U.S. Government Printing Office
Michael F. DiMario, Public Printer
At its October 1994 meeting, the Depository Library Council to
the Public Printer
endorsed the self-study questionnaire proposed by the Library
Programs Service (LPS).
This set of written questions can assist documents staff as they
critically review their
operations. It also gives them the opportunity to assess their
compliance with Title 44,
United State Code (U.S.C.), chapter 19, and GPO regulations in
advance of a possible
on-site audit. This self-study can be a strategic assessment
document which will walk
the documents staff through issues such as collection development
policy, compliance
with the Americans with Disabilities Act (ADA), public access
computer work stations,
etc., which need careful consideration.
Since late 1994, when a draft self-study was printed, LPS
solicited comments from the
depository community and requested that depositories being
inspected during 1995 and
1996 voluntarily complete the self-study. Many of these
depositories filled out the
questionnaire. LPS evaluated their responses and modified and
condensed the self-study.
This self-study has been developed as a component of the GPO's
inspection of each
depository library's Federal documents operation "where need is
indicated" under 44
U.S.C. Section 1909. Depositories will perform a mandatory
self-evaluation that, in some cases,
may replace an on-site inspection.
Citations to appropriate GPO-supplied publications which contain
the rules and
regulations for the Federal Depository Library Program appear at
the end of the self-
study document.
The self-study format and questions apply to all types of
depositories, with the following
two exceptions:
Each calendar quarter, LPS will request self-studies from a group
of libraries in
chronological order from the date of last inspection. A copy of
the self-study will be
provided by the depository to LPS and to your Regional library.
Federal agency and
Federal court depositories will correspond directly with LPS.
Inspectors will evaluate
each self-study. A telephone interview with the documents
librarian will take place to
clarify any issues.
LPS will determine whether an on-site inspection is warranted
based on the self-study,
follow-up questions, consultation with the Regional library, and
specific criteria including
recent staff and facility changes, results of prior inspections,
and, if applicable, any
complaints from depository library users.
In preparing the library's response to this self-study, use this
template to indicate your
narrative answers below each statement or question or check off
any answers that call
for such a response.
The following self-study must be completed by depository library
staff and returned to
LPS and the Regional library by the due date provided in the
notification letter. As noted
earlier, an evaluation of this self-study may result in an
on-site inspection.
I. Collection Development
1. Does the library select titles from the "Basic Collection"
(or acquire equivalent
commercial, or access CD-ROM or on-line versions)?
Note any
commercial equivalents adjacent to the specific title
below. Explain
why any are not selected, and where the
library can refer patrons
for that title.
____ Budget of the United States
____ Catalog of Federal Domestic Assistance
____ Census Catalog and Guide
____ Census of Population and Housing for (State)
____ Code of Federal Regulations
____ Congressional Directory
____ Congressional Record
____ County and City Data Book
____ Federal Register
____ Historical Statistics of the United States
____ Monthly Catalog
____ National Trade Data Bank (NTDB) CD-ROM
____ Publications Reference File
____ Slip Laws (Public)
____ Statistical Abstract of the United States
____ Statutes at Large
____ Subject Bibliographies
____ United States Code
____ United States Government Manual
____ United States Reports
____ Weekly Compilation of Presidential Documents
2. Do the library staff or patrons use GPO Access services? Does
the library have
Internet World Wide Web capability to allow staff and patrons to
access GPO's home
page and other Web-accessible government information resources?
Does the library have
dial-in access instead?
3. Does the library select CD-ROMs? What are the most
frequently used?
4. What maps, if any, are selected, e.g., topographic for state,
DMA, NOAA, CIA, etc.
5. Does the library have a written depository collection
development policy or a
government documents component of a general collection
development policy? If so,
attach a copy of the policy, or relevant portions of a
library-wide policy, to this self-
study.
6. Describe any collection development coordination and
depository
resource sharing
efforts that the library attempts with area depositories in order
to eliminate unnecessary
item duplication and insure adequate coverage of the area.
7. How often are regular reviews of documents selections
conducted
(zero-based item
number selection)?
