Handbook for Library Trustees of New York State

Handbook for Library Trustees of New York State 2005 Edition Jerry Nichols Palmer Institute for Public Library Organization and Management Palmer School of Library and Information Science Long Island University, Brookville, New York with the assistance of Public Library System Directors Organization of New York New York State Association of Library Boards Division of Library Development, New York State Library © 2005 (with corrections 10/07). Portions of this publication may be reproduced for noncommercial purposes provided attribution of source is included.
Contents
Acknowledgments NYSALB Welcome Preface Introduction	The Library Network in New York State Laws and Regulations Trustee Duties and Responsibilities Orientation of New Trustees Library Board Organization Library Board Meetings Library Policies Personnel Budgets and Finance	Planning and Evaluation Facilities Risk Management Electronic Information Technology Public Relations and Advocacy Friends of the Library Continuing Education Intellectual Freedom, Censorship, and Privacy Selection of Trustees
Appendices The following links open in new windows.
Types of Libraries -- a Comparison Ethics Statement for Public Library Trustees Library Bill of Rights	Sample By-laws Recommendations of the Regents Commission Map of Public Library Systems in New York State	Public Library Glossary Selected Bibliography/Web sites
The complete Handbook is also available as a .PDF file [765K]
A print version of the 2005 edition of the Handbook for Library Trustees of New York State is now available for sale from the Suffolk Cooperative Library System. The cost of the handbook is $2.75 per copy. Please send your orders to: Suffolk Cooperative Library System 627 N. Sunrise Service Rd. P.O. Box 9000 Bellport, New York 11713 Attn: Robert Gadue (631) 286-1600

Acknowledgments

This revision of the Handbook for Library Trustees of New York State is dedicated to the memory of Malcolm Hill, late Director of the Mid-York Library System, whose hard work and dedication to public libraries and trustee education was the foundation for the Millennium Edition of this work, upon which this revision is based.

The assistance of the following groups and individuals in the development of this Handbook is gratefully acknowledged: the Directors and staff of the Public Library Systems of New York, especially Josh Cohen and Rebekkah Smith of the Mid-Hudson Library System; the Board of Directors of the New York State Association of Library Boards, in particular Francis Picart, Joan Hurley and Richard Strauss; Janet Welch, State Librarian and Carol Desch, Director of the Division of Library Development and their staff. Special thanks to Jim Farrell, former public library consultant at the Division of Library Development, for his numerous comments, suggestions and advice and Kevin Seaman, Esq. for his legal review.

Their support, encouragement, helpful suggestions, critical and inquiring minds have all helped to shape, mold, and improve this Handbook.

To My Fellow Library Trustee,

The New York State Association of Library Boards (NYSALB) is pleased to be part of this joint effort to update the library trustee's handbook, last issued five years ago. Much has changed in the library world of New York State and the changes are well reflected in this new handbook.

A few decades ago, NYSALB was created as the statewide organization of library trustees and their boards in large part to advance the training of trustees. The education of library trustees is still a primary part of NYSALB's mission to this day. Through the Annual Trustee Institute, our web site, our electronic forum, and in many other ways, NYSALB helps arm trustees with the knowledge and skills they need to handle the many challenges their libraries face.

You -- the library trustee -- are the bridge between the library and its community. To be effective in representing the community's needs to the library staff and to represent the library in your community, you need to have a variety of skills and understanding of library issues. Even the experienced trustee can learn new lessons in the rest of this handbook. Read on, and you'll be more effective as a trustee and maybe even get more enjoyment from your role in your library.

Sincerely yours,

Norm Jacknis
President
NYSALB

Preface

Today's libraries operate in a mixed electronic and print environment, typically offering not only well-stocked bookshelves and knowledgeable librarians, but also electronic reference tools, Internet access, and a wide variety of informational media.

New York's libraries offer a gateway to information resources in every format-on and off the Internet, in library buildings, and remotely to homes, offices, and schools. In this information age, the library has emerged as an element of social infrastructure as important to communities as their roads and bridges.

The Board of Regents has taken action to ensure that all communities in New York State will have quality library service far into the future. The board charged a Regents Commission on Library Services with examining library services in the state and planning for future development. In its final report, Meeting the Needs of All New Yorkers: Library Service in the New Century, issued in July 2000, the Commission articulated a vision for library service and recommended a plan for ensuring equal access to information for all New Yorkers. This plan provides the foundation for the Regents New Century Libraries legislative initiative.

Library trustees have a responsibility to help make the Commission's vision a reality. A good public library benefits and serves the entire community. While trustees are not usually involved in the day-to-day activities of the library, they make policy and fiscal decisions crucial to the life and direction of the library. Their decisions impact the lives of people and the future of their community.

Library trustees are responsible to the library and to the public it serves. Trustees must fulfill the duties commonly referred to as care, loyalty, and obedience, and must be tireless advocates for improving library services. Forward-looking, informed trustees are needed to guide their libraries through the information age in a knowledge-based society. This new edition of the Handbook for Library Trustees in New York State provides both advice and practical information to help trustees succeed as board members.

As New York's State Librarian, I am pleased to congratulate the public library systems and the New York State Association of Library Boards on this new edition of the Handbook for Library Trustees in New York State. I am confident the handbook will continue to prove itself an invaluable tool for public library trustees in meeting the challenges of delivering high-quality public library services in the 21st century.

Janet M. Welch, State Librarian and Assistant Commissioner for Libraries
New York State Library
Office of Cultural Education
New York State Education Department

Introduction

The purpose of this Handbook is to assist both the new and experienced public library trustee in New York State to better understand their job and to present the basic information they need to provide quality library service to their community. It offers advice on the philosophy of governing a library and on the practical, nuts-and-bolts aspects of responsible trusteeship. This is but an introduction to the many aspects of trusteeship and should be considered simply as one of the many resources necessary to do the job well. The Handbook is intended to be kept in a binder or folder along with other important documents such as the Library's By-Laws, Policy Manual, and Long-Range Plan, so that updated information can be added as needed.

All trustees should be aware that the New York State Library provides information on a range of topics on their web site. The Division of Library Development web site deals specifically with public library issues. In addition, the Mid-Hudson Library System provides an excellent source for trustee training.

The effective trustee must be well versed in good governance practices that will enable them to meet the challenges presented by a rapidly changing political, social and cultural environment. Public libraries in our state are faced with complex and sometimes contradictory law and regulation, new technologies and emerging competitors for the library's customers. It is indeed an exciting time to be a library trustee.

Many individuals and organizations across New York State share the goal of improving and extending library service, but individual trustees, acting as part of a library board of trustees, ultimately bear the responsibility for achieving that goal. This manual is intended to provide an introduction to the practical and philosophical information that trustees will need to augment the common sense and good judgment they exercise in the course of their service.

The Library Network in New York State

Libraries and library trustees in New York State are supported by one of the most extensive and comprehensive library networks in the country. This network is both institutional and electronic.

Each public library is chartered by the Board of Regents of the University of the State of New York, one part of the vast statewide educational system. The Regents' responsibilities include oversight of all educational and cultural institutions, including more than 750 public libraries.

The Regents appoint the Commissioner of Education, who is the chief executive officer of the State Education Department. The Assistant Commissioner for Libraries, also known as the State Librarian, is responsible for the activities of the New York State Library and the Division of Library Development. The Division of Library Development coordinates and administers state aid programs and the rules and regulations that govern public libraries and library systems. The Division of Library Development also helps to develop new statewide programs of library service and provides guidance on charter changes and other matters that must be referred to the Board of Regents.

Nearer to the local library, and its first source of assistance and resources, is the public library system. Virtually all of the public libraries in the state belong to one of the twenty-three public library systems. There are three types of public library systems: consolidated, federated and cooperative. Each has a different legal structure and relationship with its members or, in the case of consolidated systems, its branches.

