Federal Depository Library Manual

SUPPLEMENT 3
Revised

SELF-STUDY
OF A
FEDERAL DEPOSITORY LIBRARY

1999

Library Programs Service
Superintendent of Documents
U.S. Government Printing Office
Washington, DC 20401

U.S. Government Printing Office
Michael F. DiMario, Public Printer

Superintendent of Documents
Francis J. Buckley, Jr.

Library Programs Service
Gil Baldwin, Director

Library Division
Sheila M. McGarr, Chief

SELF-STUDY
OF A
FEDERAL DEPOSITORY LIBRARY

Federal Depository Library Manual

SUPPLEMENT 3
Revised

1999

Library Programs Service
Superintendent of Documents
U.S. Government Printing Office
Washington, DC 20401

PREFACE

Background

At its October 1994 meeting, the Depository Library Council to the Public Printer endorsed the self-study process and initial questionnaire proposed by the Library Programs Service (LPS).  This set of written questions is designed to assist documents staff as they critically review their operations.  It also gives them the opportunity to assess their compliance with Title 44, United State Code (U.S.C.), chapter 19, and GPO regulations in advance of a possible on-site audit.  This self-study can be a strategic assessment document which will walk the documents staff through issues such as collection development policy, compliance with the Americans with Disabilities Act (ADA), public access computer work stations, etc., which need careful consideration.

Purpose

This self-study has been developed as a component of the GPO's inspection of each depository library's Federal documents operation "where need is indicated" under 44 U.S.C. Section 1909.  Depositories will perform a mandatory self-evaluation that, in some cases, replaces an on-site inspection.

Citations to appropriate GPO-supplied publications which contain the rules and regulations for the Federal Depository Library Program appear at the end of the self-study document.  The self-study format and questions apply to all types of depositories, with the following two exceptions:

* Weeding - Federal agency and Federal court depository libraries weed through the Library of Congress' Exchange and Gift Division under 44 U.S.C. Section 1907 rather than through a Regional library.  Highest appellate court libraries also have different weeding guidelines.

* Free access to the public to use depository documents in the library is required of all depositories except those depositories designated as the library of the highest appellate court in the state under 44 U.S.C. Section 1915.

Procedures

Each year, LPS will request self-studies from a group of libraries in chronological order from the date of last inspection.  A copy of the self-study will be provided by the depository to LPS and to the appropriate Regional library.  Federal agency and Federal court depositories will correspond directly with LPS.  Inspectors will evaluate each self-study.  A telephone interview with the documents librarian will take place to clarify any issues.  All depositories will receive a Self-Study Evaluation report.

LPS will determine whether an on-site inspection is warranted based on the self-study, follow-up questions, consultation with the Regional library, and specific criteria including recent staff and facility changes, results of prior inspections, and, if applicable, any complaints from depository library users.

Some questions have yes-no answers, in others, choices are indicated or a narrative response is requested.  Add sufficient narrative to all questions so an inspector reading the self-study will more fully understand the library's operation.  Guidance for preparing the self-study can be found on the FDLP Administration home page at: <www.access.gpo.gov/su_docs/dpos/selfstudy/>.

In preparing the library's self-study, use the template provided on GPO's World Wide Web site at <www.access.gpo.gov/su_docs/dpos/selfstud.html>.  Download the template to a word processing system, input responses below each question, print the completed self-study, and mail it to LPS.

OPTION: Any depository may conduct a self-study at any time.  LPS will review the self-study and provide a report to the library explaining perceived strengths, weaknesses, corrective actions, and recommendations.  Such a "desk audit" review and report is not a substitute for any future on-site inspection, but is an option open to all depositories, e.g., for a new documents librarian's orientation, planning purposes, etc.

Self-Study

The self-study must be completed by depository library staff and returned to LPS and the Regional library by the due date provided in the notification letter.  As noted earlier, an evaluation of this self-study may result in an on-site inspection.  Note: Where appropriate the library may append various attachments such as relevant handouts, organizational charts, portions of or complete documents department or library annual reports which pertain to depository operations, etc.

The library's completed self-study must be transmitted to GPO by mail.

Mail to:

Self-Study/Compliance Review
Chief, Depository Services
Library Programs Service (SLLD)
U.S. Government Printing Office
732 North Capitol Street, NW
Washington, DC 20401

Self-Study Template

Library Name: _________________________________________________________________
Institution: ____________________________________________________________________
Address: ______________________________________________________________________
City: _____________________________________ State: _________ Zip: _________________
Depository #: __________________________________________________________________
Congressional District: ___________________________________________________________
Director: ______________________________________________________________________
Depository Coordinator: _________________________________________________________
Coordinator's Phone Number: _____________________________________________________
Coordinator's E-mail: ___________________________________________________________
Documents Fax: ________________________________________________________________
Date Submitted: ________________________________________________________________

Community Served by Your Depository (can be taken from the library's written collection development policy)

Population of the City _____________       County _____________       SMSA ______________

The area's growth can be considered:  none _____     low _____     moderate _____     high _____

Major industries/influences on the local economy: _____________________________________

Types of depository patrons (If an academic depository, include types of community users):

Depository publications most frequently used (If an academic depository, separately include publications used by both community and campus users):

Library's volume count ___________  (Includes Federal depository and non-depository materials, all formats and all collections and libraries under the administrative purview of your library director.)

