?
- Does the library consult with a professional advisor?
Sample Policies:
Development Questions:
- What items are pre-approved for payment (personnel, utilities, etc.)
- What process will the board use to review claims?
Sample Policies:
Development Questions:
- Who is authorized to use the credit card?
- What is the dollar limit for purchases?
- Description of the types of purchases that are allowed
- Description of the documentation requirements
- Where will credit cards be stored?
- Issues related to library tax exemption
Sample Policies:
Development Questions:
- Define “petty cash”.
- Who is in charge of the library’s petty cash (director, business manager, etc)?
- Is there a maximum amount that can be set aside as petty cash?
- Are receipts required for reimbursement?
- Is prior approval required?
- Is there a maximum amount that can be handed out at once?
- Are staff required to use the library’s tax exemption certificate when making purchases?
Sample Policies:
Development Questions:
Sample Policies:
Development Questions:
- How does the library dispose of equipment and furnishings paid for with public funds?
Sample Policies:
Development Questions:
- How are “equipment” and “fixed assets” defined?
- What inventory records will be kept? Who is responsible for keeping these records?
- What is the estimated useful life of:
- Furniture and equipment
- Building and improvements
- Land improvements
- What is the depreciation method?
Sample Policies:
Development Questions:
- How does fundraising support the library’s goals and objectives?
- Who conducts fundraising?
- Who is determines the amount to be raised and what the funds will be spent on?
- Can a donor request that donations be used for a particular purpose?
- Is the donor given a receipt?
- How does the library recognize donors?
- Does the library accept gifts of: equipment, furniture, books, DVDs and/or other library materials, land, stock?
- Who is responsible for determining whether or not the library will accept a donation?
- Where are funds raised deposited?
- Are the funds invested?
Sample Policies:
Development Question:
- Are there liaisons to the library board from Friends board and vice versa?
- How does the library make requests for funding of the Friends Group?
- o Are the Friends expected to follow the library’s financial control policies?
- Where are funds raised by the Friends kept?
- Are the funds under the control of the library or the Friends?
- Are a portion of the funds retained by the Friends? Is there a maximum amount or percentage that can be withheld? For what purpose?
- How are donors recognized?
- Does the library agree to share strategic initiatives each year with the Friends?
- Does the library agree to include the Friends in long-range planning?
- Does the library provide storage space for the Friends?
- Is the library’s staff authorized to assist the Friends Group?
- Does the Friends Group agree to publicly support the library and its policies?
- Does the Friends Group agree that funds raised will be spent exclusively for library programs and services?
- Do the Friends agree that library administration has the final say in accepting or declining gifts made to the library?
- Do the Friends agree that if they cease to actively fundraising and promote the library that they will disband?
Sample Policies:
Development Question:
- Why does the library need a reserve fund?
- What, specifically, are acceptable expenditures from the fund?
- How will funds be disbursed from the fund? Is board approval required?
Sample Policies:
Background Information
Sample Policies:
Personnel Policies
Development Questions:
- How are vacancies filled?
- How is staff expected to act on the job?
- Is there a dress code?
- How should staff report harassment?
- What provisions are made for staff development/training?
- How are grievances handled?
- What is the procedure for evaluation?
- What benefits are offered? Is there vacation/sick time?
- Under what circumstances can someone be dismissed?
HIPAA
HIPAA is the the “Health Insurance Portability and Accountability Act of 1996” and relates to the issue of the protection of medical privacy for individuals. Public libraries are not “covered entities” under HIPAA and are therefore not required to be “HIPAA Compliant.” However it is recommended that libraries begin implementing some of the privacy precautions required of covered entities now since as an employer you do retain sensitive information about employees.
For example: Develop privacy policies and procedures that cover such issues as making sure computer monitors displaying employee information does not face a common area in the library; placement of the fax machine should be away from a public area in case you receive a fax related to an employee’s medical coverage; procedures to handle an employee that purposefully give out another employees medical information for harmful purposes.
Sample Policies:
Development Questions:
- How are vacancies filled? (Civil Service requirements, postings, etc.)
- Is there a letter of hire to state salary, start date and chain of command?
Sample Policies:
Development Questions:
- How are salary and benefit information supplied to employees?
- What are the benefits (types of leave, medical coverage, etc.)?
Sample Policies:
Development Questions:
- What type of orientation to the organization and job are provided? By when is this provided?
Sample Policies:
Development Questions:
- What is the probationary period for a new hire?
Sample Policies:
Development Questions:
- What are the expectations of staff behavior?
- What would happen should the library’s Code of Conduct for staff be violated?
Sample Policies:
Development Questions:
- Statement on staff use of library computers/equipment/connections for personal use.
Sample Policies:
Development Questions:
- What is the evaluation schedule?
- Who conducts evaluations?
- What is the process for evaluation?
Sample Policies:
Development Questions:
- When and for what issues or conditions can an employee file a grievance?
- What steps should an employee take in filing a grievance complaint?
- What should an employee do if their grievance involves their supervisor or another person who would normally handle the employee’s grievance?