A thorough comparison of the three different types of public library systems

Each public library system develops its own plan of service, reflecting the needs of the libraries in the area the system serves. Local governance and control allows library systems to offer programs and services that vary greatly from one region to another. Nevertheless, all public library systems share the same common purpose and responsibility for the development and improvement of their member libraries. The systems are also responsible for providing library service in those areas without public libraries. Finally, each system is required to designate a central library or co-central libraries whose purpose is to house and offer resources in greater numbers and depth than usually found in local libraries.

Public library system services may include the following:

Online union catalogs;
Interlibrary loan and delivery of materials;
Administration of computer networks and integrated library automation systems, including circulation, online public catalogs (OPACS) acquisitions and other sophisticated software modules;
Cooperative purchase and support of electronic databases, Internet access and telecommunications services;
Continuing education seminars, workshops and training for library staff and trustees;
Consultation on library administration, programs and services;
Specialized support for Young Adult and Children's Services;
Centralized purchasing, ordering and processing of library materials;
Assistance in materials selection and collection development;
Materials cataloging services and advice;
Web page design and maintenance; printing and other duplication services;
Service to correctional facilities, nursing homes, and other institutions;
Outreach services to special populations and consultation on accessibility issues;
Assistance in, and administration of, state and federal grant programs;
Services to unchartered areas including contract library services, bookmobiles or other extension services.

New York State also supports two other types of library systems that work with the public library systems to broaden the variety of resources available to all residents of the state. Reference and research library resources systems (3Rs councils) were established to enhance resource sharing and to meet specialized reference needs. The 3Rs councils serve primarily as the systems for academic and special libraries but their membership also includes library systems, hospital libraries, and specialized libraries of all types. Individual public and school libraries may also join. The state is also served by forty-two school library systems sponsored by the BOCES and Big Five Cities Schools. The school library systems provide support services, consultation, and assistance to both public and non-public school libraries.

Library Laws and Regulations

As corporations in the public arena, libraries are subject to a wide range of federal, state and local laws, rules and regulations. While trustees cannot be expected to understand all the details of every pertinent law, they should be familiar enough with the major legal issues to be assured that their library is always in compliance. Boards are strongly advised to solicit the assistance of legal counsel well versed in education and municipal law. It is important however, for every trustee to understand the legal foundation of their library and the extent and limitations of the Board of Trustees' authority.

Public libraries in New York State receive a charter from the Board of Regents of the University of the State of New York. The charter gives the library a corporate existence. The basic powers and duties of all library boards of trustees are defined in Education Law Section 226. This law provides fundamental rules of conduct for the Board and details important powers such as the right to hold and control property and hire staff.

Other pertinent N.Y. State Education Laws and Regulations include:

Ed. Law Sec. 253 - Definition of a public library;
Ed. Law Sec. 254 - Standards of library service;
Ed. Law Sec. 255 - Establishment of a library;
Ed. Law Sec. 256 - Library service contracts (with unchartered areas);
Ed. Law Sec. 259 - Library taxes;
Ed. Law Sec. 260 - Trustees;
Commissioner's Regulation 90.2 - Standards;
Commissioner's Regulation 90.3 - Public Library Systems;
Commissioner's Regulation 90.4 - Central Libraries;
Commissioner's Regulation 90.8 - Personnel;
Commissioner's Regulation 90.9 - Library Services Aid.

All public libraries are subject to various parts of the Education Law, Not for Profit Corporation Law and Public Officers Law. Depending on the type of library, it may also be affected by General Municipal Law, Civil Service Law and the laws of myriad other jurisdictions at all governmental levels that are concerned with activities in which libraries may be engaged.

An excellent compilation of the laws and regulations affecting public libraries in our State

Legal Structure

There are four types of public libraries in New York State: association, municipal, school district, and special district. The chart in the Appendices explains the major differences among them. Following is a brief explanation of each.

An association library is a private corporation established by the members of the association. It contracts with a unit of local government to provide library service to the residents of that jurisdiction. In legal terms, this contract may be written, oral or implied; but it always exists. Though association libraries are private not-for-profit corporations and not subject to some of the laws and restrictions of true public libraries, they are generally supported by public funds and must always keep that in mind.

A municipal library is formed either by a vote of the governing body of a municipality (village, town, city, or county) or by a public referendum to serve the residents of the municipality. Although the board of trustees is an independent corporate entity, the library is a part of the municipal government and subject to all the laws applicable to public institutions in the state.

A school district public library is organized to serve the residents who live within the boundaries of a given school district (hence the name). The library and the library board are independent of the school district and the school board. The school district is responsible for the collection of taxes and for the issuance of municipal bonds for construction on the library's behalf. The separation of powers between local boards of education and school district library boards is detailed in Education Law Section 260.

A special district library is created by a special act of the State Legislature and a local public vote, to serve all or part of one or more municipalities as defined by the special legislation. Each of these libraries is somewhat unique but all are considered "public" insofar as adherence to state law.

Every public library should obtain federal tax-exempt status under Section 501c(3) of the Internal Revenue Code. This exemption allows the library to avoid federal tax liability and also to be eligible to receive tax-deductible gifts. A library that has such an exemption is required to file Form 990 with the IRS if it has gross receipts of more than $25,000.

The Form 990 functions in place of a federal income tax return for the exempt organization and there are large financial penalties for late filing or failure to file. Federal law requires that the library's completed Form 990 must be on file at the library and available for public inspection upon request. In addition to the federal tax exemption, each library should also obtain a state sales tax exemption certificate.

As noted in the section on Board Organization, each library board is required by the Open Meetings Law to conduct its business in public with only a few very limited exceptions. All municipal, school district and special district libraries must also conform to the requirements of the Freedom of Information Law (FOIL). Though association libraries do not fall under the provisions of this law they are wise to consider such a policy since they are generally supported by public funds.

See: New York State Department of State, Committee on Open Government.

Every library is also required to file an annual report with the Division of Library Development of the State Education Department detailing library activities and finances. Compliance with the state established minimum standards is also reviewed in this annual report. Failure to file such a report in a timely fashion can lead to the loss of some state funding and ultimately to the closing of the library.

By Regulation 90.2, the Commissioner of Education has established minimum standards for public libraries. They are as follows:

A public library is required to have:

Written by-laws;
A board-approved, written long range plan of service;
An annual report to the community;
Written policies for the operation of the library;
A written budget proposal for presentation to funding agencies;
Printed information describing the library's rules, hours, services, location, and phone number.

In addition, a public library is required to:

Periodically evaluate the effectiveness of the library's collection and services;
Maintain hours of service according to a schedule based on population served;
Maintain a facility which meets community needs;
Provide equipment and [electronic] connections to meet community needs;
Employ a paid director with qualifications based on population served.

The minimum education qualifications for library director are as follows:

2,500-4,999 population: two years of college study;
5,000-7,499 population: bachelor's degree;
7,500+ population: Master's degree in Library Science (MLS).

A public library in New York State must meet these Minimum Standards in order to be registered to receive public funds.

Trustee Duties and Responsibilities

To act for someone else's benefit with special responsibilities for the administration, investment of assets that belong to someone else. -- New York State Not-for-Profit Corporation Law

A trustee is a person to whom property is legally committed in trust. A library trustee's commitment is to both the physical property and resources of the library and to the services it provides. The library board has the final responsibility to see that its library provides the best possible service to its community. In the words of New York's Not-for-Profit Corporation Law, Directors and officers shall discharge the duties of their respective positions in good faith and with that degree of diligence, care and skill which ordinarily prudent men would exercise under similar circumstances in like positions.

The duties of trustees are broad in scope. They are:

Create and develop the mission of the library;
Select and hire a qualified library director;
Secure adequate funding for the library's service program;
Exercise fiduciary responsibility for the use of public and private funds;
Adopt policies and rules regarding library governance and use;
Regularly plan and evaluate the library's service program;
Maintain a facility that meets the library's and community's needs;
Promote the library in the local community and in society in general;
Conduct the business of the library in an open and ethical manner in compliance with all applicable laws and regulations.