Does the library have selective housing sites?   Yes ______   No ______
If yes, how many? ______

Are Selective Housing Agreements for each in place at the depository, GPO, and the Regional library?   Yes _____   No _____

1. Collection Development

In this section you will describe the policies and practices that your library uses to build a collection of U.S. Government publications in all media.

1.1	Indicate which statement most closely describes your depository selection.

_____ A comprehensive, retrospective research collection
_____ A blend of current and retrospective holdings
_____ A mostly current, 5-year collection (with a few retrospective holdings)

1.2	Which of the following "Basic Collection" titles does the library select through the depository  program? Adjacent to each title, note format received and/or any commercial equivalents. Explain why  any are not selected, and where the library can refer patrons for that title.

           (Note: This Basic Collection has been updated. See
           http://www.access.gpo.gov/su_docs/fdlp/coll-dev/basic-01.html for details.)

Paper
Fiche
CD-ROM
Online
Title, Class No., Item No.

American Factfinder, C 3.300:, 0154-B-16                                                                            (online)

Ben's Guide to U.S. Government for Kids, GP 3.39:, 0556-C (online)

Budget of the United States, PREX 2.8:, 0853 or  0853-C

Catalog of Federal Domestic Assistance, PREX 2.20:, 0853-A-01

Catalog of U.S. Government Publications, GP 3.88-9:, 0557-F  (online)

Census of Population and Housing (State and County QuickFacts), C  3.223/(nos.), 0156-M-(nos), ), 0159-B-(nos.), ), 0159-C-(nos.)

Code of Federal Regulations, AE 2.106/3:, 0572-B or 0572-C

Congressional Directory, Y 4.P93/1:1, 0992

Congressional Record (daily), X 1.1/A:, 0994-B or 0994-C

Constitution of the United States of America: Analysis and Interpretation, Y 1.1/3:, 1004-E-01

County and City Data Book, C 3.134/2:C 82/2/date, 0151 or 0151-D-01

Economic Indicators, Y 4.EC 7:EC 7, 0997

Economic Report of the President, PR 43.9:, 0848-F

Federal Register (daily),  AE 2.106:, 0573-C or 573-D

GPO Access, (online)

Historical Statistics of the United States * (selected historical statistics) C 3.134/2:H 62/970, 051

Occupational Outlook Handbook, L 2.3/4:, 0768-C-02

Public Papers of the President, AE 2.114:, 0574-A

Sales Product Catalog, GP 3.22/7:, 0552-B-01    (online)

Slip Laws (Public), AE 2.110:, 0575

Social Security Handbook, SSA 1.8/3:,  0516-C-01

STAT-USA (ask librarian for password), C 1.91:, 0128-P (online)

Statistical Abstract of the United States**, C 3.134:, 0150 or0150-B

Statutes at Large, AE 2.111:, 0576

Subject Bibliographies, GP 3.22/2:, 0552-A (online)

United States Code, Y 1.2/5:, 0991-A or 0991-B

United States Government Manual, AE 2.108/2:, 0577

United States Reports, JU 6.8:, 0741

USA Counties**, C 3.134/6:, 0150-B-01 (cd-rom)

Weekly Compilation of Presidential Documents, AE 2.109:, 0577-A (online)

*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 the electronic versions

1.3	If you do not serve the public as your primary patron, aside from "Basic Collection," what are some of your selections specifically for Congressional District information needs or general public use? (Provide examples)

1.4	Indicate which of the following the library uses:

_____ GPO's Web site
_____ GPO Access
_____ Federal Bulletin Board
_____ Pathway Services
_____ FDLP Administration page
_____ FDLP Electronic Collection
_____ Documents Data Miner

1.5	What FDLP databases and/or publications do you find most useful (Administrative Notes, WEBTech Notes, etc. - be specific)?

1.6	List most frequently used CD-ROMs selected by your library:

a. Which are networked?

b. For which is there access beyond the library?

c. If no CD-ROMs selected, why?

1.7 Does the library subscribe to any Government online services available through the FDLP?
Yes _____	No _____

a. Which ones? (STAT-USA, Environmental Health Perspectives, O*NET, etc.)

1.8	Indicate which maps your library selects using the following list.  Note geographic coverage (county, city, state, etc.) as necessary.

_____USGS
_____NIMA
_____NOAA
_____Forest Service
_____CIA
_____Others

1.9	Does the library have a written depository collection development policy or a government documents component of a general collection development policy?
	Yes _____	No _____

a. If so, attach a copy of the policy, or relevant portions of a library-wide policy, to this self-study.

1) When was it written?
2) When was it last reviewed?

b. Have you incorporated "FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications" into your written collection development policy?	   Yes _____	No _____

1.10	Describe any collection development coordination and depository resource sharing efforts that the library attempts with other area depositories in order to eliminate unnecessary item duplication and insure adequate coverage of the area.

