Collection Development Policy
Collection Development Policy and Management for Federal Documents
University of Arizona Library
Atifa Rawan
Government Documents Librarian
Revised August 2005
Table of Contents:
Mission Statement
General Background
Collection Management
Collection Development Activities
Bibliographic Control
Access
Depository Selection Tools and Policies
Appendix A
Mission Statement
The University of Arizona Library is dedicated to meeting the diverse information, curricular and research needs of students, faculty, staff and other customers. In an environment of free and open inquiry and with a commitment to excellence, the Library participates in the scholarly communication process to promote lifelong learning skills and continuous educational achievement.
The University of Arizona Library collection development policy stresses electronic access to information resources that support the curriculum, research, and service needs of the faculty, students, and university community (our primary users), as well as those of Arizona residents and others.
The Federal Depository Library Program (FDLP) was established by Congress to ensure that the American public has access to its Government’s information (Title 44, United States Code, Chapter 19). For more than 140 years, depository libraries have supported the public's right to Government information by collecting, organizing, and preserving it, and by providing assistance to users.
The collection supports the curriculum and research in all areas, from the undergraduate level to the doctoral level.
The Federal Depository Program provides access and service to the community and public as required by law (44 U.S. Code). The University of Arizona Library is a selective Federal Depository Library. The primary users of the Federal Depository are the residents of the 7th and 8th Congressional Districts, and the students, faculty and staff of the University of Arizona. Other depository libraries in the area are; the Tucson/Pima Public Library and The University of Arizona Law Library.
The collection is maintained in accordance with the guidelines and requirements as set forth in the "Instructions to Depository Libraries" (most recent revision July 2000).
General Background
The University of Arizona Library has participated in the Federal Depository Library Program, administered by the US Government Printing Office (GPO), since 1907. Between 1963 and 1987 it operated as a Regional Depository Library, acquiring and retaining virtually all publications made available for distribution by the GPO.
Space constraints forced the Library to drop regional status in the summer of 1987. At that time the Library reduced its depository selections to 91% of the item number categories distributed by GPO, and began to weed outdated materials. After the Library's reorganization in 1993, the former Government Documents Department emerged as a work team within the Library's Technical Services and Archival Processing Team (TSAP). The work team's first major strategic project was to conduct a zero-base review of the Library’s depository item selections. This review was completed in November of 1995 and resulted in an item selection ratio of approximately 43%.
The following types of materials were targeted for de-selection: ephemeral publications such as newsletters, fact sheet, briefs, etc.; transmittal publications; serial titles of which no issues had been received during the past five years; serial publications which had an erratic distribution history, including random receipt between paper and microfiche format; and monographic series in which the majority of publications distributed were considered of little or no lasting research value. Many otherwise useful serial titles were dropped because they had been converted to microfiche format for library distribution. In these cases (most of which emanated from the National Climatic Data Center, the Energy Information Administration, the Bureau of Mines, and the Bureau of Labor Statistics), TSAP/Docs now receives non-depository copies directly from the issuing agency.
Great care was taken during the review not to reduce acquisitions in historically strong areas of the federal depository collection. Item numbers comprising congressional and statistical publications, for instance, were left intact. Agencies incurring extensive de-selection included those within the Departments of Defense, Health and Human Services, and Transportation.
In the 1998-1999 selection cycle, we increased our selection slightly. For example, we have re-examined agencies such as Defense, Health Services, and Transportation and have added some items back into our profile to support our customers' needs. Government documents technical services processing is part of Serials Receiving and Processing within Technical Services Team.
In September 2003, we agreed to become a pilot virtual depository library for GPO and our selection profile increased to 59%. Majority of the increased items in the profile were in e-format.
Collection Management
The Library's Depository Collection is maintained in accordance with the guidelines set out in the Instructions to Depository Libraries. All tangible documents are clearly marked with the depository property stamp, shipping list date, and the SuDoc number. Superseded documents are withdrawn. Other documents may be reviewed for retention after five years. Collection review is an ongoing process.
Since 1987, and especially after the reorganization, the UAL’s Federal Depository Collection has been subject to the types of development practices routinely conducted in other areas of the Library. During the time the Library functioned as a regional depository, virtually no materials were weeded, item numbers could not be deselected and newly established item numbers were automatically added to the Library's list of selections.
Following relinquishment of regional status in 1987, the head document librarian's discretion was relied upon almost exclusively for decisions regarding weeding, de-selection, and adding new item numbers. Expertise beyond the Government Documents Department was rarely sought, except with regard to sheet map acquisitions. Prior to reorganization, however, responsibility for acquiring non-depository as well as depository publications fell to the three librarians with the Government Documents Department, and substantial resources were devoted to maintaining comprehensive commercial microfiche sets of congressional and statistical publications to complement the Library’s depository collections in these areas.