Every trustee makes a personal commitment to contribute the time and energy to faithfully carry out these duties. Although the board is legally responsible for all aspects of the library as an institution, it is unreasonable to expect a trustee or the whole board to be expert on every activity or concern that affects the library. Sometimes the most important thing a board can do is acknowledge that it does not have enough information or resources, and to ask for help. A trustee must make decisions based on the best information available. It is often wise to consult specialists such as lawyers, accountants, architects, computer analysts and other experts and to act upon their advice.

Under New York State law, library boards have broad and almost exclusive powers and authority to administer the library. The board should not only be concerned with the internal operations of the organization but also alert to external trends and changes that can affect the library's program of services. Being proactive and open to change is imperative in order to survive and thrive in a world in which change is the only constant.

Checklist for Effective Library Trustees:

Be active and informed about library matters in general and of those affecting your library. Ask questions of the director and study the issues.
Attend all board meetings and be fully prepared to participate knowledgeably.
Question issues until you understand. Don't be reluctant to vote no on a proposal you don't understand or are uncomfortable about.
Be a team player and treat your fellow board members with respect.
Support board decisions even if you disagree. A democracy works by the rule of the majority. Seek reconsideration in the future if circumstances change.
Understand the roles of all involved - the board, director, staff, Friends, patrons, etc.
Conflicts of interest by any board member are the concern of all members of the board. A trustee or family member may not receive any gain, tangible or intangible, in dealing with the library.
Advocate for the library in every manner possible.
Support competitive salaries in order to attract and retain qualified staff. Appropriate compensation is a direct measure of the commitment and respect a community has for the institution and its staff.
Understand and respect the role of the director and support the director's administrative decisions.
Always remember that your job is to provide the highest quality library service possible for your community.

Orientation of New Trustees

A successful trustee begins with a thorough understanding of libraries and the laws that govern them. A formal orientation with the library director and the Board President is the best way to learn about your organization. This orientation should include a discussion of the library's mission and goals, its role in the community and a review of the critical issues facing the organization. A good orientation will provide trustees with the information they need to carry out their responsibilities effectively and will generate a spirit of ongoing curiosity about the library and its role in the community.

Responsibility for planning and conducting the new trustee orientation is shared among the Board President, other board members and the library director. The specifics will vary depending upon the style of the board and the size and type of library. Regardless, it is essential to have a formal orientation for all new trustees as soon as possible.

All new trustees should receive a tour of the library and an opportunity to meet the staff. The library director and Board President can provide information on:

Mission, goals, long-range plans and projects in progress;
How the library is organized and governed;
Responsibilities and expectations of trustees;
Funding sources and how the budget is created and managed;
Day to day operations;
Ways the library serves the needs of the community and how it is linked to other organizations and resources;
Recent accomplishments and challenges;
Board relationships with the director, staff and volunteers.

Every trustee should receive a thorough orientation and packet of essential documents to keep in a notebook of library related materials. It is wise to become familiar with these items before you fully participate in board decisions.

The following information is typically provided:

A brief history of the library;
By-Laws of the Board of Trustees;
Board membership and contact information;
Board Committee memberships;
Schedule of Board meeting dates;
Minutes of recent Board meetings;
Information on Open Meetings Law;
Library policy manuals;
Results of the most current community survey about the library;
Long range or strategic plans;
Union contract (if applicable);
Staff Handbook;
Staff List & Organization Chart;
Previous annual audit(s);
Current Operating Budget;
Recent monthly financial reports and statistics;
Contracts, relevant local and state laws and other key documents pertaining to the library;
An explanation of the State Library and the library's public library system, including the services they provide to the library;
Library newsletters, brochures and related library websites;
Information on the Friends of the Library;
Handbook for Library Trustees of New York State;
Board of Regents Statement on the Governance Role of a Trustee or Board Member.

All trustees should keep this notebook up to date by adding to it such documents as minutes and reports that are distributed at board meetings.

Library Board Organization

Public libraries are required by the Regulations of Commissioner of Education of New York State (CR 90.2) to operate under written by-laws. By-laws are "the set of rules adopted by an organization defining its structure and governing its functions." (Sturgis, The Standard Handbook of Parliamentary Procedure; third edition, new and revised, p. 257) By-laws may not conflict with federal or state law and regulations; such law and regulation is the highest authority governing the library's affairs.

A board will probably find the need to tailor its by-laws to local needs and situations. The by-laws should be reviewed periodically and amended when necessary to maintain flexibility and relevance. All by-laws should include the following provisions:

Name of Organization, purpose, objectives and area served;
Board terms and composition;
Procedure for election, appointment and removal of trustees;
Procedure for filling an unexpired term;
Schedule of meetings;
Procedure for special meetings;
Attendance requirements;
Quorum requirements;
Duties and powers of board officers;
Summary of the director's duties;
Standing and special committees;
Order of business for board meetings;
Parliamentary authority;
Procedure for amendment of the by-laws.

Trustees of municipal, school district, and special district libraries, and trustees of cooperative library systems are required to file the oath of office specified in the State Constitution:

I do solemnly swear (or affirm) that I will support the Constitution of the United States, and the constitution of the State of New York, and that I will faithfully discharge the duties of the office of trustee of the ___________Library, according to the best of my ability.

The oath may be given by any officer of the court (judge, attorney, notary public) and must be filed in the local county clerk's office. Failure to do so will vacate the position.

Collective Authority

Under New York State law, a library board has broad authority to manage the affairs of the library, but it is a collective authority. Individual trustees, regardless of their position on the board, may not speak or act on behalf of the library unless they have been specifically granted that authority by a vote of the board.

An important corollary to this collective authority is the need for the board to speak with one voice once a decision has been made. Debate, discussion, and even disagreement over an issue are an important part of policy development and the decision making process. However, every trustee has an ethical obligation to publicly support an adopted board decision. The First Amendment protects the rights of a trustee who disagrees so strongly with a board decision that he or she must speak out publicly against it. However, in such instances the individual must make it clear to all concerned that they do not represent the library and, indeed, may wish to seriously consider resigning from the board.

Library Board Meetings

Meetings are conducted under the rules set forth in the by-laws. In order for all trustees to be properly prepared for the meeting, a packet should be mailed to them no less than one week before the meeting date. The packet should include the meeting agenda, minutes of the previous meeting, financial reports, the library director's report, and any other documents that pertain to the business of the meeting. All trustees are expected to come prepared to participate fully in meeting discussions and actions and to be familiar with the activities of the committees to which they are assigned. Using the talents and skills of every board member creates a more cooperative, congenial, and productive board.

Regular attendance at board meetings is essential. The Board President should be notified in advance if attendance is not possible. A trustee who misses meetings frequently may not completely understand the issues at hand and valuable meeting time can be lost bringing that trustee back up to speed. An uninformed trustee also cannot make the best possible decision when it comes time to vote. Education Law 226 declares that "If any trustee shall fail to attend three consecutive meetings without excuse accepted as satisfactory by the trustees, he shall be deemed to have resigned…" It is a good idea to define what constitutes a satisfactory excuse for absence in the by-laws.

Far too often boards tolerate frequent absences by a board member to the detriment of the board and the library. A trustee who has difficulty in regularly attending meetings may wish to seek other opportunities to help the library rather than board service.

The most effective boards concentrate their time and energy on a few issues that will have a major impact on the library's future. Activities that can be completed by individual trustees outside the meeting (such as reading the minutes) should not take up valuable time at a board meeting.

Richard Chait of the Harvard School of Education, an authority on nonprofit boards, states the key concepts this way:

Focus the board's attention only on issues that really matter;
Use the board's time and structure to pursue those issues;
Be certain that the board has the information it needs at the right time;
Ensure that the board works as an effective corporate unit.