1.11	When did the library last conduct a review of items selected?  Describe the process.  Do you use a zero-based item number selection review?  (A zero-based review means "evaluating item numbers on a one-by-one basis [which] should result in adding or deleting items from the selection profile." p. 10, "Collection Development Guidelines")

1.12	Does the library have suitable index tools to effectively access the resources in the documents collection?	Yes _____	No _____

a. If no, what other search tool(s) would you like added to the library?

1.13	Below is a selected listing of government-issued and commercial indices and services.  Not all of these tools are appropriate for all types of depositories.  Check off the information products and services the library owns.  If on-line access is restricted for some indices, note that fact.  Add any relevant titles which the library owns or has access to on-line.

Paper 
Electronic

ASI (American Statistics Index)

ASI on Statistical Universe

Ames, John G. Comprehensive Index to the Publications of the U.S. Government, 1881-1893

Andriot, John. Guide to U.S. Government Publications

CCH Congressional Index

CIJE (Current Index to Journals in Education)

CIS Index to Presidential Executive Orders and Proclamations

CIS Index to U.S. Senate Executive Documents and Reports

CIS U.S. Government Periodicals Index

CIS Index to the Code of Federal Regulations

CIS Federal Register Index

CIS American Foreign Policy Index

CIS Index to Publications of the United States Congress

CIS Congressional Masterfile CD-ROM

CIS Congressional Universe

CIS U.S. Serial Set Index

CIS U.S. Congressional Committee Hearings Index

CIS U.S. Congressional Committee Prints Index

CQ Weekly

Checklist of United States Public Documents, 1789-1909

Cumulative Subject Index to the Monthly Catalog of U.S. Government Publications, 1900-1971

Declassified Documents Index

Dialog

Documents Catalog, 1893-1940

EPA Reports Bibliography

ERIC CD-ROM

Index Medicus

Lexis

Monthly Catalog CD-ROM  (What brand?)

Monthly Catalog, loaded in on-line system, available from OPAC   (What brand?)

NLM MEDLINE

NTIS Government Reports Announcements and Index

OCLC

OCLC FirstSearch

PAIS

PAIS CD-ROM

Poore, Benjamin P. A Descriptive Catalog of the Government Publications of the United States, September 5, 1774-March 4, 1881

RIE (Resources In Education)

Westlaw

Wilsonline

Uncover

U.S. Code Congressional and Administrative News

a. Other indexes accessible via OPAC:

b. Microform collections purchased:

1.14	Who makes item selection decisions for the depository collection?

1.15	Who makes selection decisions for support materials such as indexes?

2. Bibliographic Control

In this section you will describe how the library processes depository materials and maintains a holdings record to the piece level.

2.1	Describe how the library records depository receipts to the required piece-level.  Include all tangible information products.

a. monographs
1) paper
2) microfiche
3) CDs, floppies
4) vertical file and ephemera

b. serials
1) paper
2) microfiche
3) direct mail items
4) CDs, floppies
5) vertical file and ephemera

c. maps
1) CIA
2) USGS topographic
3) other maps (folded map series, NIMA, etc.)

2.2	Is there a significant difference in recording various formats to the piece level? 
Yes _____	No _____

a. If yes, describe.

2.3 Your shelf list for the depository collection is:

_____ card-based
_____ part of an integrated library system
_____ PC-based
_____ other (explain)

2.4	Note any exception to the full check-in record, such as retrospective gaps or materials not usually checked in to the piece level.  Note the reasons why the library does not fully record that material.  Is record keeping for any material done another way?

2.5	Does the check-in record show library holdings, classification numbers, frequency, location of documents, retention, etc.?	Yes _____	No _____
a. If no, what information is not on this record?

2.6 Describe the techniques used to properly identify and date mark all depository materials as required (i.e., stamps, writing on the documents, etc.).

a. microfiche envelopes
b. direct mail items
c. maps
d. CD-ROM jewel cases
e. floppy disks
f. paper monographs and serials, bound and unbound

2.7	List any titles or media that are not marked or stamped.

2.8	Place an example of depository ownership/date stamp in the box.  Note the date's significance also, such as date of receipt, processing, shipping list, other.

2.9	Are there processing backlogs?   Yes _____	No _____

a. If so, are these items organized so they can be retrieved quickly for use?
Yes _____	No _____

b. Estimate the processing time for each identified backlog:

1) unopened boxes
2) items put in the public catalog
3) items not entered into the public catalog
4) continuations ("add ons")
5) periodicals
6) microfiche
7) maps
8) electronic products

2.10	Is shelving or filing of depository materials completed within 10 days of the date of their receipt in the library (except for items being cataloged)?   Yes _____	No _____

a. If no, how long does it typically take?

