ENVIRONMENTAL PROTECTION AGENCY
LIBRARY SYSTEM
STAFF MANUAL
Prepared by
Helen Judith Jarrell
June 1975
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TABLE OF CONTENTS
Page
Preface
Introduction i
EPA Library System 1
Role of the Library Systems Branch 2
Role of the Headquarters Library 3
Role of the Central Technical Library 4
General Information Regarding Specific Libraries 5
EPA Headquarters Library - General Pacts 6
Floor Plan 7
Description of Collection 8
Selection and Disposal of Materials 10
Policy
Procedure
Weeding of Collection 12
Policy
Procedure
Gifts and Exchange 14
Policy
Procedure
Acquisition of Material 15
Policy
Procedure
Cataloging 27
Policy
Catalogs Published
Procedure
Processing 35
Policy
Procedure
Circulation 38
Policy
Procedure
Interlibrary Loans 41
Policy
Procedure
Reference Services 42
Policy
Literature Searches 44
Bibliographic Services 53
Selective Dissemination of Information (SDI) 55
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Page
Evaluation Service
Accessions Lists
Special Equipment
Policy
Procedure
Translations
Policy
Possible Source of Material for Translation
Procedures
Foreign Literature Exchange Program
Policy
Procedure
Budgets
Policy
Procedure
Travel
Policy
Procedure
Contracts
Policy
Procedure
State and Local Liaison
Policy
Procedure
Publications
Policy
Procedure
Publications of the EPA Library Systems Branch
Inventory and Property Accountability
Policy
EPA Property Management Regulations, Part 115-27
Statistics
Policy
Training
Staff
User
Public Relations Activities
Interagency Agreements
55
55
56
58
61
64
65
66
67
70
71
72
73
74
75
76
77
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PREFACE
The EPA Library System Staff Manual has been in
preparation for almost two years, and represents a
considerable effort in defining policies and procedures
for the library system in general, and for the Head-
quarters Library in specific. It is the responsibility
of the individual libraries to adjust portions of the
manual to their own needs - both in the policy and
procedure areas.
The staff manual is printed and distributed in a
loose leaf format for easy up-dating and expansion.
All libraries should feel a responsibility for brirfiLng
changes or additions to the attention of the Library
Systems Branch as they occur. An attempt will be made
from the central office to effect these changes and to
include errata sheets with the newsletter mailings. It
is essential that the library staff in each location
keep the filing of these errata sheets up-to-date.
Our thanks are due to Helen Judith Jarre11 who
prepared the manual, to Barbara Pedrini who edited it,
and to M. Truedence Glenn who typed it and prepared it
for publication.
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EPA LIBRARY SYSTEM
Introduction
There are presently twenty-eight libraries in the
Library System of the U.S. Environmental Protection Agency
(a library being defined as any unit with a collection, a
staff member and available services). In addition to the
Headquarters Library, there are libraries located in the
ten Regional Offices, major and satellite laboratories,
and specialized information centers in the EPA program
offices.
The EPA Library System became operational in June,
1971. Its goal is to support Agency programs by providing
users with ready access to all information pertinent to
EPA's mission.
System-wide planning and coordinating activities are
carried out through:
Annual meeting of EPA librarians, usually held
in the fall. The first day of the meeting is
devoted to discussions of the year's activities,
future plans and problems. Some aspect of admin-
istrative training is the subject of the second
day's meeting.
A monthly newsletter which updates system activities
and publishes items of general library interest.
Training programs as appropriate.
1
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Role of the Library Systems Branch
The Library Systems Branch has the overall coordination
and support role for the EPA Library System. Its major
activities include:
Coordination of interagency library and information
activities
Centralized library program development, policy
and guidance
Centralized data processing
Centralized contracting and services
Centralized foreign literature exchange agreements
Publication of the Book Catalog and the Journal
Holdings Report
Publication of a model procedures manual
2
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Role of Headquarters Library
The Headquarters Library was activated in October,
19 72, with the former Federal Water Quality Administration
Library as its nucleus. It is responsible for services
to the Headquarters staff in all areas and it provides
backup support to all Agency libraries in economic, social,
administrative, legislative and management literature. Its
major activities include:
Acquisition and storage of books, journals,
reports, and other printed materials in areas
of law, economics, management and sociology to
support Headquarters staff
Necessary indexing for any of the above
Circulation and interlibrary loan services
Reference, literature search and bibliographic
services for above
Current awareness for Headquarters staff
Coordination with other Headquarters information
activities
Backup support to other system libraries through
duplicate microform, reproduced copies and loans
Maintenance of special collections such as
environmental patents and foreign environmental
reports.
3
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Role of Central Technical Library
The Central Technical Library at the EPA laboratory
in Cincinnati is the scientific and technical focal point
for the EPA Library System. It serves Cincinnati at the
local level and provides backup to all other EPA libraries
in their need for scientific and technical information.
It is also responsible for Agency-wide access to various
scientific and technical computerized search files outside
of EPA. Its other major activities include:
Coordination of laboratory and university programs
Centralized cataloging and book current awareness
service for participating libraries
Acquisition and storage of all types of material
in various formats, primarily in science and
technology
Specialized indexing and abstracting for above
as necessary
Loan and interlibrary loan services
Reference and bibliographic services and litera-
ture searches
Publishing a local user's guide and other special
publications
Backup computerized literature search services for
the EPA libraries.
4
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GENERAL INFORMATION REGARDING SPECIFIC LIBRARIES
Each library should insert material on the following
(as described in the local user's guide):
1. Staff, hours, location, telephone numbers
2. Physical organization of the Library
3. Personnel policy. All staff of the EPA Library
System is governed by the Agency-wide policy
enunciated in the EPA Personnel Manual.
4. Staffing
a. Job descriptions for each employee at that
location
b. Job detail breakdown for each desk in the
library
5. Description of the collection
5
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EPA Headquarters Library
1. General Facts
a. Location: the EPA Headquarters Library is in
Room 2404, Waterside Mall, 401 M Street, S.W.,
Washington, D.C. 20460.
b. Telephone Numbers:
Circulation and Reference: (202) 755-0308
Library Systems Branch: (202) 755-0353
c. Library Hours:
8:00 a.m. - 4:30 p.m., Monday through Friday,
except legal holidays.
d. Staff:
Sharon Schatz
Librarian
Lillian Hibbs
Documents
Bruce Ingalls
Inter-library loan
and circulation
Alice Wills
Acquisitions
Barbara Pedrini
Reference
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EPA Headquarters Library
2. Physical Organization of Headquarters Library
Facilities
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EPA HEADQUARTERS LIBRARY
3. Description of Collection
a. Types of materials; The Headquarters Library
collection comprises books, journals, reports,
maps, documents, and various microforms. The
reference collection includes encyclopedias,
dictionaries, bibliographical and reference
books, handbooks, atlases, telephone directories
and bibliographies.
The library has acquired back files of journals
and abstracting/indexing services on microfilm and
provides sufficient numbers of microfilm reader-
printers to make use of these files practical.
Current material is retained in hard copy while it
has frequent use. The library collects information
in the areas of economics, management, sociology,
science and technology as they relate to environ-
mental problems and adds to this list as the needs
become apparent.
b. Organization of material:
Books: Library of Congress classification scheme
EPA documents: PB number
Non-EPA and NTIS documents: PB and assigned ac-
cession number
Periodicals and Newsletters: Alphabetically by
title, chronologically within same title
Pamphlets: By subject in filing cabinet
Microfilm: Alphabetically by title
Theses: Alphabetically by author
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EPA HEADQUARTERS LIBRARY
3. c. Special collections: These include a limited
law collection, basic technical data covering
river basin material, theses and dissertations,
annual reports of corporations, EPA report
archives and a comprehensive section of foreign
exchange literature, other Government Agency
Reports, extensive microfiche and microfilm
collection, reprints of EPA-related articles.
9
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SELECTION AND DISPOSAL OF MATERIALS
Selection of Materials
Policy
1. Materials will be purchased if they are determined
relevant to the collection and if:
a. Headquarters staff, regional librarians, or outside
librarians recommend them.
b. Need is apparent from multiple interlibrary loans
of the material.
c. Gaps in the collection are thereby filled.
2. Collection will include books, journals, films, reports,
microfiche, maps, charts, documents, etc.
3. Attempts will be made to collect relevant non-published
materials and information. Libraries will maintain a
directory of persons and organizations likely to be
sources of such information in various subject areas.
4. Desiderata lists can be maintained by librarians to
aid in establishing priorities regarding selection
of items for purchase.
5. Replacement policy for items missing from library is
determined on a similar basis as book selection.
Procedure
1. Useful selection tools include the following:
a. Library Journal and other trade and professional
publications
b. Environment Abstracts
c. Publishers' brochures
d. American Book Publishing Record
e. Current journals and newsletters in the environmental
field
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SELECTION AND DISPOSAL OF MATERIALS
f. Monthly accessions lists
g. Current indexing and abstracting journals in the
environmental field
h. Current accessions lists from other non-EPA
libraries
i. Bibliographies
j. Book review services such as The New York Times,
Washington Post, Wall Street Journal, etc.
k. Book Exhibits
1. Reference works and directories, such as the
Directory of Environmental Information Sources
New publications are brought to the attention of the
librarian through:
a. Professional meetings
b. Librarians
c. Researchers
d. Library users
e. Interlibrary loan requests
Literature searches often lead to selection of
materials in new areas.
Replacement copies may be obtained through:
a. Gifts and Exchange lists
b. U.S. Book Exchange
c. Out-of-print book dealers
d. Duplicate copies from other EPA libraries
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SELECTION AND DISPOSAL OF MATERIALS
5. The EPA Book Catalog, accessions lists and the Journal
Holdings Report are particularly helpful in determining
what additional journals and books should be ordered
to stock the library properly in each of the environ-
mental subject areas. In addition, by reviewing the
inventories of nearby EPA libraries, the librarian can
determine whether to purchase an item or to borrow it
from another EPA library. Libraries in a given region
can coordinate inventories so that unnecessary dupli-
cation of holdings does not occur.
Weeding of Collection
Policy
1. Material will be discarded when:
a. It has been superseded by newer material.
b. It has become irrelevant.
c. Annual cumulative volumes arrive (then monthly or
weekly editions can be discarded).
d. It can be replaced by film (this applies particularly
to serials).
e. Changes in emphasis of subject areas of concern to
users and local organizations.
2. If there are large gaps in the holdings the librarian
can
a. Discard entire set
b. Fill in gaps through
1) U.S. Book Exchange
2) Out-of-print book dealers
3) Duplicate copies from other EPA libraries
4) Gifts and exchange lists
3. Discarded material, if still usable, should be sent to
an appropriate library or other interested groups.
12
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SELECTION AND DISPOSAL OF MATERIALS
Procedure
1. Librarian should go through collection periodically,
approximately once every three months.
2. "Want" and "available" lists of material will be sent
to all libraries in the system.
3. Requests will be granted on a first-come, first-served
basis.
4. If no one in the system wants material, determine
whether it goes to the Library of Congress, U.S.
Book Exchange, or other interested libraries.
13
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SELECTION AND DISPOSAL OF MATERIALS
Gifts and Exchange
Policy
1. Librarian should request notification/ when possible,
before gifts are delivered to library.
2. Librarian should plan a visit to the collection, if
possible. Otherwise permission should be granted to
forward collection to library where it will be reviewed.
1. Librarian will then select materials of value to EPA
(joLlection in accordance with procedures listed in
"Selection of Material."
4. When gift collection is sent without prior notification,
librarian should interview donor, if possible, to de-
termine how it will enhance EPA collection.
5. Criteria for acceptance of gift:
a. Material not already in collection.
b. Material relevant to collection.
c. Something currently in high demand, but may not
be retained in permanent collection.
d. Items that are current.
e. Duplicate items, if useful.
Procedures
Same procedures listed in "Selection of Material" and in
"Weeding."
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ACQUISITION OF MATERIAL
Policy
1. The library is responsible for ordering all publications,
book and non-book, for use by the library.
2. Centralized ordering services aro us©d wherever possible.
a. Centralized book buying contract
1) Through this contract all libraries may order
books from a single vendor, taking advantage
of discounts and simplified ordering procedures.
The contract eliminates purchase orders on each
individual item and this provides for much quicker
receipt of the material.
2) The service for books is:
E.B.S., Inc., Book Service
290 Broadway
Lynbrook NY 1156 3
b. Centralized journal buying contract
1) This contract operates just like the book contract,
except that a service charge is made to cover
computer control of the orders, establishment of
common expiration dates and multiple year subscrip-
tions, and provisions for annual renewal reports.
2) The subscription service for journals, serials,
periodicals and loose-leaf services is:
EBSCO Subscription Service
8000 Forbes Place
Suite 204
Springfield VA 22151
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ACQUISITION OF MATERIAL
2. c. The Contracting Officer has designated approximately
200 Ordering Officers to process books and subscrip-
tions. Any EPA employee may order materials through
the EPA vendors and obtain normal EPA discounts.
All orders must be approved by an Ordering Officer.
All invoices on books must be signed by the Order-
ing Officer after verification of receipt and sent
to the finance officer for payment.
d. Package Contracts. Special contracts have been and
will again be negotiated for services such as
Chemical Abstracts, Biological Abstracts/ and
Environment Abstracts. These are indexing and
abstracting services, copyrighted and normally
available only from the publisher, and not provid-
ing discounts. By volume buying of several services
provided by any one of these publishers, substantial
savings can be realized.
3. An attempt is made to keep all subscriptions on a
calendar year basis unless this is unacceptable to the
publisher. This simplifies ordering records and
procedures. Subscriptions are placed on a three-year
basis when profitable to do so, unless the Ordering
Officer specifically requests other arrangements.
4. Orders should be sent out regularly. Routine orders
should not be allowed to accumulate for irregular
periods and then be sent out all at one time. Orders
should be mailed every two weeks, even if only a few
items are involved.
5. An identification number is used to specifically identify
each individual Ordering Officer. For Headquarters
Library the number is 525 or 526 for books, and 25 or
26 for journals.
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ACQUISITION OF MATERIAL
Procedure
1. Deposit accounts are maintained with the Government
Printing Office (GPO) and with the National Technical
Information Service (NTIS). Items are purchased as
needed and charged against the accounts, which are
replenished when a low balance is reflected on the
monthly bill.
2. Monographs
a. These materials are ordered through EBS.
1) Requests are submitted by the library staff or
users and should include author, title, publisher,
price, and quantity (if relevant).
2) Procurement requests/requisitions are completed,
a) Each requisition shall contain sufficient
data to identify the specific item desired, i.e.,
title, author, quantity, unit cost, publisher,
publisher's address, etc. The requisition shall
contain full accounting data which shall include
as a minimum: (1) the appropriation number,
(2) document control number (3) accounting number,
and (4) object class
b) Submission of multiple requisitions at the
same time is discouraged, especially if costs
are made to the same accounting code. The Order-
ing Officer should try to combine desired requests
for multiple items on a monthly or semi-monthly
basis.
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2. a. 2) c) The Ordering Officer shall include the
following data on each requisition in the
exact format as the sample below:
U.S. Environmental Protection Agency
Contract: 02-12-4783
Call Ordering No.: 783 - 44 - 526
Accounting: 5740104 510116C880 31.15
Approved:
Ordering Officer Date
Telephone Number: 202/755-0308
Environmental Protection Agency
Library Systems Branch, Room 290 3
401 M Street, S.W.
Washington, DC 20460
d) Each requisition shall be originally signed
and a call/ordering number entered on each as
specified in No. 3 below:
3) Call/Ordering Number:
a) For purposes of identifying requisitions placed
under the contract, each Ordering Officer has been
assigned an identifying number which shall be used
to make up a call/ordering number to be placed on
each requisition as indicated above. The identify-
ing numbers assigned are listed in the Contracts
as "Ordering Officers' Identifying Codes."
b) The call/ordering number assures positive
identification of who submitted the requisition
the chronological age of the requisition. In
formulating the call/ordering number the Ordering
Officer shall insert the numerical number of the
month, after the Ordering Officer's identifying
code, followed by a serial number which shall in-
dicate the number of orders placed during the
month.
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Sample:
Call/Ordering No. 1-04-001
1 = Ms. Ruth K. Seidman
U.S. Environmental Protection Agency
Region I Library
Room 2211-B, JFK Federal Building
Boston MA 02203
04 = April
001 = First requisition submitted during
April
The serial number shall start at 001 on the
first day of each new month.
4) IMPORTANT: Ordering Officers shall ascertain
that no requisition be submitted to the contractor
unless funds are committed as being available by
the Commitment Clerk on EPA Form 1900-8.
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ACQUISITION OF MATERIAL
Procedure
2. a. 5) Upon completion procurement requisitions are
sent for approval in the following order to:
a) Authorized Ordering Officer
b) Branch Chief
c) Division Chief
d) Commitment Clerk
6) Once approved, the order is sent to the book
contractor. A copy is sent to the finance
office for obligation of funds.
b. The following records should be kept:
1) Each book ordered is recorded on an Update
Library Book Holdings Form that is filed
alphabetically by title, in an open file.
Upon receipt of the item the form is marked
"received" and filed, again by title, in an
open cataloging file. When cataloging is
completed, the form is filed alphabetically
by title in a closed file.
2) The requisition form is kept open until all
items have been received. Items are checked
in on the form as they arrive. When all items
have been received the requisition is marked
"complete" and filed chronologically according
to the internal office number (consecutive
numbers are assigned during a calendar year).
c. Exception: Books which must be ordered from
publishers who do not deal with contractors.
1) Publishers can be contacted for a copy of their
catalogs.
2) Follow chain of approvals outlined above.
3) Order is sent to procurement office marked "must
order direct." Procurement office then prepares
20
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ACQUISITION OF MATERIAL
a government purchase order that is sent directly
to the publisher.
4) Follow the same record procedure as described
above.
5} The originating office should receive its copy
of the purchase order as well as a receiving
report of the purchase order on items that go to
the procurement office.
a) Originating office copy is kept for office file.
b) Receiving report is signed and sent to the
finance office upon receipt of merchandise.
d. A procurement request must be prepared for all items
that have been received but not ordered through
channels. Include a justification describing the
circumstances surrounding acquisition, then proceed
as usual.
3. Journals, serials, periodicals, loose-leaf services
a. Follow the same procedures as outlined above except
that the orders go through EBSCO subscription services.
b. Order both hard copy and microfilm of annual cumula-
tions of journals whenever possible.
c. Follow procedures outlined for exceptions.
4. Microfilm
a. The procedure outlined above is followed.
b. Follow procedures outlined for exceptions.
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ACQUISITION OF MATERIAL
Procedure
5. Deposit Accounts
6. Microfiche
a. Microfiche are purchased individually and through
SRIM from NTIS deposit account, subscription
services.
National Technical Information Service
U. S. Department of Commerce
5285 Port Royal Road
Springfield VA 22151
1) A deposit account Order Blank Form NTIS 173 is used
to order NTIS materials, or orders may be placed
by phone.
2) This is sent directly to NTIS and does not require
approvals.
b. The following fiche are received automatically:
1) APTIC
2) DOCUMERICA
3) Air Pollution Effects on Plants and Animals
4) CIS
5) EPA Reports
7. Maps
Maps are obtained from the U.S. Geological Survey on an
automatic distribution basis.
8. GPO publications
a. GPO publications are purchased through a deposit
account using the Deposit Order Blank, sent to:
22
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ACQUISITION OF MATERIAL
Superintendent of Documents
Government Printing Office
Washington DC 20402
b. This is sent directly to GPO and does not require
approvals.
9. EPA documents
a. Two copies of all EPA scientific and technical
reports must be sent to the Headquarters Library.
b. A copy of all EPA documents must be sent by the
originating office to NTIS for processing, classi-
fication and entry into their data base.
1) NTIS provides a microfiche copy to each EPA
library automatically.
2) NTIS prepares a quarterly bibliography for EPA
of this material. The bibliography contains
citations, abstracts, as well as author, corpor-
ate source, subject, contract, and title indexes
for all EPA reports.
3) Additional copies of individual reports are
available from NTIS in either hard copy or on
microfiche.
10. Other documents and reports
a. Other government reports are often available only
from the issuing agency. These can often be
obtained free upon request.
b. A fiche copy is obtained if possible.
c. Order from NTIS or GPO if possible. Otherwise
order from issuing agency.
11. Each library is on several distribution lists to
receive documents free of charge on an automatic
basis. This should be done whenever possible.
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12. EPA Form 1300-5 is useful for obtaining reprints
TO: DATE:
WE WOULD APPRECIATE HAVING REPRINT(S) OF YOUR ARTICLE ENTITLED
(Title and Author)
PU BLISMED IN
IMPORTANT: REQUEST SHOULD NOT BE HONORED UNLESS ADDRESS IS PILLED IN
Remove thiB label and use
ob return address. Press
label firmly on return onve-
EFW FORM 1300-5 name
(2-72)
13. Rush procedure to cover urgent orders and special
requests for books:
a. Phone publisher or contractor directly.
b. Notify him of urgency and give all bibliographic
data.
c. Give contractor the call ordering number.
i
d. Go through regular approval procedure.
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ACQUISITION OF MATERIAL FOR LIBRARY
e. For contractors, only, send procurement request
noting on it date of phone confirmation.
f. When cash rush order is received from publisher
only:
1) Have publisher confirm payment received.
2) Mark "cash reimbursement'.1 on procurement request,
describe item and fill in bibliographic data.
3) Send through regular approval channels. Items
under $2 5 require additional approval of the
Facilities Support Services Division. Items
of $25 and over require approval of the Contracts
Management Division.
4) Once approved, request is hand carried to Imprest
Fund (petty cash) office for reimbursment.
14. Procedure for claims such as cancellations, missing
journal issues, delayed or unfilled orders:
a. Books:
1) Write or call EBS.
2) State call order number and explain which items
on the requisition are involved in the claim.
3) Ask status and request a follow-up on these
items.
b. Journals:
1) Contact EBSCO and follow same procedure. In
addition, state the EBSCO invoice number for
the item involved.
