Details the scope and purpose of the depository collection, explains the importance of a collection development policy, describes item selection procedures, lists tools for building a depository collection, suggests additional ways to enhance a depository collection, discusses managing a depository collection, and describes the process for discarding depository material.

5.1 What’s New or Important

5.1.A The Transition in Federal Depository Collections

• Since 1996 with changing agency publication practices and the increasing availability of online publications, the Federal Depository Library Program (FDLP) has migrated to an increasingly electronic collection. Although many depository libraries, particularly Regional libraries, will continue to maintain large print and microform collections, the Government Printing Office (GPO) has made great strides in disseminating government information in electronic-only formats.
• The implications of this significant change will vary depending upon the type of depository library you currently manage. Regional depositories will continue to build and maintain comprehensive depository collections and acquire government information products in all formats while selective depositories may choose to build primarily electronic depository collections. See chapter 13 in this Handbook for more information on transitioning depository collections. Selective depositories have the option to collect an electronic item in lieu of the paper equivalent as detailed in the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications. This change alone will have significant impact on such important issues as storage, service, length of retention of electronic items, and bibliographic access.

5.1.B Approaches to Collection Development and Management

• Cooperative collection development to support interlibrary loan, virtual reference, and other collaborative efforts is vital since no one depository library can meet the Federal Government information needs of a varied population, whether local or remote users.
• Given the new electronic milieu, your depository library is likely increasing its reliance on networking to share collections, to provide access to users, to practice cooperative collection development and to perform mutual bibliographic control. The challenges in your physical space may be overcome by the management of electronic resources. Specifically, access to the digital collection will require different approaches to collection development and management. Some portion of your collection will be accessible 24/7 for users in the library and users accessing the library resources remotely. As a result, you may see reference responsibilities change as well. Virtual reference, chat, and instant messaging (IM) expand the range of service models available to provide reference to remote users seeking information about depository materials.
• Additionally, the evolving role of depository librarians within their respective institutions and changes in organizational models for libraries may be reflected in changes in collection management and staff roles. You may be designated specifically as the depository coordinator or you may be a part of the larger library staff, but you serve as the contact for the depository collection and maintain responsibility for training staff throughout the library on depository materials and operations.
• Although many new changes have manifested themselves over the past several years, there are still some constants about being a depository library. For example, while electronic information now dominates as the main means of dissemination, collection development still remains relevant. Federal depository libraries build and maintain a depository collection in order to provide access to and services in the use of Federal government information products that meet the needs of its local community. Acquiring electronic information that falls outside the purview of GPO should be factored into any policies or any guidelines you develop as part of an overall collection development policy. Also, the challenges of item selection when developing an electronic collection should be considered when developing your depository library’s collection development policies. GPO continues to reexamine and evaluate the item selection mechanisms. Keep informed of the changes to item selections at the FDLP Selection Mechanisms web page.
• The needs of your user community are still one of the most important criteria used in collection development. You should continually assess user and community needs and provide access accordingly. This doesn’t mean you have to re-invent the wheel each time. Instead, you should continue to review federal, local, state, and regional web sites to provide new resources and links to your users.
• Finally, as more and more government information is available only in an electronic format, remember that providing access to a depository collection for your local community will offer new and different challenges. As explained in more detail below, the suggestions and guidelines offered should be used as a means to enhance collection development activities in your depository library.

5.1.C Scope of Your Depository Collection

The depository collection provides government information resources that meet the needs of both your primary and general public users. Therefore, the scope of your collection should be broad enough in subject, format and age-appropriateness to meet those needs while being sufficient in depth to accommodate reference and research services. Some titles for government information resources are considered essential; others are basic to a collection and still others are highly recommended. Your depository should include government information resources specific to your state, region, or congressional district.

5.1.D Purpose of Your Depository Collection

The FDLP is based upon the principle that citizens have “free, unimpeded, local access to official information produced by their Government.” Enabling legislation for the depository libraries and their collections resides in Title 44, chapter 19 of the U.S. Code. Historically, depository collections have been developed with two major purposes:

1. To serve the local clientele of the Congressional District, and
2. To provide public service for U.S. Government publications collections

Providing no-fee public access to Federal Government information is the guiding principle under which public officials designate depository libraries; therefore, the Federal Government information needs of the general public MUST influence the collection development of depository libraries.

A majority of libraries that are designated depositories have, as their primary mission, a commitment to serve a particular patron group (students, judges, etc.). While these libraries focus collection development more closely on the needs of their primary patrons, they MUST also serve the Federal Government information needs of the general public. The Collection Development Guidelines for Selective Federal Depository Libraries, although dated, still represents a comprehensive guide to collection development and the issues that MUST be considered when developing policies.

Collection development program and performance goals include:

• Each depository library should maintain the titles in the FDLP Basic Collection available for immediate use;
• Each library should acquire and maintain or otherwise provide access to the basic catalogs, guides and indexes, retrospective and current, considered essential to the reference use of the collection. This should include selected non-Governmental reference tools.
• Although more details follow, in general, each depository should maintain a specific written collection development policy (or include in the larger library collection development policy) the following:
  
  
  • the selection of frequently used and potentially useful materials based on the objectives of the library;
  • the selection of materials responsive to the Federal government information needs of the users in the Congressional district and local area where the library is located
• Each depository library should conduct a comprehensive review of its selections regularly in order to insure that needed materials are selected and that materials, no longer of use, are deselected.
• Depository libraries, either solely or in conjunction with neighboring depositories, should make demonstrable efforts to identify and meet the Government information needs of the Congressional district or local area.
• Depository libraries should coordinate item selections with other depositories in the Congressional district and local area to insure adequate coverage that meets local needs

Most depositories are designated to serve a particular U.S. Congressional District. The number of depositories in a congressional district, the geographic area of the congressional district, the type of library, and even the existence of established interlibrary cooperative arrangements, could dictate a local public service area other than the U.S. Congressional District. These local public service areas, if different from the congressional district, should be negotiated among neighboring depositories to ensure all areas of the congressional district are served.