2.11	Are at least some documents cataloged and accessible via the library's catalog?
Yes _____	No _____

a. Percentage of documents currently cataloged: ________

b. Documents have been cataloged since ______________

c. Are you acquiring and cataloging e-documents?	Yes _____	No _____

d. Documents have been retrospectively cataloged:	Yes _____	No _____

e. Plan to catalog retrospective holdings:	Yes _____	No _____

f. Type catalog system used:

_____ Card
_____ Online	text-based _____	Web-based _____
_____ CD-ROM
_____ Microfiche

g. Brand of online catalog:

2.12	Does the library subscribe to commercial vendor processing services?
Yes _____	No _____

a. If yes, what services are received, when started, from what vendor, and what is their frequency?

b. If the library receives catalog record loads, are the records checked against depository receipts?   Yes _____	No _____

2.13	Is the processing of depository receipts integrated into the processing unit for other library materials?   Yes _____	No _____

2.14 To note any missing shipping lists, the library:

_____ keeps shipping lists in order
_____ keeps a shipping list log
_____ keeps shipping lists for (length of time) 
2.15	How are missing shipping lists usually obtained?

_____ nearby depository
_____ Regional library
_____ U.S. Fax Watch
_____ contacting LPS
_____ Federal Bulletin Board
_____ not obtained

2.16	Are shipping lists checked against shipments, ensuring that all selected items in that shipment have been received?	Yes _____	No _____

2.17	Are claims regularly made within the 60-day claim limit?	Yes _____	No _____

a. If no, why not?

b. Note methods used for claiming to GPO:
_____ Fax
_____ Mail

c. What percentage of claims are filled?

2.18	Are all SuDocs classification number corrections made routinely and expeditiously?
Yes _____	No _____	N/A _____

a. If no, why not?

2.19	How is the item selection/deselection history maintained?

_____ Item Cards
_____ Item Lister
_____ Database File 

a. What database file program is used?

2.20	How does the library verify item selections?

_____ Item Cards
_____ Item Lister
_____ Other
_____ Not verified

2.21	Is there a written procedures manual or other appropriate documentation?
Yes _____	No _____

a. If yes, when was it last reviewed or revised?

3. Maintenance

In this section you will describe the policies and practices that your library observes to maintain the depository materials and facilitate physical access for public use.

3.1 Does a written binding policy for documents:

_____ exist and is equal to (or better than) the general library binding policy?  Describe.
_____ exist but is inferior to library binding policy?  Describe.
_____ exist but is a decision not to bind?
_____ not exist?
_____ exist but not adhered to?  Describe non-adherance.

3.2 Does a written replacement policy for lost or damaged documents:

_____ exist, and is equal to (or better than) the library's replacement policy?
_____ exist, but is inferior to the library's replacement policy?
_____ exist, but it is a decision not to replace?
_____ not exist?
_____ exist but not adhered to?  Describe non-adherance.

3.3 Explain any strategies used to acquire replacement copies of depository documents, e.g., purchase from GPO, contacting agencies, "Needs & Offers" lists, etc.

3.4 Are depository discards done in conformance with the Instructions to Depository Libraries, the law, and Regional library instructions or submitted to the Library of Congress Exchange and Gift Division?   Yes _____	No _____

a. Note the response time for Regional approval.

3.5 The Regional library service for discarding is:

_____ used regularly.  Note frequency _______________
_____ not used because of lack of staff or time.
_____ not used because library strives for completeness.
_____ not applicable.

a. If not used, why not?
3.6	Are superseded publications withdrawn according to the Superseded List and "Updates to the Superseded List?"	Yes _____	No _____

a. Are there retention notes on the check-in record that allow for their efficient removal?	Yes _____	No _____

b. If retained, are they identified on the spine or cover as superseded?

_____ yes
_____ no, but kept for reference/Regional use
_____ occasionally
_____ not at present

1) If not, why not?

3.7	Is the depository collection protected from unlawful removal of publications:

_____ as well as (or better than) the rest of the library's collection?  State method, e.g., closed stacks, security guard, commercial book detection system, etc.

_____ less well than the rest of the library's collection?

3.8	Does the library consistently remove all packing materials from depository receipts, i.e.:

_____ plastic wrap from paper items?
_____ rubber bands from microfiche?
_____ mailing tubes from maps?

3.9	Does the library routinely update and interfile changes to its loose-leaf depository selections so the material is immediately available for patron use?   Yes _____	No _____

a. What resources are allotted to this task?

3.10	Which of the following methods are used to effectively maintain shelves, and to what extent:

None
Minimal
Moderate
Extensive
Labeled pamphlet boxes

Notebooks

String-tied binding

Vertical file cabinets

Slotted shelves

3.11	Are appropriate storage facilities in the library used to preserve depository holdings?

Microfiche metal cabinets	Yes _____	No _____
- other - covered acid free	Yes _____	No _____
Maps - metal cabinets	Yes _____	No _____	N/A _____
- other - covered acid free	Yes _____	No _____
Map encapsulation	Yes _____	No _____ 	N/A _____
Archive/"Phase" boxes	Yes _____	No _____
CD-ROM metal storage cabinets	Yes _____	No _____
- other - covered acid free	Yes _____	No _____
Shelves braced if appropriate	Yes _____	No _____
Compact shelving	Yes _____	No _____

3.12	Indicate the classification system(s) used for all depository collections in your library and estimate percentages of documents classified in each classification system:

SuDocs	 _____%
Library of Congress	 _____%
Dewey	 _____%
Other	 _____%

3.13	What materials, e.g., microfiche, periodicals, reference, etc., are integrated into non-SuDocs classifications?

3.14	Are some documents sent to another location, e.g., off site storage, reference, branch libraries, etc.?   Yes _____	No _____

a. If yes, where are they housed?

b. How quickly can they be retrieved?

