A.4.3.4.1 Policies of the American Library Association in Relation to its Membership Divisions (Old Number 6.4.1)

The operating agreement of the American Library Association

Preamble
Current Organizational Values of ALA
Purpose, Scope, Implementation, Review Process, and Definitions
Use of ALA Services
Financial
Publishing Activities
Personnel
Division national Conferences, Preconferences, and Related Activities
Annual Conference and Midwinter Meeting
Special Projects of Divisions
Planning

Preamble
The American Library Association (ALA) is unique among American associations in the manner in which it is structured. It is one association, with indivisible assets and a single set of uniform administrative, financial, and personnel policies and procedures. It is governed by one Council, from which its Executive Board is elected, and is managed by an Executive Director who serves at the pleasure of that Board.

It is also the home for eleven Divisions, each of which has:
- a statement of responsibility developed by its members and approved by ALA Council;
- a set of goals and objectives established by its members, which drive its activities;
- an Executive Director and other personnel as necessary to carry out its programs;
- responsibility for generating revenue to support staff and carry out its programs; and,
- a separate Board of Directors, elected by its members, and responsible to ALA Council.
Divisions and all other units of ALA are inextricably interrelated in structure, personnel, resources, overall mission, and operations. All members of Divisions are first members of ALA. Their voluntary selection of Division membership is an indication of their special interests, in addition to their general concern for libraries and librarianship, and it demands the commitment of the Divisions to serve those special interests.

By this commitment, expressed in publications, conference programming, advisory services, and other educational activities germane to their mission statements, the Divisions serve the American Library Association as a whole. By supporting Division operations through the provision of space and services, ALA gives tangible evidence of its recognition of the importance of Divisions in meeting the needs of its members.

The nature of the relationships among the various ALA units is a dynamic one. Divisions and ALA are committed to maintaining a collaborative style of interaction and to remaining flexible enough to address the ever-changing issues facing libraries and librarians.

This collaborative model implies mutuality in all relationships, the ability of any aggregation of units to work together for the common good, and the coexistence of Division autonomy and ALA unity.

This policy document implies the need for a mutual understanding of the differences between Divisions and other ALA units, differences which are balanced by a similarity of interest and activity. It underscores the Divisions’ willingness to support and contribute to ALA as a whole and their recognition of the interdependence of all ALA units.

These policies must be based on an appreciation by the total membership and by other ALA units of the Divisions’ contributions to ALA as a whole. An activity carried out by a Division is an ALA activity. Division staff members are ALA staff members and represent ALA as well as their own Divisions in work with members and the general public. Division officers and members must recognize the value to the Division of the services provided by ALA, and ALA members and units must recognize the value to ALA as a whole of the services provided by Divisions.

Divisions are integrally involved in the decision-making process of the Association. They exercise their decision-making prerogatives through the following means:
- Full authority within those areas of responsibility designated by ALA Council (ALA Bylaws, Article VI, Section 2b)
- Representation on ALA Council to raise issues and to set policy (ALA Bylaws, Article IV, Section 2c; ALA Policy 5.3)
- Representation on the Planning and Budget Assembly (ALA Bylaws, Article VIII, Section 2)
- Negotiation of performance objectives of Division Executive Directors with the Associate Executive Director, Member Programs and Services ( ALA Policy 6.4.1 VII)
- Day-to-day involvement of Division staff in the operations and deliberations of the Association Representation on Association-wide bodies including the Legislative Assembly, the Library Education Assembly, and the Membership Promotion Task Force
- Participation in the planning process.
In sum, this document is designed to continue a cooperative framework in which the inevitable questions of organizational relationships can be addressed and resolved.