Subsequent to reorganization, responsibility for acquiring depository federal documents has been delegated among the Information Resource Managers. After the zero-base review of item selections was completed in 1996, responsibility for acquiring depository as well as non-depository materials was delegated to Information Resource Managers. Just as each Information Resource Manager is responsible for collection development in specific portions of the Library of Congress classification schedule, so will individual Information Resource Managers be responsible for collection development in certain parts of the Superintendent of Documents (SuDoc) classification schedule.
Recommended assignments of SuDoc classes to the various integrated services teams are listed in appendix A to the report.
Collection Development Activities
1. Collection Scope and Selection Standards
Subject strengths include Congressional and Executive historical materials, economics, agriculture, energy, health, water, American Indians, international relations, labor, military history, and social issues. Documents are selected at a comprehensive level from the following US Federal Government agencies: Agriculture Department; Commerce Department, particularly the Census Bureau; Department of Education; Interior Department, particularly the United States Geological Survey; Health and Human Services; and the Justice Department. The Libraries current selection ratio is 59.09% through the Federal Depository Library Program. Electronic versions of documents, especially web-based, are strongly preferred. The percentage of selected documents may change annually due to decisions to add or deselect categories based on the following factors.
- Availability of online resources
- The changing nature of the university's academic mission and programs
- Historical research purposes
- Availability of information in other sources and formats
- Geographic area covered by the material
- User interest
The Federal Collection is a "research level" collection. That is, it includes supplementary material beyond depository items. The collection should be comprehensive particularly in areas supporting the curriculum and research of University of Arizona University.
2. Selection Responsibility
The Librarian assigned for the GPO liaison activities is a member of the Social Sciences Team, responsible for Political Science, Public Administration and Public Policy, and Law and has many years of documents experience. Social Sciences Team is one of the Integrative Services Team in the Library. Integrative Services Teams include Science and Engineering Team, Fine Arts/Humanities Team, Undergraduate Services Team, Research Archives, Museums and Special Collections Team, and Social Sciences Team. The Integrative Services Teams work closely on issues such as collection development and services.
Profile selection requires input from all Information Resource Managers in the Library Information Resource Managers from the Integrative Services Teams, in consultation with the Social Sciences/Government. Documents Librarian, are responsible for the selection of all government information resources. Purchases of non-depository government publications are made by other subject librarians with input from faculty and students in order to meet the needs of the University of Arizona community. Worn, lost, duplicate, or stolen depository materials are evaluated for replacement according to the Library's collection policy. The Library maintains a deposit account with the Government Printing Office Bookstore to supplement the depository collection and to replace lost or damaged materials.
Each year item number selections are reviewed. While a zero-based item number review is recommended each year, or every 2-3 years by the GPO,this is very difficult in a large selective depository. Instead, we focus on selected agencies or formats for yearly review. Information Resource Managers from the Integrative Services Teams, in consultation with the GPO Liaison Librarian, are responsible for the selection of all government information resources. Individual items will be purchased, and item numbers added during GPO's Annual Selection Cycle. The GPO Liaison Librarian will coordinate this effort.
Collection development activities germane to Federal Depository Documents include:
- Determining which tangible titles including CD/DVD titles need to be maintained in the collection
- Identification of item numbers for addition to or deletion from the Library's item selection list
- Determining which publications, including CD/DVD titles, are appropriately housed in non-circulating locations (e.g. reference and special collection);
- Determining retention policies for reference materials
- Determining when to weed outdated materials
- Determining what non-depository titles should be acquired to supplement the depository collection.
3. Formats Selected
All government publications are selected in the most appropriate available format, taking into consideration content, user needs, and library facilities.
The Library's preference is to select resources in e-format and to develop a virtual Federal depository library collection. The Library is a strong supporter of Federal virtual depository program and its policy supports virtual depository program for Federal publications.
The Library collection policy is to select resources only in one format. As a virtual Federal depository library, we will continuously modify our item selection profile to replace tangible format resources with e-fomat, with the exception of maps, tangible electronic products that contain large data sets, and highly used resources. Currently, the Library selects only 3 titles in dual formats and these titles are: Statistical Abstract of the United States, Digest of Education Statistics, and Economic and Agriculture Census.
The library participates in the Documents Expediting Project of the Library of Congress through which it can obtain many tangible government publications unavailable through the depository program. Information Resource Managers need to contact government agencies directly to receive materials not available from the GPO.
Our Technical Services and Archival Processing Team maintain deposit accounts with the GPO and the National Technical Information System (NTIS) for purchase of government materials, which may not be otherwise available.
The Library also supplements the depository collection with mostly online commercial services such as indexes, bibliographies, and full-text products. Some services are, by contract, available only to the University community, others are available to all users. A list of these resources is available on Sabio, the Library information gateway, under "show all databases."
4. De-Selection/Weeding
Publications which no longer fit the selection standards and policy are withdrawn from the collection by Information Resource Managers as permitted by the US Government Printing Office's "Instructions to Depository Libraries."