With agencies publishing in multiple, but primarily electronic formats, management of a depository collection shifts to ensuring access to government information in all formats. Regardless of the format, the purpose of the depository collection resides in offering unrestricted use of Federal government information. As technologies advance, depository collections will continue to provide one-stop access for patrons in using, accessing, and understanding government information in any format and to serve as a gateway for all users.

5.1.E Importance of Collection Development Policies

Your collection development policy should be documented. This is important for both regional and selective depositories. For regionals, it may be helpful that the policy includes the formats in which they will collect Federal Government information resources and it may discuss how the regional will supplement and promote those resources. The policy may also include how the depository will best meet user information needs. Although applicable to all depositories, a collection development policy is particularly important to your depository library if it is a selective depository where the selection of appropriate government information resources is more critical to building a relevant depository collection for your users. It is important to work within your larger library’s collection development policy parameters, making sure the depository has its own separate policy that fits into the overall library policy, or that the policy for the depository integrates well into the one for your larger library. Collection development policies may discuss retention, disposal, and maintenance of a dynamic depository collection.

Also, your collection development policy should address issues in managing electronic information as well as paper and microform tangible information products. As GPO develops requirements for the Future Digital System (FDsys), discussions with the community about the need for and the feasibility of digital distribution continue.

There are resources available for those interested in digital distribution and transitioning depository collections. For those seeking information on transitioning to a more online depository collection, review “Considerations in Selecting Online Publications” (see Administrative Notes, July 15, 2003, Vol. 24. no. 9) and the "Tips to Effectively Transition to a More Online Federal Depository Collection" document released in November 2005. For those seeking information on FDsys digital distribution, see the Fall 2006 Depository Library conference session on "Digital Distribution to Depository Libraries: Exploring the Issues". Additionally, the conference included a session on "Trials, Tribulations, and Triumphs of Transitioning Depository Collections" with practical advice from depository coordinators.

5.2 Building Your Depository Collection

5.2.A The Collection Development Policy

Building a depository collection begins with a well written collection development policy, regularly reviewed and updated as appropriate. It should include the following to maximize your service to the community:

• A community analysis of the Federal government information needs of your library’s users to include subjects, formats, languages, special products, and age-appropriate materials.
• Identification of the information needs of the Congressional district, state, region, or local area, and collect only the items best suited to meet those needs.
• Strategies for meeting the Federal Government information needs of the primary library patron community and, if different, the general public. This may include cooperative collection development efforts with neighboring depository libraries.
• Procedures for providing documents requested by users but not selected by your library; this may mean inter-depository coordination of selections, cooperative collection development, and interlibrary loan to provide access in your local area to seldom used items.
• Intensity levels and subject strengths of your existing collection which you may want to continue and enhance, or which you may want to transfer to another depository to strengthen their collection.
• Practical guidelines for format selection decisions based upon your users’ needs.

Library Services and Content Management (LSCM) no longer requires depository libraries to maintain a specific selection rate; it is based upon whatever rate meets the information needs of your users. This rate could be 10% or it could be 90%. Remember that selection rates traditionally served as a benchmark for comparing the size of your library’s document collection with other libraries of similar size and type. These rates can be an indicator of how much physical space your tangible collection requires, but selection rates are beginning to be a moot point in an electronic era. However, selection rates remain a good indicator of the work load in your depository.

Provisions may be made in your collection development policy for acquiring or locating audio, Braille, large print and foreign language editions of a range of government resources, noting also the availability of video, film, photograph, map and other non-print archives. If access is being provided electronically via a commercial source, provisions should be made to provide access to the public, ensuring a sufficient number of terminals for in-library usage, for example.

If your depository library also purchases commercial products, depository coordinators can consult the periodic review of scope and search features to determine if the collection should include access to titles through those products, to titles available in tangible and/or electronic formats through the FDLP, or a blend of formats and access points. Relevant print and electronic indexes should be available in your depository to facilitate access to the depository collection.

5.2.B. Item Number System

Item numbers are fundamental to the depository library system. Each item number represents a series or group of related publications issued by a specific Federal agency and available for selection by depository libraries from GPO.

An item number assigned to a series may also govern the distribution of closely related series of a similar nature, e.g., numbered manuals with similar content issued by the same agency. In this instance, the library selecting this item would receive the related series as well.

The addition of new series to item numbers is announced on shipping lists and in Administrative Notes Technical Supplement.

The Technical Supplement is available on-line via the WEBTech Notes service.

For agencies whose scope and publications are limited, e.g., Fine Arts Commission, Marine Mammal Commission, etc., one item number has been established to cover all publications issued.

New depositories will begin receiving items they have selected within one month of receipt by LSCM of their item selection profile. All other selections are dependent upon the annual item selection update cycle which is described below. Bear in mind that selection of item numbers 0556-C and 1004-E is mandatory.

