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  • 1. Federal and State Government Documents Processing Manual Lewis J Ort Library Frostburg State University Created: _________ 1
  • 2. Table of Contents I. Overview.............................................................................................................................................................4 A. About this manual ..........................................................................................................................................4 Web Sites ............................................................................................................................................................4 B. Federal Depository Library Program (FDLP) ...................................................................................................4 C. State Documents Program .............................................................................................................................5 II. Federal Documents Processing ..........................................................................................................................5 A. Receiving Documents .....................................................................................................................................5 B. Determining destination.................................................................................................................................6 C. Check for superseded. ....................................................................................................................................6 D. Physical processing – Labels ...........................................................................................................................6 1. Labels ..........................................................................................................................................................6 2. Barcodes .....................................................................................................................................................6 3. Security strips (Tattletape) .........................................................................................................................7 E. Cataloging .......................................................................................................................................................7 F. Statistics..........................................................................................................................................................7 G. Transferred Items ...........................................................................................................................................7 1. Periodicals: .................................................................................................................................................7 2. Other items .................................................................................................................................................7 H. Claims .............................................................................................................................................................7 1. When to process a claim ............................................................................................................................8 2. Recording and processing the claim ...........................................................................................................8 3. Receiving a Claim Copy ...............................................................................................................................8 4. Non-receipt of claims .................................................................................................................................8 I. Maintenance...................................................................................................................................................8 1. Discarding / Withdrawing / Offering Documents .......................................................................................8 2. .........................................................................................................................................................................9 III. Maryland Documents Processing ...................................................................................................................9 A. Receiving Documents .....................................................................................................................................9 B. Determining Destination ................................................................................................................................9 C. Check for Superseded .................................................................................................................................. 10 D. Physical Processing ...................................................................................................................................... 10 E. Statistics....................................................................................................................................................... 11 F. Transferred items ........................................................................................................................................ 11 G. Cataloging .................................................................................................................................................... 11 H. ......................................................................................................................................................................... 11 2
