Instructions to Depository Libraries Revised 2000

Chapter 3 - Bibliographic Control

A. Bibliographic Control
B. Shipping List
C. Separates
D. Processing
E. Arrangement
F. Claims
G. Duplicate Publications and Shipments

A. Bibliographic Control

All depositories are the legally responsible custodians of Federal Government property received through the FDLP. As such, each depository will maintain a holdings record to the piece level of all depository selections received in tangible format.

A comprehensive shelflist in paper or electronic format, or any combination, must be used. Depository holdings records can be part of the entire library's shelflist. The depository documents shelflist does not have to be a separate entity.

GPO encourages on-line processing of documents. On-line processing should conform to GPO's requirements for bibliographic control of depository materials. For guidance, see GPO Guidelines for Online Processing of Depository Documents, at http://www.access.gpo.gov/su_docs/fdlp/mgt/online-proc.html.

This record keeping requirement does not mean that a shelflist card must be generated for each piece. For instance, the holdings record for some map series could be comprised of a basic shelflist record for the map series plus checking-off the appropriate quadrangles of maps received on the index map. Chapter 3, Section 3, in the Federal Depository Library Manual, briefly describes technical processing for maps and charts at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#3.

Chapter 5 in the Manual outlines various bibliographic control methods at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#5.

For serials, piece level records must be maintained until the items are bound, replaced by microformat, etc. Then a holdings statement can be substituted if space in the paper or electronic database is an issue.

Marked shipping lists do not constitute a record of the library’s depository holdings and should not be used for that purpose.

Cataloging greatly enhances accessibility and patron usage and is recommended for all or part of the documents collection. Documents can be arranged according to the SuDocs classification system, other classification systems, or a combination of systems.

Many documents are extremely time-sensitive. All shipments should be unpacked and processed as they are received. Failure to do so can result in the loss of depository status.

Items not awaiting full cataloging should be processed within 10 working days from receipt of the shipment. Items that await cataloging should be sorted for easy retrieval by staff for patrons. Additional program and performance goals for bibliographic control appear in Section 4 of the Guidelines for the Federal Depository Library Program at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/guidelin.html.

B. Shipping List

A complete shipment contains all the items listed on one shipping list. Most selective depositories select only a percentage of the total items available. They receive only those items which match their current selection profile. Selectives often receive several shipments, with their corresponding shipping lists, in a single shipment box. Every depository library receives a copy of each depository shipping list whether or not it selects any of the items listed.

In their shipment boxes, regional depositories receive two copies of most shipping lists. Only one microfiche shipping list is provided to regionals by the microfiche contractors.

GPO sends at least one depository shipment to every library each week. Libraries should immediately notify the Chief, Depository Distribution Division, at (202) 512-1014, if they fail to receive a weekly shipment.

Important and necessary information is often conveyed via the shipping list. Besides listing all the publications in a complete shipment, the shipping list also indicates the item numbers under which the publications were distributed, the titles and series numbers of the publications, the SuDocs classification numbers, and GPO sales information, when applicable. Depository staff should review each list carefully.

Shipping lists are used to inform libraries of new offerings and are also a quick means of informing depository libraries of additions to item numbers. New offerings are included in shipments to depositories whose selection profile indicates an interest in them. (See Exhibits A-F for sample shipping lists.) Documents staff should swiftly delete unwanted new item offerings.

Administrative Notes Technical Supplement contains information on corrections to previous shipping lists, changes to the List of Classes, and other special announcements pertaining to the FDLP.

There are five sequential numbering schemes for the materials distributed from GPO: paper (P), microfiche (M), separates (S), electronic publications (E), and National Imagery and Mapping Agency (NIMA) maps (S).

GPO’s fiscal year begins on October 1 each year. The shipping list numbering sequence re-starts each October. As an example, the sequence of shipping list numbers for fiscal year 2000 is shown below:

The first four digits indicate the fiscal year; the next number is the sequential number of the shipping list, and the letter indicates the medium of the materials included on that shipping list.

U.S. Geological Survey (USGS) map shipping lists accompany map shipments to selecting libraries. All libraries receive all USGS shipping lists in the GPO shipment boxes as issued.