2) If desired, EBSCO "Adjustment Request" may be
completed and mailed to EBSCO or directly to
publisher.
c. Follow the same procedure when dealing with NTIS and
GPO.
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ACQUISITION OF MATERIAL FOR LIBRARY
Claims procedure for returns, duplicates, wrong items,
defective items:
a. Circle item on invoice.
b. Send item back and ask for adjustment in billing
or make full copy of invoice, pay bill, return
item, and receive credit.
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CATALOGING
Policy
1. Cataloging of books is accomplished centrally in
Cincinnati for the entire EPA Library System.
2. Cataloging of EPA documents and non-EPA documents is
performed by each individual library, in accordance
with established procedures for the organization of
material.
3. Microfiche are cataloged by issuing source.
4. Organization of Material:
a. Books: Shelved according to the Library of Congress
classification scheme.
b. EPA Documents: PB number
c. Non-EPA and NTIS Documents: PB and accession number
d. Periodicals and Newsletters: Alphabetically by
title, chronologically within same title
e. Pamphlets: By subject in filing cabinet
f. Microfiche:
1) EPA Documents: PB number
2) Non-EPA Documents: Filed by appropriate ID number
g. Microfilm: Alphabetically by title
h. Theses: Alphabetically by author
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CATALOGING
Catalog!? Published
The EPA Library System has published, or publishes on a
regular basis, the following catalogs:
1. EPA Book Catalog through July 31, 197 3.
a. The holdings of each library in the EPA Library
System, through the relevant date, are listed
herein.
b. Separately published monographs are arranged by
title, alphabetically; an effort was made not to
include reports.
c. The file lists call number, author, publisher,
subject headings, and location of each item. It
can be accessed by author, subject or call number.
d. The entire catalog was distributed on microfiche
in December, 1974, and each participating library
also received a computer printout of its individ-
ual holdings, by title, author, subject and call
number.
e. The full catalog in hard copy is also available.
I.". The EPA Book Catalog was produced by the Library
Systems Branch Office at Headquarters, through a
centralized effort.
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CATALOGING
2. Accessions List.s
a. Each month the Central Technical Library in
Cincinnati publishes Accessions Lists, reflecting
the newly acquired books of the participating
libraries which were cataloged during the month.
b. The format is like the EPA Book Catalog (see 1(b)
and (c) above).
c. Each library receives the full Accessions List for
the month, with author and subject runs as well.
Generally, a separate printout of each library's
individual acquisitions is provided.
d. Cumulations are printed every 3 months.
e. A composite list (covering August, 1973 to December,
1974) was published in January, 1975, representing
basically the EPA Book Catalog for 1974.
f. Additional cumulations will be produced annually.
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CATALOGING
EPA Journal Holdings Report
a. This Report is produced centrally by the Library
Systems Branch Office at Headquarters.
b. Journals are listed alphabetically by title,
followed by a holdings entry for each library
owning the journal.
c. The full Report is updated and published annually,
in January, and supplemented in July.
d. Each participating library is provided with a
computer printout of its individual Journal
Holdings.
EPA Reports Bibliography
a. Published by the National Technical Information
Service for the Environmental Protection Agency,
the Bibliography lists all reports originated by
EPA or its predecessor agencies which are available
at NTIS.
b. The Bibliography contains multiple indexes: title,
subject, corporate author, personal author, contract
number, accession/report number.
c. The first Bibliography was published in July, 1973,
covering the period pre-1970 to April 1, 1973.
d. An EPA Reports Bibliography Supplement was published
in August, 1974, listing those EPA reports entered
into the NTIS system between April 1 and December 31,
1973.
e. A second supplement issued in early 197 5 covers
reports entered into the NTIS system in 1974.
f. Beginning in March 1975 an EPA Abstract Bulletin
will be issued by NTIS on a quarterly basis. The
Bulletin will be sold by NTIS on a subscription basis.
30
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CATALOGING
Procedure
1. Books
a. New acquisitions for the entire EPA Library System
are entered in the Accessions File maintained by
the Central Technical Library in Cincinnati.
b. Preliminary cataloging to the extent possible is
performed by each individual library by completing
EPA Form 2100-1 upon receipt of a book (see Figures
1 and 2 in Exhibit A) and sending the form to
Cincinnati.
1) If cataloging information is incomplete, send a
copy of the title page and the verso with the
Form 2100-1.
2) Should original cataloging be required, Cincinnati
may return the Form 2100-1 and request a copy of
the title page and other pertinent data.
3) For material published before, and including,
1965, or if no L.C. card number is shown in the
book, presume that original cataloging may be
necessary and send with the Form 2100-1 a copy
of the title page, verso, foreword or introduction,
table of contents.
4) Subject headings should be assigned, if possible.
5) Always include the Library Code Number, which
requires three characters.
6) It is not necessary to code a separate sheet, for
each copy of multiple copies. Only one entry is
reflected in the catalog.
7) See Exhibit , "Instructions for Entering Book
Holdings into Accessions File", for more complete
details.
31
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CATALOGING
Stamp book with library stamp and place in hold
area until Cincinnati returns the Form 2100-1
with the appropriate call number indicated
thereon.
The full cataloging information is added to the
computer file in Cincinnati and reflected on the
next Accessions List.
32
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CATALOGING
2. e. Instructions for updating individual journal
holdings:
1) Changes in existing holdings can be made by
a) Clearly marking out that portion of the
holding entry which is to be updated.
b) Indicating beside it what the new entry
should be.
2) An entire entry may be deleted by
a) Crossing out the entire holding entry.
b) Writing "delete" beside it.
3) New journals may be added by
a) Writing out the complete title in proper
alphabetical sequence.
b) Writing the complete holding entry below it.
3. Non-EPA documents
a. All non-EPA documents are to be coded and classified
for a Document Control System File to enable automatic
storage and retrieval.
b. Upon receipt, enter document into Document Control
System File in accordance with instructions in
Exhibit B, "Document Control System."
c. The following are to be included in the Document
Control System:
1) State and local government reports
2) University reports
3) Theses
4) All items not in NTIS (and only these) or in EPA
Reports File
33
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CATALOGING
5) Conference reports
6) Company reports
7) GPO printed reports not included in NTIS
8) Other government agency reports not included
in NTIS
4. EPA documents and microfiche are cataloged by
NTIS.
34
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PROCESSING
Policy
1. Materials wlII ho processed as rapidly as possible
upon receipt.
2. Users will be made aware of materials as they arrive.
The library will issue frequent listings of new
materials received, new information identified but
not necessarily available, announcements of forth-
coming meetings or timely notes of special interest
to the Agency.
3. Book jackets are displayed to call attention to new
acquisitions.
Procedure
1. Accessions lists, issued to each individual library,
are circulated to appropriate staff.
2. Upon receipt, all items are stamped with name and
address of library.
3. Books
a. Upon receipt, the procurement request is pulled
and book is marked "received," with date, invoice
number, and price paid on the page after the title
page. When all items on a procurement request are
received, the request is filed in a closed file.
b. Patrons who have requested a book should be notified
of its arrival.
c. Classification number should be recorded on the
spine of the book or on the front lower left
corner. It is also written in pencil on top left
of the title page.
35
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PROCESSING
4. Journals
a. Routing of journals is a local option.
b. Journals are filed in the new journal section of
the library.
c. Annual cumulations of journals are ordered on
microfilm, making it unnecessary to bind journals
at the end of the year.
5. Microfiche
a. Microfiche are cataloged by issuing source.
b. Microfiche are filed in Numerical order.
6. Loose-leaf Services
a. These are processed according to the publisher's
instructions.
b. Upon receipt of cumulative volumes, loose-leaf
pages are discarded.
7. Microfilm
a. Upon receipt, new film is examined for defects.
b. Microfilm is filed alphabetically by title, and
chronologically within the same title.
8. EPA Documents
a. If a number has been assigned by the originating
office, file the document by that number.
b. If no number appears, file by title in the mis-
cellaneous EPA document section.
c. Upon receipt of PB number from NTIS, document is
then added to PB file.
d. Number is put in upper left-hand corner.
36
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PROCESSING
q. Non-EPA documents
a. All Non-EPA documents are to be coded and
classified for the Document Control System
(see Exhibit b) to enable automatic storage
and retrieval.
b. Documents are entered in the file by accession
number.
c. In the interim, before complete implementation
of the Document Control System, sort documents
and file as follows:
1) U.S. government reports: file according to
originating agency.
2) State reports: file by state.
3) Industry and association reports: file accord-
ing to author or corporate author.
4) University reports: file by state where
university is located.
5) Foreign government reports: file according to
country.
6) International reports: file according to in-
ternational agency name.
7) Congressional reports: file according to
Congressional committee and chronologically
within the committee.
8) Conference reports: file according to state.
9) Statutes: file in chronological order.
10) Theses: file alphabetically by author.
11) Radiation reports: file by docket number on
document.
37
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CIRCULATION
Policy
1. Materials circulate to EPA employees and to other
libraries, both government and non-government.
2. Materials circulate for as long as needed. Another
user's need of the material is the only reason for
recall. Periodic checks will be made on loans to
remind users they have the material and to ascertain
need.
3. Reference material and current editions of journals
and newspapers do not circulate. Individual libraries
can decide on routing of new journals.
4. Xeroxing of materials with a copyright is permissible
only for in-house use or for use by other government
libraries.
Procedure
1. The circulation system consists of one master file
containing one record per loaned document. Each
record contains the document title, call number (or
Journal Date) borrower's name, phone number, room
number and building, check-out date, due date if
interlibrary loan, and name and phone number of any
individual waiting for the document. The file is
maintained on-line.
2. The file is updated on-line and new titles are entered
everyday (see Exhibit C, "Procedures for Logging On
Low Speed Terminal—2741").
3. When document is returned, entry is deleted on-line.
Exception: Interlibrary loan records for lending
libraries are retained in the event of questions from
lending libraries. File is purged every six months.
I
4. Microfiche desk readers are loaned on an "as needed"
basis.
5. An on-line daily printout is obtained, listing out-
standing titles in the numerical sequence in which
they were charged. A weekly printout is obtained
38
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CIRCULATION
listing alphabetically, by borrower's name, the
titles charged to each client. A biweekly print-
out is obtained listing outstanding titles
alphabetically. Every three months a printout
is produced that shows each borrower's name on a
separate page, with an alphabetical list of out-
standing titles; this is sent to the user.
6. A clearance check is made for all departing
employees.
39
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CIRCULATION
Interlibrary Loans
Policy
1. Material not available in the Headquarters Library
may be borrowed from other libraries for official
use. Conversely, material that is needed by the
headquarters staff but not available in the library
is obtained from outside sources if possible. No
charge is made by the Headquarters Library for
this service.
2. Excluded from interlibrary loans are certain types
of material e.g., non-circulating reference books,
exceptionally rare or classified literature, current
journals.
3. Libraries should have available, and make use of, the
index and bibliographic tools required to fully
identify resources that may be wanted from other
participating libraries.
4. Materials will not be mailed within the metropolitan
Washington, D.C., area to non-government libraries.
Libraries outside the metropolitan D.C. area receive
full interlibrary loan cooperation.
5. Loans will be made to other libraries, but not to
individuals.
6. Interlibrary loans circulate for two weeks, though
renewals sometimes may be arranged.
7. Requested government reports are sent on microfiche,
on a retention basis, if the borrowing library has
microfiche capability.
8. Journals will be loaned to non-government libraries;
articles will not be xeroxed for non-government
libraries.
40
-------
CIRCULATION
Interlibrary Loans
Procedure
1. Verify completeness and correctness of citation using
standard bibliographic tools.
2. An attempt is always made to obtain material in-house,
especially journal articles. For monographs, consult
EPA Book Catalog. If not listed there, try local
sources. Institutions that are likely to hold the
requested item can be identified in standard union
lists such as "Index of NLM Serial Titles" and
"Journal Holdings in the Washington Area."
3. Material is obtained from lending libraries by telephone
solicitation or by use of the ALA Interlibrary Loan
Request Form (available from Gaylord, Syracuse, NY)
or the GSA Inter-Library Loan Request Form (available
from the GSA Supply Schedule). If the material is
requested by phone, fill the request and complete the
ILL form.
4. Material is borrowed from EPA libraries in the same
manner, except forms are seldom used.
5. Records are kept in computerized circulation files
described in "Circulation" section.
6. Every six months a computer printout is provided
indicating all interlibrary loans borrowed by EPA and
returned to lending libraries. Titles are then purged
from files.
7. Material is sent air mail (preferred method) or first
class. In the metropolitan Washington, D.C. area use
inter-agency mail.
8. Borrower should return the materials to his own agency
library.
9. Due date should be plainly stated on the accompanying
form. Borrowing libraries should allow at least two
days' transit time.
41
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REFERENCE SERVICES
Policy
1. Reference services are available to fulfill the
information needs of the headquarters staff and to
provide backup for other EPA libraries. The
reference staff will identify material for other
government libraries but will not- do extensive
literature searches or prepare bibliographies.
2. Within EPA, literature searches or bibliographies
will be done based on the following criteria:
a. Usefulness to agency personnel.
b. Usefulness to EPA programs.
3. Service will be provided in descending order of
priority:
a. EPA headquarters personnel
b. EPA libraries
c. EPA personnel
d. EPA contractors
e. Government agencies
f. Libraries
g. Individuals
4. A reference librarian will be available at all times
to help locate information and materials.
5. The reference librarian must maintain an awareness of
different program areas within EPA that can be used as
reference sources.
6. Emphasis is placed on establishing and maintaining a
good working relationship with many outside informa-
tion sources such as government agencies, institutions
(private and government), companies, universities,
42
-------
REFERENCE SERVICES
foundations. Each library should have a copy of any
thesaurus or index published by information centers
used by that library.
7. An attempt will be made to identify and fill gaps
in the collection.
8. Referral will be made to appropriate outside reference
sources whenever necessary. To this end, directories
and lists are maintained and continually updated.
9. Search parameters must be carefully defined, with the
requester stating the exact nature of the information
desired, the degree of depth necessary for his research,
and the information already in his possession.
READY REFERENCE
1. The library staff is responsible for providing quick
answers to general or specific questions.
2. A collection of frequently used reference materials
is maintained, in a separate location, to enable
quick access to information.
43
-------
REFERENCE SERVICES
LITERATURE SEARCHES
1. Literature searches are performed for EPA personnel
upon request.
2. The types of searches offered include retrospective
searching (batch), which provides a user with all
references on a specific subject or subtopic of the
subject for a given period of years, or on-line
searching, which allows a user to search information
files for bibliographic data and abstracts and receive
the requested material immediately.
3. Literature searches may be done manually or may be
computer assisted.
a. Before searching with a computer, use such standard
bibliographic tools as:
1) Indexing services
2) Abstracting services
3) Periodical literature
4) Catalogs
5) Special bibliographies
6) Reference works
b. If additional material is required, or if specific
information is not found, a computer search may be
initiated.
1) A search strategy is formulated by obtaining
key words and concepts from a discussion of
needs with the person requesting the search.
2) Appropriate data bases are selected.
44
-------
REFERENCE SERVICES
LIBERATURE SEARCHES
3) Information ia fed into the computer in
accordance with instructions given with each
data base.
c. If appropriate data bases are not available to
individual libraries, the search is directed to
the Cincinnati or Headquarters Library by com-
pleting EPA Form 2170-1, "Literature Search
Request11 (see Figures 1 and 2) . Research Triangle
Park runs searches for local staff, not BPA at
large. The data bases accessible at each location
are listed in Figures 3, 4 and 5.
d. Order a computer assisted literature search as
follows I
1) Review the request to be sure it is a legitimate
search for a computer-based file, i.e., not too
general and with a high probability that the
information will be in one or more of the tape
services abailabia.
2) The local librarian should distribute completed
copies of EPA Form 2170-1 ae followst
a) Originating library office
b) Accounting point to be chargod (obligation
copy)
c) Library performing search
d) Library performing March
e) Library performing search
3) If you are requesting searohes on data bases
whioh require reimbursement, makm certain that
you include, ell neoeuery information on the
"Accounting Symbols0 line, including appropriation
number, obligation number, commitment number,
fixed account number, objeot class, accounting
point msnber, and estimated cost of the search.
45
-------
LITERATURE SEARCH REQUEST
U S Environmental Protection Agency
National Environmental Research Center
Cincinnati, Ohio 45268
Attn Technical Reference Library
MAILING ADDRESS (To which
material should be sent.)
J
TO BE COMPLETED BY ORIGINATING OFFICE
BORGANIZATIONAL NAME AND MAILING ADDRESS
EPA Office of Water Program Operations
Water Supply Division
Roan 1011 Wfflffl, WH-U50
USER'S NAME
Robert Smith
USER'S TELEPHONE NO.
(202) 42-68836
USER'S FIRST REQUEST
iTires CJNO
LIBRARIAN
Mary Calkins
LIBRARIAN'S TELEPHONE
(513) 68U-8W1
ACCOUNT POINT
APPROPRI ATION NUMBER
OBLIGATION NUMBER
ESTIMATED COST
COMMITMENT NO
FIXED ACCOUNT NUMBER
OBJECT CLASS
TAil't D ST ATI Ml NT OF Hi QUIRFMKNT^ (Pf i/jsu c/c*» c ribt , spec ificufly as p<> iRible, the *»u6j ect matter for which the scorch is to be
conducted Ot fm< «.int f/ui/ ho\f s/)ci i.f< ose ttote thos c Include language statement
and' or 110/1-/ Cn<- odrftt loiuif Ii net « ss nry)
Require Information on the toxic effects of blue-green algae in a freshwater
environment, specifically, the effects of these toxic elements on humans,
animals, fish and other aquatic organisms, and water quality* Mr* &nith is
especially concerned vlth blue-green algae in connection vith vaste -water
treatment plants.
Keywords: Algae
Blue-green algae
Qyanophyta
Toxicity
Aquatic environment
Fresh water
Water quality
Humans
Aquatic animals
Sewage treatment
Include citations, if available.
Helpful to provide names of ongoing research projects concerned vith same
area of investigation.
ON-LINE search
BATCH SEARCH
~ YES Qno
data BASES TO BE USED AND YEARS COVERED
AUTHORIZING OFFICIAL (For commitment of fundi, not to exceed the estimated cost above)
DATE
TO BE COMPLETED BY NERC-CINCINNATI LIBRARY
THRESHOLD WEIGHT
BOOLEAN EXPRESSION
LIBRARIAN (Signal ttr> )
TASK NUMBERS
DATE RECEIVED
DATE COMPLETED
EPA Form 2170-1 (Rev 10-74) PREVIOUS EDITION MAY BE USED UNTIL SUPPLY IS EXHAUSTED.
Figure 1
-------
LITERATURE SEARCH REQUEST
r
Headquarters Library
U.S. Itaviroixnental Protection Agency
Room 2Uo4 Waterside Mall, R4-213
Washington DC 20k&0
MAILING ADDRESS (To which
material should be sent.)
J
TO BE COMPLCTED BY ORIGINATING OFFICE
OPC.ANI ZA7 IONAL N AM F AND MAILING ADDRESS
EPA Office of Water Program Operations
Environnental Evaluation Branch
Room 28l8 Waterside Mall. WH-M*8
USER'S NAME
Henry Jones
USER S TELEPHONE NO.
(202) 75-506OU
USER'S FIRST ME QUE ST
) YES ; | NO
LIBRARIAN
Sharon M. Schatz
a< coiiN I r»om I
APPROPRIATION NUMMI l<
OHLIUA DON NUMMI H
-IBRARIAN'S TELFPHONh
_75-50308
\ T IMA 1 ini'i.l
COMMITMENT NO
FIXED ACCOUNT NUMBER
OBJECT CLASS
DETAILED STATTMENT OF REQUIREMENTS (Please det>cribe, as specifically as possible, the subject matter for which the search la to be
conducted. Define nny term* that heve spectsl mcantrtg. If there arc points NOT to bo Included, please state these. Include language statement
Gtuf'or non-Trigltt*h) C/se additional page If necessor>J
We would like a list of all documents dealing with the preparation and review
of environmental Impact statements and environmental assessments.
Keywords: National Environmental Policy Act (NEPA)
Environmental Impact statements
Environmental Impact
Environmental assessments
Council on Environmental Quality (CBQ)
ON-LINE SEARCH
BATCH SEARCH
~ yes O no
DATA BASES TO BE USED AND YEARS COVERED
AUTHORIZING OFFICIAL (For commffmont of funds not to exceed (he estimated coat above)
DATE
TO BE COMPLETED BY EPA LIBRARY PERFORMING SEARCH
THRESHOLO WEIGHT
BOOLEAN EXPRESSION
LIBRARIAN (Signattjrv)
TASK NUMBERS
DATE RECEIVED
DATE COMPLETED
EPA Form 2170*1 (Rev. 10-74) previous coition to be used until supply is exhausted.