8. Does the library have suitable index tools to effectively
access the resources in the
documents collection? Below is a listing of many
government issued
and commercial indices and services. Of course,
not all of these
tools are appropriate for all types of depositories. Check off
the information products
and services to which the library has access. If on-line access
is readily available to staff
for some indices, note that fact. Add any relevant titles which
the library owns or has
access to on-line.
____ ASI (American Statistics Index)
____ ASI on Statistical Masterfile CD-ROM
____ Ames, John G. Comprehensive Index to the Publications
- of the U.S.
Government, 1881-1893
____ Andriot, John. Guide to U.S. Government Publications
____ Bibliography of Agriculture
____ CCH Congressional Index
____ CIJE (Current Index to Journals in Education)
____ CIS Index to Presidential Executive Orders and
Proclamations
____ CIS Index to U.S. Senate Executive Documents and
Reports
____ CIS U.S. Government Periodicals Index
____ CIS Index to the Code of Federal Regulations
____ CIS Federal Register Index
____ CIS American Foreign Policy Index
____ CIS Index to Publications of the United States Congress
____ CIS Congressional Masterfile CD-ROM
____ CIS U.S. Serial Set Index
____ CIS U.S. Congressional Committee Hearings Index
____ CIS U.S. Congressional Committee Prints Index
____ CQ Weekly
____ Checklist of United States Public Documents, 1789-1909
____ Cumulative Subject Index to the Monthly Catalog
- of U.S.
Government
Publications, 1900-1971
____ Declassified Documents Index
____ Dialog
____ Documents Catalog, 1893-1940
____ EPA Reports Bibliography
____ ERIC CD-ROM
____ Index Medicus
____ Lexis
____ Monthly Catalog
____ Monthly Catalog CD-ROM
Brand __________________
____ Monthly Catalog, loaded in on-line system, available
from OPAC terminals
____ NLM MEDLINE
____ NTIS Government Reports Announcements and Index
____ OCLC
____ OCLC FirstSearch
____ PAIS ____ PAIS CD-ROM
____ Poore, Benjamin P. A Descriptive Catalog of the
Government Publications
- of
the United States, September 5, 1774-March 4, 1881
____ RIE (Resources In Education)
____ Westlaw
____ Wilsonline
____ Uncover
____ U.S. Code Congressional and Administrative News
II. Bibliographic Control
1. Describe how the library records depository receipts in the
required piece-level
holdings record. Include all tangible information products and
all modes of receipt, i.e.:
- a. cataloged and uncataloged paper monographs
b. DOE microfiche
c. microfiche monographs
d. serials, paper and microfiche
e. direct mail items
f. maps
- 1. CIA
2. USGS topographic
3. other maps (folded map series, DMA, etc.)
- g. electronic products
- 1. CD-ROM, monographs, and serials
2. floppy disks
- h. items in storage or housed in other collections
i. items in vertical file
2. Does the record show library holdings, classification numbers,
frequency, location
where documents can be found, retention, etc.? Note
any exception
to that full record and the reasons why the library does not
record that material.
3. Describe the techniques used to properly identify and date
mark all depository
materials as required (i.e., stamps, writing on the documents,
etc.). Note any
exceptions to that required date/depository marking,
i.e., each item is
marked with a (stamp, hand-written note, label, etc.):
. - a. microfiche envelopes
b. direct mail items
c. maps
d. CD-ROM jewel cases
e. floppy disks
f. paper monographs and serials, bound and unbound
4. Are there processing backlogs? If so, are these items
organized so they can be
retrieved quickly for use? Estimate the processing time for each
identified backlog.
- a. cataloged items
b. uncataloged items
c. continuations ("add ons")
d. periodicals
e. microfiche
f. maps
g. electronic products
5. Is there a written procedures manual or other appropriate
documentation?
6. Are claims made soon after the shipments arrive in the
library? Note what methods
are used for claiming to GPO. Are claims made within the 60-day
claim limit?
7. To note any missing shipping lists, does the library
-
a. keep shipping lists in order Yes No
b. keep a shipping list log Yes No
How are missing shipping lists usually obtained?
- a. nearby depository
b. Regional library
c. U.S. Fax Watch
d. contacting LPS
e. non-GPO Web site
8. Are all SuDocs classification number corrections made
routinely and expeditiously?
Indicate if this is not done because another classification
system is used.