Top
Current Organizational Values of ALA
This statement reflects the current organizational values of the American Library Association and was developed through reference to existing ALA documents.
1. Unity
  ALA is one association. It has a single set of administrative, financial, and personnel policies and procedures, as well as indivisible assets. All members of Divisions are members of ALA. Divisions and all other ALA units are inextricably interrelated in structure, personnel, resources, overall mission, and operations.
2. Diversity
  ALA has a stake in the work of each of its Divisions. Division activities and services are of value and importance to the Association. They provide for a rich and diverse program that gives opportunities to all segments of the profession for involvement, leadership, and participation in activities that carry out the mission, goals, and priorities of the Association.
3. Authority
  Recognizing the significant contribution, resources, and expertise of its Divisions, ALA delegates to each Division the authority and responsibility to represent the Association in designated areas. Each Division provides unique programs and services to its members, to all members of the Association, to the profession of librarianship, to the broader educational community, and to the public at large.
4. Autonomy
  ALA provides leadership for the development, promotion, and improvement of library service. ALA values the strength and effectiveness of its Divisions. Divisions are best able to carry out their missions when their members have the autonomy, independence, and freedom to pursue goals and objectives of particular concern to them, as well as to participate democratically in the Division’s direction, governance, and financial decisions.
5. Collaboration/Cooperation
  ALA and its Divisions have opportunities through the Association’s unique governance and administrative structure to stimulate and build on one another’s strengths and resources to advance shared, as well as diverse, goals.
Top
Purpose, Scope, Implementation, Review Process, and Definitions
1. Purpose and Scope
  Divisions have a substantial degree of autonomy and responsibility; however, the corporate and legal entity is the American Library Association. Any responsibilities not specifically delegated to Divisions remain within the authority of the Executive Board and ALA Council. The principal intent of this document is to define the policies governing the relationship between ALA and its membership Divisions.
  
  In addition to the ALA Constitution and Bylaws and other ALA Policies, this document provides a framework of guiding principles for that relationship. As a policy document, its adoption and approval of revisions are the responsibility of the ALA Council. ALA has other policies and procedures that govern the relationships with other organizational units.
2. Implementation
  Implementation of these policies will be carried out under the direction of the ALA Executive Director, working with the department heads and Division executive directors. Major operational decisions made in that implementation will be codified in documents referred to as ‘‘Operational Practices.’’
3. Review Process
  To make this Agreement responsive to the needs of the Association, it shall be reviewed on an annual basis by those responsible for the governance of ALA and its membership Divisions. Changes may be recommended by Division leadership, ALA staff and management, or other interested parties at any time; however, BARC shall initiate the review process annually according to the following schedule:
  - Fall BARC Meeting-At this meeting, BARC develops agenda of major emerging issues and requests input from Divisions. The annual indirect cost study shall be available.
  - Midwinter-Divisions discuss any operating agreement issues identified by BARC and raise other operating agreement issues to be discussed by BARC at its Spring meeting. The Planning and Budget Assembly (PBA) may be used as a forum for PBA participants to identify operating agreement issues of concern.
  - Spring BARC Meeting-Mandated discussion of operating agreement issues raised by Divisions, ALA staff and management, and/or other interested parties. BARC recommends mechanism and time table for cooperative actions with Divisions to address proposed changes.
  - Annual-Operating agreement is a mandated item on PBA agenda. Division Boards review any BARC recommendations and respond to BARC. BARC forwards any necessary recommendations to Executive Board for action by Council. Any changes undertaken in this Operating Agreement shall be implemented consistent with the budget cycle of ALA and its Divisions and shall be done in such a manner as to minimize negative impact on the program of ALA and of the Divisions.
  Roles of Key Parties to operating agreement
  - Division Boards: identify problem areas and issues; initiate actions necessary for revisions; work with Division staff and other Divisions as appropriate to explore problems and solutions; make recommendations to BARC to initiate revisions.
  - BARC: identify problem areas and issues; communicate information concerning the operating agreement through PBA to Council and to ALA at large; work with Division leaders and ALA management to recommend solutions and consequent revisions to operating agreement.
  - ALA Management: identify problem areas and issues and work with the Division Executive Directors to explore problems and solutions. Review policies and make recommendations as appropriate to BARC and Executive Board. Division
  - Executive Directors: identify problem areas and issues and review as appropriate with management and Division Boards.
4. Definitions
  The following definitions are guidelines for members and staff in the development, review, and implementation of these policies:
  - Policies: Guiding principles that provide the framework for the relationship between ALA and its membership Divisions. Policies reflect the views and thinking of membership, and provide a guide to action to achieve the goals of the American Library Association. Policies are adopted by the Council of the American Library Association.
  - Operational Practices: Definitions of the manner or method of implementing policies. Operational Practices (1) deal with terms under which services will be provided free of charge or at a cost; (2) define roles and responsibilities in policy implementation; and (3) reflect other issues contained in the ‘‘Policies’’ document that may require negotiation between departments and membership Divisions.
    Operational Practices are developed by the ALA Executive Director with the ALA Department Heads in consultation with the Division executive directors and appropriate personnel in the department responsible for the activity described. Department personnel will provide draft copies of those procedures for review and comment to appropriate ALA staff members whose work will be affected by those procedures. Copies of Operational Practices are supplied to appropriate membership units responsible for the governance of ALA and its membership Divisions.
    
