Legal Issues and Legal Issues and LibrariesLibraries

Southern Tier Library SystemSouthern Tier Library System

WorkshopWorkshopMay 5, 2007May 5, 2007

Dormann Library; Bath, New YorkDormann Library; Bath, New York

Jerry Nichols, Director, Palmer Institute for Public Library Jerry Nichols, Director, Palmer Institute for Public Library Organization & Management; Long Island University.Organization & Management; Long Island University.

Topics Topics

Legal Structure of Public LibrariesLegal Structure of Public Libraries Governing LawsGoverning Laws Board of TrusteesBoard of Trustees Library PoliciesLibrary Policies The Library Network of New York The Library Network of New York

StateState Contemporary IssuesContemporary Issues

Fundamental FactsFundamental Facts

The library is an essential The library is an essential educational institutioneducational institution

Good governance is a necessityGood governance is a necessity Understand that knowledge is powerUnderstand that knowledge is power Law is a tool of positive change and Law is a tool of positive change and

leadershipleadership

“The most important task of an organization’s leader is to anticipate crisis. Perhaps not to avert it, but to anticipate it.

To wait until the crisis hits is already abdication. One has to make the organization capable of anticipating the storm, weathering it, and in fact, being ahead of it.

It’s called innovation, constant renewal.”

- Peter Drucker

Fundamental FactsFundamental Facts

What is the difference between What is the difference between law, regulation, opinions, case law, regulation, opinions, case law, departmental guidelines law, departmental guidelines and all that?and all that?

Decisions and OpinionsDecisions and Opinions

Decisions of the Commissioner of Decisions of the Commissioner of Education Education

Opinions of the Office of the State Opinions of the Office of the State ComptrollerComptroller

Opinions of the Attorney GeneralOpinions of the Attorney General Rulings of the Committee on Open Rulings of the Committee on Open

GovernmentGovernment

Critical DocumentsCritical Documents

Provisional and Permanent ChartersProvisional and Permanent Charters RegistrationRegistration By-LawsBy-Laws PoliciesPolicies MinutesMinutes AuditsAudits Contracts & Other Legal DocumentsContracts & Other Legal Documents

The Library CorporationThe Library Corporation

Educational CorporationsEducational Corporations The Board of RegentsThe Board of Regents Commissioner of EducationCommissioner of Education State Education DepartmentState Education Department http://www.counsel.nysed.gov/http://www.counsel.nysed.gov/

pamphlet9/home.html pamphlet9/home.html

Types of Public LibrariesTypes of Public Libraries

Lack of Constitutional ProvisionsLack of Constitutional Provisions Who establishes public libraries?Who establishes public libraries? Public Public vsvs. Private. Private Four Types of Public Libraries:Four Types of Public Libraries:

AssociationAssociation MunicipalMunicipal School DistrictSchool District Special DistrictSpecial District

Association LibrariesAssociation Libraries

Oldest and Most PrevalentOldest and Most Prevalent Private not-for-profit 501(c)(3) Private not-for-profit 501(c)(3)

organizationsorganizations History & Methods of Organization History & Methods of Organization

Typical Service AreasTypical Service Areas Board Membership Board Membership

Applicable LawsApplicable Laws

Association Libraries, Association Libraries, continuedcontinued

Budget developmentBudget development Lack of taxing authorityLack of taxing authority Public voting processPublic voting process Capital projectsCapital projects

Municipal LibrariesMunicipal Libraries

EstablishmentEstablishment ““Public” aspects and applicable Public” aspects and applicable

lawslaws Relationship with municipalityRelationship with municipality Budget development, presentation Budget development, presentation

and independenceand independence Capital projectsCapital projects

School District LibrariesSchool District Libraries

Establishment by communityEstablishment by community ““Public” aspects and applicable Public” aspects and applicable

lawslaws Legal structure and independence Legal structure and independence

from School Districtfrom School District Budget votesBudget votes Trustee electionsTrustee elections

Special District LibrariesSpecial District Libraries

Establishment and definition of Establishment and definition of “Special District”“Special District”

