POLICY 101

SAMS 2015

Course Overview

What is policy and why does it matter? Elements of a strong policy

PLA’s Policy for Results Model Policy audit steps Specific Indiana Requirements

What is policy?

An articulation of intent and philosophy A tool for ensuring equitable operation

and access A guide for staff in consistent decision-

making and development of procedures and practices

A framework for business operations

What Policy is NOT

An excuse to point to a sign A way to say NO A replacement for a conversation with a

patron Set in stone

Common pitfalls

Lack of Board-approved policy Intermittent or disorganized

recordkeeping Outdated policy

Sudden or rapid growth Lack of knowledge on the part of previous

administration Simple oversight Obsolete and never removed

But . . .

We’ve always done it this way! We don’t need policy, we’ll just use

common sense No one’s ever complained . . . I assumed the Board already had policies I’m new here, who has time to reinvent

the wheel?

Why does policy matter?

Good policies inform the actions and decisions of the Board and staff

Regular review of policy ensures the alignment of common practice and Board-approved policy

Reasonable policies ensure consistent and fair treatment, the very basis of excellent customer service

Clear and direct policies avoid misunderstandings and protect the library from accusations of unfair treatment

Governance vs. Administration Board:

Set policy Approve regulations that describe policies

Professional Staff Research and recommend best practice and

lawful basis for policies Ensure that policy and actual library practice

align Develop implementation procedures and

guidelines for best practices that have their basis in policy

Policy Review

PLA Policy for results Detailed guide to development and

assessment of policy Provides useful definitions of policy

elements A comprehensive approach

PLA PfR Policy Elements

Policy Statement A brief, written statement that describes WHY the library

does something. Should be written from the patron POV and be approved by the Board

Regulation Also approved by the Board, this is a written RULE that

further defines policy, and describes what must be done to support the policy.

Procedure A written step-by-step description of how the staff will carry

out policies and regulations. Developed by staff and approved at the management level.

Guideline A best-practices approach/statement

Exercise 1

Good Policies . . .

Comply with law Promote the best interest of the

community we serve Align with the Library’s mission, vision

and values Strive for fairness and respect for

individual rights and differences Are easy to understand Promote a positive image of the library

Policy Test (from the Lawyers) 4 Questions: Does it comply with current law? Is it REASONABLE Can it be enforced in a NON-

DISCRIMINATORY manner? Is enforcement MEASURABLE?

Fresh Eyes Test

Is this policy necessary? Required by statute or standard Addresses an objective, universal need

Was this put in place as a reaction to a specific incident? What’s the story?

Is this policy addressing a real problem or a perceived problem?

Exercise 2

Policy Categories

Personnel/Staff handbook

Public Service Policies

Operational/doing business SBOA requirements Statutory requirements

Policy Audit

What is this anyway? How do I know if I need one?

You are a new administrator You haven’t looked at policy as a whole in

over a year But we don’t have any written policies!

Steps in a Policy Audit

Determine scope Is this for a specific area or department?

Personnel? Public Service? Operational? Assemble a team

Depending on the scope, this may be only you at first, but once you get to policies that affect public services, you need to get input from folks actually implementing the policies

Set criteria for evaluation Start with the basic PLA definitions. Many long-

term policies contain elements of procedure and guidelines that can be removed easily

Steps in Policy Audit

Gather materials Check EVERYWHERE to root out all

documentation of actions related to a specific policy or issue—your team can be a sanity saver here!

Review existing policy documents and compare to actual practice

Apply the legal and fresh eyes policy tests

Steps in Policy Audit 3

Seek trusted sources for examples, legal requirements and best practices Similarly-sized libraries or those that are

aspirational models ALA policy guides—especially good for

more global issues such as collection development, privacy, etc.

Indiana State Library Many resources here for policies that are

specific to operational matters, SBOA requirements, etc.

Steps in Policy Audit 4

Draft a revised document based on the evaluative work of the team—this should be one person

The team should review the draft, applying the same criteria as the original review, tweak as needed

Once the team has signed off on the draft, have an interested third party review for questions and a last edit before presenting to the Board

Policy Review Schedule

So I’ve revised everything, now I’m done, right?

Good news and bad news Good news! Your staff have the

guidance they need to make good decisions!

Bad news: you are never done with policy

Consider building regular policy review into your Board schedule. It’s a good idea to review all policies on a regular basis, and some have legal requirements for frequency of Board review.

Policies Required by the State of Indiana

IC 36-12 Staff Handbook/Personnel Policies

Ongoing review/legal counsel any time something changes Complete legal review at least every three years

Collection Development Principles of Access to all services and materials may

include: Circulation of Materials Policy Library Card issuing Policy Meeting Room Policy

Salary classification and schedule Must be adopted annually Personnel Policies (Staff Handbook) must cover

Other required documents

SBOA Requirements Purchasing Policy Investment Policy Disaster Recovery Plan—financial data

Many accounting software companies have this covered, but CHECK

E-rate Libraries especially Use of Electronic Materials/Internet

Acceptable Use Review/revise annually

Other Required Documents

Required to meet standards: Technology Plan

3 year plan with specific areas required Current standards require a separate plan Will be combined with LRP in proposed new standards

scheduled to take effect in late 2016 Trustee By-laws

Review/revise at least every three years File with ISL upon any change

Long Range Plan Must be updated every 3-5 years File with ISL

Not required, but strongly recommended

Records Exempt from Disclosure There is no technical requirement for this, but if you

wish to protect certain records as allowed by statute, you have to have the Board approve a policy

Other (depends on the library) Donations Fee Amnesty Privacy Social Media Gallery Displays

Not technically policy, but . . .

Public Access Handbook www.in.gov/PAC Open Door Law: know it, love it, comply

with it