Board meetings generally can be completed within two hours. If meetings consistently last longer, issues can be referred to committees or the director for further study or tabled for action at subsequent board meetings. Establish an ending time for the meeting and stick to it.

Every board meeting should have an agenda distributed in advance, along with copies of the previous meeting's minutes, financial reports, the schedule of bills to be paid, proposed personnel actions and the director's report. Background information on the issues before the board should be distributed as well.

Managing an effective meeting is the duty of the Board President. Beginning on time and keeping the discussion focused on the topic at hand are key to quality meetings. Though local practice may vary from library to library there are several critical issues that apply to all public libraries in our state.

Open Meetings

All public libraries in New York, including association libraries, are subject to the Open Meetings Law. (same as Public Officers Law; Article 7) This law requires that board meetings must be properly posted and advertised and open to the public. In addition, working sessions of the board (even if they are not formal meetings) must be advertised and open if a quorum of the board is expected to attend. Notice of all board meetings must be sent to the news media and posted in a public place such as the library. Executive sessions, meetings from which the public and the news media may be excluded, may be convened during an open meeting for a limited number of specific purposes. These are:

Matters which will imperil the public safety if disclosed;
Any matter which may disclose the identity of a law enforcement agency or informer;
Information relating to current or future investigation or prosecution of a criminal offense which would imperil effective law enforcement if disclosed;
Discussions regarding proposed, pending or current litigation;
Collective [bargaining] negotiations pursuant to Article 14 of the Civil Service Law (the Taylor Law);
The medical, financial, credit or employment history of a particular person or corporation, or matters leading to the appointment, employment, promotion, demotion, discipline, suspension, dismissal or removal of a particular person or corporation;
The preparation, grading or administration of examinations;
The proposed acquisition, sale or lease of real property or the proposed acquisition of securities, or sale or exchange of securities held by such public body, but only when publicity would substantially affect the value thereof.

Though several of these situations do not ordinarily affect libraries, the complete list is included here to emphasize the limited conditions that justify a closed session of the board under the law.

An executive session is convened only as part of a public board meeting. The board must vote to enter executive session and state the general nature of the session for its minutes. The board may take formal action and vote on any matter in executive session except the appropriation of public monies.

Further information on the Open Meetings Law and the Opinions of the Committee on Open Government

Minutes

Minutes of all board meetings are required by the Open Meetings Law. They, along with financial statements and other official records, should be kept in a secure but accessible place and available to the public upon request. Minutes of a regular session of the board must consist of "a record or summary of all motions, proposals, resolutions, and any other matter formally voted upon and the vote thereon." Although it is not required, most minutes also include a summary of discussions relating to the issues covered. Minutes must be on hand for public inspection within two weeks of the meeting, even if they have yet to be approved.

Minutes of executive sessions are required only if the board took formal action in the executive session. If no vote or other action is taken, no minutes are required. Otherwise, the minutes of an executive session must provide "a record or summary of the final determination" or action the board took in the session.

Quorum

The library by-laws must establish what determines a quorum, or the minimum number of trustees required in attendance necessary to conduct business. Board members must be present to vote. Teleconferencing does not meet the requirements of the Open Meetings Law. (Videoconferencing is permitted, but the videoconferencing sites must be open to the public and cited in the notice of the meeting.)

No matter what makes a quorum, it is important to note that, under New York State Law, no action can be approved without a "majority of the whole". In other words, should your Board consist of seven members, an affirmative vote of four is always required for a motion to pass, regardless of the number of trustees in attendance. Tie votes defeat the motion.

Fiduciary Responsibility

Among the responsibilities given to trustees is the oversight of the library's finances. All expenses must be approved by the Board at a legally held meeting. (Please note that some recurring expenses, such as salaries and utility bills, may be approved for payment prior to a Board meeting but must be formally approved at the next meeting.) The Board should receive, review and understand up-to-date reports on the financial status of the organization in relation to the adopted budget. This is not to imply that the Board must micromanage every expense. It is their responsibility to assure that proper checks and balances are in place so that the library can operate efficiently, yet with appropriate due diligence on the part of the board. (see Budget and Finance Section)

Personnel

According to Education Law Section 226 all personnel actions must be approved by the Board of Trustees at a legal meeting. This does not suggest that the Board selects staff other than the director. It does mean that the Board creates all positions, establishes salaries and formally appoints the staff upon the recommendation of the director. (see Personnel Section)

Public Expression

Board meetings are for the conduct of library business. They are not public hearings about library affairs. The Open Meetings Law makes no provision for public participation, though it is wise to set aside a period for public expression in the agenda. In the interests of time and the effective conduct of business, boards are advised to adopt a policy regarding participation by the public in their meetings. Individual public comment may be limited but such rules must be consistent. All members of the public attending a board meeting, regardless of residency, may speak.

Library Policies

Policymaking is perhaps the most difficult part of a trustee's job, requiring an open mind, a thoughtful study of the issues involved and a deep understanding of the library's mission and of the community it serves.

Policies are the rules and the principles that guide the operation and the use of the library. They are required by Commissioner's Regulation 90.2 as part of the public library minimum standards. The library board is responsible for creating such policies, reviewing and revising them, and ultimately enforcing them with the assistance of the library staff. Policies must be clearly written and understandable.

All policies should include a process by which the board can respond to public comments or complaints. Policies are, in effect, the rules of the library and should not be confused with procedures, which are an administrative function and describe how things are done.

It is a good idea to categorize the library's policies into internal (such as personnel, disaster planning, etc.) and external (dealing with the public). These areas can be further broken down to suit your library's particular organizational structure. There are many good resources for policy development, especially your public library system.

Typically, library boards have written policy statements in the following areas, as well as a policy for periodic review of policies:

Hours and days of operation;
Lending rules and procedures;
Confidentiality of library records;
Collection development and weeding;
Acceptable patron behavior;
Unattended children policy and procedures;
Acceptable use of the Internet and electronic resources;
Use of meeting rooms, exhibits, and display space;
Emergency procedures (i.e.: building evacuation, flood control, etc.);
Patron complaints;
Procedure for challenges to library materials;
Censorship;
Non-resident use;
Personnel policies, including detailed job descriptions, terms and conditions of employment, hours of work, employee benefits, evaluation procedures, working conditions, grievance procedures, etc.
Board conflict of interest and ethics;
Nepotism
Investment of public funds;
Continuing education of staff and trustees;
Volunteers;
Gifts, memorials and their disposition.

All policies should be able to stand alone and be dated for the original adoption and the last review and/or revision. They should be recorded, compiled, and organized for ready access in a policy manual. Every trustee should have a copy of the policy manual and must be familiar with its contents. A thorough understanding of the library's policies is the foundation from which to adopt new policies, revise old ones, and interpret or defend the library's rules.

Personnel policies are critical to any successful operation and must be consistent and in conformance with applicable state and federal law. Each library staff member should receive a copy of the personnel policies at the time of employment. A written acknowledgement of receipt is important.

Policy Development

Policy development and policy revision often involve major decisions and considerable philosophical reflection. Boards must allow adequate time to discuss and assess policy options and ramifications. While trustees alone have the legal authority to make policy, the process works best when the library director and other key staff are closely involved. The staff has an important role in researching options, drafting recommendations, and presenting them to the board for discussion and approval.

When establishing new policy the board should seek from the director sufficient information to discuss the issue with confidence. This should include:

A statement of the condition or problem that requires policy consideration;
A statement describing how a policy would contribute to the accomplishment of the library's goals and objectives;
A list of existing policies related to or affected by the proposed policy;
A list of the policy options available, with appropriate analysis (including effects of enforcing the policy, legal ramifications, and costs to resources, facilities, and staff);
A recommendation, accompanied by the justification for changes in any existing policies.

