Guidelines for the Disposal of Federal Depository Publications in Missouri

I. Authority

Title 44, United States Code , Section 1912 authorizes regional depository libraries to permit the selective depository libraries under their jurisdiction to dispose of federal depository publications "which they have retained for five years after first offering them to other depository libraries in their area, then to other libraries."

The following guidelines are intended to facilitate the disposal of these unwanted depository publications by the selective depository libraries in Missouri. They are issued as required by Chapter Nine, Section C of the Instructions to Depository Libraries (GP 3.26:D44/2000).

The guidelines for the substitution of depository publications are based on Chapter Four, Section J of the Instructions to Depository Libraries and on the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications (Administrative Notes 20:09, May 15, 1999).

The regional library has no jurisdiction over Federal agency depository libraries; however, agency depositories are encouraged to use the MO Government Documents Exchange List Service to notify Missouri libraries of government publications targeted for disposal.

These guidelines supercede the Guidelines for the Disposal of Federal Depository Publications in Missouri(Revised June 2000).

II. Introduction

As stated in the Instructions to Depository Libraries , "discarding is a privilege granted by the regional and not a right of the selective. The regional library may refuse to grant permission for disposal of any publication that it feels should be kept by one of its depositories for a longer period of time" (Chapter Nine, Section C). However, the regional's role in the disposition of depository publications is not an arbitrary one. The principle responsibility of a regional depository library is "to ensure the comprehensiveness and integrity of the State's or region's depository resources" (Chapter Nine, Section B). Supervision of the disposal process is one of the primary means of achieving this goal.

Permission to dispose of depository publications that have been retained for at least five years is usually granted if a given publication is already part of the regional’s permanent collection, and if discarding it does not significantly erode the effectiveness of Missouri’s depository library resources. Alternatively, the regional may instruct the selective to retain a publication, or send it to the regional for addition to the regional’s permanent collection.

Disposal of materials retained for less than five years will only be granted for secondary copies or approved substitutions.

These guidelines are designed to fulfill the regional's statewide collection development responsibilities with a minimum of inconvenience to selective depository libraries. While the regional retains the sole right to permit the disposal of depository publications, selective depositories are encouraged to submit alternative proposals for the exchange of publications with other depository libraries and with non-depository libraries. All such proposals will be given serious consideration.

Suggestions and comments regarding these guidelines are solicited and welcome.

III. Disposal Procedures

A. Publications retained five years or more

Depository libraries may dispose of any publication received after January 1, 1990, that has been retained for at least five years, without requesting permission from the regional, unless that publication is listed on the Missouri Government Documents Needs List or is a tangible electronic publication.

Depository libraries may dispose of any publication received between January 1, 1960 and January 1, 1990, if that publication is held by the regional, and is cataloged in the MERLIN Library Catalog. Cataloged publications must carry the location symbol for the University of Missouri-Columbia campus: MU. Depository libraries must request permission to dispose of any uncataloged publications.

Depository libraries must request permission to dispose of any publication, received prior to January, 1, 1960, unless that publication is listed on the Missouri Government Documents Needs List, is a secondary copy, is a tangible electronic publication, or has been defined by the regional as an exempt publication. To request permission, libraries should submit an exchange list to the regional according to the procedures outlined below. Depository Libraries requesting permission to dispose of publications published prior to January 1, 1960, must also concurrently list those publications with the National Needs and Offers List at GPO.

The regional will respond to all requests for disposal, by email, within thirty days of submission. Libraries may not dispose of listed publications until this written permission is received from the regional.

If the regional does not give permission to dispose of a depository publication, libraries may request permission at a later date.

B. Secondary copies

Secondary copies are defined by the Instructions to Depository Libraries as "depository materials which are duplicates (including reprints), superseded (including preprints), unrequested documents sent from GPO by mistake, or the depository holdings of the highest State Appellate Court libraries" (Chapter Four, Section H). This includes those publications listed in the most recent edition of the Superseded List . Note: the Superseded List is not meant to be exhaustive or exclusive; any publications meeting the criteria outlined in the "General Rules" (pg. ix) may be treated as superseded publications.