    Detailed information about implementation of the policies outlined throughout this document are found in the Operational Practices for the Implementation of Policies of the American Library Association in Relation to Its Membership Divisions.
  - ALA Basic Services: Those services made available to all ALA members at no additional charge beyond their ALA dues. Dues provide the primary support for basic services. Basic services may be supported by dues or other options as approved by the Executive Board. Basic ALA services include: American Libraries, information/advisory services, support for governance/member groups, public/professional relations, administration of awards and scholarships, membership promotion/retention, executive/ administrative/financial services; offices: research, personnel resources, outreach services, government relations, intellectual freedom, accreditation; Library.
  - Division Basic Services: Those services made available to all Division members at no additional charge beyond their Division dues. Dues provide the primary support for basic services. Basic services may be supported by dues or other options as determined by Division Boards. Basic Division services include: periodical publications designated as perquisites of membership, information/advisory services, support for governance/member groups, public/professional relations, administration of awards and scholarships, membership promotion/retention, executive/administrative/financial services.
  - Overhead:
    1. Internal: that overhead rate applied to units of ALA, e.g., the annual overhead rate paid by divisions for revenue-generating activities identified in this policy document.
    2. External: that overhead rate applied for the purposes of external reporting, e.g., grants and taxes.
  - Fund Balance: Accumulated net revenue.
Top
Use of ALA Services

All ALA Divisions must use exclusively the following services provided by ALA: Human Resources, Membership Services, telephone, insurance, purchasing, Fiscal Services Department, Legal Counsel, and Archives. ALA Divisions must be housed in properties owned or leased by the Association.

Top
Financial
Divisions are governed by prevailing ALA fiscal policies and procedures. Divisions shall participate in formulating and revising these policies and procedures.
1. Dues
  Divisions have the right to establish their own personal and organizational dues structures and set membership perquisites. (ALA Bylaws, Article I, Section2; Article VI, Section 6)
  
  Discount and special promotion dues authorized by the ALA Executive Board apply only to that portion of dues applying to ALA membership. Divisions receive proportionate reimbursements for ‘‘free’’ Division choices of continuing and life members. (ALA Bylaws, Article I, Section 2 A.7)
2. Council Actions with Fiscal Implications
  Council resolutions that would impose specific assignments on a Division shall be reviewed by BARC with the Division Board of Directors to assess any financial implications of that assignment. BARC shall report back to Council with recommendations as to any budgetary adjustments necessary to implement such assignments prior to final Council action on that item. (ALA Policy 5.2)
3. Services and Charges
  The fiscal arrangements between ALA and its membership Divisions in regard to charges for services can be categorized in five ways. The five categories are defined below. Specific examples of the services in each category are given.
  1. ALA provides to Divisions at no direct charge the following services of ALA Departments and Offices:
    1. Staff Support Services Department
      - Office space and related services
      - Telephone services: switchboard, 800 number, and internal service, as defined in an Operational Practice
      - Distribution services
      - Basic furniture and equipment (as defined in an Operational Practice) for each regular Division staff member
      - Equipment maintenance on equipment supplied by ALA
      - Personnel services
      - Purchasing
      - Data processing (as defined in an Operational Practice)
      - Storage and warehouse space
    2. Member Programs and Services and Communications Departments
      - Conference Arrangements, including:
        
        Staff travel costs and per diem for Midwinter Meetings and Annual Conferences
        
        Equipment (e.g., AV and computers including the cost of labor), supplies, services, and space for programs, meetings and offices at the Midwinter Meeting and Annual Conference (as defined in an Operational Practice)
        