When any existing policy is under evaluation, the board should ask if it is:

In compliance with all laws and regulations;
Consistent with the library's mission, goals, and plans;
Consistent with the Library Bill of Rights and the Freedom to Read Statement;
Complete, clearly written, and easily understandable;
In the best interest of the community at large, devoid of politics, prejudice, or favoritism;
Easily enforceable without undue burden on the library staff;
Designed to maximize library services and access for the greatest number of users.

Copies of the policy manual must also be housed in the library and be easily accessible by the staff and public. The director is responsible for instructing the staff about the policies that affect their work and assuring that they fully understand these policies. Staff members are on the front lines when a policy question arises and it is essential that they are able to explain all policies to the public in a clear and effective manner.

Ethics and Conflicts of Interest

In today's political environment accountability and ethics are critical ingredients for any public organization. As public libraries continue to develop and expand and rely to a far greater extent on the support of local taxpayers it is essential for every library board to have in place a policy clearly stating the ethical principles upon which they work. In every decision trustees should be sensitive to even the appearance of impropriety.

In this context trustees or their families may not enter into a business relationship with the library, even if they are providing a service below cost.

Conflicts of interest are defined in General Municipal Law Section 800. Though trustees of association libraries are generally not considered "public officers", the State Comptroller has held that "the common law rule (regarding conflicts of interest) is not limited to public officers and municipalities; it also applies to private positions of trust…and is applicable to trustees of a free association library." [3 OP State Compt 485, 1947].

In a similar fashion, many library boards have adopted nepotism policies in a sincere effort to address the issues surrounding the employment of both trustees' and staff family members.

A sample Ethics Policy may be found in the Appendices.

Personnel

The management and operation of a library are accomplished through a partnership among trustees, the library director, staff and volunteers.

As the library's governing body (and the entity with ultimate accountability for the institution), the board of trustees has the responsibility to hire a competent, professional and responsible library director and then to review and evaluate that person's performance regularly. Having hired a director, the board has an obligation to support the director wholeheartedly within the context of the employment relationship. Good communication and cooperation between the board and library director and an appreciation of the interdependency of each other's roles are prerequisites to a well-managed library.

It is critical for the board to establish clear lines of communication with the director. In general, the board's directions and intentions are communicated to the director through the President of the Board. Individual trustees should refrain from issuing specific instructions to the director at board meetings and especially between meetings. Such individual directions are inconsistent with the concept of collective board authority and a library director risks being caught between conflicting intentions, even among well-meaning trustees.

The day-to-day management of the library, including the management of staff, is the library director's responsibility. The director is the only employee supervised by the board; the director is responsible for the management and supervision of all other library employees. Trustees have a responsibility to know staff at a friendly but professional distance, to be cordial and supportive and to promote good will, but they must approach staff relationships with a degree of caution. Usurping the administrative prerogatives of the library director can only undermine that person's position and authority.

Some trustees act as library volunteers, especially in small libraries. Likewise, libraries without a nepotism policy often have trustees' family members on staff. (The law only prohibits trustees from appointing their close relatives as "officers of the corporation", i.e., director, treasurer or trustee.) This can lead to an awkward situation for all involved.

A trustee is part of the governing board of the library, while staff and volunteers report to the library director or other paid supervisor. Role confusion is almost inevitable and any trustee who pursues the role of volunteer or has a family member or friend on staff must be extremely sensitive to the potential conflicts of authority that may arise. It is best to avoid such situations whenever possible.

Board policy should clearly indicate the process for staff complaints and grievances, and the board should never get involved in such activities outside of that policy. Individual trustees must never address staff complaints and grievances; rather, they should refer the staff to the policy. If and when a grievance reaches the board level, it is usually the responsibility of the director to communicate the board's decision back to the staff. Only in those cases where the grievance involves the director should the board communicate directly with the staff.

Evaluating the Library Director

One of the most important aspects of the trustees' job is to regularly evaluate the performance of the library director. It is often one of the most difficult tasks as well. There are several good reasons to conduct an annual performance review. Among them:

A review provides the director with formal feedback on his or her job performance;
The evaluation effort provides the board with critical information about the operations and performance of the library;
The evaluation process can be used to establish the goals and objectives of the library, as well as of the director;
A meaningful evaluation process can link compensation to job performance;
A thoughtful evaluation can provide motivation, direction and encouragement;
The process can be coordinated with the determination of community needs, thereby providing an important component of the library's ongoing planning process;
The formal evaluation process is necessary to properly document unsatisfactory performance.

It is essential that a written, reasonable and up-to-date job description be in place as a benchmark. The annual evaluation is the time when members of the board and their chief executive focus on the important issues facing the library and evaluate how the director and the Board are performing as a team. There are many sample evaluation forms available but it is the process itself that is most important, not the form. In order to make the process more effective consider the following tips:

Have a valid, realistic job description in place;
Have a written agreement or contract stating the director's conditions of employment, salary and benefits;
Conduct a written evaluation of the critical aspects of the job by members of the board or have the director provide a detailed self evaluation for board review and discussion;
Evaluate the director's performance against the goals and objectives of the library's long range and strategic plans;
Use the opportunity to evaluate the board's performance as well;
Make sure the entire board participates in the evaluation process;
Be open and honest and do it face to face.

As a trustee, it is sometimes necessary to remind yourself that your first responsibility is to the library and the community it serves. The role of employer may be a role to which many trustees are unaccustomed and it can sometimes seem easier to let an uncomfortable situation slide rather than face it head on. This is especially the case in small communities where trustees and library staff may have been friends and neighbors for many years. An unwillingness to deal directly with difficult personnel issues will ultimately damage the library and its ability to provide the best service to the community. If a librarian or library director has truly demonstrated a continuing, documented inability to manage the library effectively, the board must look for a new person who can do so rather than make excuses or run the library themselves.

Budgets and Finance

Public library boards are legally responsible for the library's finances and financial management. As custodians of public funds, trustees must be accountable in their management of the library's money.

The Budget Process

Every public library, regardless of size, must prepare and adopt a written annual budget. In larger libraries, budget preparation is primarily the responsibility of library management. The board of trustees defines the library's mission, and the director translates that mission into programs with specific costs that form the basis for a draft budget. The best budgets are developed in relationship to the library's long range and strategic planning process.

During its development, the budget draft should be reviewed and scrutinized by the president, the library treasurer or the board finance committee, depending on local practice. The final budget draft should be the product of careful review and discussion by a number of people even before it is presented to the full board. If a budget is presented to the electorate or a local government for approval, the entire board should review, discuss, and approve it.

Directors must be full partners in the budget development process in libraries of all sizes. As the manager of the library, the director has an important perspective on the library's programs, services, and costs that trustees do not. Smaller libraries may also seek assistance from their public library system.

A budget is a flexible document, not a rigid rulebook. Plans and circumstances will change during a fiscal year and the board has both the authority and the responsibility to revise the budget to accommodate new situations.

Depending on its circumstances, the library may have more than one fund. The operating fund is the account from which the library's day-to-day income and expenses are received and disbursed and it is usually the account through which almost all receipts pass. A capital fund is a separate account established for special one-time, unusual and usually high cost activities such as construction, renovation, or major equipment purchases. Finally, a library may have an endowment fund, which exists independent of the operating fund and whose purpose is to generate supplemental revenue for the library.

Having acquired funds from a local government, community taxpayers or other sources, the board has an obligation to spend the money! Although a reserve fund is prudent and appropriate, the library should not hoard excessive amounts of money as a hedge against the proverbial rainy day. Local governments, voters, and donors do not give money to the library so the board can put it away in a safe place. They are buying service from the library!