Figure 2
-------
Computerized Bibliographic Services Available
through EPA Cincinnati Library
ABI/INFORM (Abstracted Business Information)
APTIC (Air Pollution Technical Information Center)
BA-P (Biological Abstracts Previews)
Bibliography of North American Geology
CA Condensates (Chemical Abstracts Condensates)
CAIN (Agriculture)
CBAC (Chemical-Biological Activities)
CHEMICAL TITLES
CIRCOL (CIRC On-Line)
CMA (Chemical Market Abstracts)
COMPENDEX (Computerized Engineering Index)
ENVIRON (Environmental Information Retrieval On-Line)
ERIC (Educational Resources Information Center)
FVJRS (Fish and Wildlife Reference Service)
Geophysical Abstracts
GEO-REFF (Geological Reference)
Bibliography and Index of Geology
IFI/PLENUM (patents)
INSPEC (physical sciences abstracts)
MEDLINE
NSA (Nuclear Science Abstracts)
NTIS/GRA (Government Reports Announcements)
OASIS (NOAA)
Aquaculture
Biological Information & Retrieval System
Meteorological and Geoastrophysical Abstracts
Oceanic Index
PANDEX/TRANSDEX
PSYCH Abstracts
SCISEARCH (Science Citation Index)
SOCIOLOGICAL ABSTRACTS
SSIE (Smithsonian Science Information Exchange)
SWIRS (Solid Wastes Information Retrieval System)
TOXLINE (Toxicology Information On-Line)
WRSIC (Water Resources Scientific Information Center)
Figure 3
-------
Computerized Bibliographic Sarvicea Available
" through HEX'fcafiT L'IFr ary
ABI/INFORM (Abstracted Business Information)
Aim & Arm (abstracts of instructional materials)
APTIC (Air Pollution Technical Information Center)
CAIN (agriculture)
CIRCOL (CIRC On-Line, Wright-Patterson AFB)
Chemical Abstracts
COMPENDEX (Computerized Engineering Index)
ENVIRON (Environmental Information Retrieval On-Line)
ERIC (Educational Resources Information Center)
INSPEC (physical sciences abstracts)
New York Times Information Bank
NTIS/GRA (Government Reports Announcements)
OAS I
OASIS (NOAA)
Aquaculture
Biological Information & Retrieval System
Meteorological and Geoastrophysical Abstracts
Oceanic Index
PSYCH Abstracts
Social Science Citation Index
Figure 4
-------
Computerized Bibliographic Services Available
through EPA Research Triangle Park Library
APTIC (Air Pollution Technical Information Center
CAIN (Agriculture)
CHEMCON (chemical literature)
COMPENDEX (Computerized Engineering Index)
GEO-REF (Geological Reference)
IFI/PLENUM (patents)
INSPEC (physical sciences abstracts)
MEDLINE
NSA (Nuclear Science Abstracts)
NTIS/GRA (Government Reports Announcements)
OASIS (NOAA)
Aquaculture
Biological Information & Retrieval System
Meteorological and Geoastrophysical Abstracts
Oceanic Index
POLLUTION (Pollution Abstracts)
SCISEARCH (Science Citation Index)
SEARCH (Systemized Excerpts, Abstracts & Reviews of Chemical
SSIE (Smithsonian Science Information Exchange)
SWIRS (Solid Wastes Information Retrieval System)
TOXLINE (Toxicology Information On-Line)
WRSIC (Water Resources Scientific Information Center)
Figure 5
-------
REFERENCE SERVICES
LITERATURE SEARCHES
a) If your library will be paying for the search,
these accounting symbols should be library
symbols. If the requesting researcher's
program will be paying for the search, the'
accounting symbols should be program symbols.
b) The estimated cost of the searches should be
the last item on the "Accounting Symbols"
line. The officer authorizing obligation
of funds for the search will be obligating
an amount up to the estimated cost, hence,
make sure your estimates allow for sufficient
funds to do the searches you request. If you
have any doubt as to the cost of a search,
contact the Cincinnati or Headquarters Library
for assistance.
c) Accounting point numbers represent the
location of the EPA accounting office which
services you. They are as follows:
Acct. Pt. Number
Acct. Pt. Location
1
2
3
4
5
6
Region IV (Atlanta)
Region V (Chicago)
Region VI (Dallas)
Region I (Boston)
Region II (New York)
Region III (Philadelphia)
Region VII (Kansas City)
Region VIII (Denver)
Region IX (San Francisco)
10
22
27
33
99
Region X (Seattle)
Research Triangle Park
Cincinnati
Las Vegas
Washington, DC
Figure 6
-------
REFERENCE SERVICES
I.I TI.I'/iTHUi. .1 Alii JJL,'.-
4) The person providing the "Authorizing Signature"
must be the responsible officer who normally
obligates funds for the accounting symbols on
the request. If the search being requested is
to be paid for by your library, the person who
normally obligates funds for purchase orders
will sign the request form. The same rule
applies to obligation of other than library
funds. The program funds represented by the
accounting symbols must be obligated by the
officer who normally obligates the program's
funds.
5) A copy of the Literature Search Request is to
be sent to your accounting point by your library
if the search requires reimbursable search charges.
If the search request on the form is a "no cost"
search, this is not required.
6) Searches which are requested on free data bases,
only, may be telephoned into the Cincinnati or
Headquarters Library and you may sign as the
"Authorizing Officer" for any of these searches.
7) Search requests may be mailed to the Cincinnati
or Headquarters Library. If there is some neces-
sity to keep the search time down, send by
telecopier. In some instances there may arise a
need for very rapid search response. When this
Occurs the library will accept searches by tele-
phone. Librarians are encourged to use this
avenue only when necessary, and to follow the
telephone call with a fully prepared EPA Form
2170-1 the same day.
8) When literature searches have been provided by
the Cincinnati or Headquarters Library or from
the search center, and the user requests specific
items be furnished, please check the journal
holdings list and other tools for local sources
before going to Cincinnati for the hard copy.
52
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REFERENCE SERVICES
LITERATURE SEARCHES
The Cincinnati Library should serve as the final
backup in the system, not as the first source.
9) An evaluation form (see Figure 6) is sent to
requester to obtain feedback on usefulness of
the search. The form is to be completed and
returned to Cincinnati (Headquarters does not
use it at present).
4. If unable to conduct literature search within EPA,
referral will be made to appropriate outside sources.
5. Literature searches may result in a bibliography,
abstracts of identified information, or actual publi-
cations of information uncovered in the process of the
search.
BIBLIOGRAPHIC SERVICES
1. This service is for EPA Headquarters personnel only.
Based on time and resources, it will be made available
to other EPA libraries.
2. Bibliographies can be compiled using the same methods
and materials as those for literature searches.
a. Check already published bibliographies on the
subj ect.
b. If these are unavailable, use manual methods of
search as outlined under "Literature Searches."
c. If necessary, use the computer as described in
"Literature Searches."
3. Special and continuing bibliographies prepared by the
staff become part of the collection for future updating
and use and are available for distribution throughout
the EPA library system. Control on the continuing
bibliographies will be maintained in the Las Vegas
Library. Bibliographies will be an integral part of
the foreign exchange with certain countries.
53
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SEARCH EVALUATION
U S ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENVIRONMENTAL RESEARCH CENTER
CINCINNATI. OHIO
Atten. TECHNICAL REFERENCE LIBRARIAN
User Name Date
Organization Name
Librarian's Name
Search Question
How do you rank the search? (check one)
Very Good | | Good | | Fair | | Poor | |
Comments:
Total number of citations:
Number of relevant citations:
Data bank used:
Please list the subject headings which retreived the most relevant citations:
EPA-238 (Cin)
(6-73)
Figure 7
-------
REFERENCE SERVICES
SELECTIVE DISSEMINATION OF INFORMATION (SDI)
1. Profiles of EPA staff and programs are established
and maintained so that information can be easily
disseminated to match the needs of each.
2. Profiles (subject indexes) of users are run against
the new portion of the appropriate data bases and
the users receive cards or lists of citations of
newly published literature in their areas of interest.
3. These notifications keep the staff aware of new
materials which may be obtained throuqh the library,
thus keeping abreast of continually updated informa-
tion .
4. Upon receipt new material is matched aq$inst the
profiles to determine if the subject area is relevant
to any of them. If a match is indicated, the person
is notified of the available new material.
EVALUATION SERVICE
1. An attempt is made to evaluate, identify and maintain
reference materials in order to direct users to the
best sources of material.
2. This is achieved through evaluations of materials by
a. Librarians
b. Researchers
c. Library selection tools, such as reviews
d. Outside experts
ACCESSIONS LISTS
1. All book titles submitted to Cincinnati for cataloging
are announced in a monthly Accessions List. Each
participating library receives a list of its holdings
and a composite list for all libraries, enabling it
to call attention to new items for its users.
2. These lists cover primarily monographs.
55
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SPECIAL EQUIPMENT
Policy
1. The purpose of special equipment is to provide quick
and easy access to materials.
2. No equipment is purchased unless it is listed in the
GSA Schedule.
3. If a major piece of equipment is desired, thoroughly
investigate any possible problems involved in its
use.
4. Criteria of selection:
a. Ease of use
b. Low maintenance cost
c. Reliability
d. Cost
e. Necessary space to house equipment
5. Evaluations of equipment will be published in the
EPA "Library Systems Newsletter". This will enable
libraries to share information on what is worthwhile
and what should definitely not be purchased again.
Procedure
1. A procurement request/requisition is typed up to
enable ordering of special equipment. Information
needed includes type of equipment, model number,
price, manufacturer, quantity, originator's signature.
2. Procurement requests are then sent to:
a. Originator
b. Branch Chief
c. Division Chief
d. Commitment Clerk
56
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SPECIAL EQUIPMENT
Procedure
e. Facilities and Support Services Director for
approval.
3. Once approved, the request goes to the procurement
office where a purchase order is prepared and sent
to the manufacturer.
4. When a purchase order is prepared, the originating
office should receive an originating office copy and
a receiving report of the purchase order.
a. Originating office copy is kept for office file.
b. Receiving report is signed and sent to the finance
office upon receipt of merchandise.
57
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TRANSLATIONS
Policy
1. A central translation service is provided for the
exclusive use of EPA research staff and EPA libraries.
This covers all technical documents primarily for
translation from foreign languages into English, but
translations can also be provided from English into
any other language.
2. Requests for translations of legal and administrative
or other foreign exchange documents should be directed
to Headquarters Library.
3. No charge is made to researcher or to EPA libraries
for translation services.
4. Copies of all items translated into English by EPA
will be sent to the National Translation Service at
the John Crerar Library (Chicago), as well as to NTIS.
Requests for translation services received from out-
side EPA should be referred to either of the above.
5. Translation services include abstracting; preparing
of directories, bibliographies and reviews; editing;
printing; binding; rapid service translating; and
preparing translation manuscripts in reproducible
or draft format.
Possible Sources of Material for Translation
1. Information obtained from literature searches by EPA
information centers and from other data systems.
2. Material that researchers are given by their counter-
parts in foreign countries.
3. Citations seen by researchers in journals, field
abstract bulletins, and in other general reading.
58
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TRANSLATIONS
Procedures (See EPA Order 2130.1)
1. Requests to submit material for translation.
a. Requests to translate copy in hand
1) Person making request should complete "Translation
Services Requisition," EPA Form 1350-1.
2) Send both the document and the request form to:
Translation Services Section
U.S. Environmental Protection Agency
Office of Administration
Research Triangle Park NC 27711
b. Requests to translate material not in hand
1) Person making request should fill out form in
as much detail as possible. This should include
author, complete foreign title, and source.
Form is then sent to the Translation Services
Section.
c. Translation Services Section will send hard copies
to be retained by requestor.
2. Requests for copies of material already translated
either by EPA or by other sources.
a. These requests emanate from monthly bulletins of
the Translation Services Section.
1) These bulletins may be obtained free on request.
Requests should include full address and, if
made for an individual, the title of the individ-
ual .
2) Bulletins published are:
a) Monthly Translations Lists and Current Contents
which includes all translations done by the
service during a given month.
59
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TRANSLATIONS
b) Current Awareness of Translations is the
monthly compilation of translations done by
other sources on subjects of interest to EPA
researchers.
Libraries may subscribe to Category 6 8 of the NTIS
SRIM Service and thus obtain a fiche copy of all
EPA translations.
To make requests:
1) Send a memo listing the translation numbers of
the items desired to the local EPA library.
2) If local library does not subscribe to Category
68, requests should be sent directly to the
Translation Services Section.
3) The Translation Services Section, will send a
microfiche copy to be retained by requestor.
If desired, a hard copy will be sent on a loan
basis.
60
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FOREIGN LITERATURE EXCHANGE PROGRAM
Policy
1. The International Documents Exchange Program,
administered through the Office of International
Activities, is designed to acquire as much environ-
mental material from other nations as possible
through exchange agreements. This permits awareness
of other countries1 experiences in formulating stand-
ards and regulatory controls and provides an
opportunity to share information on management and
control systems.
2. The Office of International Activities maintains
exchange agreements with the environmental agencies
of foreign countries. This is often done through
agreements between the Administrator of EPA, or his
representative, and his counterparts in other countries.
3. Under this program EPA is assembling at the Headquarters
Library a reference collection of foreign documents
relative to environmental programs and regulatory
systems in other countries.
Procedure
1. Items Received By EPA
a. Documents will be obtained automatically or upon
specific request:
• from Embassies
• from foreign organizations
• from the Library of Congress, Foreign
Research Division
• Any P.L. 480 Program
b. Documents will be received or routed through the
Office of International Activities for review and
selection procedures.
c. Documents selected for inclusion in the Summaries
of Foreign Government Environmental Reports will
61
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be sent directly to the Library of Congress,
Foreign Research Division, for abstracting and
preparation of entries for the Summaries.
d. All these documents will be sent to the EPA
Headquarters Library for inclusion in its foreign
literature section and listing in the new material
received notices.
e. The Summaries of Foreign Government Environmental
Reports will be distributed widely throughout EPA
and, through the EPA Library System liaisons, to
State and local government and private activities
and universities.
f. Full translation of any of the items included will
be provided as necessary.
g. Full text copies will be available for loan from
the EPA Headquarters Library or through inter-
library loan from the Library of Congress in the
original language unless a specific request for
a translation has been received.
h. Entries on all foreign exchange documents will be
included in the master file as appropriate. This
file will be used to publish specialized indexes
and biblioqraphies and for retrieval purposes.
2. Items Furnished By EPA
a. The Library Systems Branch will provide copies
of its Book Catalog, Journal Holdinqs Report and the
EPA Reports Bibliography and accompanying micro-
fiche to the Office of International Activities
for transmittal through the Embassies to counter-
part agencies in foreign countries.
b. The Library Systems Branch will provide its list
of new materials to the Office of International
Activities for review and selection and transmittal
to the counterpart foreign environmental agencies
through their Embassies.
c. The Office of International Activities, the
Embassies and the foreign organizations will
select desired items for transfer in either
hard copy or microfiche.
62
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d. Items selected will be distributed according to
the international mailing list either from:
• Central EPA distribution point in North
Carolina
• National Technical Information Service
• Office of Public Affairs
• Office of Legislation
• Program Office
• EPA Libraries
• EPA Technology Transfer Programs
e. Copy of transmittal letter or list of items
furnished will be provided to the Office of
International Activities only in cases where
tho request (to provide selected items) to the
individual library did not come through that
office.
f. Specific request received by the Office of
International Activities from foreign countries
for EPA-generated items or general and/or specific
environmental information will be provided to
the appropriate EPA Library for action.
g. When an EPA Library receives a request direct
from a foreign organization, a copy of the
request letter and the document to be furnished
must be sent through the Office of International
Activities for coordination purposes.
63
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BUDGETS
Policy
1. Budgets for the following fiscal year should be drawn
up in October of the previous year and submitted
through channels to the office preparing the appro-
priations request.
2. Budgets should reflect one fiscal year requirements
for collection, contracts and services, travel,
supplies and equipment, printing.
3. Budgets should be presented at each library location;
at Headquarters it should be presented to the Chief,
Library Systems Branch for incorporation into overall
Headquarters budget.
Procedure
1. Each library should maintain a control record for
expenditures against the allocated amount (assumed to
be amount requested unless notified otherwise).
Control record should show total allocated, amounts
obligated, amounts remaining in each category.
Quarterly summary reports should be presented to the
Chief, Library Systems Branch, at Headquarters; to
supervisor of library in field locations. (See
section on budgets.)
2. Contracts and services should include NTIS and GPO
deposit accounts, interagency agreements, contracts
for services, for materials, or programs. Supplies
and equipment reflect only those supplies unique to
library activities, and not available from the GSA
stores. Travel shall include both administrative and
professional development requirements. Training monies
are carried in the administrative budget and do not
need to be covered in the library budget at the present
time.
64
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TRAVEL
Policy
Travel covers both administrative travel and travel
to professional activities.
Attendance at one professional library or information
sciences meeting a year, is recommended for each profes-
sional librarian. Experiences gained at these meetings
should be shared with other EPA Librarians through the
monthly newsletters or at annual meetings.
At least one librarian from each location should
attend the annual EPA librarians' meetings. Additional
library staff members attend at the discretion of the
Head Librarian.
Administrative travel is carried out for purposes of
evaluating systems, working out details on use of systems,
review of operations for applications to EPA system, liai-
son with state and local governments, universities and
research sectors or international programs.
Travel to local professional meetings and other
library/information related activities is at the discretion
of the librarian.
Procedures
Travel requests are handled in accordance with the
EPA Travel Manual.
65
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CONTRACTS
Policy
Contract requirements will be spelled out In accordance
with the contracts manual (See Exhibit D). The need
must be defined, the importance to the Agency determined
and incorporated in the request, and the estimated cost
to the Agency indicated.
Procedure
1. Define program need. Determine feasibility of doing
the program with in-house resources or contracting.
When decision is made to contract, define contract
requirements, including tasks to be performed, approx-
imate cost involved, time frame being considered,
personnel and organizational requirements.
2. A procurement request is prepared for the contract,
recommending contractors capable of carrying out
the task, if known, and criteria by which the pro-
posals will be reviewed.
3. Forward procurement request through Director,
Management and Organization Division, for approval
of program and expenditure of funds; through finan-
cial office for obligation of funds to be expended;
through Director, Management Information and Data
Systems Division (if data processing application),
to Contracts Management Office*
4. Receive proposals from Contracts Management Division
and convene review committee to determine optimum
contractor per criteria established earlier. Review
proposals for best effort to satisfy requirements,
prepare memorandum for Contracts Management Division
transmitting results of review with total percentage
score for each bidder and a recommendation for award
to the most qualified, competent bidder.
5. Schedule for monitoring the contract must be established
immediately following award of the contract. Accounting
records for the contract are established. Project
monitor is designated for the entire contract or por-
tions of it, as appropriate.
66
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STATE AND LOCAL LIAISON
Policy
1. EPA is responsible for providing environmental
information to state and local agencies.
2. EPA's role is primarily that of a channel of
information, providing for a coordinated effort
in the exchange and dissemination of information.
3. Services to be provided by EPA Regional Library
a. Consultation to libraries setting up environmental
collections
b. Reference services and use of reading room for
materials not otherwise available to users of
state and local libraries
c. Order literature searches from EPA information
centers, such as the Solid Waste Information
Retrieval System
d. Interlibrary loan
e. Participate in cooperative acquisition and storage
programs
f. Provide cataloging information (not available
elsewhere) for environmental literature
Note: It is important for the EPA librarian to coordinate
activities with other EPA staff members in the
Region. In particular, find out what the Public
Affairs Office is doing that might be relevant to
the interlibrary cooperation program.
67
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STATE AND LOCAL LIAISON
Procedure
1. Methods to Be Used by EPA Librarians
a. Compile and maintain a listing of libraries in the
region that would be able to use and provide envi-
ronmental information
1) state libraries
2) other governmental libraries
3) private organizations, universities
EPA listing of non-federal environmental libraries
will be the starting point for this compilation
b. Contact these libraries
1) by telephone and mail
2) when possible, visit; take packet of EPA
publications and prepare a short presentation;
explain how to get on various mailing lists
3) keep record of particular interests of each
library; develop mailing list to send them new
items of interest
4) hold briefings when practical
c. Set up Regional Environmental Information Users*
Group
1) formal or informal
2) try to work through existing organizations
d. Exchange holdings lists
68
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STATE AND LOCAL LIAISON
2. Types of Information to Be Channeled
a. From EPA libraries to state and local
1) information on EPA publications; publications
patterns, series, bibliographic data, avail-
ability
2) structure and activities of EPA: Headquarters,
laboratories, regions
3) information on access to other environmental
literature: bibliographies, commercial services,
output of other government agencies, general
literature
4) foreign environmental information
5) information on EPA's Library System programs
b. From state and local librari.es to EPA library
1) state and local publications: publication
patterns, specific listings, exchange procedures
2) data on the region: statistics, other materials
3) arrange for access to specialized collections
fi9
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PUBLICATIONS
Policy
1. The following may be published by individual
libraries:
a. Bibliographies
b. Current awareness lists
c. User's guides
d. Manuals
e. Directories
2. The library is responsible for preparing the master
copy for reproduction. This includes^ text, covers,
drawings, charts, and diagrams. The graphics de-
partment can aid in this if necessary.
3. Publications must be cleared in accordance with EPA
Order 2200.2, "Information Clearance Procedures."
Procedure
!• "Requisition for Local Duplicating Service", EPA
Form 1750-3, should be completed by the librarian.
2. This form and the master copy are given to the
printing officer for publication.
3. The printing officer determines whether it will be
printed in-house or by GPO and its contractors,
basing his decision on the number of copies and
pages.
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PUBLICATIONS OF THE EPA LIBRARY SYSTEMS BRANCH
KPA-I.I B-73-01
July 1973
EPA-LIB-7 3-04
July 1973
EPA-LIB-73-0 5
June 1973
EPA-LIB-7 4-01
February 1974
EPA-LIB-74-0 3
August 1974
EPA-LIB-74-04
December 1974
Ki'A Reports Bibliography - Listing of
EPA Reports Available from the National
Technical Information Service as of
April 1, 1973. PB 223 693/3 PC $10.00/
MF $2.25
State and Local Environmental Libraries
- a Directory. PB 225 556/0 PC $3.00/
MF $2.25
A Selected List of Translated Non-English
Material of Potential Interest to the U.S.
Environmental Protection Agency. PB 225
612/1 PC $2.75/MF $2.25
A Description of the Environmental
Protection Agency In-House Library Systems.
PB 231 335 PC $4.50/MF $2.25
EPA Reports Bibliography, Supplement - a
Listing of EPA Reports Entered into the
National Technical Information Service
between April 1, 1973, and December 31, 1973,
PB 234 215 PC $10.00/MF $2.25
Guide to EPA Libraries
EPA-LIB-74-05
October 1974
EPA-LIB-74-06
December 1974
User's Guide to the Environmental Protection
Agency Library System, including "Special
Collections of United States Environmental
Protection Agency Libraries"
EPA Book Catalog Retrospective up to August
1974
EPA-LIB-75-01
January 19 75
EPA Book Catalog. August 19 73 - December
1974
EPA-LIB-75-02 Journal Holdings Report - 1975
Focus: Library Services - Headquarters
Library
71
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INVENTORY AND PROPERTY ACCOUNTABILITY
Policy
1. The EPA Book Catalog and Journal Holdings Report and
Accessions Lists serve as the inventory record for
EPA libraries.