Libraries should retain historical files as they may contain information about when an item was selected, dropped, discontinued, superseded, changed format, changed SuDocs class number, sent to a selective housing site, etc. If these data are vital to the administration of the depository operation, be cautious about the disposition of item cards. If item cards are no longer maintained by the library, other means of establishing the item selection history MUST be in place, e.g., archiving copies of the Item Lister records, maintaining a local database, customizing electronic files from data downloaded from the Federal Bulletin Board, FDLP Desktop, etc.

5.3 Updating Selection Profiles

Depositories are notified by LSCM shortly before each annual item selection update cycle begins. It is important that selections be centrally coordinated within the library and accurate records kept to avoid misunderstandings. Changes to a library's selection profile are made by inputting item numbers using the Amendment of Item Selections procedure.

Additions to selections may be made only during the annual item selection update cycle or an item survey. All selections should be reviewed regularly to ascertain their appropriateness and to adjust selections to the changing Federal Government information needs of patrons. Depository staff should consult the List of Classes and Administrative Notes Technical Supplement to verify the availability of items. Remember that all depository libraries are required to select item numbers 0556-C and 1004-E.

LSCM recommends that a zero-based review be conducted annually or at least every 2 or 3 years. Zero-based means to review non-selections as well as existing selections for pertinence to your community’s information needs using the List of Classes and other selection tools.

If some currently selected items are judged inappropriate for the collection, these items should be deleted from the library’s selection profile promptly. Deletions can be made at any time and become effective within 72 hours of submission. In the case of materials that are sent from outside vendors, such as microfiche, it may be several weeks before shipments stop. When an item is dropped, however, all materials previously received under the item number unless superseded MUST still be retained for the statutory five-year retention period before they can be offered on a disposal list to the regional library.

A list of each depository library's selections is available using the Item Lister and the Documents Data Miner.

New item selections from the annual item selection update take effect after October 1st. New selections will not be distributed until after that date. Libraries cannot claim new selections before October 1st. Publications cannot be furnished retroactively. New selections can only be furnished to libraries as new items are ordered by and printed for the issuing agency.

Regional depository libraries receive nearly all depository items shipped by GPO. Some publications, such as Congressional hearings and the Federal Register, are issued in both paper and microfiche formats. Only regionals may select both formats for these titles although they may choose to collect only one format. Selective depositories should depend upon the regional for seldom-used items.

On rare occasions, LSCM receives only a limited number of copies of a publication from a department or agency for distribution to depository libraries. These copies are sent to all designated regional depositories; the remainder is made available to selective depositories through a "special offer" on a first-come, first-served basis. These materials are usually retrospective runs of series. These special offers are announced through Administrative Notes, notices on the depository shipping lists, or on the FDLP Desktop.

Cooperative collection development and interlibrary loan can also provide access within a local area to rarely used items. The Documents Data Miner, a State Plan, or consortia can assist with these activities.

Depository librarians are now permitted to substitute electronic versions as the sole "copy" for some tangible FDLP publications provided the electronic version is complete, official, and permanently accessible. These conditions are outlined in FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications. Titles appearing on the Guidelines are not the only titles than can be substituted; examples of other titles that may be substituted include:

• Any title that appears as content on GPO Access. Examples are the Federal Register, the U. S. Government Manual, Weekly Compilation of Presidential Documents, Code of Federal Regulations, etc.;
• Any title for digitized material from content partnerships such as titles from the Cybercemetery, the Homeland Security Digital Library, etc.;
• Any title that has been archived by GPO. Examples of these include: Antitrust Division Manual, Appalachian Reporter, Probabilistic Dose Analysis Using Parameter Distributions Developed for RESRAD and RESRAD-BUILD Codes (NUREG/CR-6676).

5.4 Dissemination of Electronic Online Titles

Depositories are encouraged to add item numbers for electronic only titles to their selection profiles. Access to these titles is provided via the Persistent Uniform Resources Locator (PURL) included in the Machine Readable Cataloging (MARC) records available in the Catalog of U.S. Government Publications (CGP). A list of new electronic only titles is also posted monthly.

GPO also encourages depositories to include MARC records for electronic only titles in their local catalogs. GPO offers two options for downloading records from the CGP. Up to 20 records may be e-mailed at a time from the CGP. Depositories may also download up to 1,000 records at a time using our Z39.50 client. Information on how to connect to our Z39.50 client is available here. A Frequently Asked Questions (FAQ) page for the Z39.50 is available here.

Remember when you add electronic only titles that you will not receive anything tangible for those titles.

5.5 Tools Available to Help You Select Items for Your Depository Collection

Once your library has been designated as a Federal depository, you may select as many or as little government information products necessary to meet the needs of your users. Regional depository libraries, however, MUST select everything and keep it permanently whereas selective depositories have flexibility in what they collect and in the amount they select, and need only keep items for five years.

Several tools exist to help you make item selections. These include the:

• List of Classes of United States Government Publications Available for Selection by Depository Libraries and the Union List of Item Selections,
• Basic Collection,
• Suggested Core Collections, and
• Essential Titles for Public Use in Paper or Other Tangible Format.

The foundation of your depository collection should include titles derived from these tools.

