Chapter 4 - Maintenance
A. Proprietary Interest
B. Insuring Depository Collections
C. Discards-General Information
D. Superseded Publications
E. Discards by Selective Depositories
F. Discards by Regional Depositories
G. Discards by Federal Libraries
H. Discards by Highest State Appellate Court
I. Secondary Copies
J. Substitution of Depository Materials
K. Microfiche
L. Maps
M. Posters
N. Electronic Products
A. Proprietary Interest
All Government publications supplied to depository libraries under the FDLP remain the property of the United States Government and may not be disposed of, except as outlined in Chapter 4 of these Instructions. All depository materials must be housed in a manner that facilitates preservation and access.
Program and performance goals for maintenance of the depository collection appear under Section 5 in the Guidelines for the Federal Depository Library Program at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/guidelin.html and in Chapter 6, Section 1 in the Federal Depository Library Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#6.
Each depository library is entrusted with the custody of depository materials and must ensure they are properly preserved and protected from theft, deterioration, mold, etc. As a minimum standard for the care and maintenance of depository property, the Government Printing Office insists that their maintenance be no less than that given to commercially purchased publications.
Depository materials that are lost, worn out, or damaged should be subject to the same replacement policy that the library maintains for non-Government materials. The depository must pay for replacement copies. Claims should not be made for this material.
Many Federal Government agencies find it necessary to issue publications unbound or in paper covers. Libraries are expected to include these publications in their binding program, along with books, periodicals, and other privately purchased materials. Binders are not furnished for loose-leaf material unless the issuing agency includes them as part of its publication. Loose-leaf materials must be updated in a timely manner or de-selected.
B. Insuring Depository Collections
It would be both advisable and prudent to carry insurance covering the Federal depository part of a library's holdings. If the depository collection were to suffer any loss as a result of negligence on the part of the library, the Government could make a claim against the library for the amount of loss. Thus, depository libraries have an insurable interest, although GPO is not in a position to provide guidance as to the appropriate formula for establishing the level of coverage.
As a minimum standard for the care and maintenance of depository property, the protection given to depository materials must be no less than that given to commercially acquired publications. Most libraries carry insurance and base their insurance estimates on the cost of replacing a similar number of volumes from their commercially acquired collections. A blanket policy may therefore be sufficient. Also, as the institution responsible for the maintenance of these materials, the library should make all necessary claims, just as if it owned the materials.
In the event of a natural disaster, arson, flood, etc., the library must immediately inform the Superintendent of Documents in writing. The library must then make every reasonable effort to replace or repair the Federal Government property that has been lost or damaged.
As GPO does not maintain retrospective stock, the library might find it difficult to completely replace all missing items. As a minimum effort, however, State discard lists, GPO's Sales Program, the national "Needs and Offers" list, and commercial vendors should be canvassed in an attempt to replace those materials lost.
C. Discards - General Information
Documents distributed through the FDLP are, and remain, Government property. Depository libraries are entrusted with the maintenance of these materials while they are in the custody of the library. Depository libraries may discard these materials only in the manner prescribed by these Instructions or at the direction of a GPO official. Failure to conform to proper discard procedures can result in loss of depository status and/or legal action against the responsible parties.
The Government Printing Office is entrusted by the Congress with the stewardship of depository materials, both as tangible property and as intellectual property for free distribution and public use. Only the Public Printer, the Superintendent of Documents, or their agents can legitimately order a library to withdraw a document from its depository holdings. The Superintendent of Documents may order documents withdrawn for reasons of national security, incorrect or misleading information in a publication, or for any other cause deemed to be in the public's interest.
From time to time, the Superintendent of Documents will ask depositories to return a specific publication to GPO, or destroy it, because it is defective, or for other reasons. A letter from the Superintendent of Documents will be placed in shipment boxes and will also appear in Administrative Notes. Libraries must comply with such requests before the GPO deadline.
Libraries cannot materially or financially benefit from the disposal of depository holdings, as these materials remain Government property. After following the procedures listed below, the depository materials entrusted to the library may be sold as publications or as waste paper. The proceeds of the sale, together with a letter of explanation, must be sent to the Superintendent of Documents. Depository materials may never be bartered for goods or services.
Only the first copy of a publication is considered the depository copy. The depository copy must be discarded according to the procedures set forth in the Instructions. Any additional copies (duplicates), preprints (after the final copy has been printed) or reprints, are collectively referred to as "secondary" copies and should be disposed of according to the procedures described in Section I, Secondary Copies, below.
D. Superseded Publications
Superseded materials should be systematically identified and removed. If retained for historical purposes, they should be marked as superseded.
Publications, maps, CD-ROMs, and other depository materials that are superseded may be treated as secondary materials as soon as the update or the final version of the publication is distributed by GPO. Individual titles, serials, and series can be found in the Superseded List at http://www.access.gpo.gov/su_docs/fdlp/pubs/suplist.
The instructions in Sections A, B, C, and D of this chapter apply to all depository libraries.