Disposal of secondary copies does not require the permission of the regional; however, libraries are encouraged to make secondary copies of value available through the MO Government Documents Exchange List Service using the procedures outlined below. These can include particularly important or valuable monographs, or long runs of serials. Libraries electing to use this service must also list these publications with the National Needs and Offers List at GPO. Note: this requirement does not apply to Federal agency depository libraries.

Secondary copies listed should be retained for two months after the availability of the edition of the Needs and Offers List in which they are included is announced on GOVDOC-L. Priority in the selection of material from exchange lists should be given first to the regional, then to federal depository libraries in Missouri, then to other federal depository libraries, and finally to other libraries or private citizens.

All disposals of secondary copies must be made in accordance with the procedures outlined in Chapter Four of the Instructions to Depository Libraries .

C. Tangible electronic publications

This includes floppy disks, CD-ROMs and DVDs. Libraries wishing to dispose of tangible electronic formats that have been retained for at least five years should send these publications directly to the regional. Libraries wishing to acquire replacement tangible electronic formats should contact the regional: replacement copies will be made available at no cost to selective depository libraries. A list of available publications will be made available through the MO Government Documents Exchange List Service.

D. Exempt publications

The following types of publications do not need disposal permission from the regional:

1. Folded Sheets and Pamphlets published after January 1, 1960. For the purposes of these guidelines, a pamphlet is defined as any print publication that is less than twenty pages in length, exclusive of the cover pages.
2. Microfiche . This does not include non-depository microfiche publications that have been substituted for depository material under Chapter Four, Section J of the Instructions to Depository Libraries . Libraries wishing to acquire replacement depository microfiche should contact the regional: fiche to fiche copies are available at no cost to selective depository libraries.

Except where noted, exempt publications that have been retained for at least five years should be treated as if they were secondary copies. As with secondary copies, libraries are encouraged to make secondary copies of value available through the MO Government Documents Exchange List Service using the procedures outlined below. All disposals of exempt publications must be made in accordance with the procedures outlined in Chapter Four of the Instructions to Depository Libraries .

E. Approved substitutions

Chapter Four, Section J of the Instructions to Depository Libraries grants permission to "all designated libraries to substitute copies of other formats for any depository holdings, provided that the copies are properly referenced, can be readily located, and are accessible to users." Disposal of the original copies of substituted material requires written permission of the regional. To request permission libraries should submit a list of the original material to the regional according to the procedures outlined below. In addition to the exchange list, libraries should also submit a brief statement justifying the substitution. This statement should contain:

1. Bibliographic information identifying the substituted copies.
2. Information on whether the library has the necessary intellectual access to the substituted copies (catalogs, indexes, etc.).
3. Information on where the substituted copies will be housed.
4. Information on whether the library has the appropriate software and equipment needed to access the substituted copies (browser, microfiche reader, PC, etc.).

GPO also allows depository libraries to substitute Internet-accessible equivalents for tangible depository publications, provided that the substitute is free, complete, official, and permanently accessible. Libraries considering on-line substitution should read the FDLP Guidelines on Substituting Electronic for Tangible Versions of Depository Publications (Administrative Notes 20:09, May 15, 1999) before submitting a disposal request. Disposal procedures for on-line substitutions are the same as for other substitutions; however, the regional will only consider requests if, in addition to the statement of justification described above, the library meets the following conditions:

1. The substituted copies appear in the List of Official GPO Permanent Full-Text Databases (Administrative Notes 20:09, May 15, 1999).
2. The library provides direct, title-level access to the substituted copies, either through the library's web site or web catalog.
3. The library has in place a written policy regarding public services for Government information in electronic formats consistent with Depository Library Public Service Guidelines For Government Information in Electronic Formats (Administrative Notes, 19:11, September 15, 1998).
4. The library has in place a written policy for FDLP Internet use consistent with the FDLP Internet Use Policy Guidelines (Administrative Notes, 20:10, June 15, 1999).

