PJjri U.S. GOVERNMENT PRINTING OFFICE

FEDERAL DEPOSITORY LIBRARY^ PROGRAM

FEDERAL DEPOSITORY

LIBRARY MANUAL SUPPLEMENT

Collection Development Guidelines for

Selective Federal Depository Libraries

September 1994
U.S. Government Printing Office

Michael F. DiMario, Public Printer

Superintendent of Documents

Wayne P. Kelley

Library Programs Service

James D. Young, Director

Depository Services Staff

Sheila M. McGarr, Chief
Federal Depository

Library Manual

SUPPLEMENT

Collection Development Guidelines

For Selective Federal Depository Libraries

Prepared for the Library Programs Service

U.S. Government Printing Office

by Lisa A. Rosenblatt

September 1994

Library Programs Service

Superintendent of Documents

U.S. Government Printing Office

Washington, DC 20401
i0
Table of Contents

Preface iii

1 . Introduction 1 2. Mission Statement 2

3 . Selection Responsibility 3

4. Subject Areas & Collection Arrangement 4

5. Formats 6

6. Selection Tools, Non-Depository Items,

Retrospective Sources 7

7. Resource Sharing 8

8. Collection Evaluation 10

9. Weeding & Maintenance 11

10. Access 12

ii
Federal Depository Library Manual - Supplement

Preface

This Supplement to the Federal Depository

Library Manual originated as a paper written for

a practicum in partial fulfillment of the

requirements for an MLS degree at the Catholic

University of America in Washington, DC. Lisa

Rosenblatt, a graduate student in the School of

Library and Information Science, took the

practicum at the U.S. Government Printing

Office (GPO) in Washington from May 16

through June 6, 1994.

Dr. Jean L. Freer and Ms. Joan Cheverie, both

from Catholic University, served as the

practicum advisor and instructor, respectively.

Michael A. Clark, Program Analyst, and Sheila

M. McGarr, Chief, Depository Services, served

as joint practicum supervisors at the GPO

Library Programs Service.

The purpose of the practicum was to draft a model collection development policy for Federal

depository libraries. All participants agreed that the project would be of use to the GPO Library

Programs Service, the Federal Depository

Library Program generally and the depository

community specifically, because a model

collection development document had been in demand by depository librarians for many years.
Federal Depository Library Manual - Supplement

Collection Development Guidelines for

Selective Federal Depository Libraries

1. Introduction

Collection development policies are important to Federal depository libraries for defining their user community, selecting materials pertinent to the needs of their users, and codifying

procedures for maintaining the collection. It is crucial that a formalized policy exist to illuminate why certain item numbers are included or excluded from the depository

collection. In addition to defining collection

parameters, a collection development policy

should incorporate the Guidelines for the

Depository Library System and demonstrate the

library's adherence to those requirements.

Because collection development policies may be

formulated in consultation with a group or committee, there exists an important opportunity

for the government documents division to educate other staff (professional and technical)

as to the merits and challenges of collecting and

maintaining a Federal depository collection.

Wirming the support of other professional staff allows the government documents librarian to work more effectively towards the depository's

goal of providing free access to government

information for the institution, wider

community, and congressional district it is designated to serve.

Aiyiottgh-€h^ters4n-.both-the^derat

Pepository JLibraryJ^anual and Instructions

'to Deposito^Jjbraeies-^ddress:poiiitst^e '

_;egvered~n'<a_collection development policyJ they--

'^de-«©tiprovide a clear structure for formulating

requirements of the Federal Depository Library

Program. Therefore, depository librarians can

consult a sample or template structure when

formulating their own policies. Templates, lists, and examples from actual policies are provided

to clarify and illustrate suggested guidelines.