Applicable lawsApplicable laws Budgets and electionsBudgets and elections

Governing LawsGoverning Laws

Public Library Law in New York Public Library Law in New York StateState

http://www.nyla.org/content/user_1/http://www.nyla.org/content/user_1/Public_Library_Law.pdfPublic_Library_Law.pdf

http://www.nysl.nysed.gov/libdev/excerpts/index.hhttp://www.nysl.nysed.gov/libdev/excerpts/index.htmltml

Education Law – Critical Education Law – Critical SectionsSections

Section 216 – ChartersSection 216 – Charters Section 226 – Powers & Duties of Section 226 – Powers & Duties of

TrusteesTrustees Section 253 – Definition of a Public Section 253 – Definition of a Public

LibraryLibrary Section 254 – StandardsSection 254 – Standards Section 255 – EstablishmentSection 255 – Establishment

Education Law, Education Law, continuedcontinued

Section 259 – TaxationSection 259 – Taxation Sec. 260 – Powers of Trustees; Sec. 260 – Powers of Trustees;

school school district library authoritydistrict library authority Sec. 272 – Library SystemsSec. 272 – Library Systems

Commissioner’s RegulationsCommissioner’s Regulations

Authorized to establish regulations to Authorized to establish regulations to implement lawimplement law

Most “popular”Most “popular” Minimum Standards – CR 90.2Minimum Standards – CR 90.2 Annual ReportsAnnual Reports Direct Access – 90.3 d. (1)Direct Access – 90.3 d. (1)

Laws for Public InstitutionsLaws for Public Institutions

General Municipal LawGeneral Municipal Law Bidding and ProcurementBidding and Procurement Conflicts of InterestConflicts of Interest

Public LibrariesPublic Libraries Association Libraries Association Libraries

Critical Law, Critical Law, continuedcontinued

Public Officers LawPublic Officers Law IndemnificationIndemnification Open MeetingsOpen Meetings Freedom of InformationFreedom of Information

Confidentiality of Library RecordsConfidentiality of Library Records Civil Practice Laws and Rules Sec.4509Civil Practice Laws and Rules Sec.4509

Civil Service LawCivil Service Law

Laws for all Public LibrariesLaws for all Public Libraries

Confidentiality of Library RecordsConfidentiality of Library Records Civil Practice Laws and Rules Sec.4509Civil Practice Laws and Rules Sec.4509

Open Meetings LawOpen Meetings Law Ed Law 260aEd Law 260a

The Board of TrusteesThe Board of Trustees

Duties and ResponsibilitiesDuties and Responsibilities The Trustee as a Public ServantThe Trustee as a Public Servant

The Duty of Care: “act in good faith”The Duty of Care: “act in good faith” The Duty of Loyalty: “allegiance to institution”The Duty of Loyalty: “allegiance to institution” The Duty of Obedience: “fulfill the mission”; The Duty of Obedience: “fulfill the mission”;

comply with lawcomply with law Collective AuthorityCollective Authority

Resources:Resources: http://www.regents.nysed.gov/stmt07.pdfhttp://www.regents.nysed.gov/stmt07.pdf http://midhudson.org/trustee/main.htmhttp://midhudson.org/trustee/main.htm

Trustee BasicsTrustee Basics

Responsibilities:Responsibilities: Meet Library standards;Meet Library standards; Conduct business publicly;Conduct business publicly; Oversee Finances;Oversee Finances; Conform to applicable laws, Conform to applicable laws,

regulations and decisions; regulations and decisions; Appoint of Personnel;Appoint of Personnel; Establish Policies.Establish Policies.