E. Discards by Selective Depositories
Title 44, United States Code, Section 1912, authorizes regional depositories to permit selective depository libraries for which they have responsibility to dispose of Government publications which have been retained for at least five years from receipt. Discarding is a privilege granted by the regional and not a right of the selective. The regional library may refuse to grant permission for disposal of any publication that it feels should be kept by one of its depositories for a longer period of time.
The instructions contained in section E apply to all selective depositories except for Federal agency libraries and the libraries of the highest appellate court of the states. These libraries are covered in Sections G and H respectively.
Depository libraries not served by a designated regional depository library must permanently retain one copy of all Government publications received through depository distribution. The only exceptions are for superseded publications, and those issued later in another format (bound, microfiche, or electronic media). Government publications received from sources other than the FDLP may be disposed of as secondary copies or at the discretion of the individual libraries.
Depository libraries served by a regional depository may dispose of any non-superseded publication which has been retained for at least five years from receipt, only after obtaining permission and receiving instructions for such disposition from the regional depository designated to serve their area. Provided permission is received from the regional, a title may be disposed of before five years when an electronic equivalent is substituted from the Substitution List: Official FDLP Permanent Full-Text Databases at http://www.access.gpo.gov/su_docs/fdlp/coll-dev/subguide.html.
Because of the various methods of record keeping employed (manual files, online records, etc.), selective depositories must obtain guidance from their regional depository library on the format and procedures to be followed in formulating discard lists.
After adhering to the regional's discarding procedure, the selective library may treat the offered publication as a secondary copy, if neither the regional library nor the selective libraries in the State wish to obtain it. See Section I, below, for procedures for handling secondary copies. Depositories are encouraged to participate in the national "Needs and Offers" list at http://www.access.gpo.gov/su_docs/fdlp/tools/needs_of/index.html.
[ formerly http://docs.sewanee.edu/nando.html ]
F. Discards by Regional Depositories
All regional depositories must retain at least one copy of every publication received through depository distribution, except for those publications listed as superseded in the Superseded List. The regional should treat those discards from its library as "secondary" publications.
Under the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications, maintaining a tangible copy within a state or region of titles from the Substitution List: Official FDLP Permanent Full-Text Databases is still part of a regional's mission. A Memorandum of Agreement between the regional and another depository is a mechanism to ensure that a tangible copy is available in perpetuity.
The regional library plays a primary role in the disposal of depository materials. The responsibilities of regional libraries regarding the handling of selective depository discards are detailed in Section C of Chapter 9 of these Instructions.
G. Discards by Federal Libraries
Depository discard procedures are different for Federal agency libraries. Depository libraries within executive departments and independent agencies of the Federal Government, as well as Federal Court libraries, may dispose of unwanted Federal Government publications after offering them to the Exchange and Gift Division of the Library of Congress. The Library of Congress accepts surplus paperbound and hardbound books in accordance with 36 CFR 701.33(4), and only in specific categories.
If agency regulations permit, the library is encouraged to also offer depository materials to the nearest regional library. Federal libraries wishing to dispose of depository materials should contact the Exchange and Gift Division of the Library of Congress for directions on discarding.
Specific instructions must be obtained from the following address:
Receiving and Routing Section
Exchange and Gift Division
Library of Congress
Washington, DC 20540-4280
Phone: (202) 707-9514
Fax: (202) 707-2086
H. Discards by Highest State Appellate Court
Although Section A of this chapter refers to all Federal depository libraries, the highest state appellate court libraries that have been designated under Section 1915 of Title 44, United States Code, have special rights. Under Federal law, they are not obligated to provide for free access; they do not have to retain publications for five years before discarding; and they do not have to discard depository materials through the regional library. All depository materials remain the property of the United States Government. Depository libraries that were designated under the provisions of Section 1915 will discard their depository holdings under the provisions established for discarding secondary copies in Section I of this chapter.
I. Secondary Copies
Secondary copies are defined as depository materials which are duplicates (including reprints), superseded (including preprints), unrequested documents sent from GPO by mistake, or the depository holdings of the highest appellate court of the state libraries.
Libraries have the option of offering secondary copies to the regional library or on statewide discard lists, if the regional so desires. All depository libraries should offer any secondary publications of value through the national Needs and Offers list. This web-based list and instructions for submission can be viewed at http://www.access.gpo.gov/su_docs/fdlp/tools/needs_of/index.html.
[ formerly http://docs.sewanee.edu/nando.html ]
Placing secondary depository copies on the Needs and Offers list makes the best use of Government publications for the benefit of all depository libraries.
After this procedure has been followed to its conclusion, the library is then free to offer these depository materials to any public library or educational institution in the vicinity. Failing to find such a recipient after reasonable effort, the library may dispose of or recycle the various Government information products in all media at its discretion.
J. Substitution of Depository Materials
Permission is granted to all designated depositories to substitute purchased microcopies and CD-ROMs for any depository holdings prior to the expiration of five years, provided that they are properly referenced, can be readily located, and are easily accessible to users. Proper reading equipment must be available for their use.