C. Separates

Separates are materials that cannot be placed in regular shipment boxes, usually because of their size or shape. Separates include maps and charts shipped from GPO, pre-packaged publications, and over-sized publications. Separate shipping lists are produced and sent in regular shipment boxes after the separates have been shipped. Separate shipping lists are clearly marked and have their own shipping list numbering sequence. (See Exhibit D.)

Libraries should immediately notify the Chief, Depository Distribution Division, at (202) 512-1014, if they fail to receive a separate shipping list within 4 weeks after receiving the separate publication, or contact asklps@gpo.gov.

D. Processing

Upon receipt of a shipment box, the shipping lists should be logged in to ensure that all shipping lists in all formats have been received. A copy of a missing or damaged list can be obtained from:

• GPO/SUNY Buffalo partnership site at http://ublib.buffalo.edu/libraries/units/cts/acq/gpo/

• Federal Bulletin Board at <http://fedbbs.access.gpo.gov/fdlp01.htm

• U.S. Fax Watch at (202) 512-1716 Discontinued March, 2002. See this explanation.

• askLPS at <http://www.access.gpo.gov/su_docs/fdlp/tools/asklps.html

• a neighboring depository

• the regional library

The List of Contractor-Issued Microfiche Shipping Lists, which also provides status reports, is available at http://www.access.gpo.gov/su_docs/fdlp/tools/msl.

The contents of shipment boxes should immediately be checked against the shipping lists and against the item numbers currently selected. Chapter 5 of the Federal Depository Library Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#5 provides advice on processing incoming shipment boxes.

If a SuDocs classification number is questioned, check the paper Administrative Notes Technical Supplement or WEBTech Notes database at http://www.access.gpo.gov/su_docs/fdlp/tools/webtech.html and in the Catalog of U.S. Government Publications at http://www.gpoaccess.gov/cgp/index.html.

Also review the full bibliographic record for subfield "z" in the "086" field for a canceled classification number before contacting GPO for clarification. The GPO Classification Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/classman can be consulted for further information.

Shipping lists do not have to be maintained after they have been initially checked as they are archived online by GPO. Many depository libraries, however, find it useful to retain them for approximately six months.

The library must mark all depository materials, regardless of format, in some manner to distinguish these items from non-depository materials. All depository materials should be dated with the shipping list date, date of receipt, or the date of processing. The date will identify depository material eligible for discarding five years after receipt.

The SuDocs classification number should be placed on all documents even if other classification systems are used. Use of the SuDocs number helps to identify materials from SuDocs citations and facilitates updating and discarding procedures. As the SuDocs number is commonly used by many other depository libraries, it provides a specific identification for borrowing and simplifies compiling or checking discard lists.

E. Arrangement

Arrangement of depository materials should conform with professionally accepted library standards and the Instructions. The arrangement should facilitate the practical use of the depository collection.

There are many advantages to using the SuDocs classification system. Librarians have found the SuDocs class numbers to be a practical and economical method for organizing Federal Government documents, and most depositories arrange the majority of their documents holdings in SuDocs classification number order. However, Federal Government publications can easily be made an integral part of library collections under any other arrangement.

F. Claims

If selected items on the shipping list are missing from the shipment, they should be claimed immediately. A raincheck, which is a form issued to depositories when insufficient copies are received for shipment, may be included in the shipment box. Only the items on a shipping list can be claimed. The shipping list is the claim form.

To claim publications missing from a shipment, use the shipping list/claim form. (See Exhibits A-F.) The form may be mailed or faxed to GPO, U.S. Geological Survey, or to the microfiche contractor depending on the requirements for that item.

Claims should be faxed whenever possible. Use the shipping list/claim form only to request publications selected but not received. Claims for items not selected will be returned unfilled.

Claims should not be made for publications selected in the annual item selection update cycle but whose selection is not yet in effect. There is a two-month delay between the deadline for returning item selection changes to GPO (annual item selection update cycle) and the date on which the amended selections become effective, which is October 1. Claims cannot be used to replace publications lost, stolen or mutilated after receipt by the library.