  • 3. IV. Appendix 1 – Resources .............................................................................................................................. 11 A. Federal ......................................................................................................................................................... 11 1. 2. V. Listservs ................................................................................................................................................... 11 3. B. FDLP Desktop ........................................................................................................................................... 11 Meetings and conference ........................................................................................................................ 12 State............................................................................................................................................................. 12 Appendix 3 –Processing Checklists .................................................................................................................. 12 A. Federal Documents – Checklist for regular processing ............................................................................... 12 B. Federal Documents – Checklist for discarding documents ......................................................................... 12 C. State Documents – Checklist for regular processing ................................................................................... 12 D. State Documents – Checklist for discarding documents ............................................................................. 12 E. Monthly Miscellaneous Checklist ................................................................................................................ 13 VI. Appendix 4 – Workflow (create flowcharts?) – This also might be too much! ........................................... 13 VII. Appendix 5 – Locations................................................................................................................................ 13 A. Locations of Documents in the Library ........................................................................................................ 13 B. .......................................................................................................................................................................... 13 VIII. Appendix 6 – Statistical Reports .................................................................................................................. 13 IX. Appendix 7 - Web Site Addresses ................................................................................................................ 13 X. Appendix 8 - Document-Specific Processing Locations - Federal .................................................................... 15 XI. Appendix 9 - Document-Specific Processing Locations – State ................................................................... 16 XII. ............................................................................................................................................................................ 17 XIII. ........................................................................................................................................................................... 17 XIV............................................................................................................................................................................ 17 3
  • 4. I. Overview A. About this manual In an attempt to keep information both clear and flexible, this manual will focus on what needs to be done for processing different types of documents and addressing various situations processing or maintenance situations. Step-by-step procedures will only be provided when absolutely necessary. This allows the manual to remain as current as possible, without requiring updates for common changes to web sites, software, and the work environment. This also will allow staff the flexibility to follow a work flow that works best for them. Web Sites Any web sites referred to in this manual can be found in the FSU Government Documents Administrative Guide (http://libguides.frostburg.edu/govdocs-admin). B. Federal Depository Library Program (FDLP) The Lewis J, Ort Library has been a participating member of the Federal Depository Library Program (FDLP) of the U.S. Government Printing Office (GPO) since 1967. FSU is a Selective Depository, meaning that we collect of percentage of the total documents available through the program. Documents may be distributed in print, microfiche, CD-ROM, video, poster, or online (electronic), among other formats. Most states have a Regional Depository Library that collects 100% of the documents distributed via the FDLP and coordinates depository activity for the Region. For Maryland, the Regional is the McKeldin Library at the University of Maryland at College Park. FSU reviews its collection every year during an Annual Selection Cycle, adding or deleting particular items from our item selection profile. We are also required to complete periodic surveys and, every 4 or 5 years, conduct a lengthy Self Study along with the possibility of being inspected by GPO. Basic Guidelines As a member of the FDLP, FSU receives documents free of charge. Strict guidelines must be followed, however. These guidelines can be found in web pages and documents such as the following. (Links can be found on the Government Documents Administrative LibGuide):    FDL Handbook – This was a former print publication which has been discontinued. The guidelines are now available on the FDLP web site as Requirements, Guidance, and Instructions. Superseded List – This list is no longer updated, and was last published in 2002. Please use the Superseded List and Guidelines section of the FDL Instructions to determine whether an item is superseded. WebTech Notes – This replaces the former “Administrative Notes and Technical Supplements (ANTS)” – This web page includes a real-time list of changes and notices about documents in the catalog. Check this page when questions arise about a particular item. This particularly helpful when investigating potential SuDoc number errors. 4
  • 5. Location of Documents in the Library Most federal documents are shelved together on Floor 2 and are classified using call numbers assigned by the Superintendent of Documents, GPO (a.k.a. SuDoc numbers). Microfiche and maps cases are located in the same area. However, some documents are transferred to other areas of the Library, including Reference, Periodicals, Cataloging, Stacks, Indexes, and Media. Federal Documents are located using the following tools:  FSU Library Catalog (for items that have been cataloged)  Monthly Catalog of United States Government Publications - The official index of documents distributed by the FDLP. o Print copies (1954-1996) – Found with indexes on 5th floor, call number: Index J83 .A18 o 1994-current is available online in GPO’s Catalog of Government Publications. C. State Documents Program Describe program and location of documents here. II. Federal Documents Processing A. Receiving Documents    Federal document packages will arrive in the mailroom. Check for depository # 0248c on label. If incorrect, contact and forward the package to the appropriate library. Standard boxes include shipping lists (often multiple lists) plus the corresponding documents (paper, electronic, and other formats). o Occasionally, documents might arrive as separates. These would arrive in envelopes, poster tubes or other special packaging. The corresponding shipping list # should appear on the label for the separate. Shipping lists: 1. Use the depository date-stamp to date-stamp the shipping list. 2. Check the items in the box off from the shipping lists. 