The examples from actual policies were chosen

based on their pertinence to the areas they

illustrate and should be viewed in relation to the

library's unique mission. The following nine

areas will be covered:

Mission Statement;

Selection Responsibility;

Subject Areas & Collection Arrangement;

Formats;

Selection Tools;

Non-Depository Items; Retrospective Sources;

Resource Sharing;

Collection Evaluation;

Weeding & Maintenance; and

Access.

stteh-a policy. This outline combines the basic

elements of collection development with the

1
Supplement - Federal Depository Library Manual

2. Mission Statement

A mission statement should codify the Federal

depository library's commitment to provide free and unimpeded public access to Government

information for both the primary user groups of

the parent institution and the wider constituency

of the congressional district(s) or geographical

area it serves. In order to effectively fulfill this responsibility, a mission statement should

include an analysis of the patron community,

including both active and potential users. A

thorough community analysis should include the

following four areas:

1) a brief history of the service area,

;

, including the number of the

. Congressional district and the date the

library was designated a Federal

depository;

I 2) demographic statistics including age,

sex, income, health, employment, and

marital stams;

3) an economic profile including a description of area industries and

.7" business opportunities; and

4) a description of the geographic area

including physical growth,

transportation patterns, and population

distribution.

Documents librarians can define and prioritize

the information needs of their communities using

this data.

In addition to these basic components of a mission statement, libraries which are part of a

larger institution, such as academic and law

libraries, should also clearly define how the

Federal depository supports the mission and

primary user group of the parent institution. Finally, this analysis should conclude with a statement defining the subject areas of the

depository collection. This general statement

will be more clearly defined in the Subject

Areas & Collection Arrangement section of the

policy.

Sample Paragraph

The (department

of (library) located in the U.S.

Congressional District was designated a Federal depository on

(date) . The primary mission of the unit is to support the

general collecting activities of the main library which serves

[definition of users] . [description of institutional mission] In

accordance with the requirements defined in the Instructions to

Depository Libraries, Guidelines for the Depository Library

System, and the Federal Depository Library Manual, this unit also

strives to serve the government information needs of the

constituents of the U.S. Congressional District. This

community... [community analysis] The unit will collect

government documents to support the following subject areas: ...
Federal Depository Library Manual - Supplement

3. Selection Responsibility

A statement defining who is responsible for item

selection and collection development is necessary

for consistent development of the government

documents collection. Such a statement can also

guard against any confusion regarding who is responsible for making final decisions.

Therefore, this section should indicate:

1) primary responsibility with regard to item selection and collection

development;

2) committees, library staff, patrons or

faculty who assist in the decision making

process; and

Library management should be made aware that because of special considerations regarding

government information and the complex

regulations governing the Federal Depository

Library Program, the professional librarian

responsible for maintaining the collection should

have substantial responsibility in item selection.

This librarian can provide valuable insight into

government information policy issues, format

considerations, space availability and user needs

when advising others who have input in the

selection process. Because of this individual's

unique knowledge, it is strongly advised that

final selection decisions remain with the

professional librarian responsible for maintaining

the government documents collection.

3) a procedure for review of survey items

and annual update of the selection

profile.

Sample: Tampa-Hillsborough County Public Library; Tampa, FL - Selection Responsibility ^^^e-^X^cc^^^-'^'^p

Statement

"Selection of government documents and supporting materials is

made by the Government Documents Librarian along with the

Special Collections Site Coordinator, Special Collections

professional staff, and the CRC Section manager. This staff

meets in regular round table discussions to evaluate and

select new items offered through GPO surveys as well as to

annually review and re-evaluate items currently selected.

Staff also identifies for purchase commercially published

sources to support the collection." .

3
Supplement - Federal Depository Library Manual

4. Subject Areas & Collection Arrangement

Based on the mission statement and general

subject areas defined earlier, the library needs to identify, in some detail, which government

agencies and types of documents support the

information needs of the community. In order

to guide selectors and develop a balanced

collection, priorities should be set regarding the

collection intensity level of each subject. One

approach to establishing subject priorities is to:

1) list subject areas;

2) list agencies that support these areas including the SuDoc, class stem;

3) define existing collection level in each

subject;

4) define desired collection level in each

subject; and

be listed behind the agency designation. In order to define current collection levels, the

collection should be compared with standard lists and bibliographies, examples of which include

the List of Classes, "Suggested Core

Collection" in Appendix A of the Federal

Depository Library Manual, and GPO Subject

Bibliographies. Based on the community

profile and changing needs, indicate at what

level material should be collected. Finally,

there should be some indication of the types of

publications collected for the specific subject

area. Examples of publication 'types' include

Directories, Maps, Posters etc. A complete

listing appears in the Federal Depositacy

Library Manual, Chapter 5, pp.(59^07^

For the sample below. Collection Intensity

Levels will be used as defined by the Research

Libraries Group (RLG) Conspectus which

utilizes six different levels defined by numeric

codes:

5) define types of publications collected.

