1. Privacy Policies & Your Library: Perfect Together?
Luis Rodriguez
Montclair State University
VALE Users Conference 2005

2. Privacy policies can deal with more than library records
Policies for appropriate use of computers in library
Insuring privacy of use of library computers and other equipment (privacy screens, “cookie management” and other strategies)
Working with IT and other campus units
Protecting PII from hacking
Working with database vendors

3. Privacy and Confidentiality
Privacy & Confidentiality*
Privacy: right to use library resources and services without examination or scrutiny by others
Confidentiality: when a library keeps personably identifiable information (PII) about users private on their behalf
*Privacy: An Interpretation of the Library Bill of Rights

4. PII can be found in more than circulation records
Database search records
Interlibrary loan records
Reserve and e-reserve use records
Reference interviews
Computer sign-up sheets
Log files in ILS, proxy servers, etc.
Back-up tapes
Database vendor records
Electronic and digital records generated while using library computers
RFID
Library assessment and survey instruments
Ask a librarian
Personalized web pages (“My Library” web site concept)

5. Professional Codes & Ethics
ALA Code of Ethics
Article III: We protect each library user's right to privacy and confidentiality with respect to information sought or received and resources consulted, borrowed, acquired or transmitted.
Database search records, reference interviews, circulation records, interlibrary loan records, and other personally identifiable uses of library materials, facilities, or services.
Library Bill of Rights
Privacy: An Interpretation of the Library Bill of Rights
ALA Code of Ethics (
Deals with such records as database search records, reference interviews, circulation records, interlibrary loan records, and other personally identifiable uses of library materials, facilities, or services.
Library Bill of Rights (

6. Federal Legislation
US Supreme Court has established a broad but not unlimited interpretation of the right of privacy
Lack of a unifying federal law on privacy
FERPA
Section 18A: "Library," library record" defined. For the purposes of this a-2)ct:
a. "Library" means a library maintained by any State or local governmental agency, school, college, or industrial, commercial or other special group, association or agency, whether public or private.
b. "Library record" means any document or record, however maintained, the primary purpose of which is to provide for control of the circulation or other public use of library materials.
Section 18A: Confidentiality; exceptions.
Library records which contain the names or other personally identifying details regarding the users of libraries are confidential and shall not be disclosed except in the following circumstances:
a. The records are necessary for the proper operation of the library;
b. Disclosure is requested by the user; or
c. Disclosure is required pursuant to a subpena issued by a court or court order.
Introduced: Assembly, No. 545 (January 13, 2004) Status: Referred to Assembly Education Committee (1/13/04) Sponsors: Myers Note: An identical bill in the legislature died in committee.
Synopsis: Provides access to the library record of a minor by the minor's parent or legal guardian under certain circumstances.
Be It Enacted by the Senate and General Assembly of the State of New Jersey:
1. Section 1 of P.L.1985, c.172 (C.18A: ) is amended to read as follows:
1. For the purposes of this act:
c. "Minor" means a person 16 years of age or less. (cf: P.L.1985, c.172, s.1)
2. Section 2 of P.L.1985, c.172 (C.18A: ) is amended to read as follows:
2. Library records which contain the names or other personally identifying details regarding the users of libraries are confidential and shall not be disclosed except in the following circumstances:

7. State Legislation
NJ State Law on Confidentiality of library records (18A: )
Assembly Bill 545 (referred to the Assembly Education Committee)
This bill provides a parent or legal guardian with access to the library record of the parent's or legal guardian's minor child, defined in the bill as a person 16 years of age or less, upon presentation by a parent or legal guardian of a valid form of identification which identifies the person as the parent or legal guardian of the minor child.

8. ALA Privacy Tool Kit Table of Contents Introduction Privacy Policy
Guidelines for Developing a Library Privacy Policy
Privacy Procedures

9. Parameters of a privacy policy
Notice and Openness
Choice and Consent
Access by Users
Data Integrity and Security
Enforcement and Redress

10. Notice and Openness
Provide notice to users of their rights to privacy and confidentiality and of the policies of the library on these issues
Types of information gathered and purposes for and limitations to its use

11. Choice and Consent
Give users options as to how PII collected from them may be used
Opt-in vs. opt-out options

12. Access by users
Give users the right to access their own PII and mention this in your privacy policy

13. Data Integrity and Security
Insure the integrity of data where PII is available
Regularly purge PII no longer needed
Shared data: policies and practices to assure that data shared with other units is protected and reliable
Security: technical and administrative measures to protect against loss and the unauthorized access, destruction, use, or disclosure of the data.

14. Data Integrity and Security (continued)
Administrative measures to limit access to data and to make sure those with access do not misuse the data
Electronic Tracking –
Internally: avoid collecting PII with logging or tracking.
Externally: Let users know about limits to privacy when using remote sites

15. Data Integrity and Security (continued)
Data retention – Purge or shred PII that is no longer needed (including back-up tapes, videos from security cameras)
Encryption – negotiate with vendors to include encryption tools for certain functions. Make these tools available to users who would need them for special functions.

