U.S. DEPOSITORY CLAIMING PROCEDURES

ALEX initiates all claims for unreceived materials with the exception of U.S. Geological Survey maps and NIMA maps, which are received at LSM. [For map claims at LSM, see separate map processing procedures.] 

Items missing from received Shipping Lists:

  1. Submitting claims:

2a.  For paper, electronic, and separates: 

2b.  For microfiche:  complete the bottom portion of the Shipping List with

§         the signature of the librarian authorized to make the claim, Mary Fetzer, followed, in parentheses, by the initials of the staff member completing the form;

§         the depository library number, 0364, in the appropriate space(s);

§         the Shipping List number;

§         the mailing address of the library (use stamp if available):

Rutgers University
Alexander Library - Government Publications
169 College Ave.
New Brunswick, NJ 08901-1163

Complete a fax cover sheet for each shipping list that requires claiming. Cover letters for all claims   must include:

§         DATE: date the claim is being sent;

§         TO: the address that the claim is being faxed to (from the "Mail claims to" note on the Shipping List);

§         FAX: the fax number the claim is being sent to (from the "Mail claims to" note on the Shipping List);

§         RE: the Shipping List # and number of items being claimed;

§         FROM: Library #0364

Collection Services
Rutgers University
New Brunswick, NJ 08901-1163

§         If you do not receive all pages [enter the number of pages being faxed] please contact [enter the name and phone number of staff member issuing the claim].

§         Fax the cover letter and shipping list to the LPS contractor identified on the shipping list. 

3.  Return shipping lists to the boxes they arrived in for handling with the rest of the shipment waiting to be processed. Shipping lists are later distributed according to general instructions for receipt and processing of shipments.

4.  Copies or originals of all claims are filed at ALEX in a single folder in chronological order, using date claimed.

B.     Receiving Claimed Material:

§         When claimed material is received at Alexander:

§         pull the copy of the claim and the corresponding original shipping list;

§         annotate the original shipping list to show receipt of the claimed items;

§         discard the claim if all claims have been received, or, if additional claims are still pending, annotate the claim to indicate the number of claimed items received and the date of receipt and refile the claim according to the original claim date in the appropriate Claims folder;

§         if the material belongs to Alexander, label following normal procedures for receipt and processing of depository materials;

§         if the materials belong to LSM, send the materials (along with any accompanying paperwork) to LSM Gov.Pubs. with the next regular shipment;

§         refile the original shipping list.

§         When claimed material is received at LSM:

§         annotate the shipping list to show receipt of the claim;

§         label following normal procedures for receipt and processing of depository materials;

§         refile the shipping list.

§         If a "Claims copies exhausted" notice is received, note this on the original shipping list and treat the item as if the 4 week waiting period for claims has elapsed (See "Follow-up for Outstanding Claims"). If there are additional items still unreceived from the claim, be sure to leave a copy of the notice in the claim file until the 4 weeks are up. Also, send a copy of the notice to the appropriate Documents Librarian.

C.     Follow-up for Outstanding Claims:

§         4 weeks after the original claim date pull the claim copies and corresponding shipping lists. From this point on Alex and LSM pursue claims separately based on decisions made by Mary Fetzer and Ellen Calhoun. In general outstanding claims are handled as follows:

§         Copies of paper, separates and electronic materials are requested from issuing agencies.

§         Inquiries are sent to microfiche contractors for any microfiche not received.

(NOTE: Do not pursue claims for items that will soon be superseded by a bound volume [e.g. slip opinions] unless specifically requested by the depository librarian.)

§         If there is no response from an agency or microfiche contractor after 2 months, send a copy of the claim (shipping list) to Mary Fetzer/Ellen Calhoun, who will decide if further action is necessary. If the claim should be pursued, they may recommend:

§         writing to the agency (for microfiche not previously requested this way);

§         contacting the regional library or other library to borrow a copy for copying (paper, fiche, or CD-ROM materials) (RDS or ILL);

§         contacting a Congressional office, or other source to see if a copy is available;

§         purchasing a copy from GPO if it is a sales item;

§         or purchasing directly from another source to be specified (e.g. Census Bureau, NTIS, or CIS Documents on Demand).

Missing Shipping Lists:

1.      Check the "Master List" database at Alexander once a month to determine whether any shipping lists are missing. (i.e. check the "query" for each shipping list format. Any list that appears in a query has not been logged in as having been received).

HINT: Compare the "Box No." on the top left corner of the last shipping list received before the missing list with the "Box No." on the first shipping list after the missing list. If there is a gap in box numbers as well, a shipment is indeed missing. If there is no gap in the "Box Nos.," the missing shipping lists may be surveys, separates, or some other kind of irregular shipment. (From the "Federal Depository Library Manual")

2.      If there are lists missing:

o        Print copies from Tom Tyler’s "Depository Shipping Lists" web site (http://www.du.edu/~ttyler/dslintro.htm);

o        Request lists that are not available at the web site from Fax Watch (see instructions at http://www.access.gpo.gov/su_docs/dpos/faxwatch.html);

o        Contact the microfiche contractor directly and ask to have the missing list faxed (see http://www.access.gpo.gov/su_docs/dpos/msl.html for a "List of Contractor Issued Microfiche Shipping Lists" and contact information for current microfiche contractors);

o        Request those lists not available from either of the former sources from the regional depository, Newark Public Library, or from another depository library.

o        Consult the Shipping Lists section of the Federal Depository Links page of the NBL Collection Services Government Documents web site http://ckdb.rutgers.edu/GovPubs/depositorybookmarks.htm

3.      As soon as a copy of the missing shipping list is available, annotate the list to indicate the future locations of the materials once received (a dot to the left of the item number for ALEX, a dot to the right of the item number for LSM, or NS for not selected).

4.      Circle all selected items on the list as not received, and submit an online claim.

5.      From this point on, regular claiming procedures apply. (NOTE: There is a deadline of 60 days for claiming missing shipments.)

7/12/1999sb, revised 12/13/1999sb

revised 5/10/05, 6/14/05, 7/12/05 – Gov Docs Proc Group