The subject areas will be derived from the

information needs of the community and should

be easily identifiable based on the community

analysis. Because several agencies might

produce documents pertinent to the library's

subject area, the librarian should consult the List

of Classes of United States Government

Publications Available for Selection by

Depository Libraries and the United States Government Manual in order to be familiar

with the variety of information produced by

government agencies. The Superintendent of

Documents (SuDocs) classification should also

0 (out of scope, not collected);

1 (minimal);

2 (basic information);

3 (instructional support);

4 (research); and

5 (comprehensive).

Depository libraries might also consider using

the Library of Congress approach which is only

four levels: minimal, reference, research, and

comprehensive. It is assumed that libraries collecting at the research and/or comprehensive

level will develop their collection

retrospectively.

Sample:

Subject Agencies Existing

Coll. Intensity

Desired Coll. intensityPub. Type

Gerontology Social Security

Administration (HE 3.) National Institute on

Aging (HE 20.3850)

1 2 Handbooks, Manuals,

Guides, Reports, &

Stat. Pubs.
Federal Depository Library Manual - Supplement

Based on this analysis, selectors will be able to choose appropriate item numbers more

efficiently to enhance the collection profile.

Because the SuDocs number will be identified in the collection profile, selectors can easily consult

the List of Classes to choose item numbers.

Each depository library is encouraged to include

most, if not all, item numbers listed in the

"Basic Collection" in Appendix C in the Federal

Depository Library Manual. Generally,

academic, public, and law libraries should

examine the "Suggested Core Collection" in the

Federal Depository Library Manual to determine appropriate item numbers for

selection. While this is only a starting point, the

library should then expand the core collection

based on its institutional mission. Once the

selection profile is defined and appropriate item

numbers are selected, the librarian should

compare this data with the Selection Data for

Selective Depository Libraries found in Administrative Notes. If the percentage of item

numbers selected is less than half of the national

average, or unusually high or low in comparison

with their peer group, explanations for these

special situations should be clearly stated.

Collection arrangement should be addressed in terms of whether Superintendent of Documents,

Library of Congress, Dewey Decimal or a combination of classification systems is used.

Also, the policy should address whether

government documents are integrated or separate

from the main collection and if specific

documents are located in special or reference

collections. Some explanation should be given

as to how these special arrangements will be

communicated to users (for example, if special

location information is indicated in the Online

Public Access Catalog or through dummy

books). If there are selective housing

agreements, list the name of the institution, the

duration of the agreement and a brief statement on the library's general collecting scope. More

detailed policies and procedures related to selective housing are described in the

"Agreement for Selective Housing of U.S.

Depository Documents" found in Chapter 2 of

the Federal Depository Library Manual,^^717))

5
Supplement - Federal Depository Library Manual

5. . Formats

Government documents in the Federal

Depository Library Program are available in a

variety of formats other than paper, including

microform^nd electronic products. Because of

the variety of considerations regarding the

inclusion or non-inclusion of these formats, a policy outlining the library's decision making

processes is necessary. While the primary

consideration regarding the selection of an item

should always be whether the information falls within the library's subject scope, the selector

will also need to consider the following when

deciding on format:

1) frequency of use;

2) space/storage capacity and frequency of

publication;

3) cost of providing access;

4) resource sharing capabilities; and

5) library's prior holdings.

While paper is often the format of choice for

frequently consulted materials, closer

examination of user needs and availability of

library resources may reveal that an electronic or microform product would be preferred.

Certainly, the inclusion of electronic products in the Federal Depository Library Program raises

many issues, especially since more information

is available only electronically. Government

documents librarians will need to carefully

monitor the types of electronic products

available in order to formulate policies and

procedures to implement their use.

Guidelines for Format Consideration

Microforms:

Availability of microform readers and

reader/printers; patron resistance to using

this format; .'processing time; necessary

storage facilities and collection maintenance

(see Federal Depository Library Manual,

(p^^l^) possibility that the document is produced only in microfiche.