        Exhibit space at Annual Conference
      - Membership services
      - Public information services, including the preparation and distribution of news releases
    3. Fiscal Services Department
      - Accounting
      - Financial systems
      - Planning and budgeting
      - Business expense (insurance, legal, audit)
      - Credit and collections
    4. Publishing Department
      - Copyright service
      - Rights and permissions
    5. Executive Office
    6. Washington Office
    7. Office for Intellectual Freedom
    8. Office for Literacy and Outreach Services
    9. Office for Library Personnel Resources
    10. Office for Research
    11. Library and Research Center
  2. ALA charges Divisions for the actual costs of the following services of ALA departments:
    1. Staff Support Services
      - Specialized data processing, as defined in an Operational Practice
      - Equipment maintenance for equipment puchased by the Division over which the Division exercises sole use and control
      - Printing and duplication, as defined in an Operational Practice
      - Telephone services not specifiec in V.C.1.a., as defined in an Operational Practice
      - Postage for special mailings, as defined in an Operational Agreement
    2. Fiscal Services
      - Overhead on non-dues revenue-generating activities. The rate will be set annually accouding to an ALA Operational Practice and will be assessed as explained below on non-dues revenue at a composite rate.
      - Overhead will be assessed at 100% of the ALA composite rate (at the end of a four-year phase-in period, beginning in 1991 and ending in 1994) on revenue from:
        
        registration fees
        
        exhibit space rental
        
        meal functions, except for separately-ticketed events (The schedule for phase-in of the ALA composite overhead rate on revenues is:
        
        50% of the ALA composite rate in 1991 and 1992
        
        75% of the ALA composite rate in 1993
        
        100% of the ALA composite rate in 1994).
      - Overhead will be assessed at 50% of the ALA composite rate (at the end of a five-year phase-in period, beginning in 1991 and ending in 1995, in equal annual increments) on revenues from:
        
        net sales of materials
        
        subscriptions
        
        advertising except in those publicataions which are provided to Division members as a perquisite of membership
        
        other miscellaneous fees.
      - Overhead will not be assessed on revenues from:
        
        dues
        
        donations
        
        interest income
        
        ALA royalties to Divisions
        
        travel expense reimbursements from outside organizations
        
        separately-ticketed events at conferences (e.g., tours and meal functions)
        
        advertising in those publications which are provided to Division members as a perquisite of membership
    3. Publishing
      - Subscription and order billing services
      - Central production services
      - Marketing services
  3. ALA and the Divisions share the costs of the following:
    - Division Leadership Enhancement Program
    - Awards promotion
  4. Divisions assume total responsibility for the following costs:
    - Division personnel compensation
    - Projects and activities of the Divisions except as specified in this agreement
    - Membership group support (governance - boards, committees, etc.)
    - Furnishings and equipment purchased by Divisions and over which they have sole control and use. See also Section IX, Annual Conference and Midwinter Meeting.
  5. Divisions may:
    Purchase services or products from other ALA units and outside agencies, consistent with ALA policy.
4. Fund Balances
  1. ALA Divisions build and maintain fund balances appropriate to their needs. A fund balance is defined as accumulated net revenue.
  2. Divisions will not receive interest on fund balances or deferred revenue.
5. Endowments
  Divisions may establish endowments or add to existing Division endowments from any source including existing fund balances once the Division has reached a minimum fund balance as determined by the Division and approved in accordance with the budget review process and approved financial plan. The establishment of Division endowments will follow the guidelines outlined in ALA policy. The use of the interest from these Division endowments will be subject to Division Board approval and applicable ALA policy.
6. Furniture and Equipment
  ALA will provide basic furniture and equipment to each regular Division staff member.
  
  Divisions will retain sole control and use of all furniture and equipment purchased with Division funds.
  