2. Libraries are accountable for materials in excess of
$5000, as detailed in the EPA Property Management
Regulations.
3. Librarians are asked to estimate the value of their
collections on an annual basis in accordance with the
EPA Property Management Regulations, part 115-27 (see
Figure 1 attached). Unbound journals are not consider-
ed accountable property at present. Estimates of
collection values are made by multiplying the number
of books in the collection by the average current price
of books; by multiplying journal holdings by average
current price of journals. Reports are to be submitted
to:
Mr. Oscar K. Rodgers
Reports and Analysis Branch
Waterside Mall, Room 3618, PM-226
401 M Street, S.W.
Washington DC 20460
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EPA Property Management Regulations
Part 115-27, Inventory Management
§ 115-27.5011-4 Inventory management of library books.
Records will be maintained for any organized collection
of books, bound periodicals, manuscripts, roll film and
microfiche etc., at an EPA activity when the total value
of the collection is valued at $5,000 or more.
(a) Only total quantities and total values need be
entered on the records. Titles and descriptions are not
required for property management and financial accounting
purposes.
(b) The property accountable records will be maintained
under the jurisdiction of the property accountable officers
in the absence of an existing cataloging/accounting system
maintained by a librarian.
(c) Where a library cataloging/accounting system
exists, the librarian will provide the basic information
required by this section directly to the financial account-
ing point.
(d) The quantity of library materials outlined above
may be ascertained by actual count or by estimating.
Estimates may be determined by counting the number of
uniform sized books on several shelves and multiplying
by the number of like-sized shelves.
(e) The total estimated value may be determined by
applying the average cost per volume to the total quantity
of volumes in the library. Annual report will be rendered
at the end of each fiscal year.
(f) Books, periodicals, manuscripts, etc., maintained
by individuals, for desk-side availability are considered
administrative references and will not be included in
library records.
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STATISTICS
Policy
Only meaningful statistics will be collected and these
on a random sampling basis. The only exception to this
policy will be statistics required as a part of the
on-going government-wide productivity program.
A Task Force of EPA librarians is currently working
on guidelines and forms for use in collecting statistics
for various purposes and on various activities. Defini-
tions of measurable activities are to be a part of the
Task Force's report.
This section of the manual will be revised as soon
as the work of the Task Force is complete.
74
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TRAINING
Staff. Training is essential if we are to be able to
improve our ability to cope with new demands and
situations, and improve our capabilities to provide
more services with the same or slightly increased staff.
The Library Systems Branch is attempting to provide
at least one training program per year. Each library
encourages the participation of a staff member in the
courses. In addition, each librarian encourages other
staff members to participate in training programs appli-
cable to his or her situation.
Training has been, and will continue to be, provided
in the areas of data processing, microform technology,
contracting, literature searching, profile development,
budgeting, and marketing of library services.
User. The Library Systems Branch has sponsored the
development of outlines for user education programs
aimed at various external user groups. These outlines
are being further developed, and syllabi and course
materials to be used as models for selected user groups
should be available by the end of 1975. Several tests
of the programs will be conducted in one or more of the
Regions or laboratories as time and resources permit.
These programs, when fully tested, will be available
for use by any Region, laboratory, or other EPA office,
or outside groups and organizations.
Internal user training is the responsibility of
each librarian in EPA. These programs vary but take
one of the following forms:
a. overall orientation on how to use the
library.
b. briefings on specific programs and services.
c. in-depth training programs on topics such
as literature searching, profile development.
d. "how-to-use" specific tools and services.
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PUBLIC RELATIONS ACTIVITIES
The library is responsible for publicizing its
availability to its users in order to encourage use
of its collection and services. Only by providing
satisfactory service to the users is the library
likely to get the support necessary to continue its
activities.
The library may use any or all of the following
public relations techniques to make users aware of its
programs:
a. issuance of a user's guide to the library
and its services. See 1 Exhibit E for a
recommended outline of this publication.
b. tours of the library
c. individual or group briefings on the
library
d. video tape preparation and distribution.
e. exhibits in prominent locations
f. exhibits for loan
g. films, slides, posters
h. speeches at meetings
i. briefings for management
j. newsletter or flyers to users
k. current awareness services (see SDI under
Reference Services)
1. announcements on bulletin boards.
76
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INTERAGENCY AGREEMENTS
The EPA Library System uses interagency agreements
to accomplish programs where resources are not available
within the System or where the program could better be
carried out by another Government Agency.
An interagency agreement is a mutual understanding,
arrangement or stipulation between or among two or more
Federal Agencies which pertains to a commitment of re-
sources or delineation of responsibility. It provides
for the procurement of service or support on a one-time
or continuing basis, and is approved and signed by autho-
rized representatives of each participating agency.
Interagency agreements are authorized under the
Economy Act of 1932, Title VI (see Figure 2), which
provides that "any executive department or independent
establishment of the Government....may place orders with
any other such department.... or office for materials,
supplies, equipment, work or services...". It further
provides that payment for services may be made "in advance
or upon the furnishing or performance thereof." Orders
are permitted where work cannot be more conveniently or
more cheaply performed by private agencies. Funds advanced
to special working funds "remain available until expended"
and are not subject to year-end restraints.
Interagency Agreements, in accordance with EPA Order
1610.1, must include a statement regarding the nature of
the agreement, the need for it, services or duties to be
performed, a rationale for the approach being taken, time
period covered by the agreement, project officer or person
to be contacted on matters concerning the agreement,
statement of authority under which the agreement is
drawn (the Economy Act of 1932, as amended and/or existing
laws and regulations relating to the agreement's program
area), data needed for preparation of financial provisions,
as in a transfer of funds, including name and address of
the agency with which the agreement is being entered into,
the fees or amount of reimbursement, appropriation and
account numbers, billing instructions with respect to the
frequency of payment, address of office to be billed and
billing method.
77
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INTERAGENCY AGREEMENTS
No one library is likely to be able to have on its
staff personnel with capabilities in all the languages
required during the course of a year's operations. EPA
uses interagency agreements with the Department of State
for non-technical translations, and the Federal Research
Division of the Library of Congress for English language
abstracting of materials received under the Agency's
various inter-governmental foreign document exchange
programs, to supplement its contracts with private trans-
lating concerns. An interagency agreement with the
National Technical Information Services (NTIS) was used
to provide an EPA Reports Bibliography and Supplement to
include all EPA and its former agencies' reports through
December 197 3. A continuing agreement provides for
up-dates to this Bibliography, receipt by EPA of computer
tapes to cover these reports and a number of other on-
going projects. Refer to Appendix F for copies of inter-
agency agreements.
Interagency agreements with the National Library of
Medicine provide all EPA staff with Medline and Toxline
searches through the EPA libraries.
An interagency agreement between EPA and the
Department of Interior provides support for centers of
competence feeding information into the Water Resources
Scientific Information Center.
A recent interagency agreement with the Environmental
Data Service, NOAA, provides for joint training programs,
bibliography preparation and other sharing of library
resources.
78
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Figure 2
EXCERPT FROM ECONOMY ACT OF 1932
Title VI—Intki
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H
X
a
H
w
H
i-3
cn
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INSTRUCTIONS FOR ENTERING BOOK HOLDINGS INTO ACCESSIONS FILE
The Technical Processing Section of the EPA Library in
Cincinnati is responsible for cataloging all books for the
EPA Library System. New acquisitions are reported to
Cincinnati by participating libraries on EPA Form 2100-1
(see Figures 1 and 2), commonly referred to as a coding
sheet. Basic instructions appear on the reverse side of
form. More specifically:
1. Initial articles are dropped from titles. All
articles are retained elsewhere in the title.
2. No abbreviations are to be used in the title
(although some acronyms, like CRC, are acceptable).
3. No punctuation marks are to appear in the title.
4. In the case of joint authorship, use the symbol
'+1 for 'and.'
5. Remember to complete the 30 record when there is
joint authorship or editorship. In the latter
case, don't forget to add 'ED.1
6. Subject headings use the ampersand (&) to signify
¦and.'
7. Assign subjects, if possible.
8. Volumes and editions should be inserted when
applicable; when both are required show volume
numbers first, followed by edition.
9. Consecutive editions, volumes, and/or dates of
publication are separated by a dash, e.g., ED 1-3,
1970-73.
10. When not consecutive, the puncutation used is a
comma, e.g., ED 1,3, 1960,75.
11. If necessary, use a combination of both, e.g.,
V 1,4-5, 1969,72-73.
12. When applicable, include the unique call number.
EXHIBIT A
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2
13. If full cataloging is not available arid an L.C.
card number appears in the book, include the card
number on the coding sheet in the extreme right
portion of the 30 record.
14. Always include the Library Code Number, which
requires three characters.
Serials or continuations may be added to the Accessions
File as open or closed entries. When the title will continue
to be received, the entry should be as follows: 1973- (space).
The dash indicates that this is an open entry. When the title
is no longer received, the entry becomes 1973 (without the
dash) if only one year was received, or 1973-74, closing the
entry and indicating the year it was discontinued.
When the serial or continuation has a date as part of
the title or covers information for a given year and is pub-
lished in a different year, the publication date should appear
first, followed by a parenthetical entry for the data year(s)
concerned. Examples:
1968 (1967) (only one year received)
V 1-5 1969-73 (1968-72) (start and stop years)
V 1- 1969- (1968- ) (open entry)
Remember that the first date is the year of publication
and the date in parenthesis is the year of information.
Once a series is complete, or is no longer received by
a library, a coding sheet should be submitted to Cincinnati
indicating that the entry has been closed (showing start and
stop years under date of publication, rather than an open
entry).
Because of the various sources of cataloging data, the
following procedure is suggested for submitting EPA Form 2100-1:
1. Check the new title against the current, monthly
accessions lists. If the title is a duplicate
against an item so listed, show 'DUPLICATE* in the
Book ID No. block, indicate title, call number and
Library Code.
2. If the title does not appear in the current accessions
file, check it against the August 1973-December 1974
-------
3
cumulated accessions. This is available in
microfiche and in hard copy. If listed, transfer
all of the cataloging data to the coding sheet.
A complete entry is required for computer input.
If not provided, the Cincinnati staff must search
it out. You can expedite the cataloging process
by being thorough.
3. If the search proves negative, check the title
against the microfiche or hard copy of the EPA
Book Catalog as of July, 1973 (referred to as the
retrospective file). If the title is listed, copy
all of the cataloging data onto the coding sheet
to expedite computer input.
4. Note at the top of each coding sheet the source of
the data entered, i.e., monthly accessions, cumulat-
ed accessions, retrospective file, CIP (Cataloging
in Publication), BPR (American Book Publishing
Record), or Interlibrary Loan (in case only an LC
call number is shown).
5. For material published before 1965, not included
in any of the named sources, presume that original
cataloging may be necessary and send with the coding
sheet a copy of the title page, verso, foreword or
introduction, table of contents.
Completed coding sheets are to be mailed to:
Technical Processing Section
Central Technical Library
U.S. Environmental Protection Agency
Cincinnati OH 45245
Once a month Cincinnati generates a book catalog of
additions to the Accessions File for the previous month,
with separate author and subject indexes, and an individual
current awareness list for each participating library. Each
of these reports is cumulated and published quarterly. The
final cumulation of the last quarter represents the EPA Book
Catalog for that year.
-------
Figure 1
BOOK 10 NO.
title I
NERVE MEMBRANES
00
LC NO.
QP363.J6
AUTHOR AMD CO-AUTHOR (Editor)
Johnston, Patricia V. +
Roots, B. I.
PUBLISHER
Pergamon
01
SYMPOSIUM ETC, ENTRY (H ner« s. *orj. )
International Series of Monographs in Pure and Applied Biology, V. 36
SUBJECT HEADINGS
11
1.
nerve tissue
2
membranes biology
3.
12
».
S.
6.
13
7.
B.
20
LIB CODE
EDITION. VOLUME (It necessary;
ED 2
PUBLICATION DATE
1972
30
CO-AUTHOR (Co-editor)
Roots, Betty I
EPA Form 2100-1 (6-73) UPDATE LIBRARY BOOK HOLDING'
(See instructions on the reverse)
Figure 2
INSTRUCTIONS
BK ID NO
TITLE
LC NO
AUTHOR etc
The form may be used to record either new acquisitions or to register
indicated on the form correspond to the computer fields of the book
NEW ACQUISITIONS
Leave this space blank
Enter complete title, excluding first
words of "the", "a" or "an" (118
characters available).
00 LC NO Enter call number
Enter personal authors by surname,
followed by first name and one initial
Enter co-author or co-editor simply by
surname and initials MUST ALSO
COMPLETE LINE 30 For editors, in-
clude "ED" or "EDS"
There are 20 characters available for
publisher's name
Identify symposium, sponsorship by
group other than author or publisher,
or other pertinent identifying informa-
tion
11 SUBJECT List subject headings to be included
12
13
a duplicate of another library's holdings Note that the numbers
holdings system.
PUBLISHhR
01 SYMPOSIUM
20 LIB CODE
EDITION
PUBL DATE
30 CO-AUTHOR
Insert numerical code for your library
Specify edition, revision, volume or
parts numbers (Ex: ED 2, V 1, 2).
Enter year of publication or, if not
available, year of copywnte (without
"C")
List full name of co-author or co-editor,
surname, forename, initials Include
"ED" if applicable
DUPLICATES OF TITLES ALREADY IN THE SYSTEM
20
BK ID NO
TITLE
LIB CODE
This is the number appearing in (he last
column on the right in the computer
run Insert on the form
Insert "Duplicate"
Complete all three items on this line
No other information is required
EP A Form 2100-1 (6-73) (Reverse)
-------
BOOK
ID NO.
TITLE
LC NO
AUTHOH AND CO-AUTHOR (t.dllor)
PUBLISHER
00
01
SYMPOSIUM, ETC, ENTRY (It necessary;
SUBJECT HEADINGS
11
l.
Z.
3.
12
4.
5.
6.
13
7.
8
9.
20
LIB CODE
EDITION, VOLUME (II nri enHoty)
publication date
30
CO-AUTHOR (Co-editor)
EPA Form 2100-1 (4-73) UPDATE LIBRARY BOOK HOLDINGS
(See instructions on the reverse"!
INSTRUCTIONS
The form maybe used to record either new acquisitions or to register a duplicate of another library's holdings Note that the numbers
indicated on the form correspond to the computer fields of the book holdings system
NEW ACQUISITIONS
00
BK II) NO
TIT Lb
LC NO
AUTHOR etc
PUBLISHER
01 SYMPOSIUM
1
12-
13
SUBJECT
Leave this spate blank
Enter complete title, excluding first
words of "the", "a" or "an" (118
characters available).
Enter call number
Enter personal authors by surname,
followed by first name and one initial
Enter co-author or co-editor simply by
surname and initials. MUST ALSO
COMPLETE LINE 30 For editors, in-
clude "ED" or "EDS"
There are 20 characters available for
publisher's name
Identify symposium, sponsorship by
group other than author or publisher,
or other pertinent identifying informa-
tion
List subject headings to be included
20 LIB CODE
EDITION
PUBL DATE
30 CO-AUTHOR
Insert numerical u>de for your librjry
Specify edition, revision, volume or
parts numbers (Ex ED 2, V 1, 2).
Enter year of publication or, if not
available, year of copywrite (without
"C").
List full name of co-author or co-editor,
surname, forename, initials Include
"ED" if applicable
DUPLICATES OF TITLES ALREADY IN THE SYSTEM
20
BK ID NO
TITLE
LIB CODE
This is the number appearing in the last
column on the right in the computer
run Insert on the form
Insert "Duplicate"
Complete all three items on this line
No other information is required
EPA Form 2100-1 (6-73)
-------
Document Control System
What is to be included in the Document Control System File?
1. All items not in NTIS (and only these) or CPA Reports File
2. State and Local government reports
3. University Reports
4. Thesis
5. Conference reports
6. Company reports
7. Association reports
8. GPO printed reports not included in NTIS
9. Other Government Agency reports not Included in NTIS
Note: No EPA reports are to be Included in the Document
Control System File.
How to select for inclusion in the Document Control System File.
1. Review collections on the shelf and sort out all reprints
(to go in the Reprint files to be established later)
2. Sort out all reports which have PB numbers
3. Send a list of all PB numbers covering non-EPA reports to
Sarah Thomas so that a tape on these PB numbers can be pro-
cured from NTIS and converted to our format. If you are
assigning an ID number of your own to these reports, your
input to the Document Control System should show only your
ID number and the PB number in the appropriate area of the
file. This will serve as a cross reference to the converted
EPA reports file from NTIS, and still provide the necessary
indexes to your collection.
4. All remaining reports should be included in the Document
Control System File.
How is the file to be used?
1. The Document Control System File will be built at each
individual library rather than on a centralized basis,
primarily due to the size of the collection involved.
2. The File will be used to generate locally required indexes
and reports. Thus it is essential that a policy be estab-
lished which allows additional records over the central
requirements.
3. The File will be merged with that of all other libraries
in the system to create a catalog of environmental reports
held by the EPA Library System. This is essential if we
are to participate in international programs. In addition,
it will give each of the libraries in the system access to
the documents contained in the other libraries' collections.
4. The File will be used in conjunction with the EPA book
catalog, EPA reports, international exchange, reprints
and other files to produce specialized listings, biblio-
graphies, and searches and to provided EPA and U.S. in-
put to the International Referral Service.
EXHIBIT B
-------
2
5. As a merged file it will be useful in our State and Local
Liaison activities and those with universities. All of
these files together will provide a very comprehensive
file of environmental information.
Recommended Standards for the Document Control System File.
1. All files must be constructed in the format specified by
the documentation and the input forms. Any additional
local applications must be included as added records,
and cannot affect changes on the basic set of records.
2. All ID numbers must include the Library Code as the first
part (normally three digits) of the number.
3. A record should be presented as It Is with the book system,
following the same instructions:
Use no punctuation in Title - Author - Subject Headings
Use no article at beginning of Title - Subject Headings
Abbreviations permitted:
a. None in title except at the end of the field if the
number of characters is larger than the element
length.
b. And in the Author area should be shown as a plus
sign +.
c. US and Gtbrit are permitted abbreviations in the
author field, both corporate and personal.
d. And in the Subject Heading field should appear as
&.
e. US_, Gtbrit, addr, cong, bibl are permitted abbrevia-
tions in the subject heading fields.
If the number of characters in the data is larger than
any element length, abbreviate only at the end of
the field, so that the sort will not be affected.
4. State codes should be entered using the two digit standard
postal system code, as shown in the attached listing.
5. Corporate sources should be presented in a consistant manner
in each of the individual libraries. The presentation by
Bernadine Hoduski which is attached, represents a very good
approach for Regional librarians. The laboratory librarians
may be more interested in an approach which takes the name
of the organization as it is shown on the document, plus the
lowest identifiable element of the organizational string.
For example, the library systems branch would appear as:
U. S. Environmental Protection Agency. Library
Systems Branch, Washington, D.C.
-------
J
ratlier than:
II. S. ISnvironmental Protection Agency. Assistant
Administrator for Planning and Management,
Management and Organization Division, Library
SystemsBranch, Washington, D. C.
6. Place of publication is to be included as part of the Corporate
Sou rce.
7. Corporate Source One should be the originating organization,
i.e., a Contractor.
8. Corporate Source Two should be the sponsoring organization,
where there is one.
9. Date is the date of the publication, using month and year when
known.
10. Conference name, date and place where it was held should appear
in the title of the publication field.
11. City and State fields are to be used as subject entries. Other
geographic designations are to be included as subject entries.
12. Orig. Report Number is for the number assigned by the
Corporate Source One.
13. Sponsor's report number is for the number assigned by the
Corporate Source Two, where there is one.
14. The PB number should be included when it is known. If it
is not known, the field should be left blank for updating
if and when a PB number becomes available.
15. If the filing location for a report is different than the
ID number assigned, an asterisk should become a part of
the field to show the user that the item can be located
by that element. The asterisk should always follow the
other information in that field. In other words, when
you are filing by PB number the entry would appear as
PB 228134 *. (separate asterisk from the information
by a space).
16. Catagory Code (Subject) is to be represented by a two digit
code similar to, or the same as, the attached listing. Any
additional codes assigned for local applications and inte-
rests should be registered with the central system so that
other libraries can use the same code and so that different
codes will not receive the same numbers.
-------
4
17. The Document Control System File will contain no EPA reports.
It will be limited to all items not in NTIS, state and local
government, university, company and association reports and
i hone from con fort* nee 8 and nympoala, and cIiomIb and ntlier
government (non-EPA) organizations reports not Included In
NTIS. Journal reprints are to be excluded.
-------
5
Document Control System
* ID - Number consists of 3 digit Library identifier and
(23) the shelf number
* Title Line One - No punction, no abbreviations first word
(90) must not be an article, must end with a full word
* Title Line Two - No punctuation, no abbreviation must end
(85) with full word
* Subject Class - Consist of one to three classification
(18) codes separated by a single space for example
(table A)
* Author One Author Three - No punctuation, only permit
abbreviations - (+=And), (US) (Gtbrit)
Use last name and first two initials
separated by a space
* Date - Date of Publication - in the form
mmyy - with leading zero, if no date enter all
zeros, if month is not known enter zero, for
example 0075
-------
6
Corporate Source -
Corporate source should be entered under lowest distinctive
name. All US and state corporate sources should be preceded
by either US or the appropriate two letter state abbreviation
i.e., CA Water Resources Control Board, US Geological Survey.
The distinctive element in the name should come first, i.e.,
US Mines Bureau DC, US Census Bureau DC, Ca Water Resources
Dept Sacramento. A state university should be entered under
the name of the state followed by location, e.e., CA Univ
Berkeley Engineering Dept but Univ of Southern California
Los Angeles (private institution). All corporate entries
should include the city where the corporate body is located
if known. If it is Washington, D.C. use DC. Bernadine is
providing us with a list of government corporate sources to
use as a guideline.