Electronic Products:

Hardware and software support; level of

staff and patron expertise; cost; and

frequency of data updating. If the

electronic product falls within the collecting

scope of the library, but the library cannot

technically support the product, are there

other methods for providing access? Will

the items be circulated? Can off-site access be provided?

Sample: Wayne Public Library; Wayne, NJ - Statement on Format

"Paper copy should be preferred since it is most easily

handled by the general public. Because of space requirements

and also because the government seems to be preferring

microfiche and electronic products more and more due to

economic constraints, the Library will be able to choose fewer

items in paper in the future. It is the Documents Librarian's

responsibility to determine what format is most appropriate

when a choice is available. The Library currently has two CDROM units available, one at the Reference Desk and one in the

Documents Office. The Library should attempt to accommodate

new formats which may be developed in the future."

6
Federal Depository Library Manual - Supplement

6. Selection Tools, Non-Depository Items,

Retrospective Sources

In order to guide new selectors and insure

consistency in the selection process, major tools used when selecting should be indicated.

Selection tools should reflect the major subject areas of the collection and include major

commercial indexes, sources for retrospective

collection development, and methodologies for

procuring non-depository items. If a depository

library collects heavily in the area of

gerontology, it would be appropriate to identify

subject bibliographies pertinent to that area which would supplement the basic selection tools for depository libraries. The following lists are suggestions of tools that could be consulted in the selection process. Several of these

publications can be used to find reviews of

government publications.

Depository Items:

Item Cards

List of Classes of U.S. Govermnent

Publications Available for Selection by

Depository Libraries

Union List of Item Selections

Federal Depository Library Manual,

Appendix A, "Suggested Core Collection

Annotated for Small to Medium Public and

Academic Libraries and for all Law

Libraries."

Federal Depository Library Manual,

Appendix B, "Maps Available for Selection."

Federal Depository Library Manual,

Appendix C, "Basic Collection."

Monthly Catalog of United States Govermnent Publications

Publications Reference File

GPO Subject Bibliographies

Non-Depository Items:

Documents to the People (DttP): reviews

and features new publications

Journal of Government Information

Government Reports Announcements and

Index (NTIS)

Library of Congress's Documents

Expediting Project: Also useful for

retrospective collecting

Identifying and directly contacting

government agencies for documents not in

the Federal Depository Library Program.

Microform Review

Retrospective Sources:

Even though the closest regional depository may

hold complete sets of selected series, reports,

journals etc., there may be a local need for

retrospective collecting. If this is appropriate,

identify areas of the collection that need to be

developed, methodologies, and selection sources

consulted. In addition to the Documents

Expediting Project, the following sources could

be used to identify and acquire out-of-print

documents: offers lists from other depository

libraries; gift and exchange programs; and older

versions of the Monthly Catalog such as Benjamin Perley Poore's Descriptive Catalogue

of the Government Publications of the United

States, September 5, 1774-March 4, 1881. (For

a complete listing of indexes preceding the

Monthly Catalog, see Joe Morehead's

Introduction to United States Government

Information Sources/^Si'e^T^hapter 4.)

7
Supplement - Federal Depository Library Manual

7. Resource Sharing

After establishing collection priorities based on a user profile, it may become apparent that information needs exist that the library is not

able to directly satisfy. While collection

development policies should establish collecting

priorities, this policy also needs to address

methods for obtaining government information

not available in the local library. Resource

sharing, which is usually interpreted as sharing

of library collections, can also be defined as sharing staff, bibliographic records, facilities,

and equipment. In other words, any methods

employed by the depository to increase access to government information not readily available in that library should be described. With this in mind, selective depository libraries should

address resource sharing efforts based on the

following three areas:

1) participation of the depository library in established resource sharing policies of

Avi the parent library;

2) relationship with a regional depository;

and

3) resource sharing with local area ry;'. ?bi. selective depositories.