List of Classes of United States Government Publications Available for Selection by Depository Libraries and the Union List of Item Selections

• You can currently de-select items in your depository library’s profile at any time, but you can only add items once a year during the Item Selection Update Cycle which usually occurs in the calendar year during the month of June or July.
• The basis for selection is the List of Classes of United States Government Publications Available for Selection by Depository Libraries and the Union List of Item Selections. The List of Classes is a list of currently available products sorted by Superintendent of Documents (SuDocs) classification stem including item number, format, etc. While there may be several products in a variety of media listed under each item number, products can be selected only by item number. The List of Classes is updated semiannually in paper and the Union List of Item Selections is updated monthly on the Federal Bulletin Board (FBB). GPO will send out announcements when items can be added to your selection profile. You can review your library’s selection list using Document Data Miner 2 (DDM2), an invaluable collection of collection management tools for this purpose. The Union List of Item Selections is updated online and available for download.
• The List of Classes and Union List of Item Selections include publications having public interest or educational value which are issued by the various departments and agencies of the U.S. Government. Excluded from the lists are those publications issued for strictly administrative or operational purposes which have no public interest or educational value, those classified for reasons of national security, and those so-called "cooperative publications." “Cooperative publications are documents which must be sold in order to be self-sustaining. For this reason, printed versions are not available for free distribution through the FDLP. Such titles as the National Union Catalog, Federal Reserve Bulletin, and Prologue fall within this category.
• It’s a good idea to review items before you add them to your collection. If it’s an electronic item you can usually find links to it using tools such as the Catalog of Government Publications (CGP), Online Computer Library Center (OCLC), or through another depository’s catalog. The U.S. Government Bookstore is another good source for information on federal documents that are currently for sale. If the item is only available in print, contact your regional depository or a nearby selective depository to schedule a visit to their collection, or borrow representative issues through interlibrary loan.
• One of the advantages of being a member of the FDLP is free access to databases of Federal information that are otherwise commercially available. These databases include Stat-USA for trade and economic information and NOAA Climatic Data Center. These databases may be password protected and/or limited to a certain number of IP addresses in an institution. Contact askGPO for assistance with passwords.

5.6 Basic Collection

• The list of titles constituting the Basic Collection was first developed in 1977 to identify the most basic Federal publications for inclusion in depository collections. This list has been periodically updated since then. These publications are vital sources of information that support the public's right to know about the workings and essential activities of their Federal Government. The Basic Collection serves as a good resource when developing and maintaining a depository collection.
• Your depository library is expected to have the titles in the Basic Collection accessible for immediate use by your users. How this is accomplished is a local decision. However, merely linking to GPO Access or the CGP does not provide sufficient access to all of these titles. While access is best accomplished by cataloging the titles and including active hyperlinks in the bibliographic record, other alternatives are also available to depositories to include:
  
  
  • Link to all the titles in the Basic Collection from the library's Web site;
  • Catalog the Basic Collection using a collection level record and including a hyperlink;
  • Link to the Basic Collection Web page from the library's Web site;
  • Purchase and make available commercial equivalents (tangible or electronic) of the Basic Collection titles; and
  • Incorporate Basic Collection titles into topical bibliographies or guides.

These are the titles in the Basic Collection (created May, 2004):

* Title may not be available at all depository libraries as it was distributed in 1976. It can be purchased through the GPO Online Bookstore.

** Copyright restrictions prevent the inclusion of some tables in electronic versions.

Format designations:

P = Paper
EL = Online electronic format
CD = CD-ROM
MF = Microfiche

5.7 Suggested Core Collections

• The core collection list in Appendix A in this Handbook is annotated to indicate titles suggested for academic, public, and law libraries. Large depository libraries (over 600,000 volumes) would select most of the titles indicated for their type of library as a matter of course. Smaller depository libraries (up to 150,000 volumes) and medium depository libraries (150,000 - 600,000 volumes) should review the list, and select any titles that seem pertinent to the institution mission and the information needs of the community.
• In an attempt to present a broad range of selections, the core list errs toward the inclusive. It can be used as a benchmark for startup collections, but should also be consulted when evaluating existing collections.

5.8 Essential Titles for Public Use in Paper or Other Tangible Format

• A variety of formats are disseminated through the FDLP. Specific titles are to remain available for selection in paper format, so long as they are published in paper by the originating agency because these titles contain critical information about the activities of the U.S. Government or are important reference publications for libraries and the public. Maintaining the availability of these "essential" titles for selection in paper format has been deemed essential to the purposes of the FDLP.
• The list of Essential Titles for Public Use in Paper or Other Tangible Format is a good place to begin selection of titles in paper format for your depository and a better place to assess the maintenance of these titles in paper format. The list was developed using input provided by the depository library community. Discussions concerning what titles were essential to the public and to FDLP libraries in paper format were held in conjunction with the development of the "Dissemination/Distribution Policy for the FDLP" in October 2000. An initial list published in the 1996, Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program, served as a foundation for this document.
• Titles may be added or removed from this list. Titles recommended by the library community will be considered for inclusion in this list. Titles will be removed when it has been determined that the agency has ceased publication in paper. Major changes in the operations or funding of the FDLP may cause this list to be modified at any time.
• Publications not available in electronic format, as well those determined to be appropriate for distribution in tangible format under the Superintendent of Documents' Dissemination/Distribution Policy for the Federal Depository Library Program (SOD 301, dated September 28, 2006), will be distributed in tangible format.
• Selection of the U.S. Congressional Serial Set and the bound Congressional Record, included in the Essential Titles for Public Use in Paper or Other Tangible Format list, is limited to regional depository libraries and one designated library in each state without a regional.

