KENTUCKY FEDERAL DEPOSITORY OFFERS LIST GUIDELINES

(revised 12/6/2012)


Introduction

As the Regional Depository in Kentucky, the University of Kentucky's Federal Depository Unit in Young Library is responsible for managing the disposal of unwanted Federal Depository publications in our state. Therefore, we have created two options for the other 19 Selective Depositories to make use of as they weed their collections:

  1. the offers list (formerly called "exchange" lists) process described in the rest of this document, and
  2. a Needs List of titles that we know we are missing.

However, both options now make use of the ASERL Documents Disposition Database developed at the Univ. of Florida.

Needs List Process

UK's needs list has been entered into the ASERL Documents Disposition Database.

If any titles offered by a depository via the ASERL database appear on our needs list, UK will be notified of the match by the database. At that point, we will claim the item using the database. This claim will be sent to the Selective from the database with instructions on where to send the material.

Please insert a note in each box of needs list material that you send indicating that these materials were on our needs list, include your depository's name on the note, and write "Needs List" on the outside of the box/envelope. The offering library is responsible for all shipping expenses.

New Offers Process

Each Federal Selective Depository in Kentucky may submit up to 150 titles that they wish to discard to the database over the course of a month. This will allow us to give all depositories a chance to do some weeding on a regular basis and to turn lists around quickly. It would be preferable to submit only a single format on any given day, e.g., submit only paper items on Tuesday and then submit your CD items on Thursday. Since your offers are processed overnight each day, these submissions will come to us as separate lists, which is what we prefer.

Your offers will remain in the database for 45 days, but your colleagues in Kentucky will not be able to see your offers in the database until day 6. UK can see your offers as soon as you post them, but we will wait for the database to send us a list of what you have posted the following day.

Once we receive the list from the database, we will let you know that we have been notified of your offers and will get started on your list. Please do not fill any claims from anyone else until you hear from us. We have developed a streamlined process that should allow us to respond to your offers in six working days, so you should not have to hold those claims from others for very long.

Also, given the need for rapid turn-around times here at UK, we will have to ask you not to submit offers to the database from Dec. 5-Jan. 10 each year. There will be no students available to process your offers during this time period, so we will not be able to respond to offers submitted to the database after Dec. 5 of each year.

Please be sure to follow the guidelines in B. below when deciding what to offer.

You must retain all depository publications for five years from the date of receipt, not from the date of publication, so please do not list materials that do not meet this criteria. To make this easier at both ends, please do not list any materials received in a given year, e.g., 2008, until November of the fifth year after receipt. In the case of 2008, this would be Nov., 2013. This will ensure that all publications received in 2008 have been held for the full five years.

You should also think carefully about your Congressional district to make sure you are not discarding a title that is critical to your users, or any title that is included in the FDLP Basic Collection.

The only materials that are exceptions to the 5-year retention rule are gifts, electronic substitutions, or duplicates. If you are replacing a tangible copy with the electronic version, you only need to retain the tangible piece for one year before listing. If you are listing an item for this reason, you will need to indicate that in the database using the comment field.

You are not required to keep or list gifts or duplicates at all, but we would be happy to check for duplicates or unselected titles that you do not want so that we can fill gaps in our collection. However, if you list such material, please include a comment in your offer to reflect their non-depository status so that we will not evaluate those titles for disposal permission. (Are all publications over five years old? Are they titles we feel can be discarded without compromising access to information in your Congressional district? Is there a valid electronic equivalent? Is the title on the Basic Collection list?).

You should list superseded material since the ASERL plan requests that you do so. This is because COEs will be trying to replace superseded material that they may have discarded in the past.

Please read the ASERL plan and the LibGuide that the University of Florida has created carefully before creating your offers list. Keep in mind that implementation of the database has resulted in some changes to this process that are not reflected in this plan from April, 2011. The LibGuide has the most up-to-date information. There is also a link to this guide in the lower left corner of the ASERL database's login screen.

Although the plan does not require you to offer fiche, we do need for you to use this database to offer any fiche you want to discard, especially if the fiche is being collected by an ASERL COE.

ASERL is asking for your cooperation in submitting your offers/lists in a uniform format that can be loaded into the database easily. The LibGuide mentioned above gives you very specific instructions on how to complete its title-by-title forms or an Excel CSV-formatted file for upload. Here are some highlights from that guide:

If you have problems with any of these processes, please let us know. If we cannot help you, we will refer you to the staff at Florida.

We will send you an email within one day confirming that the database has notified us that you have submitted offers or a list. We will indicate if you have offered any non-compliant titles that will need to be removed from the database. As indicated above, we will do our best to initiate claims within six working days after receipt of your offers list from the database.

As in the past, we will be managing several lists at the same time, so please be patient! If you have an extenuating circumstance that you would like for us to consider when checking your list, please let us know. Otherwise, the lists will be checked in the same order that the database notifies us of offers.

Please do NOT fill any other claims until you hear from us. If another institution has already claimed an item that we need, we will not be able to claim that item via the database. Any item that is claimed immediately disappears from the database. Therefore, we may have to claim some items via an email message listing those items we need that are no longer listed in the database.

Once we have submitted our claims in the database, the claim will be sent to the Selective from the database with instructions on where to send the material. These claim notices will come to the email address that you have registered in the database, so be sure to check that account daily.

You should then pull this material
and mail it to us at your expense. Please remember to write "Offers List" on the outside of the envelope/box, and be sure to include a copy of the claims list with the materials you are sending to us.

You will see that the automated claim notice that comes to your email does not provide a clearly structured mailing address. This information comes from our GPO directory listing. The ASERL database has split the various parts of the address apart, so you'll need to put them back together.

Please substitute "Federal Depository Unit" for any individual's name and use this address:

William T. Young Library
University of Kentucky
401 Hilltop Ave.
Lexington, KY 40506-0456

Be sure to use the nine-digit zip code.

We will acknowledge receipt of your shipment via email. If you have not received an acknowledgement from us within one week, please call/send an email to make sure we received your material. You will still need to hold on to all pieces until you get our final confirmation that we got what we requested.

Once we have cleared your list via email, you may fill any other claims you have received, either in-state (see next paragraph) or out-of-state. As the offering library, you will be responsible for all shipping expenses unless you make other arrangements with the requesting library which you are free to do.

You may not discard remaining material you have listed in the database for 45 days. That is how long your offers will be visible in the database. Your colleagues in the state will be able to claim your materials via the database starting on day 6 through day 45, so it is important for you to hold these items. You will receive a notification from the database when your items have expired. You may discard or recycle them at that point. The notice of expiration will come to the email account you have registered in the database.

Once all materials have been requested by other depositories or have expired in the database, please report to the Regional Depository Librarian via email the number of pieces you redistributed or recycled. Remember, you may not sell any unwanted federal depository material. Depository material remains the property of the U.S. Government and may not be sold.

To reiterate, please remember that you may not discard or re-distribute anything until we have responded to your offers and acknowledged receipt of the material we requested. We will send you an email message confirming that we received the pieces that we requested and give you permission to re-distribute the rest. You may not re-distribute anything on your list until you have received this communication from us.


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