Sample Policies:
Development Questions:
- Statement on the possibility of disciplinary measures, up to and including termination.
Sample Policies:
Development Questions:
- Does your library provide for and promote equal opportunity employment according to state and federal law?
Sample Policies:
Development Questions:
- Are staff paid if they are called to jury duty?
- Do you require written proof that they have served?
Sample Policies:
Development Questions:
- What type of leave is offered?
- How may leave time be used?
- What reporting is required for staff to take leave (sick, personal time, vacation time)?
Sample Policies:
Development Questions:
- Define “harassment.”
- What reporting mechanism/chain of command is to be followed for reporting harassment? Include a path for an employee to follow if the director is identified as the harasser.
- What type of training is provided to prevent harassment and prepare employees should they feel they are being harassed?
Sample Policies:
Development Questions:
Sample Policies:
Development Questions:
- Whistleblower Protection:
- As per the New York State Nonprofit Revitalization Act which went into effect July 1, 2014, this policy should include:
- A provision that no director (or trustee), officer, employee or volunteer of a corporation who in good faith reports any action or suspected action taken by or within the corporation that is illegal, fraudulent or in violation of any adopted policy of the corporation shall suffer intimidation, harassment, discrimination or other retaliation or, in the case of employees, adverse employment consequence;
- Procedures for reporting violations or suspected violations of law or corporate policies, including procedures for preserving the confidentiality of reported information;
- A requirement that an employee, officer or director of the corporation be designated to administer the policy and report to the audit committee or other committee of independent directors, or if none, to the board; and
- A requirement that a copy of the policy be distributed to all directors, officers, employees and to volunteers who provide substantial services to the corporation.
Sample Policies:
Development Questions:
- Are dependents of the director or trustees eligible for employment at the library?
- Are family members of supervisors eligible to hold positions where they would be supervised by their family member?
- If a relative relationship occurs after employment, how will this be mediated?
- Define a “relative.”
Sample Policies:
Development Questions:
- What constitutes a conflict of interest if a library employee has a second job?
- Are employees prohibited from using library time, supplies or equipment in outside employment?
- Is written notice required if the employee is working for a company that does business with the library?
Sample Policies:
Development Questions:
- Does the library support the continuing education of staff for job related purposes?
- Does the library pay employees for the time spent at education?
- Will employees be reimbursed for mileage? If so, at what rate?
Sample Policies:
Development Questions:
- Does the library allow an employee access to their personnel records? (Please note: “There is no law in New York State which permits an employee to examine his or her personnel file.” [Source: https://ag.ny.gov/job-termination]
- If yes, under what conditions?
Sample Policies:
Development Questions:
Sample Policies:
Development Questions:
- Does the library have the ability to monitor or view staff communications or activity including phone calls, email, text or any other communications?
- Which methods of communication can the library monitor that staff may use?
Development Questions:
- Does the library offer telecommuting options for staff?
- Are there specific positions only that are eligible for telecommuting?
- Who will be responsible for authorizing staff for telecommuting?
- What are the expectations from staff that are telecommuting?
Development Questions:
- Does the library encourage volunteers? If yes, why?
- Are there age requirements?
- Are volunteers bound to follow particular library policies?
- Is there an application process?
- Who oversees volunteers?
- How would a volunteer relationship be terminated?
- Does the library accept volunteers requiring court ordered community service?
Sample Policies:
Safety
Development Questions:
- What type of emergency is your library most likely to see?
- What preparation and responses would maintain safety for the library staff?
- What preparation and responses would best ensure the library’s continued support or fastest recovery to support the community?
Sample Policies:
Development Questions:
- What qualifies as an “emergency” or “disaster”?
- Who is responsible for reporting an emergency situation to the proper authorities (calling 911)?
- What is the chain of command for reporting an emergency situation to those beyond first responders (board, insurance company, etc.)?
- Which items in the library are most important?
- What roles do staff play in securing library facilities or property?
- What roles do staff play in library operations during an emergency?
- What role does the library play in supporting the community?
Sample Policies:
Development Questions:
- What should staff do in the event of an active shooter?
Sample Policies:
Development Questions:
- What are evacuations procedures for the building?
- Who is responsible for patrons in a building evacuation?
- Who should be contacted in the event of a fire?
Sample Policies:
Development Questions:
- What plans does the library have in place to prevent the spread of airborne infectious disease like COVID-19?
Sample Policies:
Development Questions:
- Do you offer staff training on administering narcan, naloxone, or other opioid antagonists?
- Who will serve as liaison to the chosen NYSDOH Registered Opioid Overdose Prevention Program?
- Who will be responsible for maintaining the medication and supplies?
Sample Policies:
Development Questions:
- Under what circumstances will the library close?
- What staffing level is necessary for library services and operation?
- What communication channels are in place to notify staff and the public about the status of the library?
- What is the policy for staff missing work in the event of a library closure?
Sample Policies:
Development Questions:
- What are the expectations of staff behavior?
- What would happen should the library’s Code of Conduct for staff be violated?
Sample Policies:
Other Policy Sources