Corporate Source One -
Should be originating Organization no punctuation
Corporate Source Two -
Should be sponsoring ORG no punctuation
Additional Uses:
Corporate sources should be presented in a consistant manner
in each of the individual libraries. The presentation by
Bernadine Hoduski which is attached Table B, represents a very
good approach for Regional librarians. The laboratory librarians
may be more interested in an approach which takes the nae of
the organization as if is shown on the document, plus the lowest
identifiable element of the organizational string. For example,
the library systems branch would appear as:
US Environmental Protection Agency. Library Systems Branch
Washington DC
rather than:
US Environmental Protection Agency. Assistant Administrator
for Planning and Management, Management and Organization
Division, ,Library Systems Branch Washington, DC
FCRP
ASSN
UNIV
INC
LTD
NATL
-------
7
* Subject (a) One Six - No Punctuation
and = & Two Digit Alphabetic FIPS State Code
Only (b) Abbreviations US/ Gtbrit, Addr, Cong, Bibl, Div
(c) City, State Entries are to be used when Geograph-
ical location is significant use two digit State
PB Number - if known enter the 12 digit NTIS number for the
document, otherwise leave blank
Originator RPT No - the number assigned by corporate source
One - which is the originating organization.
Two which is the sponsoring org if one
The sponsoring organization exists
Series - If the Report is part of a series - non Critical
Field Conference Name date place where it was
held should be entered - if not in the Title
field.
-------
8
SUBJECT CATEGORY CODES*
01 Air Pollution and Control
02 Noise Pollution and Control
0 3 Solid Wastes Pollution and Control
04 Water Pollution and Control
05 Pesticides Pollution and Control
06 Radiation Pollution and Control
07 Environmental Health and Safety
08 Environmental Impact Statements
09 Area Reports
10 Environmental Policy
11 Laboratory Technology
12 Energy
13 Transportation
14 Land Use
15 International Affairs
16 Oil Pollution, Control 1
17 Hazardous Materials
18 Toxic Substances
* Categories 01 through 0 8 are the subcategories of the NTIS
revised category 68 (Environmental Pollution and Control).
The ones following are from Jean Circiello. Please send me
your comments and any additional suggestions within the next
tv/o weeks and no later than
-------
CORPORATE AUTHOR or SOURCE
(Use as many as needed)
City
State
Main agency
Sub agency
e.g. Kansas City
e.g. Kansas City
Missouri
Missouri
Health Department
Board of Parks and Recreation
Air Pollution Program
County
State
Main agency
Sub agency
e.g. Jackson
Missouri
Health Department
Environmental Health
State
Main apency
Sub agency
e.g. Missouri
e.g. Iowa
Clean Water Commission
Dept.of Environmental Quality
Agricultural Wastes Section
UNITED STATES
Main agency
Sub agency
e.g. U. S.
Interior
Bureau of Mines
6.g. U. S.
National Industrial Pollution
Control Council
e.g. U. S.
Missouri Basin Interagency
Committee
1
International
Country
State
Main agency
Sub agency
Canada
Manitoba
Committee on Manitoba's
Economic Future
Flu 11 i - Go v e r nme n t
(Commissions, interagency groups, etc.
e.g. Mo-Kan Bi-State Planning Commission
University or Colleges
College or Dept.
e.g. University of Missouri
e.g. University of Missouri
College of Agriculture
Extension Department
-------
10
Codes and Abbreviations - Not Previously discussed
State Code use Two Digit designator
- Postal Office -
-------
:ID NO 1/23:TITLE
LINE ONE
25/90:
:TITLE LINE TWO
1/85:SUBJECT CLASS
87/8:
:AUTHOR CNF 1/2H:AUTHOR TWO 26/2U:ATTHCF THPEE 51/24:DATEf6/U:CONTP NO
81/15:
:COFFCRATE SOURCE ONE
1/99:
:COBFORATE EOORCI TWO
*
m
1/99:
:SUBJ ONE 1/30
•
•
•
SUB J TWO 3 2/ ?0
SUBJ THPEE
6 3/30:
: SUBJ FOOF 1/30
SUB J FIVE 3Zy?0
SUBJ SIX
6 3/30:
:FB NC 1/12 :ORIG KPT NO
1U/20:SPONS PPT ?r/2 0:SEPIES
56/60:
-------
ADDRESS ABBREVIATIONS 12
The abbreviations listed here may be used in addresses on mail. By using the city-State abbreviations, it is possible to enter city, State
and ZIP Code on the last line of address within a maximum of 22 positions: 13 positions for city, 1 space between city and State, 2 positions
tor State, 1 space between State and ZIP Code, and 5 positions for ZlPCode.
Planning foi advanced letter mail code/sort systems contemplates inputting the ZIP Code to represent the outgoing sort information. If
/IP Code is not used in the address, an abbreviation of the city and State must be substituted Since the planned abbreviation rules will not work if
Ihe city and State have already been abbreviated, it is essential that ZIP Code always be used with abbreviations on this list
• flU
U.-U1
CjI'Ivk*
CkjI font
OUatH . .
Cranectia!
De!i«yt
District s) Cctcmb*
Florida
Georfit
Go*
Hma
mo IETUR STATE
ABBRtViAIIONS
Aj.
hMo
ID
Montana .. .
MT
Rtade tsM „ .
n
M
lllimli
K
RebrisU
RE
Sovfl) CkoIim ..
SC
AI
Indira . .
n
Rex^d*
RV
Soott Dikata . .. .
SO
AR
ion
IA
flea Himpstnt
RH
Tenneswt
m
CA
Hum . . ..
KS
(lew Jerwj
RJ
Ttus
rt
CI
Kentucky
AT
He* Mem
... KM
IJUH
UT
CO
hwwm
IA
Hew Tort
IT
Vtrmocl
VT
CI
Kirm
ME
North Carolina
NC
Viriau
ot
Mifytad
Itont) Oikoti
10)
Vugis tilaads
X
MttUdUKRl ... .
MA
Oh*
OH
Wnhinfton
WA
11
Kltiig«l
Mi
Oklahom
OR
West Virfiou
wr
GA
Mmnessa
MR
Orejoa
OR
WlUORttl
GU
MS
Pewtsjlwia .....
PA
Wyooug
w
»
UlSMWI
. m
Purts Rico ...
PR
ABBREVIATIONS FOR STREET DESIGNATORS AND FOR WORDS THAT APPEAR FREQUENTLY IN PLACE NAMES
w«j
tademy . ,
Atwiqr....
Alport . .
Kit}
Arab
Arcade .
Annul. .
htm....
B*r»
Bck* ..
Bend ..
Black
BM ....
Bottom
Band ..
Bndft ..
Bnx* ....
B*t . .
BrJBJ .
Ctmc ¦¦ •
Ca-jr»—•
Cm . ...
Cc&cnr ¦
Ctetff -
CePtnl
Owe*.. .
Ontriw.
Dak . .
Mr ...
Ocr .. .
Cfaffs
Oa»
CoHeft....
Carre. ..
Coram
Ca*t .
Cotrts. .
Cwe . ..
Cm* ..
Crttceot .
C
Mt .
Da* .. .
Oepol .
Drrdl .. ..
Cnw.
bit ....
Eats .
WwnHiw
.. ACAD
. AGHCY
... arprt
. *IT
... MX
... MC
. MSI
... AVE
.. BYU
... BCH
.. BHD
. B6
BIK
. BLVD
... W
. BTM
... BR
BW
B6
. BTP
.. CP
.. en
... CPt
.. CWST
. ere
. en
... cm
.. CMS
ca
. cr
... cut
,. cin
. as
CLG
.. COR
. cms
. a
. CIS
... c*
. cm
ens
xtie
n.
. DM
DPO
CW
.. OR
.. f
.. CSI
m
Eipmssty..
Eitmdrf
Eitensioa
Fin . ...
falls
Farias . .
F«n»
r*M... .
Tutor .
Rati
Fort .
Forest .. .
Forje .
Fork
Forks
Fort
Foantai ..
Freeway
Fbtuci
tirJofB . ..
Gateway.. .
Glen ... .
Grand
Grot
Greet ... .
Ground. . ..
Gran ...
Hater. ..
Hma ...
Heijtrtj....
Hifti
ftlMufe .
Higbwiy....
H.I
Hi Hi
Hoik*. .
Kosprttf
Hal
Hots*.
Wet
tutitwti
Islart
Iilaads
bit . ..
JncbM....
Ml.
l*CS ,
Attrewlloi Word
.. EXP*
. EXT
... txr
. a
.. FlS
... FKMS
... FRT
. FID
... FIDS
. FIT
. Ftt
.. ntsr
... fug
... FW
. FRXS
... ft
... FT*
... FW*
... RiSR
.. GDKS
. GTWY
... CM
.. GKNO
... GR
. 6RR
. CltO '
. . GOT
... KBR
.. HM
... HIS
... Kl
. HODS
Hvnr
. . HI
.. HIS
. HOLW
... HOSP
. H
... KSE
. uaT
. net
... B
. S
... B
... XT
.. KT
.. tons
. INK
... u
.. us
Ul
IGT
m
If
IC<8
LOG
LWR
HJtt
. MODS
HT6
LifW
little
iMf
locks
lod^e
lowr
Manor
Meadows.
Meetini
Memorial MEtl
KidA M01
Kile Ml£
HiB HI
Kith tas
Wiaes MRS
Hum HSR
Hoc* MHO
Mount : Iff
Hoartun tfTV
National NAT
(ltd NCR
Rev NW
(tort* «
Orchard ORCH
films PUB
P»% R
Pirtwn PW
psit*: fw
Pines PHES
Place R
Plan M
Pino PUB
piaa. P12
Port PUT
Poid PI
Prw* PR
Randi RHCH
Randies BR CHS
Rapds , RPOS
Utonllia Wort AhtrwilGci
Sa ... SR
Saeta SR
Santo SR
School SCH
Semntan t SMOKY
Shoal SH.
Stash SHIS
Shade SHD
Start Stfl
Stares SK«
SjS«| SOG
Soott S
Space HIM Center SFC
Spnni * SPG
Sprup SPGS
S^ SO
State ST
StabN STA
Street v ST
Strew STR*
Sotpfar SIPHR
Sumrart SMT
Switck SWM
Tbwj IHW
Taven TVRR
Ttrrmiul TERM
Terrac* TO
Resort.,
first. .
Rid ft
Rivtr...
(bad ..
tod...
Rinl ..
Snot ..
Sunt* .
RESRT
BST
RD6
RN
RD
RK
R
ST
ST
Tot TR
Tooer liffl
Tom... . TWS ¦
Trail TH
1m\tt TRIR
Toaod TUtt *
Tan^rki TPKE
Upper U?B
Uroo* m -
Unirenity UNV
Vitley VIT
Viaduct VIA t
View VW
V!Ha|t VLG
ViBe VI '
Vista - VB 5
Witar .'. WT>
W*«» WU
West W
White WKT
Worts WIS „
Yrts m
aPCcdt
ABBREVIATIONS FOR POSTAL NAMES WHICH.CANNOT BE ABBREVIATED TO 13 POSITIONS Br USE OF THE STANDARD ABBREVIATIONS IN THE PRECEDING USI
Pwt Olfa Attfe»iibc> 2PCodt (M Office Attfcvubai Tf Coft
3MX4 FwfWtd Ri|tdands. ...
3V6U Joe Wheetar Oao ...
JSRl loMrP(«*Tret . .. .
JJ7SJ Omos Crau Ro^s ....
3iin VatasxueSpmp ...
99m AMUmtPm.
At*rr"«>«
FMRFID KGIDS
WHtELUt 0AM
IWRPCHTKE
OWOB XROS
VAUKRKSOSP6
AW*TV"
-------
LIBRARY
PROCEDURES FOR LOGGING ON
LOW SPEED TERMINAL - 2lhl
Turn on Low Speed Terminal
Pick up telephone
Depress talk "button
Dial 8-301-^96-1901 or 8-9OO-657-808U
When you hear a shrill "beep, depress data "button and hang up telephone
Hit return key on terminal (we will refer to return key as crt)
HIH will type out a message of one or two lines and then ask for:
INITIALS? you type mhf crt
ACCOUNT? you type wbrx crt
KEYWORD? hit crt
TERMINAL? you type h79 crt
COMMAND? you type set terse crt
? you type set lengthJ130 crt
IF THERE APPEARS TO BE TROUBLE IN THE SYSTEM DIAL:
8-301-1*96-5179 for a recorded
message relating the status of the systems.
If you are using a DATEL TERMINAL the procedures for logging on
are the same except for the 'depress talk button' and 'depress data
button instruction. Jin place of this, after you hear the shrill
beep, you simply place the telephone in the cradle.
EXHIBIT C
-------
2
FORMAT Of. CIRCULATION FILE ON EPASQ
rOLU.'W: DESCR1PTION
1-U3 Oocui-irnt Title with appropriate number
Cook - LC nunber
Report - number
Journal - date of issue
lib Space
4 5-GO flame of Borrower
Last name - lstr initial
61 Space
Office Phone Mumbr>r of Tor rower
70 Space
71-79 Building & Phone Number of Rorrower
80 Space
81-86 Pate Book was Borrowed
S7 Space
S3-33 Date Due if Inter-library
"3 4- Space
35-110 Name of Borrower on waiting list
111 Space
112-113 Office Phone# of Rorrower on Waiting List
-------
3
PROCEDURES FOR UPDATING
CIRCULATION FILE
It will be necessary to search two files for record line number in order to make
changes, corrections and deletes
SHORTVTERM.'C I R on EPAS02 /(this file number can change - make sure
you use the latest from, file log)
EXTENDED.CIR on FILE29
Use the printout sheets with the borrower's notation as the input for changes,
corrections and deletes
When a book is returned with the borrower's name noted on a buck slip, the circulatioi
desk must note the return on the Alphabetical Listing of Titles. The deletes will be
inputed from that listing.
Use the Sample Form as the input for all new circulations.
-------
1
TO DELETE A BOOK
you type list ("title of book exactly as entered on printout') crt
syctem will respond with the line number and data
you type delete (line number)
Check off deletes on printout as you do them
If the system responds with VOID RANGE
you know the "book must be on the 2nd filfe
After all corrections, changes & deletions have been made, save the file and
file backup.
Clear text and call in the 2nd file using all unchecked notations on the printout
as a basis. Make corrections, changes and deletes exactly as you did with the
1st file.
EXAMPLE OF A DELETE FOLLOWED BY -A SAVE
? del 1*9
? save short.term.ctr on epas02
"SHORT.TERM.CIR" ALREADY EXISTS ON EPAS02
TO REPLACE, REPLY "YES"
REPLACE? yes
"SHORT.TERM.CIR" REPLACED ON EPAS02
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5
TO MAKE A CHANGE OR CORRECTION
you typo use (file name) on (volum/i"name) crt
you type mod ('title of book exactly as entered on printout') crt
System will respond with the line number and data
You make necessary change using Vfy-lbur
After making the change "be sure to check it off the printout sheet
If the system responds with VOID RANGE
this signifies that the book is listed on the 2nd file, so you set aside
changes that are not found on the 1st file
Be sure to save periodically while updating
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6
ADDING HEW CIRCULATIONS TO THE FILE
you ty,)C UL'e SHORT.TERM,'CI R on EPASD2 Crt
you type libt 9 (this shows you a line format to follow) crt
you type list last (this shows you the last line number on the file) cj
you type c next line number crt
Example:, c 3183 crt
system will respond with number
3183.?
collect all new data
hit ATTN to get back into command mod
renumber the file
you type num
then save file and backup
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put Of v?r-: vsr^stJ •" r,E
ym 'yp': >*'f' './n ir-.^ v.> I? pT.t-<'*.- ,' ;>., '. r^.r.cr, '
system responds vith a job number
ask the system to locate your job
EXAMPLE; Loc 999 (appropriate job number) crt
When it responds vith
JOB 999 IN PRINT HOLD
yoTx type fetch 999
you type list last (this gives you the total number of lines to "be printed)
Call the Computer Room
Tell operator you have x number of lines to be retrieved from NIH
Give her the job number, job name, account number and initials
Ask to have the printout delivered to the library
Signoff and note the connect time on the log sheet for the 27^1
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CONTRACT
PROJECT
OFFICERS
ENVIRONMENTAL PROTECTION AGENCY
EXHIBIT D
//,! ,
—- i, > .
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jcONTKACT
PROJECT
OFFICERS
Thomas E. Carroll
Assistant Administrator (or Planning and Management
Howard M. Messner
Deputy Assistant Administrator for Administration
Edward T. Rhodes
Director, Contracts Management Division
November 1971
ENVIRONMENTAL PROTECTION AGENCY
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FOREWORD
At one time, the negotiated contracting responsibility with the
various organizations which now constitute EPA represented a small
responsibility in relation to total budgets and expenditures. In the
past five years, these organizations have greatly Increased the number
of programs which require outside contribution not only in the grants
area but also in the negotiated contracting area. More and more profit
making organizations are becoming interested in conducting research and
development to solve our environmental problems. Therefore, a much
more competitive atmosphere exists than did five years ago. In the
yearB ahead, we will be directing more of our funds toward the
negotiated contracts mechanism. We should take advantage of this
competitive atmosphere but at the same time observe the basic principle
of fairness to all prospective contractors as this manual suggests.
It is important that all EPA employees be well aware of the procedures
and policies to be followed in the negotiated contracting process. This
manual does not go into all of the voluminous public laws, procurement
regulations and local policies pertaining to Government procurement.
It is intended to be simple guidelines written for you, the prospective
Project Officer. As you read this closely, 1 am sure that you will
agree with me that the guidelines given here are based upon a common
sense approach that you as a fellow taxpayer will want to follow when
i
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placed in the position of influencing the expenditure of public
funds.
I hope that all employees will view these guidelines not as
hurdles but as stepping stones in awarding negotiated contracts in a
prompt and professional manner to accomplish the EPA mission. An
early and open communication between the Project Office and the
Contracting Office is an essential element in the negotiated contracting
process. I urge all prospective Project Offices to involve their
respective Contracting Offices in the early phases of all negotiated
contract planning.
omas E. Carroll
Assistant Administrator
for Planning and Management
ii
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GUIDE
ENVIRONMENTAL PROTECTION AGENCY
GUIDE FOR CONTRACT PROJECT OFFICERS
Page No.
PART I
NEGOTIATED CONTRACTING PROSPECTIVE 1-6
PART II
PRESOLICITATION PLANNING AND DETERMINATIONS 7-28
A. Advance Procurement Planning 7-10
B. Competitive vs. Noncompetitive Procurements ... 10 - 14
C. The Written Request for Negotiated Contract ... 14 - 17
D. Obtaining Sources 17-21
1. Research and Development Sources Sought . . .19-20
2. Individual Synopsis 20-21
3. Source Files 21
E. Preparation of the Request for Proposal (RFP) . .22-28
1. Scope of Work Preparation 23-25
2. Technical Proposal Requirement of the RFP . . 25 - 2-7
3. Business Proposal Requirements of the RFP . .27-28
4. Inclusion of Proposal Evaluation Criteria in RFP 28
lii
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Page No,
PART III
SOLICITATION, EVALUATION, NEGOTIATION, AND CONTRACT AWARD ... 29-41
A. Solicitation 29-32
1. Relations and Communications with Prospective
Contractors 30-31
2. Safeguarding Information Received from Prospective
Contractors 31
3. Receipt and Handling of Proposals 31-32
B. Evaluation 32-36
1. Technical Evaluation 32-35
2. Business Evaluation 35-36
C. Negotiation and Contract Award . 36-41
1. Pre-Negotiation Conference 37
2. Negotiation and Contractor Selection 37-39
3. Contract Preparation and Coordination 39-40
4. Contract Award 40-41
PART IV
CONTRACT MANAGEMENT RESPONSIBILITIES OF THE PROJECT OFFICER . . 42-57
A. Evaluation and Control of Progress 42-46
1. Progress Reporting 43-45
2. Progress Reviews 45-46
B. Administration Required by Contract Provisions .... 46-53
1. Prior Approval Items ..... 46-50
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Page No.
2. Evaluation of Inventions and Data Rights . . . .50-51
3. Handling Cost Overruns 51-53
C. Contract Modifications 53-56
1. Types of Contract Modifications 53-55
2. Modifications Within the Scope of the Contract
va. New Procurement 55-56
D. Contract Completion 56-57
PART V
SPECIAL CLEARANCES 58-64
A. Printing 58 = 59
B. Questionnaires - Forms 59
C. Contractor Use or Acquisition of Property 59-60
D. Foreign Research Contracts 60
E. Equipment and Services 60-61
F. Management Consultants 61
G. Classified Contracts 61
H. Modification of Unauthorized Coomltmenta 61-62
I. Motion Picture Production Requirements 62
J. Unsolicited Proposals 62-64
PART VI
EXPLANATION AND DEFINITIONS 65-86
A. Types of Contract Requirements 65-67
1. Service Contracts 65-66
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Page No.
2. Data Requirements Contracts 66
3. Material or Hardware Contracts 66
<+. Combination Requirements 66-67
B. Personal Versus Non-Personal Services Contracts ..... 67 - 68
C. Types of Contract Cost Arrangements 68-78
1. Cost-Reimbursement Contracts 68-74
2. Fixed-Price Contracts 74-77
3. Fixed-Rate Contracts . . . 77-78
D. Architect and Engineering Contracts ..... 78-79
E. Definitions 79-85
F. Responsibility Chart 86
vi
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PART I
TteqaUatecl @o#t>tacUttQ
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- PART I -
NEGOTIATED CONTRACTING PROSPECTIVE
There are a number of fundamental tools utilized by EPA to
accomplish its mission. The principal mechanisms are the in-house
project, the grant, and the contract. Determining the proper blend
of these tools is a prime responsibility of program managers. The
grant and the contract are the most complicated and involved because
in both instances large sums of money are being passed on to organiza-
tions (profit and non-profit) outside of the Government who are in one
way or another competing against each other for recognition. At this
point, the similarity between Grants and Contracts ends.