5.9 Additional Ways to Enhance Your Depository Collection

• You should investigate cooperative acquisitions with neighboring depositories and seek to avoid unnecessary duplication of materials with neighboring depositories. Prudent selection leads to more efficient use of library resources; it expands the availability of resources in your geographic area and optimizes the time staff are engaged in technical services.
• The State Plan for each state, if available, may discuss cooperative acquisitions and collection development relationships of the selective depositories in your state or region so all of the depositories work together to provide a complete collection of Federal Government publications to serve all of the users in the state.
• Access to government information products may be enhanced through the use of indexes. Relevant print and electronic indexes should be available in your depository to facilitate access to the resources in your documents collection. As electronic items are added to the depository collection, ensure you're providing users the ability to locate these items which may be through a database, index, or web site search. You should consult reference staff and professional literature to discover new publications to add to the collection, or to assess demand, and to supplement other publications where appropriate and needed. New information gained by keeping abreast of changing demographics in your community or new businesses that have moved into your community are useful in helping you collect materials that effectively serve the users in your Congressional district.
• Special materials are offered through distribution to the FDLP. Special materials include maps, audio, Braille, large print government documents, foreign language items, and other special materials. You should closely monitor user needs for special materials. In particular, you might track the demand for maps or for government documents in specific foreign languages, and if so, which languages. If demand warrants, then you should select these types of government information resources.
• You may also want to purchase commercial equivalents or value-added depository items if this serves your user needs.

5.9.A Maps

The selection of maps for your depository library will fall under the same general collection development policies that have been established for your larger institution. However, there are factors in the development of map collections which should be considered and which are specific to maps as a format.

The following factors impact the development and use of a map collection in a depository.

• Circulation of the map collection;
• Security of the map collection; some maps are rare and valuable and as such, they have been targeted for theft from some libraries;
• Extra clerical help required for processing the number of maps which may be seasonal depending on the frequency of map distribution;
• Care in handling maps;
• Specialized supplies, equipment or furniture required for processing, handling, storing, servicing, and using maps; Map cabinets, wall hangers, pigeon hole or other shelving devices may have to be purchased.
• For collection development purposes, maps of a library's local area and region are always in higher demand than those of other states and regions. If it is possible to select a series by state, a library in, for example, New Jersey should consider whether it really needs detailed coverage of Texas or other far away states.
• Consider the scale of the maps that you are considering for selection. A large scale map, such as the 1:24,000 topographical map, will have many more sheets and require more map case space than a map at the scale of 1:100,000 to cover the same geographic area.
• The availability of electronic maps MUST also be considered. The advent of the “digital age” has led many Federal agencies to shift their map publishing and distribution efforts from print to a combination of print and electronic resources. Government-issued cartographic materials are now increasingly—and in a growing number of cases, exclusively—available in electronic format as scanned images and digital maps (both of which can be viewed online, printed or downloaded as an image file), or maps produced on-the-fly with Web-based mapping applications, also known as Geographic Information Systems (GIS).
• A list of maps available for selection by depositories can be created using Documents Data Miner 2 by conducting a title search for “map” in the List of Classes database.
• Your depository may wish to consider providing GIS services to your patrons. Geographic Information Systems (GIS) is a computer-based system that stores geographically referenced data linked to textual attributes (a database) and allows for mapping, display, analysis, and modeling. The majority of GIS data from the Federal Government is available for selection in CD-ROM form. These CDs are divided into three main types 1) those with an internal GIS, 2) those with GIS files that can be used with third party software without the need to be processed, or 3) both. In addition, GIS data is available through online resources. Prime examples include Geodata.gov and The National Map. Software by various companies can be used to view, analyze and display data.
• As with most technology, GIS is not useful without people to manage the system/software or to utilize it. One of the most challenging aspects of having a GIS service is staffing.

Additional information regarding map collections can be found in Appendix C in this Handbook.

5.9.B Non-Depository Materials

• The acquisition of non-depository materials becomes more crucial in an electronic environment. With the advent of desktop publishing more and more federal agencies are disseminating information directly to the Internet, thus avoiding GPO altogether. While GPO is engaging in numerous efforts to reconcile this, it becomes more incumbent upon you as the depository librarian to exert efforts to capture, retain, and provide access to these electronic materials. GODORT maintains the Government Information and Depository Management Clearinghouse of resources to explain and assist depository coordinators with collection development.
• There are also numerous sources that you can consult to acquire non-depository materials. Using GOVDOC-L, a moderated discussion list for government information, depository library issues, and depository librarians is an excellent source to learn of non-depository materials. Another valuable resource is the ASI (American Statistics Index) non-depository microfiche collection. There are also numerous trade journals, reviews, and other resources available for consultation in the procurement of these materials. Lastly, writing directly to federal agencies to acquire materials can yield some success.

5.9.C Fugitive Documents [LostDocs]

• Fugitive or “lost docs” are defined as those documents of public interest or educational value, and not classified for reasons of national security, which have not been acquired for distribution to Federal depository libraries or disseminated through the Catalog of U.S Government Publications (CGP).
• LSCM asks depository libraries to assist in notifying LSCM of documents that have not been made available through the depository program. To notify LSCM, you can use the online form to report lost or "fugitive" documents.

5.10 Managing Your Depository Collection

Managing a depository collection is complex because some aspects of management are mandated while others require a professional understanding of the interplay of various collections, both in your larger library and within your state or region. It also requires a solid understanding of the services your library provides in the use of government document collections including access, reference and research, and referrals.

5.10.A Claiming Depository Publications

• Publication runs of tangible materials are often quite limited. Therefore it is important to check shipping lists as soon as possible to make sure all items have arrived. If you delay claiming missing items, GPO may not be able to replace them. GPO has a “Claims Copies Exhausted" web page that identifies items no longer in stock. Check this webpage before using GPO’s online Web Claim form for missing items. See chapter 6 in this Handbook for more details on claims.