  Divisons may acquire additional furniture and equipment in two ways:
  1. Above the capitalization limit:
    1. Divisions have authority to purchase capital equipment outright by paying the full price to ALA, with ALA taking the depreciation.
    2. Divisions can purchase furniture and equipment through ALA budget request process by paying the sceduled depreciation, subject to ALA priorities and approvals.
  2. Below the capitalization level, Division have the authority to purchase equipment outright.
7. Division Budget Review
  Division Boards have responsibility for developing and approving budgets and multi-year program and financial plans, which are then reviewed by ALA management and BARC. Annual budgets are approved by the ALA Executive Board. Divisions also have the responsibility to alert the Association to any planned activities that could have a potential negative impact upon the fiscal stability of the Association.
8. Divisions with Small Revenue Bases/Number of Members
  
  ALA Council has assigned specific responsibilities to Divisions. To carry out these responsibilities, each Division requires a base of operating revenue. ALA recognizes that each Division must have staff and must provide basic services to its members as defined in Section III. When a Division’s current revenue from dues and other sources excluded from overhead is not sufficient, ALA recognizes its obligation to provide supplemental financial support up to a maximum of 50% of the funding required. This support would be provided only as a result of a well-planned process that is an integral part of the annual budget process that includes review by BARC and approval by the Executive Board. This type of support would not be available to a Division, which, at the end of a fiscal year happened to find itself in a deficit position. Annually BARC and the Executive Board will determine and approve the specific amount of funding required to provide a minimum level of staff and basic services, compare this amount to the Division’s estimated revenue, and allocate an appropriate General Fund supplement.
  Divisions must generate from dues and other revenue excluded from overhead at least 50% of the funding required to provide basic services. If a Division is unable to meet this 50% level for two consecutive years, its status as a Division must be referred to Council by the Executive Board, with an appropriate recommendation. Money from the General Fund will not be used to offset expenses for non-dues revenue-generating products and services. Divisions may retain the net revenue from these activities to initiate and support other similar activities in the future.
9. Association Finances
  The Divisions will be kept informed about the Association’s financial health and will be involved in meaningful consultation when there is potential impact on Divisions, collectively or individually.
10. Other
  1. Credit and Collections
    
    Management will provide effective credit and collection policies and services to the Divisions. Divisions will be charged for their bad debts in accordance with ALA policy.
  2. Unrelated Business Income Taxes (UBIT)
    To the extent that Divisions incur unrelated business income, they will assume responsibility for paying the resulting taxes.
Top
Publishing Activities
The ALA Publishing Committee has the responsibility for control of the ALA imprint.

A Division may publish materials in three ways: through ALA Publishing Services, on its own, or through an outside publisher. Materials prepared by a Division for other than its own publication must be offered to ALA Publishing Services for first consideration. A Division has the right to accept or reject ALA’s offer and pursue other publishing opportunities.

Divisions exercise editorial and managerial control over their periodicals.

The ALA Publishing Committee shall be informed of plans for any new Division periodicals prior to publication.

A Division may purchase production and distribution services from ALA’s central production unit. A Division may also purchase marketing services from the Publishing Services Department.

ALA Publishing Services pays royalties to Divisions for Division-generated materials. Divisions may negotiate with ALA Publishing Services on royalties and other variables of publishing. An ‘‘Intra-mural Agreement of Publishing Responsibility’’ is signed by the Division Executive Director and the Director of Publishing Services for each publishing project.

ALA has the sole right to record and market tapes of programs at ALA conferences with the advance consent of the units and speakers. Divisions receive royalties from the sale of tapes of a Division’s conference programs. Divisions have the right to record and market tapes of Division preconferences, programs at ALA Annual Conferences which ALA chooses not to record, Division national conferences and regional institutes.

Top
Personnel
All ALA personnel are responsible to the ALA Executive Director, and through the Executive Director to the entire membership. Unlike other ALA personnel, Division Executive Directors are also responsible to Division Boards and through those Boards to the memberships of their respective Divisions.

All ALA employees are subject to ALA’s personnel policies. Each Division shall be responsible for generating the income required for the salaries, wages, and benefits of Division employees.

Each Division Executive Director serves as an ALA Program Director, a senior professional position, and is responsible for advising on ALA plans and preparing recommendations on priorities and alternatives, especially as they relate to the Division’s priorities, goals, and objectives. The Division Executive Director meets regularly with other ALA staff members and communicates, cooperates, and coordinates Division activities with those of other ALA units.