3.15	Are shelf maintenance policies established and actively followed?
Yes _____	No _____

a. inventory
1) Who provides?
2) How often?

b. shelf readings
1) Who provides?
2) How often?

c. If no, why not?

3.16	Are documents included in the library's major preservation and restoration activities (e.g., binding, encapsulating, materials moved to climate controlled areas)?
Yes _____	No _____

3.17	Note any major preservation problems (e.g., excessive dust, mold, etc.) and efforts at preserving materials (e.g., spraying for insects, oiling bindings, etc.).

3.18	Does the library have a response plan for disasters?	Yes _____	No _____

a. If yes, is the depository collection included
in the plan?	Yes _____	No _____

b. If yes, is it reviewed regularly?	Yes _____	No _____

4. Human Resources

In this section describe staffing levels and responsibilities for the depository collection.

4.1	Has a person been designated to coordinate depository activities?   Yes _____	No _____

a. Is this position currently filled?   Yes _____	No _____
b. If no, why not?
c. Documents librarian has been in position since __________
d. Documents coordinator's education:
e. To whom does this person report?
f. Hours on reference desk per week:
g. Hours spent on depository responsibilities:
h. Does the coordinator also have responsibilities in areas other than Federal Documents?   Yes _____	No _____
i. If so, what are the duties and how many hours weekly are devoted to these duties?

4.2	Is there a Documents assistant(s)?   Yes _____	No _____

a. Is this position currently filled?   Yes _____	No _____
b. Assistant(s) hours a week on depository duties:
c. Has been in this position since __________
d. Hours on reference desk or devoted to other responsibilities per week: 
e. Other responsibilities:

4.3	Number of FTE staff devoted to depository operations based on a 40-hour work week:

Librarians _____	Support staff _____	Other (students, volunteers, etc.) _____

4.4	Is the depository operation an independently administered unit?   Yes _____	No _____

a. If "No," with which area(s) is documents associated?

_____ Acquisitions
_____ Administration
_____ Cataloging
_____ Reference
_____ Special Collections
_____ Subject Collection (e.g., social sciences)
_____ Other (specify)

4.5	Is there sufficient staff to address basic depository responsibilities?
Yes _____	No _____

a. If not, what duties are not being performed and how would a desired increase in staffing aid the depository operation?

4.6	Has depository and/or library staff been cross-trained so that any staff member, if necessary, can do depository technical processing, etc.?   Yes _____	No _____

a. If yes, describe:

4.7 Describe on-going efforts to inform public service staff about depository publications, electronic media or related issues affecting service to the depository collection.

4.8	How does the library administration support professional or para-professional staff training, workshops or depository-related meetings?

4.9	Do depository staff members regularly participate in the following activities:

Local depository group (name)	Yes _____	No _____When?
State GODORT	Yes _____	No _____When?
ALA GODORT	Yes _____	No _____When?
GPO Interagency Seminar	Yes _____	No _____When?
GPO Federal Depository Conference	Yes _____	No _____When?
AALL (American Association of Law Libraries)	Yes _____	No _____When?
Other:

4.10	Noteworthy accomplishments of the documents staff (e.g., conference speaker, committee chair, publications):

5. Physical Facilities

In this section describe the library building and its equipment associated with the U.S. depository collection.

5.1 Indicate which of the following are used in the library:

_____ open stacks
_____ closed stacks
_____ compact shelving
_____ vertical file cabinets
_____ on-site or off-site storage

5.2	Does the library have sufficient shelf, file, and cabinet space to properly house existing depository documents holdings?   Yes _____	No _____

a. If not, explain.

5.3	Assuming continuation of present growth rates, give your best estimate of the depository's growth space, for the following formats (in years):

paper	_____
microfiche	_____
maps	_____
CD-ROM	_____

5.4	Does the library meet the requirements for "Public Access to Electronic Information Provided Through Federal Depository Libraries" as announced in Administrative Notes, v. 17, #7, May 15, 1996?   Yes _____	No _____

a. If not, why not?

5.5	Using the following list as a guide, describe the computer equipment available to access the FDLP electronic collection:

a. Staff personal computers (note general type, number of computers, printers, i.e., 486, Pentium, etc.).

b. Does the public have unmediated access to the Internet and CDs?
Yes _____	No _____

c. Specify equipment dedicated for depository CD-ROMs and on-line services and describe work station configurations.  Specify RAM capacity, clock speed, microchip class and type of printer.
d. Have you used FDLP "Recommended Specifications for Public Access Work Stations in Federal Depository Libraries?"   Yes _____	No _____

e. List other equipment that supports the depository collection, such as microfiche readers and reader/printers, photocopiers, fax.