The regional will respond to all substitution requests, in writing, within thirty days of submission. Substitutions will then be handled using the same procedures outlined in section III B.

F. Missouri Government Documents Needs List

The regional library will maintain a state-wide needs list, available on the regional web site, so that depository libraries may indicate any publications that they would like to receive if they become available. No depository library may dispose of any publications appearing on this list without having first offered them to the listed libraries. When more than one library has indicated a desire to receive a listed publication, the regional will select the library to receive that publication.

G. Exchange Lists

Exchange lists are simply lists describing the depository publications that a selective would like to discard. Exchange lists serve two functions: they are used to request disposal permission from the regional, and they give both depository and nondepository libraries in Missouri an opportunity to acquire depository publications.

Beginning June 1, 2000, all exchange lists must be submitted to the regional by email as an attachment in Rich Text Format (RTF). As of that date, libraries are no longer required to distribute exchange lists to depository libraries. The address for submission is govdocs@missouri.edu. The words "Exchange List" should appear somewhere in the SUBJECT line of the message. The filename of the attachment should correspond with the list number as outlined below.

All exchange lists must contain a header with the following elements:

1. Institution name. This is the name of the parent institution, not the library itself.
2. List number. The list number takes the following form: Depository Number (including leading zeroes)-the two digit Year-the two digit List Number. For example, the list number for the fourth list of 2000 submitted by Southwest Missouri State would be 0330B-00-04.
3. List type. The following list types should be used: Request for disposal (used for all lists that require the permission of the regional except substitutions); Secondary copies (including exempt publications); Substitutions .
4. Publications offered. A very brief description of the contents of the list.
5. Publications format. The following format indicators should be used: P=print; M=microfiche; E=tangible electronic; O=other formats.
6. Submission date. The date the list was submitted to the regional (using the MM/DD/YY format).
7. Name and email address of the contact person.
8. Any special instructions or conditions. This can include payment of shipping charges over $5.00.

All exchange lists must contain the following elements in the body of the list, in the following order, for each publication listed:

1. SuDoc number. This should be a complete number; however, for serials it is permissible to provide only the class stems, as long as the complete date range of listed publications is also included.
2. Title. It is not necessary to include the complete title, but the information provided should be sufficient to uniquely identify the listed publication.
3. Date(s). This should be the date of publication. For serials, indicate the inclusive dates of the issues listed and any gaps in chronological sequence. For serials, you must also list whether they are bound or unbound.

In addition, the following rules apply:

1. Lists must be in SuDoc order.
2. Cuttered serials must be treated as monographs.
3. Lists must be paginated.
4. Lists longer than fifteen pages, single-spaced, will not be accepted.
5. Lists are limited to a single publication format and a single list type.
6. Libraries may submit only one list at a time. Note: this limit does not apply to lists of secondary copies.

Lists not meeting these guidelines will not be accepted.

The regional will assign list deadlines.

These exchange lists will also be made available through the MO Government Documents Exchange List Service so that other libraries and private citizens are given the opportunity to acquire publications targeted for disposal. If the regional grants permission to dispose of a depository publication, this publication is available for acquisition. Priority in the acquisition of material from exchange lists should be given first to the regional, then to federal depository libraries in Missouri, then to other federal depository libraries and finally to other libraries or private citizens. Selective depository libraries may require reimbursement for shipping costs that exceed $5.00; however, the regional library is exempt from any reimbursement requirements. All approved disposals must be made in accordance with the procedures outlined in Chapter Four of the Instructions to Depository Libraries .

H. MO Government Documents Exchange List Service

All exchange lists submitted to the regional will be made available through the MO Government Documents Exchange List Service available on the regional web site. The current address of the service is activelists.htm. Lists remain on the site until the list deadline. The regional will also maintain an archive of past lists.

IV. Alternative Disposal Procedures

The regional recognizes that there may be circumstances where the procedures outlined in Section III are inappropriate or onerous. In those cases, the regional will entertain proposals for alternatives. All such proposals will be given serious consideration.

(Effective: October 4, 2006)