Audit and control of funds

Under New York State law, the board of trustees has sole authority over the expenditure of funds appropriated for library purposes. The board, therefore, must have a method in place for the review and approval of all expenditures. All trustees should receive a monthly financial statement prepared or approved by the library treasurer, showing receipts, expenditures, and a comparison with the budget. Boards should also authorize annual external audits by an independent certified public accountant in order to assure that the financial management and control system is functioning properly. Though not required by law, libraries are advised to conform to the highest accounting standards recommended by the Governmental Accounting Standards Board in their management of public funds.

The purpose of an audit is to certify the accuracy of the library's financial statements. The auditor is testing the financial control system for reliability. The audit is an opportunity to verify and confirm the library's proper financial management and to learn from outside financial professionals. Several years of independent audits are often required when libraries seek to borrow funds or issue municipal bonds for capital projects.

Library funding

The library board is responsible for obtaining sufficient funding to provide appropriate service to the local community. Adequate funding is not the job of the library director. The library is an essential cultural, recreational, and educational resource in the community and trustees must be closely involved in the search for support. A public library is a public service and government funding is the most appropriate way to pay for it. A public library is not a charity!

In addition to tax monies, public libraries seek out funds from a variety of other sources. These include government and foundation grants, gifts and bequests, fundraising campaigns, fines and fees and investments. All of these sources can provide important added dollars for the library's budget, but they should always be considered supplemental to tax support. The public library system can provide information on grants and other supplemental funding sources available. To rely on donations for critical operational expenses such as salaries, building maintenance and utilities is inviting a crisis for the library.

Investment of funds

Because trustees act as custodians of public funds, they are subject to very tight restrictions on eligible investments. Under General Municipal Law and subsequent court rulings, all funds (including privately raised moneys) under the control of a municipal, school district, or special district library must be invested in the following limited number of financial vehicles:

Time deposit accounts or certificates of deposit in commercial banks and trust companies located and authorized to do business in New York State;
Obligations made by the United States of America or guaranteed by the United States of America, and obligations of the State of New York;
Under very limited circumstances, obligations of municipalities and other municipal corporations.

Except for gifts given to the library as a true trust, even privately acquired funds are subject to these investment limitations.

Association libraries are not subject to General Municipal Law and therefore have more flexibility and discretion in their investments. However, it is strongly recommended that public funds under the management of an association library board be invested only as described above. Private funds should be subject to a sound investment policy. The board must always understand its accountability to all those who support the library, in whatever fashion.

Capital projects

When the time comes for a major expansion or renovation public libraries generally seek public approval to borrow the necessary funds from a financial institution or to issue municipal bonds through an authorized agency such as a school district, Industrial Development Agency or the Dormitory Authority of the State of New York. Libraries are not authorized under state law to issue municipal obligations on their own. Such financing is quite complex. Professional legal and financial assistance is strongly recommended.

Planning and Evaluation

Every public library in New York is required to have a written long-range plan of service. There are many excellent publications on planning. Some, such as the Public Library Association's Planning for Results series are specifically library oriented. Others, such as those developed by the Drucker Foundation, are more generic but still extremely useful. The conscious decision to engage in planning is far more important than the planning tool used. Though planning may be required, it is simply a smart way to pull together all the decisions about budgeting, personnel, capital improvements, library services and community involvement. It makes the trustees' job easier!

Every plan has the same general components. The mission is a short, carefully crafted statement that tells the world why the library exists. Many libraries capture their mission in a single sentence. Goals are broad statements of program intent that support the mission statement. They are measurable only to the extent that they provide targets toward which to strive. There is always more to do to reach a goal! Objectives are specific, measurable, tasks or projects in support of a goal, usually stated in terms of outcomes. Action steps or activities are the specific assignments that must be completed in order to reach an objective. Finally, every good plan should come full circle with an evaluation process.

Every trustee must be prepared to ask difficult, searching questions about the library's goals and objectives, programs and services and about the board itself. What are the objectives of this library? Have they been accomplished? Are they appropriate? Is the community well served? How do we define good service? Does the director manage the library properly? Is the board functioning effectively? What do we want our library to look like in the future?

Evaluation looks at the past. It is an assessment and a measurement of activities that have already occurred and it provides a foundation for thinking about the future. Objective measurement, supplemented by subjective, anecdotal information, can help the board decide if its objectives have been met. However, it is important to measure the right things, and conversely, it is a waste of time to measure things that don't matter. For example, library circulation is a traditional measure of library use but it is only one small part of the activity in a library.

What other things could be measured to get an accurate picture of the way the public uses the library? These might include in-house use of materials, Internet sessions, number of database searches, program attendance; whatever is appropriate for the service package a particular library offers its community. To fully comply with New York State Minimum Standards the board must periodically seek community input in the development and evaluation of its service program. This can be integrated into the library's long range planning process in numerous ways. The director or library system will be able to offer strategies for effectively utilizing community surveys.

Long range planning prepares for the future. Strategic planning is based on the premise that change is necessary to survive and thrive in the future. Strategic planning answers the question, "What do we have to do now in order to improve our ability to operate five years in the future?" If the planning time frame is shorter it involves operational planning. Operational planning focuses on the improvement of things the library already does, and it is primarily concerned with the allocation of resources.

Creating a plan involves answering questions:

What does the community need?
What is to be done?
Who is responsible and who should be involved?
How will it be done?
What is the timetable?
What resources (people, money, materials, etc.) are available?
Who are the stakeholders in the process?
What is to be reported to whom, and when?
What options are available?
How is success measured?

Comparing the library to others with similar budgets or service populations can be a useful planning activity. The Division of Library Development publishes a compilation of financial and service statistics for every library in the state from the Annual Report for Public and Association Libraries. Also available are the latest data from the Federal State Cooperative System (FSCS) and the Public Library Data Service (PLDS) for all public libraries in the nation.

See: Public Libraries; Statistics

At times a library board may have a need to conduct extensive and rather specialized planning for such complex activities as building construction or the automation of the library. Such projects may exceed the board's collective skill and experience, making it advisable to call on the library system or outside consultants for assistance.

Facilities

Commissioner's Regulations require the board to "maintain a facility which meets community needs." While various formulas exist for determining the appropriate size of a library, the final determination of adequacy rests in the hands of the trustees. Square footage is only one factor in deciding whether a library meets the community's expectations. Location, internal arrangement, accessibility for the disabled, environmental quality, and intangibles such as ambiance all contribute to the overall adequacy of a library building.

Proper maintenance of the existing library is essential if the board is to fulfill its responsibilities to the community. The library should be a pleasant and safe place to work and visit. It must be accessible to everyone in the community. This requires more than just a wheelchair ramp and ADA compliant bathrooms. Every aspect of the library's service program should be evaluated to determine if it is accessible to persons with physical or mental disabilities. This includes a well-trained staff sensitive to the needs of all library patrons. Safety and security are also paramount in any public facility and libraries are no exception. Every effort must be made to create a safe environment for the staff and public.

Sometimes the library can only meet community needs by adding or remodeling space or constructing an entirely new facility. This will lead to a complex and extensive planning process that may require the board to seek the services of a consultant or library system staff. Construction plans should always be developed in the context of the library's mission and plan of service. The board should review service needs, explore alternatives, estimate costs, and set priorities; all before deciding on a specific building plan to pursue. Community involvement in the planning process is crucial to its success.

Trustees must understand that the planning and implementation process for library construction will require a major effort on the part of the board, the library director and the staff; including many meetings, reports, and reviews. Travel to inspect other library buildings should be part of this process. Planning will take many months and delays should be expected. Nonetheless, in spite of all the hard work, a building program may not meet the approval of the community. In such cases the Board must stay focused on the need to provide quality library service to the community and appropriate facilities for the library.

Renovation or rearrangement of existing space carries an additional set of challenges. The library may have to locate temporary facilities, which means relocating staff and materials. If the library remains open for business during construction, trustees should be sensitive to the added stress this will place on the director and the staff. Temporary service policies or exceptions to existing policies may be required. Excellent communication and an unusual degree of flexibility will be essential.