5.10.B Superseded Publications

• In following, the superseded and substitution guidelines, tangible products which appear on the Superseded List and are substituted with an electronic equivalent may be superseded in the normal fashion.
• Superseded materials should be systematically identified. If retained for historical purposes, they should be physically marked as superseded. The supersession note or stamp may say "superseded" or may include a phrase such as "later edition may be available". Special requirements for charts and maps can be found in Appendix C of this Handbook. Superseded items may be withdrawn immediately from the collection; refer to the latest superseded list.
• 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.
• The instructions in the Introduction to the Superseded List apply to all depository libraries. For titles not listed in the Superseded List, the FDLP Guidelines for Determining Superseded Materials and the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications should be consulted. In using the FDLP guidelines when substituting, depository coordinators may use professional judgment to determine when an online version has superseded a print version.
• It is important to understand the differences between the Superseded List and the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications to properly manage your depository collection. Discards and substitutions are explained in this chapter as well as in chapter 6 in this Handbook.

5.11 Preservation and Disaster Preparedness

• For more than 140 years, depository libraries have supported the public's right to Government information by collecting, organizing, and preserving it, and by providing assistance to users. You should consult chapter 8 in this Handbook for details on the proper preservation procedures for your depository collections.
• In the event of a natural disaster, arson, flood, etc., your library MUST immediately inform the Superintendent of Documents in writing. Your 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, your 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. To learn more about Disaster Preparedness and Recovery, see chapter 14 in this handbook.
• When depository library materials are badly damaged or decomposed as the result of a natural or man-made disaster, the regional depository coordinator may authorize the bulk disposal of such materials and bypass Needs & Offers lists. GPO does not require damaged materials be offered to other depositories.
• It is advisable and prudent to carry insurance covering the Federal depository collection as part of your larger library holdings. See chapter 14 in this Handbook for more information.

5.12 Withdrawal of a Government Information Product from Your Depository Library

• GPO is entrusted by the Congress with the stewardship of all formats of depository materials, both as U.S. Government 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 your library to withdraw a document from its depository holdings. The Superintendent of Documents may order publications 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. GPO's policy on the "Withdrawal of Federal Information Products from GPO's Superintendent of Documents (SOD) Programs (SOD 110)" details the steps to be followed in the event of such a withdrawal. Depository coordinators will be informed by GPO in the event of a withdrawal or recall. Any instructions from GPO regarding the withdrawal, disposal, or removal of depository materials will be issued formally through written communication and posted to the Federal Depository Library Program Listserv (FDLP-L) with details as to the procedures to be followed.
• From time to time, the Superintendent of Documents will ask depositories to return a specific publication to GPO, or to destroy it, because it is defective, or for other reasons. If this happens, a letter from the Superintendent of Documents will be placed in shipment boxes and will also appear in Administrative Notes. Your depository library MUST comply with such requests before the GPO deadline.

5.13 Replacement of Lost, Worn, or Damaged Depository Materials

Depository copies may become lost, worn, or damaged. Under the Principle of Comparable Treatment, depository materials should be replaced using the same replacement policy that the larger library uses for non-depository materials. You should make a reasonable effort to replace these materials. You can consult the regional depository to acquire about a reproduction. In some cases, such as large number of pages or large format, the regional may send the publication to your library to make the copies and then ask you to return the original item to the regional. Alternately, the regional may create scanned files to replace print publications or duplicate microfiche from the regional collection to replace missing microfiche. Numerous other sources exist for you to obtain a replacement copy such as the National Needs and Offers List, book vendors, and the issuing Federal agency.

5.14 Discarding Depository Materials

To help manage the depository collection, some broad guidelines for retention and discarding materials exist. In general, all government publications supplied to your depository library under the FDLP remain the property of the United States Government and may not be disposed of, except as outlined in this Handbook. All depository materials MUST be housed in a manner that facilitates preservation and access.

5.14.A Retention Guidelines

Retention guidelines vary by the type of depository library. Regional depository libraries have different retention guidelines from selectives. Also, federal libraries that are designated depositories have different retention guidelines.

The principal responsibility of a regional depository library is to ensure the comprehensiveness and integrity of the government information resources in the State or region. Therefore, if your library is a regional depository, the library MUST receive and permanently retain at least one copy of every publication received through depository distribution, except for those publications listed as superseded in the Superseded List.

If your library is a selective depository served by a regional depository, you MUST retain for the statutory minimum period of five years from receipt after securing permission from the regional library for disposal in accordance with the provisions of Title 44, United States Code, Section 1912.

Federal agency libraries that are designated as depositories have different depository retention periods; they have no prescribed retention period.