If the depository benefits from participating in . resource sharing efforts already in place for the ; entire library, list what these efforts are and how

they incorporate the government documents

collection. This could include interlibrary loan

practices, document delivery, membership in a consortium of libraries, cooperative cataloging, or cooperative collection development. Because

of the regional library's responsibility to provide

support and coordinate activities for the area

selectives, it is important to delineate what these

arrangements are and how they affect your

library. In addition to depending on the regional

library for wider access to government

documents, the regional library may provide

technical support, assist in solving routine

questions and serve as a liaison to the

Superintendent of Documents. If the regional is geographically inaccessible and unable to provide extensive support, this should be

mentioned in the policy.

Selective depositories should coordinate resource

sharing activities in addition to establishing a

relationship with the regional depository.

Shared activities could include cooperative

collection development or developing basic

knowledge of each other's collection strengths

and weaknesses by sharing item selection

profiles. This could be accomplished through ; formal arrangements such as meetings, planned

library visits, or joint policy statements. However, informal methods of communication

via telephone, e-mail, or listservs like GOVDOC-L, LAW-LIB, and MAPS-L are

equally important and should be described. If cooperative collection development exists

between depositories, the libraries should

indicate in the resource sharing policy statement

for what areas of information they depend on

outside resources. An excellent example of a resource sharing plan that illustrates provisions

for the sharing of resources, services and

responsibilities of depository libraries is the

"Illinois State Plan for ILLINET Federal

Document Depositories 1991" in Illinois Libraries, v. 75, no. 4, May 1993.

Sample: Chutick Law Library, Cardozo School of Law; New York, NY - Resource Sharing

Statement

"Selections and deselections are made with some knowledge, of

the scope of the other depository collection at Yeshiva

University and of the holdings of the other depository

libraries in the 8th Congressional District. Cardozo

exchanges item selection lists with the Pollack Library, the

other depository collection at Yeshiva University (see copy of

8
Federal Depository Library Manual - Supplement

Pollack's item list that follows) . By participation in METROGODIG, the public services librarian for government documents

learns about other local depository collections and is able to

make more informed decisions regarding resource sharing

commitments. Information is shared also through other types

of informal professional contact. Cardozo public services

librarians make referrals for on-site use of these other

libraries by using the Union List of Item Selections, OCLC and

telephone contacts . Cardozo both loans and borrows depository

materials through interlibrary loan.

Cardozo participates in the Law Library Association of Greater

New York and OCLC union list projects. All depository

materials cataloged into the Library of Congress collection

appear in these union lists. As the Bibliographic utility

used by Cardozo, OCLC contains holding symbols for all

depository materials cataloged into the Library of Congress

collection.

The law library participates in resource sharing agreements

coordinated by METRO and by the Conference of Law School

Library Directors of Greater New York. Under these

agreements, the library can obtain day access for on-site use

of non-depository collections in many types of area

libraries .

9
Supplement - Federal Depository Library Manual

8. Collection Evaluation

An integral part of collection development is evaluating the collection to determine if goals

and priorities set by collection managers are, in

fact, meeting user needs. There are several

methods or combinations of methods documents

librarians can employ to evaluate the collection

and it is necessary that this methodology be

explicated in a policy statement. The statement

will demonstrate that collection development

decisions are based on pre-determined methods

of evaluation, as opposed to sporadic or

reactionary decision making. Below are several

methods to consider when devising a plan for

collection evaluation. Library literature stresses

that no one method is reliable, rather

implementing several methods and comparing

the data will result in a truer picture of

collection strengths and weaknesses.

Methods of Evaluation

Statistical Analysis:

Certainly, when bibliographic records and

local library holdings for government

documents are available online through an OPAC or other database, there exists a wider range of possibilities for gathering

needed statistics. Statistics should be

analyzed in relation to the collection and

community profile. They include

evaluating interlibrary loan requests

submitted by patrons and those filled by the

documents unit, determining how often

documents circulate or are used in the

library by noting the frequency that particular items are reshelved, and noting

the number of reference questions answered

successfully using the documents collection.

Patron Satisfaction:

Designing questionnaires, surveys or

interviews directed to the user community

in order to direcdy assess the unpact of the

documents collection.

Zero-Based Collection Review:

A zero-based collection review should be

implemented at the time of the annual item

selection update cycle. A zero-based

review, which means evaluating item

numbers on a one-by-one basis, should

result in adding or deselecting items from

the selection profile. This review is most

effective when compared with already

determined collection goals.

