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GPO Guidelines for Online Processing of Depository Documents

[ Originally published in Administrative Notes, v. 16, #17 - 12/15/95 ]

New technologies for the initial processing of depository materials streamline the often tiresome tasks associated with the bibliographic control of Federal documents. Many libraries have improved the efficiency and effectiveness of their depository operations by developing their own database programs, copy cataloging, or subscribing to labels, shipping lists, and MARC record tape loads from commercial vendors. Yet using these technologies has provoked valid questions. Librarians are concerned about how the U.S. Government Printing Office (GPO), through the Instructions to Depository Libraries and the Guidelines for the Federal Depository Library Program, will interpret its established rules on bibliographic control and the timely processing of Federal depository materials in the electronic environment. GPO's purpose for requiring a piece level holdings record of Federal property can best be summarized by asking the questions: "Do I know what I have?" and "Do I know whose it is?" It is well known that shelflisting and cataloging facilitate access to and visibility of depository holdings to patrons. GPO encourages online processing of documents which conform to GPO's requirements on bibliographic control of depository holdings. In Chapter 3, Part A of the Instructions to Depository Libraries, the pertinent paragraph asserts that "... each depository will maintain a holdings record to the piece level of all depository selections [received in tangible] of format." The Instructions further state that "[A] depository holdings record can be part of a larger all encompassing library record..." and "... cataloging all or part of the documents collection is recommended." GPO is less interested in the mechanics of bibliographic control than ensuring that each depository meets the standards set forth in the Instructions. How these standards are achieved is up to each library. Many librarians have asked, "Will Marcive's, Bernan's, Auto-graphics', OCLC's GovDoc or some other product suffice for a holdings record or shelflist?" The answer depends on how these products are used. Merely "dumping" a monthly tape into the online catalog does not constitute a holdings record to the piece level. Tape dumping by itself is similar to asserting that the Monthly Catalog is a holdings record. But tape loading, when the tape is tailored to the library's item number profile, checked against actual receipts, and coupled with the library entering individual issues of serials received meets GPO's requirements. A shelflist, to meet the requirements for accountability for Federal property and to facilitate public service, should contain certain additional information such as a SuDocs number and an accession or receipt date to aid in disposition, and, if applicable, a unique depository identifier, location symbol, supersession notice, etc. GPO does not want to define every acceptable shelflist element as such a list could never be exhaustive. As long as the library has a record or records that fulfill these piece level requirements, the standards in the Instructions will be met. For nearly twenty years, the Guidelines have stated that "[W]henever possible documents should be available for public use within 10 days after receipt; they should be retrievable even if cataloging information is not yet available." As some librarians prefer to use an online product as the foundation for a shelflist, they are concerned about the time lag between receipt of an item and the availability of its full MARC bibliographic record. Most MARC records for paper documents and electronic deliverables are available on OCLC and GPO's Web site within two weeks of their receipt in GPO's Cataloging Branch. Most MARC records for documents converted to microfiche are available within two weeks of their receipt from the microfiche contractors. Profiled tape loads from commercial vendors who rely on Monthly Catalog derived data may take longer. For temporary holding records, depository librarians use shipping list records from a commercial shipping list service, suppress records, or employ other methods as a bridge until the complete bibliographic records are accessible online. A temporary holdings record can be maintained for up to three months in such an environment before a permanent record is required by GPO.