3. Depository-date-stamp each item. See : See Appendix X (Document-Specific Processing Locations) for information about where to stamp. This step might be held off to be done with the physical processing of the items if more efficient. 4. Review the items that were not checked off. Most likely, FSU has not selected those items, but there could be missing items. a. Use the Item Lister (link available on administrative LibGuide) check to see whether FSU should have received any of the documents. (Search for the item number (not the SuDoc number.) b. If the item number is found on the list, make note of the document in the action log, and wait for 2 weeks to see if it arrives in separate packaging. If it does not arrive, process a claim (See H.Claims), for the item. (Claims can be made for up to 60 days after the shipping list date.) 5. File the shipping list. These need to be held for ____ months. 5
  • 6. Shrink-wrapped items: Transfer these to a binder and continue processing. Extra items: Bring duplicates or items not matching the shipping list to the Government Documents Librarian to determine whether the item will be kept, offered, or discarded. B. Determining destination Items that are kept outside of the government documents collection are recorded in the Government Documents Items to be Transferred spreadsheet. The most recent version of this can be found on the Government Documents Administrative LibGuide. Temporary note: This list will need to be updated. Items not transferred outside of government Documents will be processed for one of the Government Document locations (Stacks, CD-ROM, Maps, etc.) C. Check for superseded. These need to be revised. The superseded list hasn’t been updated since 2002, and the guidelines need to be used instead. A document may supersede or replace an older edition of a document or a set of documents (preliminary reports, for example). Check each document against the Superseded List for instructions. If any documents are to be removed from the collection, follow the procedures under the Superseding and Deselecting (Part VII) below D. Physical processing – Labels 1. Labels 1. If items have not yet been stamped with the depository date-stamp, this needs to be done to each. 2. Create labels for the document, using the table below as a guide to the label location: 3. Cover all labels with a clear label protector. Label locations: See Appendix X (Document-Specific Processing Locations) 2. Item Number 0575-A 0768-F 0823 0819 0819 0814-B 1061-K Barcodes Documents not Barcoded: (need to check if these are still true. This is from original document) SuDoc Title Number AE 2.110: Slip Laws L 2.38/3: CPI Detailed Report LC 26.7: LC Subject Headings LC 26.9: LC Classification Schedules MARC Manual LC 30.25 MARC 21 Manuals LC 30.7/2: Cataloging Service Bulletin Y 3.F 31/8: 1/ Annual Report of the Federal Deposit Insurance Corporation 6
  • 7. Barcode locations: See Appendix X (Document-Specific Processing Locations) 3. Security strips (Tattletape) Use tattle tape only for print documents. Open book up and place it inside a page in the middle of the book. E. Cataloging To be updated in 2014/15. F. Statistics Two new statistics spreadsheets are created for the beginning of each fiscal year (JulyJune), one for federal and one for state documents processed. These compile data on both a monthly and yearly basis for use in the monthly and annual reports as well as for use in Library reports to IPEDS (Integrated Postsecondary Education Data System) statistical reporting. See VIII for samples of these reports. Note that each report includes a page with descriptions of how items are to be counted. G. Transferred Items 1. Periodicals: After checking in and date-stamping periodicals issues, transfer the documents to the Periodicals Department, Room 218. No further action is required. Notify this department of any “shorts” or unfilled items, as they will need to update records 2. Other items If you come across a new document that you think should either be in the Reference or General Collections, bring this to the attention of the Government Documents Librarian. Items that are kept outside of the government documents collection are recorded in the Government Documents Items to be Transferred spreadsheet. The most recent version of this can be found on the Government Documents Administrative LibGuide. Temporary note: This list will need to be updated. These instructions are on hold until cataloging duties are transferred back to Government Docs. In the case of transfers, these items might continue to be handled by cataloging rather than government documents H. Claims Claims must be made within 60 days of the shipping list date. 7
  • 8. 1. When to process a claim   2. If an item that FSU has selected is not included with a shipment, wait for seven days after the shipments arrival before submitting any claims for missing items. It is possible that the item may arrive as a separate. Claim defective copies of publications immediately. Treat the document as it was never received. However, keep the defective copy until a new one is received. If a new copy is not available, contact the Government Documents Coordinator, who will decide whether to purchase a copy or keep the defective copy. Recording and processing the claim 1. Record information about the missing document, also known as a “short,” in the Government Documents Actions log (found on the administrative LibGuide). 2. Include a note on the shipping list that the item is being claimed. 3. Check the “Claims Copies Exhausted” web page. If the missing item is found here, then you cannot submit a claim. The item can be added to the “Needs” list on ASERL’s Needs and Offers database. 4. To submit a claim, you have 60 days from the date of the shipping list to submit a claim. Use the online claims form under collection tools. Be sure to update the status of your actions in the issues log. 3. Receiving a Claim Copy 1. When claim is received, update the status in the log and on the shipping list as received. 2. Date stamp the document with the current date, and then process according to instructions for any new document. 4. Non-receipt of claims If GPO is unable to fulfill the claim, they will send notification that “Claim copies are exhausted.” Update the status in the log and shipping list as “claims copies exhausted” Notify Government Documents Coordinator, who will decide whether a copy of the item will be purchased. 3. If not purchased, Frostburg’s holdings information must be removed from the catalog record. (To be updated with more detail after cataloging duties shift.) 1. 2. I. Maintenance 1. Discarding / Withdrawing / Offering Documents The rules for withdrawing an item collection differ, depending on why the document is being removed. 8
