This manual provides guidance for processing federal and Maryland state government documents at the Lewis J Ort Library. It outlines procedures for receiving documents, determining their location in the library, checking for superseded items, applying labels and barcodes, transferring documents to other collections, making claims, and maintaining the collections. Appendices include resources, processing checklists, workflow diagrams, location information, statistical reports, and web addresses.

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Check for superseded.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