Those titles that are no longer needed and meet the 5-year GPO retention rule are offered first to the regional depository, the Arizona State Library, and then to depository libraries throughout the United States, either through postings to GOVDOC-L or through submission to the national "Needs and Offers List." Unneeded titles not claimed by another depository library are discarded with the permission of the regional depository.
Specific materials to be weeded include:
- Duplicate tangible resources, with the exception of exempt titles
- Preliminary reports (if final report has been received)
- Incomplete series or volumes and documents that have been revised
- Superseded publications - see GPO Guidelines for Superseded Materials (http://www.access.gpo.gov/su_docs/fdlp/coll-dev/supersede.html)
- Individual serials titles if the Library does not have a complete run
Documents which will be exempt from weeding include:
- Any material containing information on Arizona or the Southwest region
- Any information containing information on American Indians or U.S.-Mexico borderlands
- Significant publications that support graduate degree programs at the University of Arizona, particularly items that have actively circulated or are related to areas of focused excellence.
5. Gifts
Generally the Library does not accept gifts.
Please see the UA Library Gift Policy for full information:
http://intranet.library.arizona.edu/archives/teams/irdp/giftpolicy.htm
6. Preservation
In order to preserve the collection, the Library staff selectively binds currently received printed materials. The Library policy is to collect in one format and electronic is preferred. The Library staff makes every effort to replace badly damaged or deteriorating materials with online available products.
Bibliographic Control and Access
Technical Services and Archival Processing/Docs staff mainstream bibliographic access to federal documents by providing MARC/AACR2-formatted record on SABIO.
The Library purchases bibliographic records from Marcive, Inc. The automated Shipping List Service (SLS) is loaded weekly and permanent records are loaded on a monthly cycle into SABIO. On April 2, 1995, 6, 672 MARC records for federal document serial titles purchased from Marcive, Inc. were loaded. To date, nearly all post-1976 publications have been edited and merged with existing holdings records, or deleted and replaced with more accurate records on our on-line catalog (SABIO) along with other materials purchased by the Library. Thus, all depository materials are represented in SABIO and available for circulation (if appropriate) shortly after arriving in the Library.
Access
1. Public Access Policies
The primary circulating collection, reference materials, microfiche, CD-ROM’s, current periodicals, maps and as well as rare materials are available to the Library users during the hours the Library building is open. Most circulating materials are located on the 3rd floor of the Main Library. There is no restriction for public using this collection.
There are four public computer stations with access to Internet, government documents page, and other links and other software designated as priority for use of government documents resources. Depository maps are classed into LC and housed in the map area (compact shelving). Reference is provided from the main reference services areas of the Library. Phone and Internet questions are accepted, although complex reference requests will require that users come to the library. Most federal documents circulate to registered borrowers and are lent via interlibrary loan.
2. Internet Access
The Library depends increasingly on Internet access to government information. US government agencies are in the forefront of publishing in electronic formats, including documents available on the Internet. Now that documents are increasingly posted on the Internet and federal agencies rely even less upon GPO for procurement and distribution, and not at all for bibliographic control, so we attempt to provide online and remote access via the Library's information gateway.
In addition, we also select depository items based on a combination of anticipated usage, format, ease of access, and timeliness. One concern for not selecting an item that is available in paper as well as on the Internet is that if the item is not selected, then it is not represented in our online catalog. On the other hand, if an online version is available at the time GPO catalogs a document; our catalog record will include a link to the Internet version in the online catalog.
Federal Depository Selection Tools and Policies
On a number of resources for selecting and evaluating depository materials. These include:
Item Lister: List of Classes of US Government Publications Available for Selection by Depository Libraries
Catalog of United States Government Publications - (MOCAT)
US Government Online Bookstore
GPO Subject Bibliographies
Administrative Notes Technical Supplement
New and Noteworthy Resources from GPO
New Products and Services Announcements from GPO
Recommendations from users and librarians
Policies That Should Be Known To All Information Resource Managers Are:
Library Access Policy
Library Binding Policy
Library's Replacement Policy
FDLP Internet Use Policy Guidelines
Public Service Guidelines for Government Information in Electronic Formats
Sources:
Appendix C, in Federal Depository Library Manual (1993), at 173, 173-174, last updated June 19, 1998
Federal Depository Library Manual Supplement (1994). Also available on Internet (visited May 13, 1999)
Also available on Internet (visited June 10, 1999)
Updated July 2000.
Appendix A, in Federal Depository Library Manual (1993), at 123, 123-156, last updated May 19, 1997,
APPENDIX A:
Recommended Assignments of Responsibility for Acquiring Federal Documents to Integrative Services Teams
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Publications issued by these agencies can be on virtually any subject. Collection development decisions regarding LC- and Y 3-classed documents will be assigned to the appropriate Information Resource Manager, whichever integrative services team he/she is on.
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