The Americans with Disabilities Act (ADA) prescribes specific building standards to ensure access for persons with disabilities. All new construction and most renovation must comply with ADA requirements. Libraries with inaccessible (or even partially inaccessible) buildings must have a written plan describing how their programs and services will be delivered to customers who cannot gain access.

Risk Management

The public library is exposed to a wide variety of risks in the conduct of its business. These include natural disasters such as fires and storms, patron accidents of various kinds, negligence, willful misconduct and other criminal activity. It is the board's responsibility to reduce risk to a manageable level so that the service program or even the survival of the library is not threatened. A lawsuit or a judgment against the library can have public relations consequences far beyond the monetary value of any award.

Library boards and trustees can be held liable for infractions of laws and regulations by the library, although considerable immunity is granted as long as the board is acting in good faith in carrying out its responsibilities. The Not for Profit Corporation Law and Public Officers Law afford individual trustees some degree of immunity from liability but that does not mean library boards and individual trustees cannot be sued for any reason or seemingly for no reason at all.

The best way to reduce risk is to be sure that the library is operating in a safe, legal manner according to carefully written policies. This is especially true in the case of personnel policies. It is always better to prevent harm than to rely on insurance to pay for a loss.

Risk management has several components. The most obvious is insurance. The library must carry property and general liability insurance appropriate to the size and scope of its operations. Errors and omissions insurance, also known as directors and officers (D&O) liability insurance, insures the library and the board against real or perceived errors of judgment. It will usually cover legal costs and judgments against the library. Workers' compensation insurance is required by law. Other coverages, such as flood insurance, may be appropriate in some situations. The library's entire insurance package should be reviewed thoroughly and regularly for cost and adequacy of coverage.

Careful record keeping and inventory management and valuation are important in the event of a loss. In addition to the traditional inventory list, a videotape of the library and its contents can be useful, especially if the library houses artwork or other items whose value might be questioned. Inventories are also required in order to comply with generally accepted accounting procedures for public entities.

Another important component of risk management involves attention to physical facilities and loss prevention strategies. Does the library have a security system or a fire suppression system? Has the heating and air conditioning system been inspected and properly maintained? Is the building maintained free of safety hazards? Is the staff familiar with emergency procedures? Are security procedures in place?

Remember that risk management is a continuous process involving the Library Board, administration, staff and insurance professional.

Electronic Information Technology

Computer and information technologies continue to transform library service and the escalating change those technologies have brought shows no sign of abating. The cost of technology continues to decline so rapidly that every library, regardless of size, can afford to take part in this revolution. Technology is not an end unto itself. Its wise use, along with a professional and well-trained staff, brings the best tenets of library service to everyone, in every corner of the state. Electronic resources extend, supplement and, in some cases, replace traditional print materials. With the advent of federal telecommunications discounts the cost of digital lines has dramatically declined for libraries, thereby reducing the effect of distance. Today the smallest and most remote rural library has much the same access to the same vast collection of library resources, databases and other information as the large urban library.

In practical terms, library automation is essential. Access to statewide information resources requires electronic information technology. Providing the service the public expects requires up to date electronic information technology.

To promote the importance of information technology, the New York State Library continues to emphasize this concept through its NOVEL: (New York Online Virtual Electronic Library) program. A NOVEL-Ready library, as an integral part of the statewide electronic learning community, uses computers and telecommunications technology, a full range of library resources and the services of skilled library personnel to:

Create, assemble, evaluate, and use information;
Extend access to library services from homes, schools, work places and other locations;
Facilitate access by people with disabilities and other special needs;
Go beyond the library's walls to obtain information and resources; and
Enable its users to access journals, magazines, newspapers and other resources available through a suite of NOVEL electronic collections.

The provision of electronic services presents library boards with a number of policy decisions. Internet access, in particular, raises issues of privacy, intellectual freedom and censorship. Libraries must be ready to address the concerns raised by members of their community, as well as the challenges presented by laws such as the PATRIOT Act and the Children's Internet Protection Act (CIPA). As previously mentioned, clearly written, understandable and enforceable policies, grounded in the library's overall philosophy of service, are essential.

Finally, boards must budget for equipment replacement on a regular basis. The practical lifespan of a computer workstation is about three years and funds must be available to replace it when it becomes obsolete.

Public Relations and Advocacy

As the citizen control over the public library, the board of trustees has a responsibility for telling the library's story to the taxpayers who support it. Even the best programs and services are of limited value if people don't know about them. Conversely, people are more likely to support programs they understand, value and use.

There are numerous ways to reach the public. One growing and useful tool is a web site that broadcasts the library's message and provides access to library services twenty-four hours a day. Web page content is easily changed and updated while the library retains full control at all times. More traditional publicity avenues include newsletters, public service announcements and feature stories on radio, television and newspapers. Face to face communication is perhaps the most effective way to get the library's message across in a meaningful fashion. By virtue of their position, trustees are important figures in the community and they should be prepared to discuss the importance of the library with their friends, neighbors, merchants and community leaders at every opportunity.

Public relations also involves partnerships. Trustees should look for ways to form networks and coalitions of library advocates. Many other organizations, such as the school system, service clubs, the chamber of commerce and local social service agencies have a vested interest in a strong and vital community library.

A more specialized aspect of public relations is legislative advocacy. Elected officials want to be invited to public events at the library and they should be on the mailing list for all library publications. Dynamic boards and trustees write, call and visit their elected officials frequently. Trustees are in a unique position to be effective in the governmental arena because they are citizen volunteers with no direct financial stake in library funding decisions. Trustees keep the library's financial needs in front of elected officials. Of course there are many other non-financial issues at the local, state, and federal level that affect libraries. Zoning ordinances, labor law, copyright, workers' compensation, telecommunications rules, environmental regulations, censorship and many other issues can have an impact on libraries and trustees must ensure that the library's interests are well represented.

Be sure the library's successes are not a secret!

Friends of the Library

Many libraries form a Friends of the Library organization to help achieve a variety of short-term and long-term goals. The role of a Friends group is distinct from, but related to, the role of a board of trustees. The members of a Friends of the Library are civic-minded people who know that quality library service is important to the life of a community and who are willing to volunteer their time and talents to help the library succeed.

Friends of the Library groups are independent organizations, separate and distinct from the library and the library board. While their purpose is support of the library, Friends have a separate corporate existence and can even be chartered by the Board of Regents. They should have a separate federal tax exemption and their funds should not be mingled with the library's operating funds. Depending on local needs, Friends of the Library do many things:

Create public support and awareness for the library and its programs;
Raise money, for capital campaigns or for direct gifts for items not in the library's own budget;
Work for library legislation or increased appropriations;
Sponsor and support library programs and events;
Volunteer to work in the library or on specific tasks and projects.

The independent corporate and financial status of Friends of the Library can be especially helpful in fundraising and budget vote campaigns. A library cannot use public funds to influence the outcome of an election, but a Friends group has no such limitation. The Friends can pay for postage, mailings, and other publicity designed to create a favorable outcome in a library's funding vote.

Friends of the Library can be valuable members of the library team when they are organized carefully and when their purpose is clearly defined and structured. Trustees provide citizen control and governance of the library as required by law. The library director manages the operations of the library. The Friends of the Library provides an opportunity for interested citizens to assist in developing the library in ways identified in consultation with the board and the director. It is essential that all parties in this arrangement understand the responsibilities and the limits of their roles. Frequent, clear, open communication about needs and expectations is the key to a successful partnership between the board, director and Friends of the Library.