Let us examine the basic differences between the Grant and Contract
s ituations.
Controls
In theory the contract situation calls for more controls to be
placed upon the contractor than would normally be called for under the
grant situtation; however, there are varying degrees of controls written
into both types of agreements depending upon the situation. The contract
generally places more rigid controls on expenditure of funds than does
a grant.
1
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Solicitation and Application
Under a contract situation, the initial contact with the prospective
contractor(s) is usually made by the Government in the forw of a
formal solicitation (Invitations for Bid or Request for Proposal).
Under a grant situation, the initial action is usually taken by the
prospective grantee in the fofin of an application submitted to the
cognizant program or grants rranageuient office; however, EPA legislation
allows for sorue programs to solicit grant applications.
Percentage of Reimbursement
The Contractor generally expects to be totally reimbursed (including
profit if appropriate) for the material and services provided under
a contract. However, most grants contain cost-sharing arrangements
which require the grantee to contribute a certain portion of the
total amount.
Profit or Non-Profit
Although some of our EPA contracts are written with non-profit
organizations, the contract mechanisms are designed for a profit
situation. In many instances competition is conducted prior to
contract award. Grants are not normally awarded to profit making
organizations, nor can formal competition be conducted in grant
awards.
Benefits
The type of benefits to be derived from the project may also
determine the selection of either the contract or grant mechanise.
2
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Grants are often used as a device to assist in the financing of
projects. Contracts are usually awarded to secure services and
equipment required by the EPA programs in working on national
problems.
Due to variances in EPA grant program legislation, the general
criteria distinguishing a grant from a contract situation are subject
to exception. If the Project Officer has any doubt as to the type
of agreement to be employed, he should contact his Contracting
Officer or Grants Management Officer at the inception of the require-
ment. Additional information regarding Grants is available in the
EPA Staff Manuals to be distributed by the EPA Grants Management
Division.
After a determination has been made that the project requirement
can be best handled by the contract mechanism, an additional determina-
tion is needed to decide if the situation calls for an advertised
contract (IFB) or a negotiated contract (RFP). Many people consider
the word "advertised" to be synonymous with "competition" and the
word "negotiation" to be synonymous with "sole source." This is not
always the case and often causes much confusion for the Project
Officer and eventually the Contracting Officer.
The basic criteria for an advertised contract situation are as
follows:
3
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(1) It is possible to define mlequately the contract
requirements to the extent that qualified bidders
can provide fixed price bids on an equal technical
basis for like equipment or services.
(2) The Contracting Officer is willing to raake a
contract award to the lowest responsive bidder
without a need for technical evaluation and without
Project Office discussion with bidders.
(3) It is reasonable to believe that more than one
source can provide a bid on the requirement.
(4) The Government's initial estimate for the require-
ii ent is in excess of $^,500 for material or services
or in excess of $2,00u for construction. (Procurements
of small dollar value are generally not considered
to be worth the time and expense involved in a formal
advertised procedure and may be negotiated by using
a less involved competitive procedure.)
In contrast, the basic criteria for a negotiated contract situation
are as follows:
(1) It is not possible to adequately define contract
specifications (such as for research and development
requirements) to the extent that the Government would
4
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be satisfied by awarding the contract to the lowest
offeror based upon price competition alone.
(2) The Contracting Officer determines that another form
of evaluation in addition to the cost evaluation is
required. In most cases a technical evaluation is
necessary to d etermine those proposals which are the
best technically. In sonie research and development
requirements, it may be in the best interest of the
Government for the Contracting Officer to select a higher
price proposal depending upon the degree of its technical
superiority as determined by the project officer.
(3) If after a survey of existing technical sources and
their respective capabilities, it is determined by the
Contracting Officer that there is only one source (including
educational institutions) who can meet the requirements of
the proposed contract. (The various criteria for sole
source selection will be presented later.)
According to existing laws, regulations, and good business practice
the Contracting Officer must first consider the element of competition
in a negotiated contracts situation. If the negotiation method is
determined to be more appropriate than the advertised method, this is
not justification in itself for sole source contracting. In both
5
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advertised and negotiation situations, competition is the first
consideration.
The following PARTS II through IV cover the complete negotiated
contracting process from the initiation of the requirement by the
Project Office through to the contract completion. PART V covers
special situations which are often associated with EPA negotiated
contracts and PART VI includes soi.^e brief explanations, definitions,
and a chart of responsibilities which are intended to aid the Project
Officer's understanding of the negotiation process as it should be
performed in EPA.
It is the intent of this manual to provide prospective contract
Project Officers with an understanding of the negotiated contracts
nechanisni and the procedures involved, and to provide effective
communications between Project Officers and all supporting administrative
elements, i.e., Contracting Officers, attorneys, and auditors.
6
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PART II
^netolioCtcvUoK 'PIahkIkq cuut ^et&untouM
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- PART II -
FRES0LICITAT10N PLANNING AMD DETERMINATIONS
The most important, yet often most overlooked, phase of the
negotiated contracting process is the presolicitation phase. The
Contracting Officer is the Government's only authorized representative
to solicit a formal proposal frcnt a prospective contractor. The
Contracting Officer is required by law to make certain significant
determinations during toe process, most ot whlcn have to oe made
prior to solicitation. Therefore, it is extremely ixiportant for
the initiatins project office to contact the Contracting Officer
iuaiiedlately upon conception of a contract requirement. Many of
the problems encountered in the negotiated contracts process today
have occurred because an early and open couniunicatlon was not held between
the initiating project office and the Contracting Officer. The
initiating project office should attempt to designate a responsible
Project Officer as soon as possible during the presolicitation process.
The designated Project Officer should become closely associated with
the propoaad contract [urogram and should serve as the technical
contact for discussions v/lth the Contracting Officer throughout the
process.
A. ADVANCE PROCUREMENT PLANNING
The effectiveness of the contracting activity is greatest
and the interests of the initiating project office are served
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base if procurement planning is conducted bellotv the tou.ioL
written Procurement Request document is initiated by Che Project
OfTiL.M. Tndeud, the very nature and complexity oi Kr\ n>L the Government's requirements from both a technical and
8
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a contractual standpoint.
(3) An early determination can be made that Internal approvals
and clearances are required and action can be initiated
early enough so that contract award will not be delayed.
(Many of the approvals and clearances will be discussed
in PART V.)
(6) The effectiveness of the EPA negotiated procurement process
in obtaining acceptable technical products or services at
the lowest possible cost is improved.
(7) As an advance planning tool, the contracting office may
initiate a competitive solicitation by incorporating in the
Request for Proposals a provision indicating that funds are
presently not available and that an award under the solicita-
tion is contingent upon the availability of funds. This
procedure shall be followed only when the funds which are
envisioned to be used are under Congressional review and the
appropriation of the funds is imminent.
(8) Legal and regulatory requirements obviously affect the
procurement leadtime. One advantage of early contact with
the Contracting Officer Is that it provides him with the
opportunity to anticipate the procurement steps ahead In
view of the specific situation, procurement leadtime may be
shortened if the contract situation can be well thought out
in advance.
9
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Since Che basic planning inputs are generated by the technical
program organisation, advance procurement planning action oust
originate from that organisation. However, it le the Contracting
Officer's responsibility, when planning action is initiated, to
provide the guidance necessary to make sure that the planning
effort actually does produce the desired results.
B. COHPgTlTIVB VS. HOW-COMPETITIVE PROCPRBiENTS
The document which the initiating project office submits to
fomally initiate its technical requirement shall be discussed
in detail later; however, in the event sole source procurement
is recommended, a separate memorandum shall be attached which
justifies and thoroughly documents the sole source recommendation.
The final decision as to sole source solicitation rests with the
Contracting Officer. This sole source recommendation or "Justifica-
tion for Hon-Competitlve Procurement," shall be discussed by the
Project Officer and the Contracting Officer during the ADVAWCK
PRPCURJ5MEWT PLAMNIWG period previously described.
Procurement law and sound procurement practices require that
competition be obtained whenever possible. There are circumstances,
however, where one institution or coonaercial organisation possesses
an exclusive or predominate capability by reason of experience,
specialised facilities, or technical competence, to perform the
work required. In such instances, the program official introducing
the requirement to the procurement process may recommend acquisition
10
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from a single source. EPA guidelines on noncompetitive procurement
are contained in EPA Order 1900.1.
The following instructions are set forth to provide meaningful
guidance to the individuals responsible for initiation of the non-
competitive procurement justification document:
(1) The requirement for such justification does not apply to the
folloving:
a. Procurements of $2,500.00 or less;
b. Procurements froa or through other Federal agencies;
c. Procurement of utility services vhere the services are
available from only one source.
(2) The justification document shall give clear and complete
discussion of the reasons that preclude competition and
shall contain as a minimum the following information:
a. Is this requirement a continuation of previous work
performed by this contractor? Relate pertinent background
data and identify the continuation of any previous work
giving reference to the contract number(s) .
b. State whether drawings and specifications suitable for
competition are available. If drawings and specifications
are not available, state why not, and the leadtlne and
cost required to obtain them.
c. List other contractors considered for this requirement;
the degree of consideration given to them; and the particular
capabilities they lack to fill this requirement.
11
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d. State why the contractor selected Is best able to fill
the requirement and meet the required delivery schedule.
Consider such factors as the
(1) Particular capabilities. (What capability does the
proposed contractor possess that Is so unique to
the specific effort that it would exclude offering
all other sources In the same general field the
opportunity to present their capabilities for evaluation
competitively?)
(2) Facilities and/or specialized equipment. (What facilities
and test equipment does he have which are specialized and
vital to the effort and which cannot be provided by
other sources?)
(3) Substantial investment. (Does he have a substantial
investment of some kind which would have to be duplicated
at Government expense by another source entering the
field?)
(4) Inadequate technical data and information. (If lack of
drawings or specification is a guiding factor, why is the
proposed contractor best able to perform under these
conditions?)
(5) Continuation of previous effort. (Is the effort a
continuation of previous effort performed by the
proposed contractor whereby to make an award to
12
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another contractor at this time would require additional
funds and time to bring the new contractor up to the present
level of expertise of the Incumbent?)
<6) Patents, data, and copyrights. (Is competition precluded because
of the existence of patent rights, copyrights, or proprietary
processes?)
(7) Uniqueness of approach or capability. (What prior experience
of a highly specialized nature does the proposed contractor
possess which is vital to the proposed effort? Does the
contractor have personnel considered predominant experts
in the particular field?) The fact that a proposer sends
in a proposal containing a unique idea or proprietary data
does not in Itself constitute a noncompetitive source of
supply. It may be possible that there are other potential
sources with an equally suitable approach or proprietary
ideas which could accomplish the same end results. If a
situation of this nature develops the Government representative
shall draft a performance scope of work that does not compromise
the unique idea or proprietary data of the proposer and which
will give other potential sources an opportunity to compete.
(8) Phasing of procurement. (Is the basic rationale of the prior
state of the procurement applicable to the follow-on stage?
If not (a) la competitive procurement now possible or (b)
do other factors exist which Justify a noncompetitive situation
for the follow-on stage?)
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Tke four items set forth as a, b, c, and d, above, will
be included In the Justification even if a negative statement
must be made (e.g., this requirement is not a continuation of
previous work performed by this contractor). Tke justification
need consider only tke pertinent sub-items (1) tkrougk (8)
above. The Justification will be documented only by information
that is based on facts ratker than unsubstantiated conclusions.
Documentation in the Justification should be sufficient to
permit an individual vlthout technical competence la the area
to follow the rationale.
C. THE WRITTEN REQUEST FOR HECOTIATED OOBTRACT
The Project Officer formally initiates his negotiated
contract requirement to the Contracting Officer in the form of
a written procurement request. The following basic information
should be included with the Procurement Request (EPA Form
Ho. 1900-8):
(1) Title of Project (include Program Element Identification;
(2) Estimated period of performance (in months). Distinguish
between technical effort and time for submittal of
final report wken appropriate;
(3) Project Officer;
(A) Background. Briefly, what is the status of present
knowledge in this field? What is the present need?
14
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Does this project meet that need? What other contracts
are in existence or in process of negotiation with other
organizations or Individuals which are designed to
accomplish a related purpose?
(5) Purpose of contract or modification. What is the proposed
program designed to do or furnish? What use will be atade
of the product or service co be procured?
(6) Procurement abstract. Describe briefly for publicity
purposes both program background and scope of work. This
abstract will be Included in all aaterlal synopslsed in
the Commerce Business Dally and nay be transmitted internally
for information purposes. Abstracts for competitive procure-
ments should contain remarks about desired qualifications
of prospective contractors so that unqualified firms will
not become involved.
(7) Scope of work. Describe work and services to be performed,
including in detail the methods (statistical, clinical,
laboratory, epidemiological, etc.) that will be used.
Aside from money, what other Government contribution
(equipment, property, etc.) will be necessary? Have
any arrangements been made for the Government contribution?
(8) Proposed budget with estimated man-hours involved.
(9) What types (monthly, quarterly progress and/or financial)
of reports or other certification of satisfactory progress
15
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will be required and how many copies of each are necessary? The
project office must specify the quantity of final reports to be
delivered by the contractor. If a draft version of the final
report is required for Government review, how many days will be
needed for this review and return of the corrected draft report
to the contractor for preparation of the final version? How
long a period will be needed for the contractor to prepare and
distribute the final report?
(10) What clearances will be needed (printing, data processing,
questionnaire, management consultant, foreign contract, etc.)
and what action has been taken to secure these clearances?
(11) List of proposed contractors. If only one source, then the
"Justification for Noncompetitive Procurement" described in
PART II must be included.
(12) Evaluation criteria for competitive procurement. (Can be
attached as separate document to be Included in the Request for
Proposal.)
This same document may also be used by EPA program offices
as a program approval document. The Contracting Officer will not
commence action on the procurement until the proposed contract
Is approved from a technical standpoint by authorized
program officials as designated by the respective Assistant
16
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Administrator. In the event that additional inter-Government
clearances and approvals are required the Project Officer
should thoroughly document the action taken or to be taken.
FART V includes additional information on these clearances
and approvals which occur frequently.
The Procurement Request document is required for each contract
modification involving additional contract effort with additional
funds and for each new contract which requires additional funds.
Other types of requests for contract modification actions such
as no-cost time extensions, administrative changes, etc., may
be handled in a less formal manner as prescribed by the Contracting
Officer.
D. OBTAINING SOURCES
Depending upon the type of requirement (services, research,
film production, testing, equipment, etc.), there are various
methods used to obtain prospective sources under a competitive
situation. The initiating project office and contracting office
should be jointly interested in obtaining qualified sources and
in assuring that adequate competition can be conducted.
The Federal Procuraent Regulations require, with few
exceptions, that a synopsis of proposed procurements estimated
to exceed $5,000.00, be published in the Commerce Business Daily.
17
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The synopsis procedure is to be used to the fullest possible
extent In order that potential sources may learn o£ the Government'a
Interest in specific fields, and to obtain full competition in
Government prime and subcontracts.
Some of the major exceptions to the synopsis requirements
are: classified procurements, inter-agency orders, personal or
professional services, education institutions, an order placed
under an existing contract, and unusual or emergency requirements.
Success of the EFA Small Business Program depends upon the
degree of project office participation. The initiating project
office must confer with the contracting office to cooperatively
seek and develop information on the technical competence of
small business concerns for products and/or services contracts.
CPA Small Business Advisors regularly bring to the attention of
Contracting Officers and Project Officers, descriptive data,
brochures and other information as to small business concerns
that are apparently competent to perform the work in fields in
which the purchasing activity is interested. In addition, the
Small Business Administration caa provide pertinent information
concerning potential economically or socially deprived suppliers
by making available preferential 8 (a) contracts In accordance
with the Small Business Acts of 1953. Full consideration shall
be given to such information in selecting qualified sources.
18
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There are three basic ways to obtain sources for negotiated contract
requirements initiated by the Project Officer.
(1) Research and Development Sources Sought
In research and development, the Project Office is usually
involved in a specific technical area where the state-of-the-
art is constantly being redefined and the latest technical
information may not yet be published. As a result of this
constantly changing environment, new research and development
sources become available almost every day. Also, older, more
established organizations, might suddenly develop capabilities
not previously known to the initiating project office.
In research and development programs, the Commerce Business
Daily may be used to publish advance notice of the EPA's specific
requirements or interest in specific fields. Through this
mechanism potential sources are given an opportunity to submit
information demonstrating their capabilities in a specific field
or for satisfying specific requirements. This mechanism enables
EPA project offices to obtain the best possible sources and to
eliminate marginal sources who might be wasting their effort and
money by submitting proposals in response to routine Request
for Proposals. Proposal preparation can be very costly and if
the contractor does a sizeable amount of Government work, the costs
of preparing proposals are included in overhead costs shared by
the Government.
19
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Respondents to Sources Sought Synopsis are evaluated by EPA
project personnel on professional qualifications of scientists or
other technical personnel, general and special facilities, and
experience in previous or current projects in the given area.
The Contracting Officer is responsible for preparing and
forwarding the synopsis to the Coomerce Business Daily and is also
responsible for receivlqg the information submitted by prospective
sources. The initiating project office is responsible for assisting
the Contracting Officer in preparing the Sources Sought write-up.
A8 a minimum, the project offices should provide an outline of the
major tasks or major programs to be accomplished under the
contemplated procurements or group of procurements and the criteria
to be used in evaluating source capabilities. The information received
by the Contracting Officer in response to the synopsis will be forwarded
to the project office for evaluation and ratings. The project office
may add other known qualified sources in addition to those responding
to the final source list.
Indidlvudal Synopsis
In a situation where the R&D Sources Sought Synopsis is not
appropriate, an individual synopsis will be released to the Comnerce
Business Daily at least two weeks before the Request for Proposal
is issued. This method is more appropriate for requirements that are
more defined than the R&D type of programs or in situations where
time is not available to utilize the Sources Sought described above.
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Since there Is no evaluation of the sources requesting Requests
for Proposals, the individual synopsis should be written clearly
to show the specific qualifications that the potential sources
must have to be considered as acceptable offerors. The Project
Officers may recommend known sources to be added to the source
list prior to or after the issuance of the individual synopsis.
(3) Source Files
In situations where there are contract requirements of a continuing
nature that are within specific technical areas, the Contracting
Officer will maintain source files. These lists may be used on
a rotation basis. For instance, if there are 100 qualified
sources, the Contracting Officer may choose to solicit proposals
from 10 sources each time a requirement is generated. If it is
appropriate to use the source file method, the Contracting Officer
must assure that the files are up-to-date with the latest capable
sources. New procurements still require the individual synopsis
even though source files are utilized.
The three basic methods described above can be used with variation.
In some instances, it may be appropriate for the Contracting Officer
to employ a combination of two or all three of the methods to obtain
sources for negotiating contracting requirements.
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E. PREPARATION OF TEE REQUEST FOR PROPOSAL (RFP)
After receipt of the approved Procurement Request document,
other required inter-Agency or inter-Government clearances, and
selection of the sole source or sources, the Contracting Officer,
with assistance from the Project Officer, will prepare and release
the Request for Proposal (RFP).
Although the exact format may vary within EPA components, the
negotiated contracts RFP should contain the following essential
Items:
- Transmittal Letter
- Solicitation Instructions
- Special Provisions with Scope of Work
- EPA General Provisions
- Proposal Evaluation Criteria
- Technical Proposal Instructions
- Business and Cost Requirement Instructions
- Bidder Representations and Certifications Statement
This type of RFP package should be used for both multi-
source and sole source documents; however, the extent of information
requested under a sole source RFP could be limited if the Contracting
Officer is convinced that circumstances warrant a less detailed
proposal.
The project office is responsible for all technical contents
of the RFP including the Scope of Work or Statement of Vork, the
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instructional material relating to the contents of the technical
proposals find the proposal evaluation criteria.
Scope of Work Preparation
The amount of detail to be put into an RFP Scope of Work
will be determined by the type of technical requirement* There
are obviously many unknowns in a basic or applied research
situation; therefore, the RFP Scope of Work will tend to be
general and flexible enough to permit the prospective proposers
some degree of latitude in structuring a technical approach to
solve the problem. On the other hand, the Scope of Work for
an advanced development or Hardware requirement should be more
definitive as would an RFP Scope of Work for testing or survey
services which would define the amount and type of tests or
surveys. In all situations, the project office should draft a
Scope of Work which is clear, and contains no ambiguities. A
good Scope of Work is a prerequisite to an effective and efficient
contract.
Work statements can vary from simple statements of objectives
to complex statements of performance requirements. Regardless
of their simplicity or complexity, certain general principles
apply to all of them. First, work statements must be neither
so narrow as to restrict the Contractor's efforts nor so broad
as to permit the Contractor to explore areas having little relation-
ship to the particular work. Secondly, a work statement defines
the Contractor'8 obligation and should therefore ue definitive
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enough to protect the Government's interests. Finally, a
contractor, taking his ultimate direction from the statement
alone, should be able to perform the required work. The
work statement will affect the procurement beyond directing
the contractor's effort and:
a. May affect the number of good sources willing and able to
prepare proposals for the work. If it is too broad, firms
may choose not to propose, either because of the risks
Involved or because they are not able to immediately relate
the work requirements to their talents. On the other hand,
if it is too restrictive, the most capable (and desirable)
sources may feel that their creativity will be stifled by
Government overdlrection.
b. Will affect the type contract that will be written. For
example, if the effort to be performed is well-defined
a fixed-price contract may be feasible. On the other hand,
if the amount of effort required to perform the work ie very
uncertain at the outset, a cost-plus-fixed-fee (CBFF) contract
may be necessary because of the inability bo estimate costs
accurately enough to set an acceptable fixed-price.
c. Can affect the basis on which the contract may be written.