Board Organization and Board Organization and MeetingsMeetings

Elections and appointmentsElections and appointments By-LawsBy-Laws Rules for effective Board meetingsRules for effective Board meetings Open MeetingsOpen Meetings Freedom of Information (FOIL)Freedom of Information (FOIL)

http://www.dos.state.ny.us/coog/coogwwwhttp://www.dos.state.ny.us/coog/coogwww.html.html

Legal ResponsibilitiesLegal Responsibilities

Open Meetings LawOpen Meetings Law Freedom of InformationFreedom of Information Meeting NoticesMeeting Notices Rights of Public at MeetingsRights of Public at Meetings Quorum/VotingQuorum/Voting Rights/Liabilities of Individual TrusteesRights/Liabilities of Individual Trustees Content of MinutesContent of Minutes Executive SessionsExecutive Sessions

Financial ResponsibilitiesFinancial Responsibilities

Responsibility of Treasurer Responsibility of Treasurer (as appointed by Board)(as appointed by Board)

Responsibility of Finance Officer Responsibility of Finance Officer (Board member)(Board member)

Content of Financial ReportsContent of Financial Reports Approval of ReportsApproval of Reports Vouchers/Warrants/Pre-paysVouchers/Warrants/Pre-pays Appropriate Use of Reserve FundsAppropriate Use of Reserve Funds What Needs Approval, What Doesn’tWhat Needs Approval, What Doesn’t Compliance with State Investment PolicyCompliance with State Investment Policy

Personnel ResponsibilitiesPersonnel Responsibilities

Standard Practices & ProceduresStandard Practices & Procedures Responsibilities for SelectionResponsibilities for Selection

““Appoint” vs. “Select”Appoint” vs. “Select”

““After the Fact” approval by TrusteesAfter the Fact” approval by Trustees Compliance with Civil Service Compliance with Civil Service

RegulationsRegulations Liability of Trustees for Non-complianceLiability of Trustees for Non-compliance TerminationTermination

Board/Director RelationshipsBoard/Director Relationships

Duties and Responsibilities of the Duties and Responsibilities of the Library DirectorLibrary Director

Collective Authority of the BoardCollective Authority of the Board Employment Agreements and Employment Agreements and

ContractsContracts Evaluation ProcessEvaluation Process Managing ConflictManaging Conflict

Trustee EthicsTrustee Ethics

Conflicts of Interest Conflicts of Interest General Municipal Law; Sec. 800General Municipal Law; Sec. 800

““no officer or employee shall have an no officer or employee shall have an interest in any contract with the interest in any contract with the municipality of which he is an officer or municipality of which he is an officer or employee…”employee…”

Inclusion of family membersInclusion of family members ““Free” services prohibitedFree” services prohibited

Application to Association LibrariesApplication to Association Librarieshttp://www.ala.org/ala/alta/links/http://www.ala.org/ala/alta/links/

ethicsstatement.pdfethicsstatement.pdf

Case Study- Board Case Study- Board ResponsibilitiesResponsibilities

““We recently had a trustee openly We recently had a trustee openly criticize a board decision to move criticize a board decision to move forward with a building referendum forward with a building referendum in the local paper, he went as far as in the local paper, he went as far as to actively urge voters against the to actively urge voters against the proposition.”proposition.”

Library PoliciesLibrary Policies

Policies are the rules of the Library.Policies are the rules of the Library. Policies should be developed Policies should be developed

thoughtfully and revised regularly.thoughtfully and revised regularly. Policies provide you and the library Policies provide you and the library

with legal protection.with legal protection. Policies are useless unless you and Policies are useless unless you and

your patrons know them.your patrons know them.

Essential PoliciesEssential Policies

Board PoliciesBoard Policies By-lawsBy-laws Meeting protocolsMeeting protocols Ethics and conflicts of interestEthics and conflicts of interest

Operational PoliciesOperational Policies Library hours and days openLibrary hours and days open Lending rules, Internet access, etc.Lending rules, Internet access, etc. Patron behaviorPatron behavior

Essential Policies, Essential Policies, continuedcontinued

Collection ManagementCollection Management SelectionSelection Intellectual FreedomIntellectual Freedom Challenges to library materialsChallenges to library materials

Facilities and EmergenciesFacilities and Emergencies Crisis managementCrisis management Inclement weatherInclement weather

Essential Policies, Essential Policies, continuedcontinued

Personnel PoliciesPersonnel Policies Staff ManualsStaff Manuals Union ContractsUnion Contracts Employee acknowledgementEmployee acknowledgement