Always give complete information (i.e., item number, SuDocs classification number, correct series or publication title, issuing agency, and depository library number, etc.) when contacting GPO about depository publications. Additional information on how and when to contact the Government Printing Office can be found in Chapter 1 of the Federal Depository Library Manual or Contacts at http://www.access.gpo.gov/su_docs/fdlp/tools/contacts.html.

All claims for non-receipt of publications must be submitted within 60 days from receipt of the shipping list. Claims for entire missing shipments also have a 60-day deadline. All claims should be made as soon as possible.

Do not claim "raincheck" items. When these publications are reprinted they will be distributed to the libraries. Except for the few remaining "Direct Mail" titles, do not use any method other than the shipping lists to claim depository materials. Do not make a second claim for the same item. Instead, use the askLPS web-based inquiry service at http://www.access.gpo.gov/su_docs/fdlp/tools/asklpsin.html to check the status of a claim or to submit a claim for a "Direct Mail" title. For chronic claim problems, contact the Chief of the Depository Distribution Division on (202) 512-1014 or use e-mail at asklps@gpo.gov.

The Library Programs Service of the Government Printing Office honors claims as long as a supply of claims copies remains available during the 60-day claim period, and will make every effort to provide fast and accurate service to depository libraries. However, as GPO retains only a few claims copies, the supply can be quickly exhausted. A claim form will be returned to a depository library stamped "claims copies exhausted" if GPO cannot honor the claim.

Libraries are allowed to claim only those items that they select and did not receive. Due to the limited number of claims copies available, every mistaken claim may deprive another library of a legitimate claim copy.

If the library receives a defective copy of a publication, make a claim for the publication just as if it were never received. Keep the defective copy until the claim copy is received. Once the library has replaced a defective copy with a claims copy, the defective copy may be discarded. Do not send the defective copy to GPO and do not offer it on a discard list to the regional.

To claim a publication selected but not received:

1. Draw a circle around the shipping list entry of the item being claimed.
2. Check every claim made against the library’s Item Lister profile.
3. Stamp the shipping list with the library’s depository number/date received stamp in the upper right corner of the shipping list.
4. Fill out the bottom portion of the shipping list completely, including:
1. documents librarian's signature
2. depository library number
3. library name.
5. Keep a copy of the shipping list at least until the claim has been acted upon by GPO.
6. Fax or mail claims to GPO, the U.S. Geological Survey, or the appropriate microfiche contractor as indicated on the shipping list.

If you choose to use the U.S. Postal Service, mail the original copy of the shipping list to the following address:

• For paper, electronic, and separate publications, and for maps (except USGS maps), mail to:

• For microfiche, mail to:

• For U.S. Geological Survey claims, fax or mail to:

To fax claims to GPO, use (202) 512-1429 only. Faxing to any other number delays claims.

G. Duplicate Publications and Shipments

If the library receives a duplicate copy of a publication, the duplicate may be discarded immediately or offered on a discard list to the regional library. If, however, it is substantial in size or a popular publication, please telephone the Depository Distribution Division immediately on (202) 512-1014 or use e-mail to asklps@gpo.gov, to obtain a mailing label to return it to GPO. It is important to remember that when one library receives a duplicate shipment or publication, it probably means that some other library has not received a shipment.

If the library should receive a duplicate shipment, please check the box's mailing label and the depository library number written on one of the box's flaps, to determine if the shipment should have gone to another library. The flap number is the correct indication of the depository, not the mailing label. A depository receiving an incorrect shipment can locate the address of the correct library by using the flap number and the online directory at http://www.access.gpo.gov/su_docs/fdlp/tools/ldirect.html.

If duplicates become a chronic problem, please contact the Depository Distribution Division immediately.

• Preface
• Introduction
• Chapter 1 - Federal Depository Status
• Chapter 2 - Collection Development
• Chapter 3 - Bibliographic Control
• Chapter 4 - Maintenance
• Chapter 5 - Human Resources
• Chapter 6 - Physical Facilities

• Chapter 7 - Public Service
• Chapter 8 - Cooperative Efforts
• Chapter 9 - Regional Services
• Exhibits
• Appendix A - Glossary
• Appendix B - List of URLs for FDLP/GPO Sites
• Index