For example, negotiated R&D contracts may be either completion
or term contracts. The completion contract requires the
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Contractor to complete and deliver a specified end product —
sucti as experimental hardware or a final report. The term
contract requires the Contractor to apply a specified level
of effort — by man-month or cost rate of effort — for combined
or separately designated categories of labor for a specified
period of time.
d. Will affect the evaluation of proposals, just as it will affect
the proposer's approaches to the work. Proposal evaluations must
be based on the work statement — on what the project office has
stated that it desires.
e. Will affect the administration of the contract, since it defines
the Scope of Work — what the Contractor does and what the
Government receives. The manner in which scope is defined will
govern the amount of direction that the assigned Project Officer
can give and what the Contractor will accept during the contract
period of performance.
Technical Proposal Requirement of the RFP
One of the principle advantages in using the negotiated contracting
mechanism to obtain research and development is that it gives the
project office the opportunity to perform a technical evaluation of
sources before a final decision is made by the Contracting Officer.
The project office should take advantage of this opportunity by
providing the contracting office with definitive Technical Proposal
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Requirements for the RFP.
In negotiating competitive procurements, particularly
research and development type, selection o£ the Contractor can
be influenced by the technical ratings of the proposed Contractors
as much as by the comparisons of cost estimates. Consequently,
technical (or engineering) proposals are solicited in addition
to price quotations. Technical proposals are solicited to insure
a Contractor's understanding of the requirement and to determine
his planned method of approach to the work. Moreover, they are
used to evaluate his technical, engineering, and nontechincal
qualifications to perform the work of requisite quality or to
produce items efficiently in time to meet the Government's needs.
The requirements for technical proposals should be clearly
stated In the RFP. It should include details as to the scope
and format desired and the kind of information required. These
factors will vary, of course, according to the type, complexity,
and individual requirements of the specific procurement. No
rigid rules can be made about what should and should not be
required. Whenever possible, however, the solicitation should
provide Insight into the technical factors, criteria, and/or
problems involved. In other words, they should say what the
Contractor should consider, as a minimum, in preparing his
technical proposal. These same factors will, of course, be
considered by the Government in its evaluation. This will help
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to give to prospective Contractors a common understanding of the
EPA requirements and proposed method of evaluation; and it permits
meaningful comparison of the proposals received.
Failure to adequately describe the scope and format of the
technical proposals may create needless delays and extra admin-
istrative effort. For example, if the requirement is not presented
clearly, a fully qualified Contractor might fail to present a c coop let e
picture of his technical qualifications. Or he might not indicate
the backgrounds of his engineers or his past experience in a
specific area* Valuable time would be lost in obtaining the
missing data -- and the Contractor might even be disqualified
on the grounds of inadequate technical competency. Either out-
come could reduce the effectiveness of the procurement.
3. Business Proposal Requirements of the RFP
Based upon the Scope of Work prepared for the RFP, the
Contracting Officer will determine if the proposals to be
solicited will be coat-reimbursement or fixed-price. The
Contracting Officer will then complete the RFP contents by
selecting the appropriate special and general provisions for
the intended contract and by including certain required certifi-
cations, statements and cost analysis forms for the Contractor
to fill out and sign. If the circumstances call for it, the
RFP may also require the Contractors to submit additional informa-
tion regarding business capabilities such as corporate structure,
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number of employees, past performance, available facilities, etc.
In most situations, particularly for the competitive RFP's, the
prospective offerors will be requested to submit separate technical
proposals and cost proposals, which will be evaluated separately
by Che project office and contracting office. The technical
evaluation must be conducted without the cost information so
that the Contractor's proposed costs will not Influence the
technical evaluation; however, project offices will be provided
specific data necessary to the technical evaluation, i.e., proposed
level and type of labor, subcontract, and travel information, etc.
A. Inclusion of Proposal Evaluation Criteria in RPP
In view of the prevailing requirement that Requests for Proposals
shall contain sufficient information to enable a prospective offeror
to prepare a quotation properly, it is considered sound procurement
practice to include the evaluation criteria, both technical and
business, in the solicitation. A mathematical formula is not
required to be used in the RFP evaluation criteria; but offerors
should be informed of at least the major factors to be considered
and the relative priority of each of the factors. Whether or
not numerical ratings are used, notice should be given as to any
minimum standards which will be required of any particular element
of the evaluation. Also, reasonably definite information should
be given as to the degree of importance to be accorded to the
particular factors in relation to each other.
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PART III
StriUitaUtoi, SvatucMm, TtcQoUcUiM,
and @oxfaac& rfuwtcL
0 A. SOLICITATION
• R. EVALUATION
• C. NEGOTIATION AND CONTRACT AWARD
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- PART III -
SOLICITATION. EVALUATION. NEGOTIATIONS. AND CONTRACT AWARD
The Contracting Officer will release the Request for Proposal
(RFP) to the selected source or sources. The RFP will specify the
date on which respondents must submit their proposals and should
include the essential contents as previously mentioned in PART II.
During the Proposal Preparation and Evaluation Period ai.1 written
or oral comaunication between the Government and the Contractor
should be controlled by the Contracting Officer. In sole source
situations, the Contracting Officer may prescribe a less formal
method of solicitation, evaluation and negotiations; however, the
basic principles should be observed as described below.
A. SOLICITATION
Subject to the Contracting Officer's determination as to
the number of sources that constitute adequate competition, all
properly qualified sources should be given equal opportunity to
participate in Government procurements. Every source solicited
for a proposed procurement must be provided the same information.
No action may be taken that might give one organization an
advantage over the others. This applies to all procurements —
formally advertised or negotiated -- and to both prime contractors
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and subcontractors. The Request for Proposal, therefore,
advises all offerors that any questions concerning the
procurement should be referred only to the Contracting Officer
or his representative who is responsible for coordinating
technical questions with the initiating project offices.
(1) Relations and Communications with Prospective Contractors
Between the time that the Requests for Proposals are
mailed and the contracts awarded, only authorized procure-
ment personnel should have any contact with prospective
Contractors. If bidders or pre-proposal conferences are
considered necessary to discuss the procurement and transmit
technical or other information to the firms solicited, they
must be arranged for and managed by the Contracting Officer
or his respresentative. All correspondence to prospective
Contractors must be signed by the Contracting Officer or
authorized representative and he must receive all correspond-
ence from prospective Contractors. In the course of these
discussions, if one Contractor is given information that
would aid him in preparing his offer or the lack of which
would be prejudicial to the uninformed offerors, the same
information must be provided to all other organizations
solicited. This is done by means of modifications to the
RFP which correct, clarify, or change the EPA's requirements
and must be sent to all firms solicited.
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Program personnel must not disclose to any persons or firms
outside the EPA any information relative to a procurtoant*
Even within the Government, disclosure of such information
should be on a "need to know" basis only.
(2) Safeguarding Information Received from Prospective Contractors
One of the most important administrative responsibilities
of EPA program and procurement personnel during the pre-award
period is to maintain the confidential nature of information
that prospective Contractors Include in their offers. This is
a prerequisite to sound business and procurement practices
since if one Contractor reaeives information that gives him
an advantage over another, competition is destroyed. Then,
too, unless they are assured that these data will not leak
out to their competitors, prospective Contractors may be
unwilling or hesitant to provide the EPA with Information
about their operations.
(3) Receipt and Handling of Proposals
It is vital that the receipt, storage, and handling of
proposals and quotations be treated with all the safeguards
necessary to prevent any prospective Contractor from receiving
information that might give him a competitive advantage over
others.
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Under negotiated procurements the opening of proposals is not
public; competing Contractors are not given the opportunity to
inspect proposals; and the proposals or quotations are not held
to the strict element of "responsiveness" required for bids. For
example, a Contractor might propose a variation from that requested
in the RFP, but, because of the uniqueness of his approach he
might still receive the award.
In negotiated procurements, the handling of late proposals,
or of modifications to proposals submitted on time, is more
complex than it is in formal advertising and frequently creates
problems for procurement and program personnel. Specifically,
the EPA reserves the right to "consider1' offers or modifications
to RFP's that are received after the date specified for receipt,
but before award is made, if such action is deemed to be in the
Agency's best interest, for example, if the late proposal or
modification offers a material advantage to the Agency such as
significant technical improvements or favorable cost adjustments.
B. EVALUATION
(1) Technical Evaluation
The contracting office will forward copies of all
technical proposals received to the project office with a
request for technical evaluation. Generally, contracting
personnel are not qualified to evaluate proposals from a
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technical viewpoint and must rely on scientific and
engineering personnel for this function. Research and
development awards should be made to those organizations
whose proposals offer the highest competence, consistent
with EPA requirements, in the specific field of science or
technology involved. Awards need not be made on the basis
of proposals offering efforts that exceed those needed for
the successful performance of the work. It is imperative»
therefore, that technical evaluations and recommendations
be fully documented and reviewed by responsible personnel.
The project office or evaluation team shall evaluate
the technical aspects of each proposal in accordance with
pre-established technical evaluation criteria as discussed
in PART II. The evaluation criteria are weighed by the
project office according to their importance in the particular
procurement. In the event technical clarification of an
offeror's proposal is required, the project office shall notify
the contract negotiator so that arrangements for obtaining
the required information can be made prior to the formalization
of the technical evaluation memorandum. Also, the program may
wish to consider alternate proposals or proposals which suggest
deviations from the Government's Scope of Work statement. Under
a Sole Source procurement, such proposals are explored with the
offeror during this technical clarification period and the Scope
of Work modified to reflect changes agreed upon. However, in a
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competitive procurement situation all prospective offerors must
be given the opportunity to revise their proposals if a significant
change in the Scope of Work is being considered. If necessary,
a technical clarification conference will be convened with the
prospective offerors by the Contracting Officer.
The project office shall prepare and submit to the Contracting
Officer a technical evaluation memorandum containing the results
of the evaluation and recommendations as to the proposals deemed
technically acceptable.
While there is obviously no standard format for presentation
of the technical evaluation, certain factors must be considered
to assure that sufficient technical review are presented. Even
where a mathematical rating system is employed, the Project
Officer must support his findings with concrete technical data
and narrative which documents the conclusions reached about
acceptability or unacceptablllty of proposals. This information
is necessary for entertaining competitive negotiations and the
subsequent providing of justification and documentation of the
contract award. The technical evaluation memo should contain
sufficient documentation to adequately describe the recommendations
of the evaluation team and to justify the reasons why any offeror
is or is not capable of performing the work. Also, the documentation
should include (1) an indication of the probability as to successful
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performance of the work; (2) Che reasons why an offeror rated
low, high, etc.; (3) strong points and/or weaknesses in the
proposal; (4) the items which should be discussed with offeror
during negotiation; (5) the items which should be clarified
with offeror prior to determining whether or not he may be
able to successfully perforin the work; (6) areas in which the
offeror has proposed work in excess of that required by the
RFP and conversely areas which were omitted by the offeror
but required by the RFP; and (7) In cost-plus-a-fixed-fee or
cost-reimbursement type procurements, an indication as to
whether the level of effort (man-hours, including type of
labor skills) is adequate for performance of the work.
2. Business Evaluation
The Contracting Officer will normally perform a business
evaluation of those proposals determined to be technically
acceptable and within the competitive range. To assist him
in this analysis, the Contracting Officer may obtain advlco
from finance, pricing, audit and other cognisant Agency specialists
having procurement responsibility. Simultaneous coordination
of the efforts of these specialists will be obtained to the
mfliffnwm extent practicable to compress the procurement leadtlme.
The business evaluation will include a review of the following:
a. Cost Elements
The direct labor costs, material costs, overhead rates,
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travel policy, and profit factors are verified to assure
fairness and reasonableness.
b. Contractor's Management Capability
In making this appriaal, such factors as the Contractor's
management organization, past performance, reputation for
reliability, availability of required facilities, cost
controls (accounting), purchasing procedures, property
control methods, financial stability and nondiscrimination
(equal employment opportunity), are considered.
As a result of the technical evaluation and business evaluation,
the Contracting Officer can best determine which aspects must
be stressed during negotiations with the selected Contractor or
Contractors. The Contracting Officer is required to negotiate
with all offerors who are determined to be in the conpetitive
range, price and other (technical) factors considered.
C. NEGOTIATION AND CONTRACT AWARD
Under a negotiated procurement, selection of the source
or sources (after review of the technical and business aspects
of the offers received) marks only the beginning of the task
of negotiating a definitive contract. Contract negotiation
entails: (1) reaching agreement with a proposed Contractor on
the pricing and other provisions that will condition his
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performance on the contract; (2) setting forth these terms in
a mutually acceptable contractual document; and (3) justifying
the contract negotiated.
(1) Pre-Negotiatlon Conference
Prior to negotiations with the selected offeror or offerors,
the assigned Contract Negotiator may conduct a meeting with
those members of the Government's negotiation team who will
participate in negotiations. The purpose of this meeting
is to present the objectives to be sought during negotiations
and to establish a unified negotiation position. Pre-
negotiation meetings are normally required for the high-dollar
or complex contract negotiations.
(2) Negotiation and Contractor Selection
The Contractor Negotiator will make arrangements for negotiations
with the offeror or offerors who have been determined to be
within the competitive range. The goal of negotiations is
to achieve a contract agreement that is most advantageous to
the Government, price and other factors considered. Negotiations
may be held at the Contractor's site, at the EPA facility, or
by telephone, depending upon the complexity and magnitude of
the proposed contract along with economic and time considerations
and past mutual experience.
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The Contract Negotiator, assisted and supported by the
assigned Project Officer and other members of the Government's
negotiation team, conducts the negotiations. It is his
responsibility to insure the integrity of the negotiation process
and to see to it that a mutual understanding has been reached
before he concludes the negotiation session. In competitive
negotiations no information shall be given to any offeror
relative to his standing with other offerors as to technical
merit and price. No offeror shall be advised of the prices
proposed by other offerors.
The Federal Procurement Regulations prescribe that after
receipt of proposals, written or oral discussions shall be
conducted with all responsible offerors within a "competitive
range," price and other factors considered. Herein the
determination of the "competitive range" is extremely important
and diligence must be pursued. Once the technical evaluation
is completed the evaluations for those proposers who are
considered technically acceptable are reconciled with their
respective business evaluation (cost included) to determine the
"competitive range." It is emphasized that in this regard the
"competitive range" is established not by a predetermined cutoff
point for acceptability but on the actual array of scores achieved
with the desire to assure maximum practicable competition.
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The following guidelines must be adhered to when negotiating
with all proposers within the "competitive range:"
a. Technical superiority of an offeror's proposal cannot be
the sole basis for award of a contract under a negotiated
procurement and, therefore, the technical organization's
desire for a superior product cannot be used to justify
the absence of meaningful technical or price negotiations
with other ofxerors in a competitive range.
b. After establishing the competitive range, the determination
must be made whether A technically superior proposer who
submits a higher cost will prevail over another proposer who
is technically inferior but at a lower cost. This approach
is especially valuable for research and development cost-
type contracts where cost is a consideration but there is
no requirement to make an award on the basis of lowest
cost. However, when a firm fixed-price contract is contemplated
and the technical determination has been made that all within
the competitive range can perform well-defined requirements,
contract award should be made to the offeror submitting the
lowest price.
3. Contract Preparation and Coordination
The Contract Negotiator Is responsible for the preparation of
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the contract document which shall reflect the agreements
reached during negotiations, and for the preparation of other
supporting documentation as required by regulations. Prior to
release to the Contractor, the contract may be coordinated with
the Project Officer, Property Administrator, Legal Counsel,
Cost Analyst, etc., to assure that the contract document is
fully representative of the Government's needs consistent with
statutory requirements and in compliance with Agency regulations.
Although preparation of documentation and Information for
contract review is a responsibility of the Contracting Officer,
the assigned Project Officer also has a direct interest in seeing
that it is successfully accomplished. It is imperative that
technical personnel fully document and justify the procurement
determination they are responsible for making (i.e., necessity
for purchase, sufficiency or lack of definitive specifications,
delivery and/or performance schedule requirements for which they
share responsibility with the Contracting Officer -- the need for
negotiation, the source(s) selected for solicitation, and the
source(s) actually chosen to perform the work.
(4) Contract Award
The contract will be forwarded by the Contracting Officer
to the Contractor for acceptance and signature. The signed
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contract will be returned to the Contracting Officer who signs
the contract on behalf of the Government. The contract becomes
effective on the date signed by the Contracting Officer unless
specific arrangements have been negotiated to set forth another
date.
A copy of the fully executed contract is forwarded to the
Contractor, as well as to Government personnel having responsibility
under the contract. All contract awards over $25,900.00 are
publicized in the Commerce Business Daily. Further, all unsuccessful
offerors are advised in writing by the Contracting Officer as to
the name of the successful Contractor, the amount of the contract,
the extent of competition attained, and other information which is
deemed appropriate for the circumstances. The Contracting Officer
is responsible for providing any additional information that may
be requested by unsuccessful offerors. All requests for debriefings
and formal or informal protests of award must be handled by the
Contracting Officer to assure a unified Government position. The
Contracting Officer may request the assistance of the Project Officer
in responding to such requests or protests.
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PART IV
(fattnact TkaMpemeMt fce&ft&MiditttteA
0/ t&e Pnaiect OlAtC0i
© A. EVALUATION AND CONTROL OF PROGRESS
• B. ADMINISTRATION REQUIRED BY CONTRACT PROVISIONS
• C. CONTRACT MODIFICATIONS
• D. CONTRACT COMPLETION
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- PART IV -
CONTRACT MANAGEMENT RESPONSIBILITIES OF THE PROJECT OFFICER
Those negotiated contracts which require technical monitoring
by EPA technical or program personnel will include specific contract
language that defines the authorities of the designated Project
Officer. The EPA contract Project Officer is usually given authority
to act within the Scope of Work of the negotiated contract. The
Contracting Officer is the only Government representative authorized
to make any type of contract changes outside of the Scope of Work.
The designated Project Officer should always consult with the
Contracting Officer before Issuing any direction to the Contractor
which may represent a change in contract requirements.
In seeing that his contract program is properly carried out,
the Project Officer should assure that the Contractor's progress
is monitored and, if necessary, controlled. Secondly, he should
assure that problems or situations which require a contract modification
are promptly brought to the attention of the Contracting Officer for
resolution.
A. EVALUATION AND CONTROL OF PROGRESS
The assigned Project Officer must continually monitor progress
under the negotiated contract, even though the Contractor retains
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primary responsibility for contract performance. The extent
of this evaluation and control will depend on the complexity
and relative significance of the contract and the Project
Officer's opinion as to the amount of direction required for a
particular technical effort. In evaluating the Contractor's
performance* the Project Officer should be concerned primarily
with progress toward completion of the required work. Although
it is the Contracting Officer's responsibility to assess the
financial status of the contract, the Project Officer should be
aware of costs incurred as they relate to contract progress.
(1) Progress Reporting
Periodic progress reporting can aerve as a tool in
performance evaluation. Technical reports which Che Contractor
is required to submit furnish most of the information needed
to evaluate the physical status of the work. If cost control
is a concern, the Contractor could be required to submit
Financial Reports which will outline the various elements
of costs expended versus original or revised projected elements
of costs. An item which is very effective is a cost/technical
completion overview which requires the Contractor to interpret
its technical report in term? of a percentage of technical
completion in relation to a percentage of costs expended figure.
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Technical Progress Reports
Most contracts require the Contractor to furnish periodic
technical progress reports to the Project Officer. Since
these reports provide Project Officers with most of their
information on the progress of the work, they should include
all relevant details. (They should not, however, become
too burdensome to prepare.) Technical progress reports may
be submitted in letter form, and may include the number and
names of persons working on the project, the facilities devoted
to the work, the number of man-days expended, the direction of
the work, the kind of number of experiments being conducted,
and the latest scientific data, observations, predictions, and
plauB lor the next reporting period. Contractors should be
encouraged to furnish preliminary technical information In
these status reports even though it is tentative and not
ready for widespread distribution. In addition to keeping
EPA personnel informed of progress, the technical progress
report gives the contractor an opportunity to periodically
evaluate his efforts in terms of the intent and specifications
of the contract. A progress report forces both the Contractor
and the EPA to periodically evaluate the work performed in
relatir- to all contractual requirements.
Financial Status Reports
Financial status reports play an important part in contract
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management. This is particularly true in cost-reimbursement
contracts because of the possibility of cost overruns. Knowledge
of the financial status of the contract is essential to the
Contracting Officer in authorizing or withholding payments
under the contract. Such reports provide information which
is helpful in avoiding or at least anticipating cost overruns.
This type of cost information provides both the Project Officer
and the Contract Negotiator with a check on the Contractor1 s
expenditures and level of effort (in terms of number of people
working on the project, facilities committed to the project
and so forth.)
Vouchers submitted for costs expended under cost reimburse-
ment type contracts are often used as a cost evaluation and
cost control mechanism, This is the least preferred mechanism
and should only be used if it is not reasonable to require
Financial Status Reports. The information provided on the
Contractor's cost voucher is usually of little value for cost
control purposes since it involves actual costs expended and
the additional time lapse involved in voucher preparation by
the Contractor and processing by the Government does not
allow for an up-to-date cost status.
Progress Reviews
The Project Officer may also ascertain or verify contract
progress by conducting a personal review either at the EPA
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location or at Che Contractor's site. Contract requirements
could include a Contractor presentation or review to be
conducted at various stages of development in the program.
Since these types of reviews involve travel and presentation
costs for which the Government will pay, periodic telephone
reviews with the Contractor's project director may be a more
reasonable and feasible substitution for contracts of lower
dollar value aiad complexity. On the other hand, some complex
research and development contracts will require both extensive
progress reporting and extensive progress reviews. In either
event, however, the Project Office should inform the Contracting
Officer of any significant problems revealed by such reviews.
B. ADMINISTRATION REQUIRED BY CONTRACT PROVISIONS
The General and Special Provisions attached to a negotiated
contract are structured to cover most administrative occurrences
under the contract. The following describes the most common
occurrences and defines the action to be taken by the Contractor
and the corresponding action to be taken by the Project Officer.
(1) Prior Approval Items
In order to control the Contractor's cost expenditures
and to insure that the EPA objectives are met, contract
provisions require that the Contractor obtain the prior
authorization and approval of the EPA Contracting Officer
before he takes specified actions or incurs certain costs.