5.6	Does the library have a strategic plan for acquiring computer equipment?
Yes _____	No _____

a. If yes, explain.

b. If yes, will acquired equipment meet the latest recommended specifications for public access work stations?   Yes _____	No _____

5.7 Are there stable funding sources for:

a. computer upgrades?	Yes _____	No _____
b. printers?	Yes _____	No _____

5.8 What software is available on public access work stations?

_____ browser (What brand?)
_____ word processor
_____ Adobe Acrobat reader
_____ fire wall

5.9 All institutions are required by law to work towards full ADA compliance.  Is there handicapped access to all portions of depository collections that are in public areas, including:

_____ ramp(s) or flat entrances into the library?
_____ elevators to all floors housing depository collections?
_____ stack-aisle widths in public areas at least 36" wide?
_____ computer workstations and carrels?
_____ equipment with assistive technologies for the physically challenged? (describe).

5.10	Is there sufficient work space for depository library staff in a non-public area?
Yes _____	No _____

5.11	Is patron work space for using the depository collection usually available?
Yes _____	No _____

a. Indicate any times when patron work space is not available near depository collections.
5.12	Are depository operations situated in an environment that facilitates access to and usage of depository resources, in that it is well lighted, climate controlled, ventilated, neat, and clean?   Yes _____	No _____

5.13	List any new physical facilities affecting depository operations since the last on-site inspection, including those under construction, or planned for construction.  For future projects, note estimated start and completion dates.  Describe how these new facilities have affected or will affect depository operations.  Types of new facilities could include, but are not limited to:

new library 
new addition 
remodeling 
compact shelving 
off-site storage 
computer lab 
selective housing site

5.14 Indicate which safety mechanisms are permanently installed and fully functioning to protect the depository collection:

_____ smoke detectors
_____ heat detectors
_____ overhead sprinklers

5.15	Describe all types and locations of signs, e.g., library-produced and GPO posters, signs, displays, floor directories, etc., that highlight and direct patrons to depository collections.

5.16	Can a patron unfamiliar with the library easily locate the documents area or documents help desk?

6. Public Service

In this section describe how the library delivers Government information to users.

6.1	Is free and unrestricted access to all depository resources provided to the general public?	Yes _____	No _____

a. If not, explain

6.2	Explain any restrictions on access to the depository collection, e.g.:

Nights
Weekends
Exam periods
Building
ID required
Age

6.3	How many hours per week is the library open?

6.4	How many hours per week is the library's central reference desk staffed?

6.5	If there is a separate service desk for documents, how many hours per week is it staffed?

6.6	Does your library have a written access policy for the depository collection?
Yes _____	No _____

a. If so, attach a copy.  Is it consistent with current practices?

6.7	Does the library have a written policy for Internet use that is consistent with GPO guidelines in Administrative Notes, January 15, 1999?   Yes _____	No _____

a. If so, attach a copy.
b. If not, why not?

6.8 Are written public service guidelines for Government information in electronic formats in place following those published in Administrative Notes, September 15, 1998?
Yes _____	No _____

a. If so, attach a copy.
b. If not, why not?

6.9	Does the library have any policies and, especially, does it post any signs that may have a "chilling effect" or could be misunderstood by anyone not familiar with the library?
Yes _____	No _____

a. If so, describe.

6.10	Is the depository emblem posted on or near all entrance doors of the library and selective housing site(s), if applicable?   Yes _____	No _____

a. If not, explain.

6.11	Does the library offer comparable reference and other services to the "general public" as well as to its primary users (faculty, students, etc.)?   Yes _____	No _____

a. Note any discrepancies, i.e., "priority" services for its own college students, lawyers, etc.

6.12 Describe how the library provides reference services for documents:

_____ A separate reference desk for documents
_____ A combined desk for general reference and documents reference
_____ Multiple subject department reference desk including documents
_____ Other

6.13	Describe levels of expertise of those providing reference service with the depository collection.

6.14	Describe any depository cataloging efforts to enhance access.

a. Are Federal Government Internet sites included in the library's on-line catalog?
b. If there is an on-line catalog is it networked with other libraries?
c. Note any other libraries on the network that are depositories.
d. Does the library's on-line catalog have dial-in or Internet access?
e. Is the catalog a shared database with other libraries?

6.15	Circulation of documents is not required.  However, for information purposes, indicate which documents may or may not circulate.  Explain how a public patron can borrow documents from the library.

Circulate to:
Primary Clientele
Public

Yes
No
Yes
No
Paper

Microfiche

CDs

Maps

6.16	What is the level of staff knowledge of area depositories to make informed referrals?

a. To what other depositories and for what types of depository materials do staff most often refer users?

b. What union lists, directories, or area networks are used to make referrals?