16. Enforcement and Redress
Develop a mechanism to enforce privacy policies
Conduct privacy audits
Provide redress to patrons and procedures for investigating complaints
Develop educational materials to alert users to privacy issues while using library and in general

17. ALA Privacy Principles
Avoid creating unnecessary records. Only record a user's personally identifiable information when necessary for the efficient, effective operation of the library.
Avoid retaining records that are not needed for efficient operation of the library. Check with your local governing body to learn if there are laws or policies addressing record retention and in conformity with these laws or policies, develop policies on the length of time necessary to retain a record. Assure that all kinds and types of records are covered by the policy, including data-related logs, digital records, and system backups.
Restrict access to personally identifiable information closely and reveal it only with appropriate authority.
Tell your users what information you are keeping and why, and how to ask you for more clarification.
Be aware of library practices and procedures that place information on public view, e.g., the use of postcards for overdue notices or requested materials, staff terminals placed so that the screens can be read by the public, sign-in sheets to use computers or other devices, and the provision of titles of reserve requests or interlibrary loans provided over the telephone to users' family members or answering machines.
Avoid creating unnecessary records. Only record a user's personally identifiable information when necessary for the efficient, effective operation of the library.
Avoid retaining records that are not needed for efficient operation of the library. Check with your local governing body to learn if there are laws or policies addressing record retention and in conformity with these laws or policies, develop policies on the length of time necessary to retain a record. Assure that all kinds and types of records are covered by the policy, including data-related logs, digital records, and system backups.
Restrict access to personally identifiable information closely and reveal it only with appropriate authority.
Tell your users what information you are keeping and why, and how to ask you for more clarification.
Be aware of library practices and procedures that place information on public view, e.g., the use of postcards for overdue notices or requested materials, staff terminals placed so that the screens can be read by the public, sign-in sheets to use computers or other devices, and the provision of titles of reserve requests or interlibrary loans provided over the telephone to users' family members or answering machines.

18. Fair Information Principles (from the Privacy Act of 1974)
There should be no records whose very existence is private;
An individual must be able to discover what information is contained in his or her record and how it is used;
An individual must be able to prevent information collected for one purpose from being used for another purpose without consent;
An individual must be able to correct or amend erroneous information; and
Any organization creating, maintaining, using or disseminating records of identifiable personal data must assure the reliability of that data for its intended purpose and must take precautions to prevent misuse.
K.A. Coombs, “Walking a Tightrope: Academic Libraries and Privacy, J. of Academic Librarianship, 30 (6)

19. OECD Privacy Principles
Openness 
Purpose specification 
Collection limitation 
Use limitation 
Individual participation 
Quality
Security safeguards 
Accountability
A Checklist of Responsible Information-Handling Practices
Privacy Rights Clearinghouse
Openness. There should be a general practice of openness about practices and policies with respect to personal information. Means should be available to establish the existence and nature of personal information and the main purposes of its use.  
Purpose specification. The purpose for collecting personal information should be specified at the time of collection. Further uses should be limited to those purposes.  
Collection limitation. The collection of personal information should be obtained by lawful and fair means and with the knowledge and consent of the subject. Only that information necessary for the stated purpose should be collected, nothing more.  
Use limitation. Personal information should not be disclosed for secondary purposes without the consent of the subject or by authority of law.  
Individual participation. Individuals should be allowed to inspect and correct their personal information. Whenever possible, personal information should be collected directly from the individual.  
Quality. Personal information should be accurate, complete and timely, and be relevant to the purposes for which it is to be used.  
Security safeguards. Personal information should be protected by reasonable security safeguards against such risks as loss, unauthorized access, destruction, use, modification or disclosure. Access to personal information should be limited to only those within the organization with a specific need to see it.  
Accountability. Someone within the organization, such as the Chief Privacy Officer or an information manager, should be held accountable for complying with its privacy policy. Privacy audits to monitor organizational compliance should be conducted on a regular basis, as should employee training programs. (11)

20. Conducting a privacy audit
Useful sites
SOPAG Privacy Audit and Guidelines
Privacy Audit Checklist

21. USA PATRIOT Act ALA resources on the Act
Guidelines to assist libraries with requests for confidential library records (NJLA)

22. Educating staff and users
What have you done to handle this?

23. Sample library privacy policies
Privacy Tool Kit links
Indiana University – Purdue University
John Carroll University
Syracuse University
University of Michigan

24. Checklist of Questions About Privacy and Confidentiality*
See handout for list of questions to ask about how your library deals with privacy and confidentiality
*From the “Privacy Tool Kit”