The Library as a “Limited” or The Library as a “Limited” or “Designated” Public Forum“Designated” Public Forum

Sample PoliciesSample Policies http://www.owlsweb.info/L4L/policies/http://www.owlsweb.info/L4L/policies/

sample.asp. sample.asp. http://winslo.state.oh.us/publib/http://winslo.state.oh.us/publib/

policies.htmlpolicies.html

The Library Network in New The Library Network in New York StateYork State

The State Education DepartmentThe State Education Department Cultural EducationCultural Education

ArchivesArchives MuseumsMuseums Public BroadcastingPublic Broadcasting LibrariesLibraries

The Library Network, The Library Network, continuedcontinued

The State LibraryThe State Library The “State Library”The “State Library” Division of Library DevelopmentDivision of Library Development

Public Library ServicesPublic Library Services

Public Library SystemsPublic Library Systems History and structureHistory and structure Typical servicesTypical services FinancesFinances

The Library Network, The Library Network, continuedcontinued

School & 3R’s SystemsSchool & 3R’s Systems The National Library NetworkThe National Library Network

American Library AssociationAmerican Library Association Federal Institute of Museum and Library Federal Institute of Museum and Library

ServicesServices Library of CongressLibrary of Congress

Contemporary IssuesContemporary Issues

Public Voting on Budgets and Public Voting on Budgets and TrusteesTrustees Public Library DistrictsPublic Library Districts Chapter 414 (Ed Law 259.2)Chapter 414 (Ed Law 259.2) Special School District ElectionsSpecial School District Elections

Public Library DistrictsPublic Library DistrictsA public library district is any library A public library district is any library

that:that:

• Obtains a substantial amount of its Obtains a substantial amount of its operating budget through direct public vote.operating budget through direct public vote.

• Has a board of trustees that is elected by Has a board of trustees that is elected by eligible voters within the library’s service eligible voters within the library’s service area.area.

• Has an annual audit or financial review to Has an annual audit or financial review to

ensure accountability.ensure accountability.

Contemporary Issues, Contemporary Issues, continuedcontinued

Public Finance and AuditsPublic Finance and Audits The USA PATRIOT ACTThe USA PATRIOT ACT Children’s Internet Protection Act Children’s Internet Protection Act

(CIPA), Internet censorship, and the (CIPA), Internet censorship, and the library as a “limited public forum”library as a “limited public forum”

Trustee Information Trustee Information ResourcesResources

NYS Trustee handbook – general responsibilities: NYS Trustee handbook – general responsibilities: http://www.nysl.nysed.gov/libdev/pltrust/handbook/index.hthttp://www.nysl.nysed.gov/libdev/pltrust/handbook/index.htmlml

NYSALB – NY State Association of Library Boards: NYSALB – NY State Association of Library Boards: http://www.nysalb.org/http://www.nysalb.org/

Commissioner’s Decisions Commissioner’s Decisions www.counsel.nysed.gov/Decisions/www.counsel.nysed.gov/Decisions/

Comptroller’s Opinions Comptroller’s Opinions www.ocs.state.ny.us/legal/index.htmwww.ocs.state.ny.us/legal/index.htm

NYS Attorney General’s OpinionsNYS Attorney General’s Opinionswww.oag.state.ny.us/lawyers/opinions/opinion.htmlwww.oag.state.ny.us/lawyers/opinions/opinion.html

Division of Library Development Division of Library Development

www.nysl.nysed.gov/libdev/libs/index.htmlwww.nysl.nysed.gov/libdev/libs/index.html

Legal Issues and Legal Issues and LibrariesLibraries

Southern Tier Library SystemSouthern Tier Library System

WorkshopWorkshopMay 5, 2007May 5, 2007

Dormann Library; Bath, New YorkDormann Library; Bath, New York

Jerry Nichols, Director, Palmer Institute for Public Library Jerry Nichols, Director, Palmer Institute for Public Library Organization & Management; Long Island University.Organization & Management; Long Island University.