9. Indicate the classification system(s) used and estimate
percentages for all depository
collections:
a. SuDocs _____%
b. Library of Congress _____%
c. Dewey _____%
d. Other _____________ _____%
III. Maintenance
1. Does a written binding policy for documents
- a. exist and is equal to (or better than) the general
library binding policy?
Describe.
b. exist but is inferior to library binding policy?
Describe.
c. exist but is a decision not to bind?
d. not exist?
2. Does a written replacement policy for lost documents
- a. exist, and is equal to (or better than) the
library's
replacement policy?
b. exist, but is inferior to the library's replacement
policy?
c. exist, but it is a decision not to replace?
d. not exist?
3. Explain any strategies used to acquire replacement copies of
depository documents,
i. e., purchase from GPO, contacting agencies, "Needs & Offers"
lists, etc.
4. Are depository discards done in conformance with the
Instructions to Depository
Libraries, the law, and Regional library instructions? [Federal
libraries use question 9.]
Note the response time for Regional approval. Is the Regional
library service for
discarding
- a. being used regularly? If so, note frequency.
b. not used because of lack of staff or time?
c. not used because you strive for completeness?
d. not apply?
e. not used? If not, why not?
5. Are superseded publications withdrawn according to the
Superseded List and
"Updates to the Superseded List?" Are they systematically
identified on holdings records
and removed? If retained, are they identified on the spine as
superseded?
- a. yes.
b. no, but kept for reference/Regional use.
c. occasionally.
d. not at present. If not, why not?
6. Is the depository collection protected from unlawful removal
of publications
- a. as well as (or better than) the rest of the
library's
collection? State method,
e.g., closed stacks, security guard, commercial book
detection system,
etc.
b. less well than the rest of the library's collection?
7. Does the library consistently remove all packing materials
from depository receipts,
i.e.:
- a. plastic wrap from paper items
b. rubber bands from microfiche
c. mailing tubes from maps
8. Does the library routinely update and interfile its loose-leaf
depository selections so
the material is immediately available for patron use? What
resources are allotted to this
task?
9. Note the general frequency with which discard lists are
submitted to the Library of
Congress Exchange and Gift Division (for Federal agency
and Federal court
depositories only).
IV. Human Resources
1. Describe depository staffing using the criteria in Section 6-2
of the "Guidelines for the
Federal Depository Library Program." What other responsibilities
does this staff have,
and how many hours weekly are devoted to those duties? Include
professional and
support staff who contribute expertise, hours, etc., toward
Federal documents.
2. Is depository staffing adequate to perform all required tasks?
If not, what duties are
not being performed and how would a desired
increase in staffing aid
the depository operation?
3. How long have the depository coordinator and support staff
held their positions? If
vacant, how long?
4. Describe cross-training of support personnel to keep items
processed, regularly
available to the public, etc., if support staff is absent.
5. Describe any training and cross-training efforts the
depository coordinator routinely or
periodically attempts to keep other staff abreast of depository
publications, electronic
media, access tools, and other issues, e.g., general reference
staff, security personnel,
others with patron contact, etc.
6. What support does the library administration provide to
professional and para-
professional staff training in terms of administrative leave and
travel funds for depository-
related meetings, workshops, etc.?
7. Describe the depository staff's participation in any local,
state, or national documents
interest groups, e.g., Interagency Depository Seminar, Federal
Depository Conference,
ALA, AALL, PLA, etc.
V. Physical Facilities
1. Describe the location of depository documents and the
percentages in each location.
- a. Are any depository collections in open or closed
stacks?
b. Are any depository materials in compact shelving?
c. Are any vertical file cabinets used to house depository
documents?
d. Are any depository materials in on-site or off-site
storage?
e. Note the proximity of depository collections to service
points (documents or
general reference desks, microform reading area, etc.).
2. Describe storage of all microfiche, maps, and electronic
media. Are they all stored in
metal cabinets or another type of covered acid-free storage
containers? If not, why not?
3. Does the library have sufficient shelf, file, and cabinet
space to properly house current
depository documents holdings? If not, explain.
Assuming continuation of present growth rates, give your best
estimate of the
depository's growth space, for the following formats (in years).