Evaluation of Standard Bibliographies

and Lists:

Comparing the government documents

collection to standard lists, such as subject

bibliographies, the core collections as defined in the Federal Depository Library

Manual, or lists used as selection tools, is useful in determining if standard items are included in the collection.

10
Federal Depository Library Manual - Supplement

9. Weeding and Maintenance

Establishing a procedure for weeding items that are not used or are in poor condition assures that the collection is maintained to fulfill the

information needs of the service community.

The Instructions to Depository Libraries states on^dage l^hat "Depository libraries may

discafdttlese materials only in the manner

described by these Instructions or at the direction of a GPO official." In addition to the

procedures described in the Instructions to Depository Libraries, the policy should state the library's methods for discarding material that no longer fits the collection scope. The criteria used might include:

1) physical condition;

2) currency of information;

3) age;

4) use;

5) duplication;

6) replacement by another format; or

7) superseded editions listed in the

Superseded List.

The library should describe whether weeding the

collection is an ongoing process or done at specified times according to guidelines issued by

the Regional depository. The policy should

indicate procedures for distributing offers lists to the Regional depository and if lists are circulated

to other selective depositories or the national

"Needs and Offers List."

In addition to procedures for weeding, the policy

should describe other methods of collection

maintenance. This includes procedures for

replacing lost or stolen items and procedures for

binding and repairing documents.

Sample: Ward Edwards Library, Central Missouri State University; Warrensburg, MO - Statement on Collection Maintenance

"The collection will be maintained in accordance with the

guidelines set out in the Instructions to Depository

Libraries. An accurate shelf list of all depository

publications will be maintained to the piece level. All

documents will be clearly marked with the depository property

stamp, shipping list date, and the SUDOC number.

Superseded documents will be withdrawn. Other documents may

be reviewed for retention after five years. Those titles no

longer needed will be offered to other libraries and/or

discarded with the permission of the regional depository.

Hearings, for example, are regularly reviewed; those of

lasting value are retained indefinitely.

Worn documents will be evaluated for replacement or

withdrawal. A deposit account will be maintained with the

Government Printing Office to supplement the depository

collection and to replace lost or damaged materials.

Preservation activities include placing materials identified

as acidic in phase boxes to prevent further deterioration and

damage to surrounding materials.

Item selection will be reviewed annually, independently and in

cooperation with the Kansas City Metropolitan Library Network.

New survey selections will be made with the input of all

library faculty.

11
Supplement - Federal Depository Library Manual

10. Access

While it should be clearly defined in the mission

statement that the main function of Federal

depository libraries is to provide free and

unimpeded access to government information to the general public, the policy should also

describe methods for establishing and promoting

access in the library. The policy should address

the following issues:

1) whether holdings information for the

documents collection is separate or

integrated into the main catalog;

2) hours that a professional librarian

knowledgeable in government

documents is available to provide

,., competent reference service;

3) major commercial indexes held by the

library that include government

documents;

4) inclusion of government documents in library pathfinders; and

5) promotional techniques to attract users, including flyers describing the

collection and services, community

outreach, or bibliographic instruction.

For other promotional ideas, see Chapter 7, entitled "Depository

Promotion," in the Federal Depository

Library Manual.

Sample: Trexler Library, Muhlenberg College; Allentown, PA - Access to Collection

"All Government Publications are accessible for public use in

the library. Paper publications are on Level A and generally

may circulate to patrons with a Library Card. Microfiche

publications are filed in the MicroMedia Room on Level A.

Most publications (except periodicals, indexes & abstracts,

electronic format, and select reference material) are arranged

by Superintendent of Documents Classification System (SuDoc)

and are not listed in the library's online system. There is a

shelflist of publications owned in the alcove next to the

Information Services Desk on Level A. These indexes identify

government publications and provide access to information:

Monthly Catalog of United States Government Publications

(paper and electronic format) , Congressional Information

Services (CIS) , American Statistics Index (ASI) , Public

Affairs Information Service (PAIS) and Publications Reference

File (PRF) . Assistance in using these indexes and locating

publications is available at the Information Services Desk."

12

(

r