Library boards can do a number of things to help and support Friends groups:

Be certain that there is a written policy statement about the Friends, their role and their relationship to the board of trustees;
Work with the Friends and the library director to be sure that Friends have clear and appropriate assignments and that their talents are being used well;
Meet with the Friends board formally (perhaps semiannually) to help the Friends plan and define their goals;
Appoint a library trustee to act as liaison to the Friends board;
Be open and welcoming to suggestions, questions and communications from the Friends;
Have an annual joint meeting with the Friends to review the library's plan, budget and the Friends' role for the coming year.

Many of the state's largest libraries, and a few smaller libraries as well, also utilize a foundation to attract support. While the Friends may handle the "day to day" fundraising typical of libraries, foundations are generally established to solicit major contributions for capital projects or ongoing programs beyond the scope of normal library activities. Foundations tend to be more sophisticated in their legal organization due to the number and variety of tax laws and regulations to which they are subject.

Continuing Education

Trustees must learn and grow during their tenure on the board, developing an ever-deepening awareness of the affairs of their own library and an appreciation and understanding of other libraries and library organizations and how they relate. The public library is a multifaceted organization functioning in a complex world.

The first step in the learning process is the orientation of a new trustee. However, education cannot cease once a person has reached the board table. Board meetings can be an excellent forum for continuing education. Many boards set aside time at every meeting for a presentation or discussion of some aspect of the library's work or programs. Such a session might include a training video, an overview of a staff member's work responsibilities, a presentation by a representative of the public library system or simply a few minutes of philosophical discussion and reflection on the role and purpose of the library. The importance of board self-assessment cannot be overstated.

There is an extensive body of literature on trusteeship and board development, and public library operation and management. A small sampling is included in the bibliography. In addition to organizations such as NYSALB, ALTA, ALA and NYLA, the Public Library Association and Library Administration and Management Association offer extensive resources as well.

Outside the library field there are many organizations concerned with non-profit administration and management. BoardSource and Leader to Leader (Peter F. Drucker Foundation) are especially helpful and complement the offerings of the library organizations well. Many of these publications are listed in the Bibliography and can be obtained through the library or public library system. Trustees should also ask the library director to let them know about articles or books in all fields that may be helpful to an understanding of the library's affairs.

Workshops and conferences provide an excellent opportunity for continuing education both from the program content itself and from the opportunity to meet and share experiences and ideas with other trustees. NYSALB sponsors an Annual Trustee Institute and most public library systems offer workshops and seminars specifically aimed at trustees. The annual NYLA Conference offers an excellent opportunity to learn about new developments, programs, and activities across the state. NYSALB always offers a special package of trustee-oriented programs within the NYLA conference. On a national level, the Association for Library Trustees and Advocates (ALTA), a division of the American Library Association, offers a program track for trustees at the annual ALA Conference as well.

Financial constraints or the perception of public disapproval make some boards reluctant to approve dues, registration fees, and travel expenses for the continuing education of trustees. However, these expenses are essential to keep libraries alive and vibrant through a better-informed and more effective board and staff.

Effective and knowledgeable trustees undergo a constant process of growth and learning. Attending board meetings and voting on current questions is not enough. Continuing education, for trustees as well as staff, represents an important investment in the library's future.

Intellectual Freedom, Censorship and Privacy

Public libraries play a unique role in the support and preservation of democracy by providing open, non-judgmental institutions where individuals can pursue their own interests. To the extent that their budgets permit, libraries attempt to collect materials and information that represent varying points of view on controversial topics. But as the repositories of our culture, both the good and the bad, libraries sometimes contain information or ideas that are controversial or threatening to some people. Expressions of disapproval, dismay and even outrage over library materials are not uncommon, even though public libraries explicitly avoid doctrinal positions or the espousal of a particular point of view. As difficult as it may be in some cases, trustees must be very careful to separate their personal opinions from the philosophy of the library as an institution.

The first amendment to the United States Constitution guarantees freedom of speech and the courts have long held that this guarantee extends to the right to receive information freely. Free access to information is the cornerstone of the American public library and trustees must ensure that their libraries have policies and procedures that prevent any form of censorship. Every person has the right to read, or not to read, any book. The responsibility for children's reading falls to parents, not the library.

The library board and director should prepare comprehensive collection development and public service policies to guide the selection of materials. This policy should reflect the principles of the American Library Association's Library Bill of Rights and Freedom to Read Statement.

Library access to the Internet raises a variety of challenging intellectual freedom issues. While the library has made a conscious choice to acquire the items in its collection, no such decision has been made about the resources on the Internet. The library merely provides an access point to millions of databases, Web pages, chat rooms and other resources without making a judgment about the reliability, accuracy or appropriateness of any of them.

The Internet is the broadest information resource available and it belongs in every public library. However, the Internet also contains material that is illegal, material that is illegal for children but not for adults and material that may offend community standards. Some very complex first amendment questions are at stake in public libraries' use and provision of Internet access.

It is essential that every library adopt a carefully considered and judiciously written policy statement tailored to the library's own community. Such a policy is especially critical in view of recent legislation such as the USA PATRIOT Act (Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism) and CIPA (Children's Internet Protect Act). This statement should include:

The purpose of library Internet access;
A disclaimer about the nature of the information on the Internet;
Prohibitions against engaging in illegal activities or accessing illegal materials;
Access allowances and restrictions, such as time limits, sign-ups, etc.;
A statement of parental responsibility for children and children's access;
Explanation of appropriate use;
Penalties and consequences for misuse;
Explanation of privacy issues;
An explanation of filtering software, whether or not the library uses it.

Staff procedures should forbid any comment on patron choices and guarantee the privacy of patron information requests. The state's Library Records Law (CVP Sec. 4509) prohibits access to any information that links the name of a library user to any library material, information request, or any other use of the library, unless the library is presented with a subpoena or search warrant from an authorized legal entity.

A procedure to handle complaints should be part of the library's policies. Trustees must recognize and acknowledge a citizen's right to question any board action and they must be willing to listen to challenges and explain the library's policies and the reasons for them. The board should project an open, concerned image without accommodating censorship demands. Responses to challenges must be rooted in the library's policies, regardless of the issue. No person or group should dictate what materials are suitable for others in the public library, nor should limitations be imposed based on the format of materials.

Censorship challenges can be difficult, but they are an inevitable consequence of the commitment to provide open and free access to all of the world's information resources. If a censorship issue arises, the library can obtain additional help and advice from the American Library Association's Intellectual Freedom Office and the New York Library Association.

Selection of Trustees

While the trustees of all municipal, school district and special district libraries, as well as a growing number of association libraries, are elected by the public or appointed by an elected municipal body, most association libraries in New York still appoint their own board members. Therefore an important part of every trustee's job is to be on the lookout for potential new board members who can help keep the library and the board strong and move it confidently into the future. A board should seek out and encourage qualified candidates who can complement board strengths or fill a gap in the current board's expertise. It is essential that board composition reflect the ethnic, racial, and cultural diversity of the community. A clear, generic trustee job description should always be available for interested persons and the news media.

When a potential trustee has been identified, he or she can be invited to board meetings to learn more about the library's governance. It is also important to bring such people to the attention of appointing authorities if the library is dependent on such for new trustees.

What are the qualifications for a library trustee? The most important qualification is a strong and genuine belief in public libraries and their mission in the community as centers for information, recreation, culture and lifelong education. Good library trustees are also good library patrons. A candidate must also be willing to devote appropriate time and effort to carrying out the duties and responsibilities of trusteeship. These duties will include regular attendance at board meetings, committee service and activities, visibility in the community on behalf of the library and learning about the library and the social, legal and political context in which it exists.

As public libraries move toward an uncertain future dominated by rapid change, the need for other board skills is also becoming apparent. The board should include members who are conversant with information technology, entrepreneurship, finance and public relations. These areas of expertise, which may have been considered the domain of the library staff in the past, are keys to ensuring a healthy future for the library.

Appendices

Last Updated: September 2, 2009

New York State Library

Handbook for Library Trustees of New York State