- a. paper
b. microfiche
c. maps
d. CD-ROM
4. All public institutions are required by law to work towards
full ADA compliance. Is
there handicapped access to all portions of depository
collections that are in public
areas, i.e.:
- a. ramp(s) into the library
b. flat entrances into the library
c. elevators to all floors housing depository
collections
d. adequate depository stack-aisle widths in public areas
e. computer work stations and carrels
5. Is there sufficient work space for depository library staff in
a non-public area?
6. Is patron work space for using the depository collection
usually available? Indicate
any times when patrons work space is not available near
depository collections.
7. Are depository operations entirely situated in an environment
that facilitates access to
and usage of depository resources, that is well lighted,
comfortable, neat, and clean.
8. Indicate whether the temperature, humidity, ventilation
control and other
environmental factors in the library are conducive to preserving
depository holdings?
Note any major preservation problems (e.g., excessive dust, mold,
etc.) and efforts at
preserving materials (e.g., spraying for insects, oiling
bindings, etc.).
9. List any new physical facilities affecting depository
operations since the last on-site
inspection, including those under construction, or planned for
construction. For future
projects, note estimated start and completion
dates. Describe how
these new facilities have affected or will affect depository
operations. Types of new
facilities could include, but are not limited to:
- a. new library
b. new addition
c. remodeling
d. compact shelving
e. off-site storage
f. computer lab
10. Describe the quantity, quality, and location of the following
equipment as it relates
to depository collections:
- a. staff personal computers (note general type of computers,
i.e., 286, 386, 486, Pentium,
etc.)
b. equipment for depository CD-ROMs and on-line services.
Note current
configurations and any plans for future LANs, WANs, etc. Is
this equipment
available for use by the public? List key depository titles
on the menus.
c. microfiche readers, reader/printers, any portable
microfiche readers, any
microfiche-to-fiche duplication machines, etc. Is there a
microfiche reader near the
depository microfiche?
d. photocopy machines (specify patron and staff machines)
e. fax for staff use
f. public access personal computers
11. Does the library meet the requirements for "Public Access to
Electronic Information
Provided Through Federal Depository Libraries" as announced in
Administrative Notes,
v. 17 #7, May 15, 1996? Is public access to Government
information via the Internet
provided through mediated searches, or by allowing members of the
public to use
depository library work stations on their own? Does the library
have appropriate
hardware and software, including GILS-aware software, CD-ROM
readers, printers, etc.?
12. Describe all signs and locations, e.g.,
library-produced and GPO
posters, signs, displays, floor directories, etc., that highlight
and direct patrons to
depository collections. Can a patron unfamiliar with the library
easily locate the
documents area or documents help desk?
VI. Public Service
LIBRARY HOURS ["Normal" and Summer; Monday - Thursday,
Friday, Saturday, and Sunday]
.
Library:.General Reference:
.Documents Reference :
.
1. Please attach a copy of the library's current
access policies, noting
date written. Is free access to depository collections provided
in the library to everyone
without exception? Does the library impose any age, affiliation,
or other restriction on
the use of Federal documents?
2. Does the library have any policies and,
especially, does it post
any signs that may have a "chilling effect" or
could be
misunderstood by potential depository patrons, e.g.,
- a. Are there posted signs indicating that the library
is
only for its university
students and faculty?
b. Is "No Trespassing" posted at the entrance to the
campus or at the entrance to
the library building?
c. Does the library restrict access to the library at any
time such as during exam
periods?
d. Does the library ever require an ID to enter the
library building or to use any
depository materials placed on closed reserve, etc.?
3. Is the depository emblem posted on all entrance doors of the
library and selective
housing site(s), if applicable? If not, explain.
4. Does the library offer comparable reference and other
services
to the "general public" as well as to its primary patrons
(faculty, students, etc.). Note any
discrepancies, i.e., "priority" services for its own college
students, lawyers, etc.
Is documents reference provided from a reference desk in the
documents
department, at a multiple subject department reference desk
including documents, or
at a central reference desk for all reference service
including documents? Are the
hours for depository-related reference roughly comparable to
that for other reference
service?