The assignment of the appropriate grade for Division staff is made according to ALA personnel policies. The determination of the appropriate staffing pattern (number and position descriptions) shall be made by the Division Executive Director and the Division Board in consultation with the ALA Executive Director.

The recruitment, appointment, and termination of Division Executive Directors shall be a process involving consultation by the ALA Executive Director with the Division Board of Directors or its designates.

Each Division’s Board of Directors shall annually review the performance of the Division’s Executive Director based upon a single set of goals and objectives as agreed upon by the Division Board, Associate Executive Director, Member Programs and Services, and Division Executive Director. The Division Board shall convey its recommendation to the Associate Executive Director, Member Programs and Services, to whom the ALA Executive Director has delegated the responsibility for evaluating the performance of Division Executive Directors. The Associate Executive Director, Member Programs and Services, shall discuss the confidential report of the performance review with the Division’s President upon request.

Division Executive Directors shall have the authority to select, evaluate, and recommend termination of all Division employees, consistent with ALA personnel policies and procedures. Assignments of Division staff to ALA internal committees are arrived at in the context of Division priorities and are kept at a reasonable level.

Top
Division National Conferences, Preconferences, and Related Activities
Divisions may conduct preconferences, workshops, institutes, seminars, and Division national conferences, in accordance with ALA Policy, at intervals determined by Division program priorities and supported by sound financial management. A Division is responsible for all costs incurred in planning and carrying out such activities. (ALA Policy 7.2.2)

Division National Conferences shall be defined as ‘‘non-business conferences removed in time and place from the American Library Association’s Annual Conference’’ and Midwinter Meeting in order‘ ‘to view and explore areas of divisional concerns in depth.’’ Proposals for Division National Conferences should be made to the ALA Executive Board at least two years in advance of the anticipated meeting date following a prescribed proposal outline. ALA state and regional chapters in the geographical area of a proposed conference shall be notified in writing of a desired conference prior to submitting the request to the Executive Board. Such notice shall seek the cooperation of the chapters with respect to scheduling and programming to the extent feasible. The Division shall contact the host Chapter prior to determining date availability with the host city. The Division shall contact the chapters in the geographical area immediately after determining date availability with the host city. In the event of a conflict with the ALA state or regional chapters and the proposed divisional conference, the ALA Executive Board shall make the decision in consultation with the chapters.

Top
Annual Conference and Midwinter Meeting
ALA provides the support necessary for Divisions to conduct business and plan and present Conference programs. Some Conference program costs may be borne by the Division except financial support for staffing and equipment as described in Section V.C.1.b. Recognizing that conference programming benefits all attendees, financial support in the form of General and Special Allocations from ALA to Divisions and other units for Annual Conference programming shall be provided; this support will be arrived at as the result of an explicit and equitable process in which the Divisions participate. Meal functions and special events must be self-supporting.

Top
Special Projects of Divisions
Divisions may seek external (non-ALA) funding to pursue projects to enhance Division program priorities. Division Boards of Directors have the responsibility for assessing programmatic impact and must approve all requests for funding external projects. Additionally, all proposals and contracts for such funds are signed by the Executive Director of ALA in the name of the Association. All special projects are reviewed, approved, and conducted in accordance with established ALA policies and procedures and the conditions of the grant or contract. All costs for projects funded through grants or contracts from outside agencies or organizations should be covered by project funding.

Top
Planning
Each Division has autonomy in its own planning processes within its area of responsibility as designated by ALA Council, subject to present and future ALA policies. They have the responsibility to develop and implement a planning process to guide their program and allocate their resources within the areas of responsibility assigned to them by the ALA Council. Since Divisions contribute to the formulation of ALA goals, it may be expected that many of the priorities and activities reflected in the plans will also be a part of Division priorities and activities. Further, each Division has responsibility for providing ALA with a multi-year financial plan consistent with ALA’s existing financial policies and resting on multi-year program plans reflecting the priorities of the Division’s members. Divisions have a responsibility to assist and inform the ALA Executive Board of their strategic plans on a regular basis, and to inform the ALA Executive Board of their work through timely and comprehensive reporting.

Top