6.17	Describe the library's promotional activities for the depository collection and services.

6.18	Does the library have a Web home page?	Yes _____	No _____

a. If so, provide the URL:
b. Does it provide links to GPO Access?	Yes _____	No _____
c. To the FDLP Electronic Collection?	Yes _____	No _____

7. Cooperative Efforts

In this section describe how the library works with GPO and other depository libraries to ensure the effective functioning of the Federal Depository Library Program.

7.1	How does the depository staff stay knowledgeable of GPO's current guides and manuals?

7.2	Administrative Notes is routed to:

7.3	Technical Supplement is routed to:

7.4	Describe the library's cooperative efforts with other depositories and GPO on the local, state, and national level.

7.5	Describe cooperation with the Regional library.

7.6	Note any depository-specific projects, such as state plans, union lists etc.

7.7	Is there a local documents group (give group names, acronyms, frequency of meetings, name of newsletter, if any).

7.8 Does the library borrow documents from other libraries for library users?
Yes _____	No _____

a. Is this service available to all user groups?   Yes _____	No _____

7.9	Does the library lend depository documents if requested, either originals or photocopies, on interlibrary loan?   Yes _____	No _____
a. Note any exceptions

7.10	Note any cooperation through electronic discussion lists (e.g., state discussion groups, GOVDOC-L, MAPS-L, LAW-LIB, FEDREF-L, REGIONAL-L, DOCTECH-L, etc.).

7.11	Has this depository assisted or volunteered to help GPO with special projects recently?
Yes _____	No _____

a. If yes, describe:

7.12	Is the depository partnering with a Federal agency and GPO to produce permanent public access to electronic Government information?   Yes _____	No _____

b. If yes, describe:

7.13 Do depository staff assist members of the general public in borrowing documents from a Regional or another library by:

a. Doing ILL transactions for general public patrons?
	Yes _____	No _____

b. Giving citation, referring to public library to complete ILL?
	Yes _____	No _____

7.14	Describe how you most often communicate with other depository librarians (e.g., meetings, GOVDOC-L, state electronic discussion group, phone):

7.15	If a problem/question arises with depository operations or depository receipts, who is consulted and by what means (e.g., askLPS, Regional librarian, GPO, GOVDOC-L, state electronic discussion group)? 

a. What problems have been addressed?
b. How often are outside resources used?

_____ frequently
_____ occasionally
_____ never

8. Regional Services

If you are a Regional library or a partner in a shared Regional system, fill out this section.

8.1 Explain the Regional's practices on processing weeding lists for its selective depositories.  Attach the written guidance given to selectives on weeding, and the frequency of written updates or reminders to selectives about that policy.  How frequently are procedures revised?  Note normal turn-around times for processing weeding lists from selectives.

8.2 Describe steps taken to implement "FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications."  Describe any format substitutions adopted.

8.3	Does the Regional library provide original documents, photocopies, fiche-to-fiche copies on interlibrary loan to libraries in the state or relevant region?  Indicate any special materials excepted.

8.4	Describe any consultation services the Regional provides to selective depository libraries under its purview.

8.5	Note any special or routine reference or other service the Regional provides to libraries in the state or relevant region.

8.6 Describe any special or routine visits Regional library staff make to selective depositories under its purview.

8.7	Note any specific assistance offered to depositories with special problems or to depositories placed on probationary status.

8.8	Does the Regional librarian or other staff usually accompany GPO inspectors on some or all of the inspections in their state?   Yes _____	No _____

a. If no, explain why not.

8.9	Does the Regional library maintain files on all depositories under its purview, including such items as GPO Inspection Reports, Self-Study Evaluations and disposal lists?
Yes _____	No _____

8.10	Does the Regional library have a microfiche-to-fiche duplicator that can aid selective depositories in interlibrary loan, filling in gaps in microfiche collections, etc.?
Yes _____	No _____

8.11	Will the Regional duplicate diskettes?   Yes _____	No _____

8.12	Does the Regional have the capability to duplicate CD-ROMs?   Yes _____	No _____
8.13	Besides using weeding lists, what other ways does the Regional use to build a comprehensive Regional collection for its state or region?

8.14	Describe how the Regional library takes a leadership role in state-wide Federal depository issues, projects, e.g., new or revised State Plan, union lists, etc.

8.15	Is the Regional library involved with any efforts to provide or ensure permanent access to electronic Government information?   Yes _____	No _____

Summary

1. Discuss near-term and long-range goals of the depository operation.

a. Discuss accomplishments the depository has made since its last inspection.
b. Discuss how current and projected library budgets may affect the depository operation.
c. Indicate projects the library is engaged in or plans which will affect the depository operation.
d. Note any subjective comments about the general direction and progression of the library's depository operation.