5. Describe any depository cataloging efforts to enhance access.
- a. Estimate the percentage of current depository
receipts
that are included in the
library catalog.
b. How long has the library been entering depository items
into its catalog?
c. What percentage of documents have been retrospectively
cataloged?
d. Are there any plans to retrospectively catalog
documents?
e. Does the library have an on-line catalog?
f. Is the on-line catalog networked with other libraries?
g. Note any other libraries on the network that are
depositories.
h. Does the library's on-line catalog have dial-in or
Internet access?
6. Circulation of documents is not required. However, for
information purposes, indicate
if most or all documents circulate. Do some formats, such as
paper, circulate, and not
others, such as microfiche, maps, or electronic media? Explain
how a public patron can
borrow documents from the library.
7. What is the level of staff knowledge of area depositories to
make informed referrals?
To what other depositories and for what types of depository
materials do staff most often
refer patrons? What union lists, directories, or area networks
are used to make referrals?
8. How are primary patrons and especially the
public informed
about the library's depository status, collections, and services?
Note the types and
frequency of depository promotion techniques.
Does the library have a Web home page? If so, provide the
URL.
.
VII. Cooperative Efforts
1. Describe the library's cooperative efforts with other
depositories and GPO on a local,
state, and national level. Describe cooperation with the
Regional library. Note any
depository-specific projects or documents groups
[give group
name, acronym, frequency of meetings, name of newsletter, if
any], union lists, etc.
2. Does the library borrow documents from other libraries for
patrons? Does this service
extend to general public patrons?
3. Does the library provide depository documents, either
originals or photocopies, on
interlibrary loan? Note any exceptions.
4. Note any cooperation through electronic listservs (e.g.,
GOVDOC-L, MAPS-L, LAW-LIB,
FEDREF-L, REGIONAL-L, etc.).
Regional Services
To be filled out by Regional libraries, including partners in
shared Regionals.
1. Explain the Regional's practices on processing weeding lists
for its selective
depositories. Provide LPS with the written guidance given to
selectives on weeding, and
the frequency of written updates or reminders to selectives about
that policy. Note
normal turn-around times for processing weeding lists from
selectives.
2. Does the Regional library provide original documents,
photocopies, fiche-to-fiche
copies on interlibrary loan to libraries in the state or relevant
region? Indicate any
special materials excepted.
3. Describe any consultation services the Regional provides to
selective depository
libraries under its purview.
4. Note any special or routine reference or other service the
Regional provides to
libraries in the state or relevant region.
5. Describe any special or routine visits that
the Regional library staff
make to selective depositories under its purview.
6. Note any specific assistance offered to depositories with
special problems or to
depositories placed on probationary status by GPO inspectors.
7. Does the Regional librarian or other staff usually accompany
GPO inspectors on some
or all of the inspections in their state? If no, explain why
not.
8. Does the Regional library maintain files on all depositories
under its purview,
including such items as GPO Inspection Reports and disposal
lists?
9. Does the Regional library have a microfiche-to-fiche
duplicator that can aid selective
depositories in interlibrary loan, filling in gaps in microfiche
collections, etc.?
10. Besides reviewing weeding lists, what other strategies does
the Regional employ to
help build its comprehensive Regional collection for its state?
11. Describe how the Regional library takes a leadership role in
state-wide Federal
depository issues, projects, e.g., new or revised State Plan,
union lists, etc.
12. Is the Regional library involved with any efforts to provide
or ensure permanent
access to electronic information? Are there any partnerships
with Federal agencies for
making electronic information available? If so, please describe.
Summary
1. Discuss near-term and long-range goals, accomplishments, and
projects that the library
is engaged in or hopes to engage in as these relate to its
depository operation. Discuss
how current and projected library budgets, as they relate to
depository operations, are
estimated to impact depository operations.
Use this space to note any subjective comments about the
general direction and
progression of the library's depository operation.
2. Add any comments or information deemed appropriate which has
not been addressed.
Attach the complete documents department or library annual
report(s), or portions of
them relating to the library's depository operations, insofar
as they are appropriate to
release.
3. Do you wish an on-site inspection regardless of the evaluation
of the self-study by LPS
and the Regional?
4. I certify that, to the best of my knowledge, the information
provided in this self-study
is accurate as of this date.
Signatures of:
Depository Coordinator:
Date:
Library Director:
Date:
Alternate Location/Selective Housing Site Mini
Self-Study
Complete this mini self-study for every location (other library,
office, geology or
geography department map collection, etc.) that houses a portion
of the depository
collection (maps, DOE and NASA microfiche, USGS and DMA maps,
etc.) which does
not fall under the administrative purview of the
library director.