  • 9. Document withdrawal guidelines Reason for removal Age of document Item has been superseded (follow FDLP’s supersession guideline) Item is a duplicate The item is available in official and complete form online Other Not important Permission needed from Regional No Offer item to other depositories No Not important After one year No Yes Yes Yes After five years Yes Yes 2. III. Maryland Documents Processing A. Receiving Documents  Materials are delivered to mail room. o Items from Enoch Pratt Free Library usually arrive in large shipping envelopes. o Separate boxes and envelopes contain serial items (i.e., Laws of Maryland, Michie’s Annotated Code, COMAR,….etc). Shipping Lists  Items sent from Enoch Pratt contain a shipping list (State Publications Depository and Distribution Program).  Date-stamp shipping list with the Maryland Documents date-stamp. Date-stamp each item with the Maryland Documents Date-Stamp (See Part XI, DocumentSpecific Processing Locations – State) for a chart describing locations for the stamp and other markings. All received items must also be accounted for in the State Documents statistics spreadshhet. (See E. Statistics). B. Determining Destination State documents will either be filed in the state documents filing cabinets, or transferred to another collection. Stacks Items (Gradually add these items to the transfer list, or check the transfers that I found to see if they’re already there?):  Search the library catalog for each item. 9
  • 10.  Items found in catalog, in the location, STACKS, are transferred to the library technician working with Serials. o Date-stamp the item as directed in the Maryland Documents chart in (See Part XI o On shipping list, write stacks, plus the call number found in catalog next to the item. o Attach a note with the LC Call number to the document. Periodicals  Review the Government Documents Items to be Transferred list (found in administrative LibGuide).  Periodicals are date-stamped outside the back cover, and then are transferred to the Periodicals department. Non-transferred State Documents  Date-stamped  Filed in the Maryland State Documents file cabinets, according to the publishing agency. (Do we need more detail here?) New state documents  Occasionall items do come in that are “new”, and might not have a catalog record. Consult with the Government Documents Coordinator about transferring the item to the regular collection. C. Check for Superseded D. Physical Processing Transferred documents No physical processing? File Cabinet Documents  Use binder labeled, FSU MD Documents Catalog, to assist in finding or establishing a location for the document or folder. o If no matching agency/folder is found create a new folder for the document and add it into the file cabinet collection.  Use call number guide found within the manual to create new call numbers or navigate existing ones. o The yellow publication pages provide a quick reference for selecting a prefix code corresponding to an Agency, Department, or Office. o The blue sheet (Maryland Depository Publication Classifications System) will provide an additional numbered subcategory distinction (with the exception of the materials on top of the file cabinets which do not need to be classified i.e., 3 ring binders and Princeton containers).  Committee Meetings & Hearing Schedules: o Current year kept in small 3-ring binders. o Previous year kept in government document office o Years before previous are discarded (and counted in statistics) 10
  • 11. E. Statistics Two new statistics spreadsheets are created for the beginning of each fiscal year (July-June), one for federal and one for state documents processed. These compile data on both a monthly and yearly basis for use in the monthly and annual reports as well as for use in Library reports to IPEDS (Integrated Postsecondary Education Data System) statistical reporting. See VIII for samples of these reports. Note that each report includes a page with descriptions of how items are to be counted. F. Transferred items G. Cataloging H. IV. Appendix 1 – Resources Please note that these web sites and documents can be found on the FSU Government Documents Administrative LibGuide. A. Federal 1. FDLP Desktop a) List of classes This document lists all available items from FDLP. Information provided includes:  Item number – this is the number used when selecting items for our depository collection.  SuDoc Number – The classification number assigned to this type of document. Usually, this is a “stem”, and additional identifying information is added to each unique item.  Title – Title or description of document  Format – (Paper, Microfiche, Electronic) b) Item Lister This is a list of FSU’s document selections. It can be created at the FDLP website and formatted to show only items that have been selected, only items that have not been selected, or all items, with Y/N indicating whether they have been selected or not. c) 2. Listservs 11
  • 12. The following listservs are essential for keeping up-to-date on important document information as well as to act as a resource for asking questions of colleagues:   3. GOVDOC-L (http://govdoc-l.org/) - This listserv is a forum for discussion about government information and the Federal Depository Library Program. The user guide provides additional information about the listserv, including instructions on how to search the GOVDOC-L archives. DOCTECH-L (http://lists.usu.edu/mailman/listinfo/doctech-l) - This listserv is devoted to questions regarding the technical processing of government documents. Subscribers are generally people who are directly affiliated with processing government documents, and can include technical processing topics about federal, state or UN documents. Meetings and conference Attending meetings and conferences such as the FDLP Interagency Depository Seminar (usually July/August) or the Annual DLC Meeting/FDL Conference (usually in October) is encouraged. B. V. State Appendix 3 –Processing Checklists A. Federal Documents – Checklist for regular processing             Package label checked for 0248c Shipping list date-stamped Items date-stamped Review unchecked items on shipping list  Address any claims issues File shipping list Determine which items are to be transferred to various locations and plan to process accordingly Check for superseded items Print and affix labels Affix barcodes Affix tattle-tape Record statistics Future steps: Process in cataloging module B. Federal Documents – Checklist for discarding documents C. State Documents – Checklist for regular processing D. State Documents – Checklist for discarding documents 12