5.14.B 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 depository library 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. In order to ensure the effective functioning of the FDLP, depository libraries are expected to cooperate with GPO, their regional library and neighboring depositories. The documents coordinator MUST have a thorough knowledge of the existing guidance and policies of the FDLP.
• Regional depositories may allow selective depositories in their region to dispose of depository materials they have held for the five year statutory minimum. They will establish written procedures and guidelines for the transfer of these materials to other depository libraries in the region. Materials authorized to be discarded by the Superintendent of Documents do not require permission for disposal from the regional library (see Title 44, United States Code, section 1912).
• If your depository library is not served by a designated regional depository, you 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.
• If your depository library is served by a regional depository, you 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 your area. Provided permission is received from the regional, and the regional rules for discard have been followed, a title may be disposed of before five years when an electronic equivalent is substituted according to the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications.
• In order to reduce the burden on regional depository operations, discards of depository materials should be done on a regular basis, annually at a minimum.
• A depository is permitted to replace tangible versions with electronic equivalents provided the electronic version is complete, official, and permanently accessible. GPO Access databases on the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications meet these requirements. In keeping with the free access provisions of the FDLP, as required by law, Government information in electronic form MUST be free of charge to the user. Retention of substituted materials MUST follow retention rules for the given depository. For example, a selective depository may substitute materials if held less than 5 years, MUST offer the tangible products to the Regional, and must receive permission from the Regional to dispose of the tangible material. If permission is not granted, the selective MUST keep the tangible material but may apply at a later date for approval to dispose of the tangible products. If permission is granted, the tangible materials MUST be offered to the Regional and other selectives through disposal lists, Needs and Offers, etc., as is the practice for materials older than 5 years. Because of the various methods of record keeping employed by depository libraries (manual files, online records, etc.), your depository MUST obtain guidance from the regional regarding the format and procedures to be followed in formulating discard lists.
• After adhering to the regional library's discard procedure, a 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 the section below for procedures for handling secondary copies. Depositories are encouraged to participate in the national "Needs and Offers" list.

5.14.C Discards by Regional Depositories

• The instructions contained in this section apply to all regional depositories except for Federal agency libraries and the libraries of the highest appellate court of the states. These libraries are covered in the sections below.
• If your library is a regional depository, you MUST permanently retain at least one copy of every publication received through depository distribution, except for those publications listed as superseded in the Superseded List. As a regional depository, you should treat those discards from the 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 the titles is still part of a regional depository library's mission.
• Your library as a regional depository plays a primary role in the disposal of depository materials. The responsibilities of a regional depository library regarding the handling of selective depository discards are detailed in chapter 12 of this Handbook. You should have developed and have a copy of the disposal guidelines for your region or state.

5.14.D Discards by Federal Libraries

• Depository discard procedures are different for Federal agency libraries. If you are a depository in a Federal agency library, you are not required to maintain depository titles for five years. Materials may be withdrawn at any time and disposed of after they have been offered to the Library of Congress. You are therefore requested to be judicious in the collection development process so that you do not select too many materials you will not acquisition into your library holdings.
• For more full details on discards by Federal Libraries, consult chapter 15 in this Handbook.

5.14.E Discards by Highest State Appellate Court

• Although this chapter generally 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, if your depository is a library of the highest state appellate court, you are not obligated to:
  • provide free access;
  • retain publications for five years before discarding; and
  • you do not have to work with a regional to discard depository materials.
• 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 as outlined in this chapter.

5.15 Your Depository Cannot Financially Benefit from the Sale, Transfer, or Disposal of Government Materials

Libraries cannot materially or financially benefit from the sale, transfer, or disposal of depository holdings, as these materials remain Government property. After following the procedures listed below, the depository materials entrusted to your 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.

5.16 Secondary Copies/Duplicates

• Only the first copy of a publication is considered the depository copy and subject to the retention guidelines. The depository copy MUST be discarded according to the procedures set forth in this Handbook. Secondary copies are defined as depository materials which are duplicates (including reprints), superseded (including preprints), unrequested publications sent from GPO by mistake, or the depository holdings of the highest appellate court of the state libraries.
• Your library has the option of offering secondary copies to the regional library or on statewide discard lists, if the regional library so desires. All depository libraries should offer any secondary publications of value through the national Needs and Offers list which allows for material to be made available to any FDLP participant. 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, your 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, your library may dispose of or recycle the various Government information products in all media at its discretion.

5.17 Substitution of Depository Materials

• Carefully examine electronic equivalents when substituting online versions of documents for tangible versions of the same document. Before substituting, closely examine the online resource to ensure it is a complete and official electronic equivalent of the same content available in the tangible format.
• Permission is granted to all designated depositories to substitute purchased microform copies 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 FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications.
• You should use professional judgment and consider patron characteristics, usage patterns, community needs, research requirements, and collection development policy when determining if electronic-only access is best suited for a given title. Issues to consider include:
  
  
  • Is the title better suited in another format?
  • What is its scope, purpose and intended audience?
  • Is the title authoritative?
  • What is the date range or coverage?
  • Is the information time sensitive?
  • Is the title's electronic presentation comparable to the tangible version?
• Electronic-only information may require more staff time to learn, train, and assist patrons. Staff levels in your library MUST be adequate to do this and other required depository tasks.
• Electronic-only information may limit the number of patrons who can use all parts of the collection at one time. The library MUST be committed to funding future upgrades of computer hardware, printers, and software to ensure an adequate numbers of computer workstations exist for public access to electronic Government information.
• Your depository library's policies for electronic formats and Internet use MUST be within the guidelines established by the FDLP. The Depository Library Public Service Guidelines for Government Information in Electronic Formats can be found here, and the FDLP Internet Use Policy Guidelines can be found here.
• Your library should properly reference the substitution so it may be easily located and accessible to users. This can be accomplished by creating shelf dummies, OPAC/shelflist notes, or Web links.
• Regional disposal guidelines should include cooperation among depositories to ensure that one or more libraries in the state or region retain a tangible version. The substitution guidelines can be negotiated in a State Plan. Maintaining a viable copy of these titles in tangible format within a state or region is still a part of a Regional depository library's mission. A Memorandum of Understanding between the Regional and other depository libraries serves as a mechanism to ensure that a tangible copy is available in perpetuity.
• The substitute copies will be treated as depository materials for the same retention period as 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.
• Since all depository materials remain the property of the U.S. Government, original depository holdings replaced by acquired copies MUST be offered to the regional depository library. Substitute copies may be removed or disposed of only by following established procedures for all depository holdings. Your library 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.