As previously mentioned, with approval from the regional, permission is also granted for depositories to substitute electronic-only versions of some publications in tangible form. Guidelines have been issued for electronic substitution and can be reviewed at http://www.access.gpo.gov/su_docs/fdlp/coll-dev/subguide.html.
The substitute copies will then be treated as depository materials for the period of time that the library would have retained the original publications and they will be subject to the same rules and regulations that govern the care, treatment, and public access to depository materials during that time period.
As all depository materials remain the property of the United States Government, the original depository holdings replaced by acquired copies must be offered to the regional library per Chapter 4, Section I of these Instructions. Substitute copies may be removed or disposed of only by following established procedures for all depository holdings. Libraries may not barter or exchange the original depository paper copy for a substitute. If disposition is by sale, the proceeds of that sale must be returned to the Superintendent of Documents.
K. Discards by Federal Libraries
Microfiche are processed, handled, and discarded following the procedures set forth for other documents and the regional library’s disposition guidelines.
The recommended storage temperature for microform collections is 68° F with a constant humidity level of 40%. The most important factor to consider is constancy; the temperature and humidity range should not fluctuate often, and not beyond 75° F or 50% humidity.
For this reason, it is recommended that microforms not be stored on outer walls, nor on the ground or top floors of a building; they should be kept away from air vents, radiators, and direct sunlight. Temperatures and humidity higher than the recommended levels can create fungal growth, blemishes, and chemical deterioration. Temperatures lower than recommended can cause brittleness.
Microfiche must be stored vertically (on edge and upright) in acid-free containers. The envelopes in which the Government Printing Office microfiche is shipped are acid-free, as are the inserted dividers. All paper products used in the storage of microforms (boxes, dividers, labels, envelopes) should have a pH factor of 7.0 or above.
Steel cabinets made with baked-on inert enamel finishes, stainless steel, or aluminum are recommended as storage facilities. They should have a fire rating of at least one hour. Plastic boxes, unless constructed of non-deteriorating plastic, can adversely affect microfiche. Silver halide microfiche should not be stored in the same cabinets as diazo or vesicular microfiche.
One hundred microfiche require approximately 1 inch of space in a 4" x 6" drawer (exclusive of filing guides, envelopes, and dividers). One inch of space in a drawer accommodates approximately 75 sheets of microfiche with envelopes.
Storage areas should have permanently installed smoke and heat detectors operating at all times to warn of fire. Dry chemical and carbon dioxide extinguishers should be available.
Do not use rubber bands or paper clips to store microfiche. Rubber bands often contain sulfur and are particularly damaging to microfiche over extended periods of time.
Additional information is available in Section 2 of Chapter 6 in the Federal Depository Library Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#6.
L. Maps
Maps are processed, handled, and discarded following the procedures set forth for other documents.
Sheet maps and charts should be housed flat, in sturdy, acid-free map cases. Only those maps pre-folded by the publisher may be stored folded. Maps can be stored in either vertical or horizontal map cases. Smaller maps that accompany other publications may be housed with the publication on the shelf or separately in a map case. If the map is housed separately from its parent publication, this fact should be noted in the depository holdings record and on the item.
Maps are often housed in a different location some distance away from the rest of the documents collection. If this other location is not under the administrative control of the depository library, a selective housing Memorandum of Agreement must be initiated between the depository and the selective housing site. Additional information on selective housing of depository materials appears in Chapter 2, Section 2 of the Federal Depository Library Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#2.
Maps are subject to the same processing procedures as other depository materials. It is the library's responsibility to ensure that maps that arrive through the FDLP are handled according to the rules and regulations established in these Instructions, whether the maps are housed directly in the library or selectively housed off-site. Helpful hints appear in Chapter 3, Section 3 of the Federal Depository Library Manual at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#3.
M. Posters
Posters are processed, handled, and discarded following the procedures set forth for other documents. They should be housed flat and not folded or kept rolled. The preservation and proper housing of posters need not prevent them from being viewed by the public. Documents usage is a goal of the Federal Depository Library Program. Display posters whenever possible. Depositories may circulate or selectively house individual posters or series of posters at other libraries, schools, or other institutions where they might be seen and used.
N. Electronic Products
As with other depository material, there can be no disparity of treatment of electronic products vis-a-vis other library materials. As a minimum standard, the maintenance of electronic media distributed through the FDLP should be comparable to maintenance standards established for electronic media acquired by the library through commercial sources.
Owing to the delicate nature of electronic materials, they should be housed in environments that protect them from bending, scratching, or crushing. Exposure to dust, temperature extremes, and magnetic fields (such as telephones, security strip desensitizers, etc.) should be avoided.
Libraries should obtain furniture or equipment that is specifically designed for using and housing electronic products. The preferred solution is an arrangement that both protects the product and allows it to be readily accessible through local area networking. All electronic products that are stored in cabinets should be placed in a covering such as the jewel cases or protective sleeves for CD-ROMs.
Chapter 4 in the Federal Depository Library Manual provides program and procedural guidance and can be found at http://www.access.gpo.gov/su_docs/fdlp/pubs/fdlm/93fdlm.html#4.
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