Alternate locations and selective housing sites may be visited
during the Inspection.
Name:
Location:
LIBRARY HOURS ["Normal" and Summer; Monday - Thursday,
Friday, Saturday, and Sunday]
.
Library:.General Reference:
.Documents Reference :
.
Is this alternate location or selective housing site under the
direct control of the
depository library's director? If the answer is no, has the
library established the required
Memorandum of Agreement(s) and forwarded signed copies to GPO and
the Regional
library?
I. Collection Development
What types of depository materials are housed at the
alternate location or selective
housing site? Is the selective housing site given the
opportunity to modify item
selections during the annual selection update cycle?
II. Bibliographic Control
Are all depository materials recorded to the piece level and
date/depository marked
as required? Who creates and maintains this record? Are
there any significant
chronic processing backlogs?
III. Maintenance
Are depository materials maintained in a suitable
environment? Is climate control
adequate? Are covered acid-free storage containers used for
all maps, CD-ROMS,
and microfiche? Do staff follow GPO's and the Regional's
weeding regulations when
they dispose of depository materials through the depository
of record?
IV. Staffing
Describe depository staffing. Is it sufficient for
basic depository
work?
V. Physical Facilities
Is shelf, cabinet, and storage space adequate for current
depository collections?
Estimate any growth space. Note adequacy of handicapped
access to depository
collections in public areas.
VI. Public Services
Is everyone afforded free access to
depository collections? Are
any "chilling effect" policies or signs in place that may
inhibit depository access by
the public? Is a depository emblem placed at the entrance
door? Are access tools or
cataloging adequate to locate depository materials?
VII. Cooperative Efforts
Describe any cooperative efforts the selective housing site
engages in. Are staff
conversant with GPO regulations, i.e., Instructions to
Depository Libraries,
Superseded List, Administrative Notes, and the Federal
Depository Library
Manual and its Supplements? Do staff have copies of current
editions of these
publications?
.
Citations to
Documents
I. Collection Development
Instructions to Depository Libraries, Chapter 2
Federal Depository Library Manual, Chapters 2-4, and Appendix
A
& B
Federal
Depository Library Manual Supplement
Federal Depository Library Manual Supplement 2, Section 3
II. Bibliographic Control
Instructions to Depository Libraries, Chapter 3
Administrative Notes, v. 16 #17, December 15, 1995, pp. 15-16
Administrative Notes Technical Supplement
Federal Depository Library Manual, Chapter 5
Federal Depository Library Manual Supplement 2, Section 4
III. Maintenance
Title
44, U.S.C. Sections 1907, 1909, 1911-1912, and 1915
Instructions to Depository Libraries, Chapter 4
Administrative Notes Technical Supplement
Federal Depository Library Manual, Chapter 6
Federal
Depository Library Manual Supplement, Section 9
Federal Depository Library Manual Supplement 2, Section 5
Superseded List
IV. Human Resources
Federal Depository Library Manual Supplement 2, Section 6
Instructions to Depository Libraries, Chapter 5
V. Physical Facilities
Title
44, U.S.C. Section 1909
Instructions to Depository Libraries, Chapter 6
Administrative Notes, v. 17 #7, May, 15, 1996, pp. 5-8 and v.
17 #8,
June 15, 1996, pp. 14-15
Federal Depository Library Manual, Chapter 6
Federal Depository Library Manual Supplement 2, Section 7
.
VI. Public Service
Title
44, U.S.C. Sections 1909, 1911, 1916
Instructions to Depository Libraries, Chapter 7
Federal Depository Library Manual, Chapter 7>
Federal Depository Library Manual Supplement, Section 10
Federal Depository Library Manual Supplement 2, Section 8
VII. Cooperative Efforts
Instructions to Depository Libraries, Chapter 8
Federal Depository Library Manual Supplement, Section 7
Federal Depository Library Manual Supplement 2, Section 9
VIII. Regional Services
Title
44 U.S.C. Sections 1911-1912
Instructions to Depository Libraries, Chapter 9
Federal Depository Library Manual Supplement 2, Section
10