Several questions submitted to askGPO provide answers to clarify how to use the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications policy:

Question: How long are Depository Libraries required to retain the paper copies of the Federal Register?

Answer: According to the 2002 Superseded List, the retention policy for the Federal Register (AE 2.106:) states that selective depositories should "Keep current two years". Regional depositories have decided to retain additional years; therefore, you may always consult with your regional depository library should you have a request for issues from previous years. The Federal Register is also on GPO Access. Because it is on GPO Access, you may also apply the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications and substitute, with your regional depository library approval, the online version for your tangible copies.

Question: In the 2002 edition of the Superseded List, p. 296--297, there is a policy note for classes Y 1.1/3--Y 1.1/8:. What does the policy note "Check online holdings before substituting" mean?

Answer: "Check online holdings before substituting means that if a library wants to substitute paper or microfiche for the online House and Senate documents using these classes, they should first check to see if an online version of the complete and official document is available on GPOAccess. At one time, not all congressional documents were available online.

5.18 Relinquishing Depository Status

• If your library relinquishes status as a Federal depository, it does not have first claim on the materials received through the FDLP. You should be prepared to compile comprehensive discard lists and to request any materials you wish to keep. The regional may claim documents to fill gaps in its collection. Materials may be redirected within the FDLP to rebuild collections in depositories that have experienced a disaster.
• Remember, depository materials remain the property of the Federal Government.

5.19 Tips, Practical Advice, and Lessons Learned

• Your library should plan wisely when collecting material beyond the core collection. Keep in mind the resources required to process, manage, and house the materials. The collection development policy should include the reasoning behind collecting non-core materials, the format of materials to be collected, and the regularity of weeding and reviewing superseded publications.
• Work regularly with your Regional depository and GPO personnel. Draw upon their expertise and knowledge.
• To see examples of specific collection development policies browse the website at the University of Michigan. Most are examples of general collection development policies. There are a few material specific policies such as for maps or for posters.
• For additional information on "Managing Tangible Collections in an Electronic Environment", see the conference proceedings from Fall 2006.
• Write and keep your collection development policy up-to-date. Collect materials to enhance the library’s collection as a whole and to serve the information needs of all users within the Congressional district or local public service area.
• Consider using the selective housing approach to help spread the value of government publications and provide further outreach to the community. Although housing depository material in shared locations better serves the interest of the FDLP by placing the material in alternative locations where it will receive better use, the designated depository still bears responsibility for oversight to ensure that the legal responsibilities are met.
• Drawing on your collection development policy, publicize your collection—highlighting its strengths and materials of particular interest to your local community.
• Conduct continuous, constant, and ongoing networking within the library community as well as in your local community to identify ways to meet user needs.
• Draw upon assistance from government agencies and other resources in building your collection, replacing missing items when required.
• Nothing replaces a thorough knowledge of your collection. Develop regular reviews of the collection to familiarize yourself and your staff in the strengths, weaknesses, and unique characteristics of your collection. Share this information on a regular basis with all of the staff in your library; share it also at regional depository meetings.
• Remember you are not alone, and do not act in a vacuum. Solicit input from patrons, fellow library colleagues, and others when developing your collection. Rarely used publications may be borrowed from other depository libraries.
• Develop appropriate levels of service for electronic resources. Include this information in your processing, procedures, or technical services manual that is regularly reviewed and updated. Ensure all depository and library staff is familiar with it and that the manual is readily available to all library staff.
• Acquire publications to supplement your collection by contacting the issuing agency directly. Frequently, print copies are sent without cost or with only a minimal shipping and handling charge.
• Depository coordinators will find the Documents Data Miner 2, provided through a partnership with Wichita State University (WSU) Libraries and WSU Computer Center, an invaluable collection development and management tool.
• Remember the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications provide guidance in substituting and offer examples of materials that can be substituted. You may use professional judgment in substituting other materials that meet the criteria.

5.20 Did you realize that you don't have to... ?

• Be so concerned about a minimum level of selecting? Selective depository libraries should collect only what is required to adequately meet user information needs.
• Wonder about "Depository Library Basics"? Review the "Depository Library 101" handout 1 and handout 2 from Depository Library Council meetings
• Reinvent the wheel as you manage your depository collection? It’s OK to ask questions of your regional depository librarian, your colleagues, GPO Staff and others.

5.21 Important for Library Administrators

• Your depository library collection development policy should include a statement that the library should collect Federal government information resources that meet the needs of the community.
• Your depository library is expected to have the titles in the Basic Collection accessible to patrons. How this is accomplished is your local decision, however, merely linking to GPO Access or the Catalog of U.S. Government Publications (CGP) does not provide sufficient access to all of these titles. Your library MUST still collect publications to support the needs of the community you serve.
• Relevant print and electronic indexes should be available in your depository to facilitate access to the resources of the documents collection. As electronic items are added to the depository collection, ensure you're providing users the ability to locate these items which may be through a database, index, or web site search.
• If your depository library is served by a regional depository, you may withdraw publications retained for the statutory minimum period of five years from receipt after securing permission from the regional library for disposal. Publications distributed through the FDLP are, and remain, U.S. Government property.

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