  • 13. E. Monthly Miscellaneous Checklist     Supplies reviewed Check for claims to be processed Create backup copies of Google Documents Check for supplies to be ordered VI. Appendix 4 – Workflow (create flowcharts?) – This also might be too much! VII. Appendix 5 – Locations A. Locations of Documents in the Library Most federal documents are shelved together on Floor 2 and are classified using call numbers assigned by the Superintendent of Documents, GPO (a.k.a. SuDoc numbers). Microfiche and maps cases are located in the same area. However, some documents are transferred to other areas of the Library, including Reference, Periodicals, Cataloging, Stacks, Indexes, and Media (See the Items transferred to other Locations table for a list.) Locating Documents Federal Documents are located using the following tools: T FSU Library Catalog to locate cataloged items. Monthly Catalog of United States Government Publications-The official index of documents distributed by the FDLP. 1994-current is located online via GPO: http://catalog.gpo.gov/F. B. VIII. Appendix 6 – Statistical Reports Insert samples of state and federal statistics tables as well as the spreadsheet keys. IX. Appendix 7 - Web Site Addresses The following are web site addresses that are referred to throughout this document. Many of these will also be available on the administrative LibGuide (http://libguides.frostburg.edu/govdocs-admin). These addresses are subject to change. Name Claims Copies Exhausted Claims Form Address http://beta.fdlp.gov/requirements-guidance/instructions/32-claimscopies-exhausted http://beta.fdlp.gov/component/rsform/form/15-claims?Itemid=181 13
  • 14. FDL Handbook - Guidance FDL Handbook - Instructions FDL Handbook - Requirements Item Lister Items to be Transferred to other Locations Shipping Lists (from DDM2) Superseded Guidelines Superseded List (2002) WebTech Notes http://beta.fdlp.gov/requirements-guidance/guidance http://beta.fdlp.gov/requirements-guidance/instructions http://beta.fdlp.gov/requirements-guidance/legal-requirements http://selections.fdlp.gov/itemlister Link found on the administrative LibGuide (http://libguides.frostburg.edu/govdocs-admin) http://govdoc.wichita.edu/ddm2/shipselect.asp http://beta.fdlp.gov/requirements-guidance/instructions/271superseded-list-and-guidelines http://www.fdlp.gov/collections/collection-tools/superseded-list http://www.fdlp.gov/collections/collection-maintenance/webtech-notes 14
  • 15. X. Appendix 8 - Document-Specific Processing Locations - Federal Item Type Hardbound publication Paperback publication (thick paper cover) Paper cover (Cover is same paper as contents) Maps Date Stamp Title page (inside back cover or inside front page if no room on title page) Title page (inside back cover or inside front page if no room on title page) Label Affix label to top left front cover of document as it would appear on the shelf. Affix label to top left front cover of document as it would appear on the shelf. Barcode On back of document Cover page (inside back cover or inside front page if no room on cover page) Affix label to top left front cover of document as it would appear on the shelf. On back of document Folded Maps_ Maps in envelopes: Flat maps (LC Drawers): Bottom right side on back of map Folded maps: on back Maps placed in envelopes: on front of envelope? (I’m finding a mix of things here!) Laminated maps for flat LC drawers: on front, with label Microfiche Bottom, right of envelope Use yellow labels for maps. Place the SuDoc label on the bottom right of maps stored in flat LC drawers, and on top left of folded maps. (Original instructions only said bottom right. I also realize that we’re currently not labeling the flat LC maps (yet), but thought I’d keep it in there for the future changes.) Wonder if we should be using yellow labels on the folded maps?? No labels are used. Write SuDoc number on front top left of the envelope. Write the total number of fiche (pieces) of the document on the front bottom left corner of the envelope as in the following examples: DVDs CD-ROMS (I just copied the same information as CDROMS – Correct?) Stamp the insert inside the jewel case cover using the same guidelines as paper documents Do not place the stamp on any installation instructions Stamp the insert inside the jewel case cover using the same guidelines as paper All pieces in one envelope, write: (6 fiche) All pieces are in more than one envelope, write: (1-15 fiche of 75) Top, front, left on the insert. Top, front, left on the insert. 15 On back of document Front cover of microfiche, below SuDoc number. On back of case where there are no printed words. On back of case where there are no printed words.
  • 16. Posters documents Do not place the stamp on any installation instructions Bottom right side on back of poster. Periodicals Stamp periodicals on the back cover. Federal Government Documents not received through FDLP Items to be transferred Use the “non-depository” stamp. XI. Old instructions say back of title page. Why does this matter? Can’t we be consistent with other documents? Affix the label on the back, top left for singlesided posters, and on the front, top left for double-sided posters. Give posters to Cataloging Dept. for lamination. Do not affix a label to periodicals. (See transferred items table for the list of items transferred to periodicals) Affix label according to format. Affix the label to the back of the title page for items being transferred to cataloging, reference or the general collection. (See transferred items tables for the list of these items.) On back, with label Not barcoded Affix barcode according to specific format rules Affix barcode according to specific format rules Appendix 9 - Document-Specific Processing Locations – State Item Type Items kept in file cabinet Items transferred to serials Periodicals Date Stamp (Maryland Docs Date Stamp) Label Barcode Title page, inside document cover. (This is needed so that acquisitions staff can write additional information near the date stamp.) Stamp periodicals on the back cover Not barcoded 16
  • 17. XII. XIII. XIV. 17