2. Add any comments or information that has not been addressed.

3. Attach appropriate items that will be beneficial to the library inspector evaluating your depository operation.

4. Do you wish an on-site inspection regardless of the evaluation of the self-study?
	Yes _____	No _____

5. I certify that, to the best of my knowledge, the information provided in this self-study is accurate as of this date.

Signatures of:

Depository Coordinator:
Date:

Library Director:
Date:

Alternate Location/Selective Housing Site Mini Self-Study

Complete this mini self-study for every location (other library, office, geology or geography department map collection, etc.) that houses a portion of the depository collection (maps, DOE and NASA microfiche, USGS and NIMA maps, etc.) which does not fall under the administrative purview of the library director.  Alternate locations and selective housing sites may be visited during an inspection.

Name:
Location:
Library Hours ("Normal" and Summer; Monday-Thursday, Friday, Saturday, and Sunday)
Library:
General Reference:
Documents Reference:

Is this alternate location or selective housing site under the direct control of the depository library's director?   Yes _____	No _____

If the answer is no, has the library established the required Memorandum of Agreement(s) and forwarded signed copies to GPO and the Regional library?

1. Collection Development

What types of depository materials are housed at the alternate location or selective housing site?  Is the selective housing site given the opportunity to modify item selections during the annual selection update cycle?

2. Bibliographic Control

Are all depository materials recorded to the piece level and date/depository marked as required?  Who creates and maintains this record?  Are there any significant chronic processing backlogs?  Is there a written procedures manual for use by all sites or appropriate documentation available at each?

3. Maintenance

Are depository materials maintained in a suitable environment?  Is climate control adequate?  Are covered acid-free storage containers used for all maps, CD-ROMS, and microfiche?  Do staff follow GPO's and the Regional's weeding regulations when they dispose of depository materials through the depository of record?

4. Staffing

Describe depository staffing.  Is it sufficient for basic depository work?  Is staff at these sites encouraged to attend continuing education programs or depository related meetings?

5. Physical Facilities

Is shelf, cabinet, and storage space adequate for current depository collections?  Estimate any growth space.  Note adequacy of handicapped access to depository collections in public areas.  Does computer equipment meet minimal technical requirements?

6. Public Services

Is everyone afforded free access to depository collections?  Are any "chilling effect" policies or signs in place that may inhibit depository access by the public?  Is a depository emblem placed at the entrance door?  Are access tools or cataloging adequate to locate depository materials?

7. Cooperative Efforts

Describe any cooperative efforts the selective housing site engages in.  Are staff conversant with GPO regulations, i.e., Instructions to Depository Libraries, Superseded List, Administrative Notes, and the Federal Depository Library Manual and its Supplements?  Do staff have copies of current editions of these publications?  How often do staff from these sites meet with or communicate with the sponsoring depository?

Citations to Documents

1.	Collection Development
Instructions to Depository Libraries, Chapter 2
Federal Depository Library Manual, Chapters 2-4, and Appendix A & B
Federal Depository Library Manual Supplement
Federal Depository Library Manual Supplement 2, Section 3
Administrative Notes, v. 20, #9, May 15, 1999, pp. 2-6

2.	Bibliographic Control
Instructions to Depository Libraries, Chapter 3
Administrative Notes, v. 16, #17, Dec. 15, 1995, pp. 15-16
Administrative Notes Technical Supplement
Federal Depository Library Manual, Chapter 5
Federal Depository Library Manual Supplement 2, Section 4

3.	Maintenance
Title 44, U.S.C. Sections 1907, 1909, 1911-1912, and 1915
Instructions to Depository Libraries, Chapter 4
Administrative Notes Technical Supplement
Federal Depository Library Manual, Chapter 6
Federal Depository Library Manual Supplement, Section 9
Federal Depository Library Manual Supplement 2, Section 5
Superseded List

4.	Human Resources
Federal Depository Library Manual Supplement 2, Section 6
Instructions to Depository Libraries, Chapter 5

5.	Physical Facilities
Title 44, U.S.C. Section 1909
Instructions to Depository Libraries, Chapter 6
Administrative Notes, v. 17, #7, May 15, 1996, pp. 5-8 and v. 17, #8, June 15, 1996, pp. 14-15, and annual revisions
Federal Depository Library Manual, Chapter 6
Federal Depository Library Manual Supplement 2, Section 7

6.	Public Service
Title 44, U.S.C. Sections 1909, 1911, 1916
Instructions to Depository Libraries, Chapter 7
Federal Depository Library Manual, Chapter 7
Federal Depository Library Manual Supplement, Section 10
Federal Depository Library Manual Supplement 2, Section 8
Administrative Notes, v. 20, #2, January 15, 1999, pp. 1-2 and v. 19 #11, Sept. 15, 1998, pp. 5-6

7.	Cooperative Efforts
Instructions to Depository Libraries, Chapter 8
Federal Depository Library Manual Supplement, Section 7
Federal Depository Library Manual Supplement 2, Section 9

8.	Regional Services
Title 44 U.S.C. Sections 1911-1912
Instructions to Depository Libraries, Chapter 9
Federal Depository Library Manual Supplement 2, Section 10
Administrative Notes, v. 20, #9, May 15, 1999, pp. 2-6

Federal Depository Library Manual - Supplement 3

Federal Depository Library Manual - Supplement 3

28
Revised 1999

29
Revised 1999