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For example, prior approval (or consent In the case of subcontract'
ing) is required for subcontracting under cost reimbursement and
certain other type contracts; for reimbursement of anticipated
costs to be incurred in excess of cost limitations under cost
reimbursement type contracts; and for reimbursement for overtime
and premium wage payments. In all cases, the cognizant Contracting
Officer is responsible for providing such approvsls. However,
since the underlying circumstances that call for approval mey
directly relate to the technical performance of the work, the
Project Officer will generally be consulted before approval is
formally granted or withheld.
a. Special Elements of Cost
Special provisions can be written into the cost reimburse-
ment contract which require the Contractor to obtain EPA
approval before incurring costs for such special elements
as travel (foreign or local), consultants, property, data
processing equipment or services, etc. These special
controls, if determined to be necessary, will require the
Project Officer to advise the Contracting Officer as to the
need and relationship of the costs proposed to the overall
obligations of the contract program. The Contracting Officer
will attempt to resolve approvals on these special elements
prior to contract award; however, if there are certain
unknowns, it may not be possible and prior approval require-
ments may have to be written into the contract. Great care
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should be taken so as not to over-control the Contractor,
particularly its subcontractors when it is desirable to
allow the Contractor some degree of flexibility.
In the event the Contractor is required to request approval
of certain cost elements, the Contractor's request will be
directed to the Contracting Officer or his designated represent-
atives. In most all cases the Project Officer will be consulted
and asked to comment before the formal approval is given by the
Contracting Officer to the Contractor.
b. Subcontracts
Under cost reimbursement contracts, the Contractor must obtain
consent for placing (1) all cost reimbursement, time and material,
and labor hours subcontracts; (2) fixed-price subcontracts that
exceed $25,000 or 5 percent of the contract price; (3) any
subcontract for facilities, regardless of value, or for special
tooling having a value in excess of $1,000; and (4) any subcontract
having experimental, developmental or research work as one of
its purposes.
The subcontract consent requirement enables the Government
to review proposed subcontracts as to the necessity for sub-
contracting; the technical capabilities of the prospective
subcontractor; the reasonableness of the costs and subcontract
terms, the type of subcontract (fixed price, cost reimbursement
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and so forth); the scope of the solicitation (competitive or
noncompetitive); and the work statement* including applicable
specifications, to be included in the subcontract. With regard
to the subcontracts for facilities, the requirement for consent
does not permit any facilities acquisition to be charged to the
Government unless it has been otherwise specifically authorized.
Subcontract review and consent provisions are not normally
Included in firm-flxed-price (FFP) contracts. In appropriate
cases where an FFP contract is used, the pr-«i»e Contractor may
be required to perform the research without subcontracting.
c. Overtime and Premium Wages
Contracts are to be performed as far as practicable, without
the use of overtime, extra pay shifts, or multishifts, and, in
particular, without the use of overtime as a regular employment
practice.
If permission to use overtime and shift premium work is requested
In the contractor's proposal, or during contract performance, the
Project Officer will be asked to validate or justify the need in
terms of such factors as (1) the specific work and personnel affected;
(2) the estimated amount of premium time required; (3) the estimated
period of contract performance during which the use of premium time
is required; and (4) whether the use of overtime is necessary to
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meet essential program schedules or objectives. If the use of
premium time Is authorized by the EPA the Project Officer will
be periodically consulted by the Contracting Offlcar to determine
whether the continued use of premium time la Justified.
(2) Evaluation of Inventions and Data Rights
Under research and development negotiated contracts. Inventions
are required to be reported to EPA by the Contractor. In addition
questions may arise pertaining to rights in data by the Contractor
and by the Government. The Project Officer will be consulted on
both the invention and rights In data type determinations which may
develop during the contract period of performance.
In the event the Contractor reports an invention under the
EPA contract, it will be reported directly to the Contracting
Officer. The Invention report will contain all Information
required by the "Patent Rights" provisions of the negotiated
contract. Final determination of Rights to Inventions shall be
made by the Administrator after seeking advice from EfA General
Counsel. The Project Officer will normally be contacted by
either the Contracting Officer or the Administrator'a Office
to make connents pertaining to the technical contents of the
Contractor's report.
At the present time EPA contracting activities continue to use
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the patent clauses they uBed under their previous organizations,
e.g., prior HEW components continue to use the HEW clause while
Water Quality Offices use the Interior clause.
The HEW and Interior patent policies vary in that under the
Interior blanket policy the Government receives title to subject
inventions made under each contract and a license to background
inventions thereunder; whereas, under the HEM policy the decision
of whether the Government takes title is deferred until after the
invention is reported and the decision on licensing the background
patent is made on a case by case basis. A standardized EPA patent
policy is presently being formulated by our General Counsel which
will be published in the Federal Register and therefore be subjected
to industry comment. When the policy is finalized, all EPA contracts
will contain the same patent provisions.
Handling Cost Overruns
A cost overrun occurs when a Contractor exceeds the estimated costs
or the fund limitation of a cost-reimbursement contract. Cost
overruns are applicable only on cost reimbursement type contracts
because the Contractor is legally responsible for any costs exceeding
the total or celling prices of fixed price contracts.
Under cost reimbursement type contracts, a Contractor may not
be reimbursed for costs Incurred in excess of the total estimated
costs set forth in his contract schedule. Accordingly, if the
Contractor has incurred costs up to the contractual cost limitation,
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he Is not obliged to continue performance unless the cost limitation
is increased by written notification from the Contracting Officer.
To avoid delay of work on the procurement while additional funds
are being obtained, the standard "Limitation of Cost" clause
contained in all cost reimbursement R&D contracts obligates the
Contractor to notify the Contracting Officer when the coats he
expects to Incur in the next 30 days will increase his total
Incurred costs above 85 percent of the total estimated cost
of the contract. The Contractor must also give notice whenever
he believes the total cost will be substantially higher or lower
than the estimated costs for performing the contract.
The cognizant Project Officer should not depend solely on the
above notification requirements to maintain surveillance over cost
expenditures as they relate to the technical progress of the work.
All too frequently, such notices are not timely enough to permit the
Project Officer to initiate appropriate remedial action. Therefore,
it is Important for him to thoroughly scrutinize every report which
the Contractor submits for any Indication of an Impending overrun.
Moreover, he should use his visits to the Contractor's facility as
opportunities to detect technical problems, excessive assignment
of manpower to the contract, or any other indication of potential
cost overrun. Any such situations should be brought inmedlately
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to Che attention of the Contracting Officer.
When faced with an overrun, the Project Officer must take
appropriate action in consultation with the Contracting Officer.
Depending on the circumstances, he may recommend and initiate
any one of three courses of action:
a. Terminate the contract for convenience of the Government
before the overrun occurs.
b. Modify the contract so as to decrease the technical effort
in order to eliminate the need for additional funding.
c. Increase the contract funding to permit completion of the
work. If he determines that the work should be completed and
if additional funds are avilable, the Project Officer prepares
supporting documentation as required by local instructions
and forward it through channels to the negotiated contracts
office.
C. CONTRACT MODIFICATIONS
(1) Types of Contract Modifications
During the administration of EPA contracts, different
types of modifications may be necessary to Incorporate new
requirements into the contract or to provide contractual
coverage for situations that develop after contract award.
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Some of these modification* are made In accordance with provisions
originally set forth in the contract; others are not anticipated
by the original contract terms. All contract modifications must
be made in writing by the Contracting Officer. The policy insures
that any revisions to contract terms are reduced to written
agreements between the Government and the Contractor. An under-
standing of the types of modifications that may be made to contracts
and the correct method for making them can do much to alleviate
the problem of Informal commitments.
a. Modifications made Pursuant to Contract Clauses
A number of contract terms and provisions provide for modification
to a contract If certain conditions arise or if information not
known at the time of award becomes available. The standard
change clause contained in Government contracts provides that
the Contracting Officer may unilaterally direct the Contractor
to make certain changes in the work to be followed by such
equitable adjustments in the price and delivery schedule as
the changes make necessary. These changes must be within the
general scope of work and cannot Include effort which in the
Contracting Officer's judgment constitutes new procurement.
The Government Furnished Property clause contains provisions
for an equitable adjustment in the contract price and/or delivery
schedule in the event the property furnished to the Contractor
is not suitable for the intended use.
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b. Other types of Modifications
In addition to modifications made pursuant to the terms and
provisions of a contract, other modifications, not expressly
anticipated by the contract may be necessary. In the proper
circumstances, for example, a contract may be amended to
increase the quantity of services to be furnished in exchange
for an equitable increase in the contract price. Or even If
It is not expressly stated in a contract clause, a modification
may provide that the Government will, in exchange for equitable
c onsideratlon, furnish certain property that the Contractor
was originally supposed to supply or acquire himself. The
authority to make these modifications is restricted to situations
in which the Government receives additional and adequate
consideration In exchange for the agreement. Thus, in the
first example cited, the Government pays a higher price but
receives new supplies; in the second, it releases the Contractor
from his obligation to supply certain components or other
property and receives in exchange an appropriate reduction
in the contract price.
(2) Modifications Within the Scope of the Contract vs. Hew Procurement
In discussing contract modifications, it is necessary to
distinguish new procurement from other contractual actions such
as changes, since new procurement must be treated just as Is a
new requirement. For example, the procurement of additional
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services is new procurement, whether or not there is an existing
contract for the same service. Similarly, a change in the
essential character of service under an existing contract or
additional work outside the overall scope of an existing contract
is also new procurement. The question of whether new specification
requirements essentially change the character of existing
supplies or services may be a difficult one to answer. While
the consideration is basically a legal one, all Project Officers
should be aware of the distinction between "new procurement" and
"changes" to prevent misunderstanding as to the mechanisms Involved
in implementing each.
If a now procurement is involved, and EPA decided to contract
with a Contractor who is already providing similar services
under an existing contract, the new requirement may either be
incorporated in an entirely new contract or effected as an
amendment to the existing one. The action taken will depend on
other circumstances, such as time remaining on the existing
contract, severability of the new work and so forth. All rules
governing new procurement will apply including the solicitation,
evaluation and negotiation process.
D. CONTRACT COMPLETION
Upon completion of the contract work, the objective is to close
out the contract as rapidly and as efficiently as possible and
to make prompt final payment to the Contractor. To this end,
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Project Officers should Inspect (or have inspected to their
satisfaction) all work promptly after delivery, to the extent
necessary to determine its acceptability. If possible, any
required acceptance tests of hardware should not be delayed
unless this delay is provided for by the contract. While there
is an unavoidable delay between the time a Contractor completes
his work and receives final payment, any lessening of the delay
that can be affected without jeopardizing the Government's
interest will obviously result in better relations with the
Contractor.
When the Project Officer determines that the work is complete
and conforms with the technical requirements of the contract, and
all items contractually required have been submitted and are
determined to be acceptable, he notifies the Contracting Officer
and other concerned offices, in writing. Matters primarily the
concern of the Contracting Officer such as the return of documents
and disposition of Government furnished or residual property,
should not delay the notification; these matters can be mentioned
in the notification of completion. In so reporting, under an R&D
contract situation the Project Officer should take Into account
such related requirements as reproducing and publishing the
final report.
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PART V
Sfractal (Zlem&HoeA
• A. PRINTING
• B. QUESTIONNAIRES - FORMS
• C. CONTRACTOR USE OR ACQUISITION OF PROPERTY
® D. FOREIGN RESEARCH CONTRACTS
« E. EQUIPMENT AND SERVICES
• F. MANAGEMENT CONSULTANTS
• G. CLASSIFIED CONTRACTS
• II. RATIFICATION OF UNAUTHORIZED COMMITMENTS
• 1. MOTION PICTURE PRODUCTION REQUIREMENTS
• J. UNSOLICITED PROPOSALS
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- PART V -
SPEPTAT. rT.RARANrRS
The purpose of this PART V is to provide Che Project Officer with
procedural guidelines for situations frequently occurring prior to
the negotiated contracting process which may require specific clearance
or approval action by higher authorities within and outside EPA. The
following are pre-award clearances or approvals which must be obtained
from other agencies and activities within EPA or if necessary, from
other Government departments:
A. PRINTING
The inclusion of full scale printing within contracts
is prohibited unless it is authorized by the Joint Committee on
Printing of the U.S. Congress. These restrictions on printing
apply to contracts which meet the following criteria:
(1) Reproduction of more than 225 copies of a single document
by any method.
(2) Reproduction in any quantity by any method utilizing, as
part of its process, reusable negatives and/or positives
prepared with a camera requiring a dark room.
(3) Composition in preparation for printing by conventional
typesetting or by any method used as a substitute for
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typesetting, other than preparation of paper masters or
stencils for the reproduction of 225 copies or less.
(4) Binding by any method other than simple stapling or loose
leaf attachment.
B. Questionnaires - Forms
As a result of P.L. 90-620 no Federal agency shall conduct or
sponsor the collections of information upon identical items, from
ten or more public respondents without the prior approval and
clearance of the Office of Management and Budget. If it is known
that a survey will be required under a proposed contract, the
initiating project office must initiate clearance action either
before or at the same time the Procurement Request document is
forwarded to the Contracting Officer. If an unanticipated survey
develops during the contract period of performance, the contractor
is prohibited from beginning the survey without 0MB approval. All
such clearance records must be routed from the initiating office
to the EPA Management and Organization Division.
C. Contractor Uae or Acquisition of Property
Equipment and/or facilities required for contract performance should
normally De provided by the contractor; however, the providing of
equipment and/or facilities by the Government and/or contractor
acquisition at Government expense may require approval at a level
above the Contracting Officer. Detailed information to support the
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furnishing of Government property must be provided to the
Contracting Officer by the initiating Project Office before
contract negotiations. The contract cannot be awarded until
the Contracting Officer obtains the required Government property
approval. Contract Installations of non-severable facilities on
private property and at Government expense require approval at
levels higher than the Contracting Officer.
D. Foreign Research Contracts
All proposed research contracts which involve research projects
to be conducted in a foreign country by a foreign contractor
must have clearance from the Department of State with respect
to consistency with our foreign policy objectives. This clearance
should be requested by the initiating Project Office prior to
negotiations. All such requests to the Department of State will
be processed by the EPA Office of International Affairs.
E. Equipment and Services
Major data processing system and equipment procurements must be
coordinated with, and in some cases, processed by the General
Services Administration. Under negotiated R&D contracts data
processing equipment and services which are ancillary to the
contract end items may require approval at higher levels of
EPA management depending upon the magnitude of the project.
Authority to purchase ADPE equipment systems or services should
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be obtained from authorized representatives of the EPA Data
System Branch in any event.
F. Management Consultants
EPA Order 1900 prescribes that prior to initiating action to
contract for management consultant services, all program, staff,
regional, and field offices must obtain approval from the
Assistant Administrator for Planning and Management. The
requiring office must prepare ". . .a memorandum setting forth
a statement of the management problem requiring examination,
Indicating its nature and dimensions, and, if possible, the type,
extent, and source of assistance needed in the solution of the
problems." The memorandum must be transmitted to the Assistant
Administrator through the Director, Management and Organization
Division, Office of Administration. This Division will determine
whether the requirement can be met by EPA or other Federal sources
and submit recommendations to the Assistant Administrator.
G. Classified Contracts
Proposed contracts involving classified Information should be
coordinated with the designated Agency Security Representative
to assure compliance with prescribed security regulations.
H. Ratification of Unauthorized Commitments
EPA project personnel do not have contracting authority and can
not legally commit the Government to expenditure of funds. The
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Oovorruuant is not bound by agreements or contractual eoxmnltmente
made to prospective contractors by persons to whom procurement
authority has not been delegated. The individual who made the
unauthorized commitment shall furnish the Contracting Officer
detailed documentation concerning the situation. Authority to
raftify unauthorized commitments may be retained at higher
management levels due to the serious nature of the actions.
I. Motion Picture Production Requirements
Procurement and production of all EPA motion pictures require the
written approval of the Director, Office of Public Affairs, or his
designee, even if the film is part of a scientific or technical
program. The primary responsibility for obtaining approval rests
with the initiating program office. However, the Contracting Officer
must verify that approval has been obtained prior to soliciting
offers from prospective contractors. A copy of the approval
document or request for approval should be attached by the originator
to the Procurement Request/Requisition when it is submitted to
the Contract Operations Office for any procurement involving motion
pictures.
J. Unsolicited Proposals
The unsolicited proposal is generally defined as a written offer
based on a new or novel design concept or idea relating to a proposed
project without prior informal or formal solicitation from a procuring
agency. An unsolicited proposal is usually the product of original
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thinking by the contractor presenting it and the Government is
responsible for refraining from making known to third parties
any proprietary information the proposal may contain, thereby
encouraging prospective contractors to disclose to this Agency
ideas they originate, conceive or develop, in the future. As
set forth in PART II, Paragraph B, requirements initiated as
the result of a true unsolicited proposal will be negotiated
on a sole source basis. Any other practice would discourage
proposers from disclosing to the Agency ideas of substantial
value; furthermore, making proposals of this type a basis for
competitive solicitation might have serious legal as well as
moral implications.
In order to Insure that a proposal being dealt with is truly
unsolicited, the Project Officer must be fully aware of the
conditions under which the proposal was developed. Upon receipt
of the unsolicited proposal, the Project Officer must evaluate
the proposal to assure that it is truly solicited and that there
is sufficient documentation to generate a new requirement. If
further clarifying information is needed for evaluation purposes,
the Project Officer must coordinate his request with the contracting
office. The exercise of these restraints and controls will insure
that the integrity of the competitive posture for procurements
within this Agency will be maintained.
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The EPA Grants Management Division has been designated as the
focal point for all unsolicited proposals submitted to the
Agency. Any BPA office receiving an un§qi£e£!§d pfopessi
from 6 Contractor §tuJUld immediately Notify the GfafltS Man^gfeiiSnt
Division which will provide the proper procedure to be observed
for processing the proposal.
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PART VI
£zfijta*taUoK and *DefatitttoU
• A. TYPES OK CONTRACT REQUIREMENTS
• R. PERSONAL VERSUS NONPERSONAL SERVICES CONTRACTS
• C. TYPES OK CONTRACT COST ARRANGEMENTS
• I). ARCHITECT AND ENGINEERING CONTRACTS
• K DEK1NITIONS
• K. RESPONSIBILITY CHART
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- PART VI -
EXPLANATIONS AND DEFINITIONS
The following explanations and definitions are provided to give
the prospective Project Officer a better understanding of negotiated
contracts and associated terminology. Also included is a chart
outlining functional responsibilities of the Project Officer,
Contracting Officer, and other EPA activities involved in the
procurement process.
A. TYPES OF CONTRACT REQUIREMENTS
Most negotiated contract requirements are for one of four
general areas; services, data, material or hardware, and a
combination of services, data or hardware. As previously mentioned
in PART II, the type of contract work statement (or requirement)
should be recognized in order for the Contracting Officer to
determine the type of negotiated contract to be written. To aid
the prospective Project Officer in understanding the differences,
the following explanations are given:
(1) Service Contracts
This terminology is used to describe contract requirements
t
for certain types of professional, skilled, and unskilled
services to be performed over a definite time period. There
is usually no deliverable end items required under the contract.
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The contracts are for janitorial, maintenance, clerical, cafeteria,
training or similar type services.
(2) Data Requirements Contracts
Type of contracts which call for some type of data to be
delivered as an end item. This could be for research with a
research report as the end Item, which is normally the case
on research contracts. Other type of contract requirements
which fall into this category are: film production and
reproduction, preparation of training manuals, or editing and
publication of authorized reference material.
(3) Material or Hardware Contracts
This includes a variety of requirements from the standard catalog
hardware items (normally purchased by formal advertising) to
specialized equipment being developed for research and development
purposes (normally handled by negotiations).
(4) Combination Requirements
It is quite possible, particularly for research and development
procurement, for contracts to require services, data, and hard-
ware. It is important for the Project Officer to recognize
that he has combination requirements, so that In drafting the
work statement the required services, data, and hardware can be
well defined and separated for pricing and delivery purposes.
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For example, a contract for an advanced test chamber would
require the contractor to provide sketches, drawings, parts
list, maintenance manual and perhaps conduct a one-week
(.mining program In addition to delivery and installation of
the finished product.
B. PERSONAL VERSUS WON-PERSONAL SERVICES CONTRACTS
Services should not be obtained by contract in such a manner
that the contractor or his employees are in effect employees
of the Government. The Contracting Officer is responsible
for assuring the implementation of this policy by considering
specified criteria before entering into any service contract.
Generally speaking, contracts which in their substantive effect
result in the creation of what is tantamount to an employer-
employee relationship between the contractor personnel and the
Government are proscribed as violation of the personnel laws.
In enforcing this policy the Contracting Officer is required
to make a written determination on all contracts involving
services. The Contracting Officer's determination will, to
a great extent be based upon the background and scope of work
provided by the Project Office.
These contract requirements are determined to consist of
proposed employer-employee relationships or meet the other
criteria of EPA Procurement Regulation 15-55.2 and EPA Order
1900.2 are classified as proposed Personal Service contracts.
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The Civil Service Conimtssion has ruled that, except as authorized
by express statutory authority, personal services are to be
obtained by appointment.
Although normally defined as personal services, service
contract requirements for such services as medical, consultant,
or management consultant services are expressly authorized by
statute; however, these type of requirements should be thoroughly
discussed between the initiating Project Office, the Contracting
Office, and, if necessary, the cognizant EPA Personnel Office.
C. TYPES OF CONTRACT COST ARRANGEMENTS
The type of contract cost arrangement negotiated by the Contracting
Office must be compatible with the technical requirements of the
work; therefore, in determining the type of contract, the Contracting
Officer will rely heavily upon information provided by the initiating
Project Office. Generally, the two basic types of contract cost
arrangements are the cost-reimbursement and fixed-price type
contracts. The following is a discussion of these two basic types
of contracts and the variations used, and a third type, the
Fixed-Rate contract, which is a combination of the two basic
types.
(1) Coat-Reimbursement Contracts
a. There are four basic kinds of cost reimbursement contracts
which would normally be used in EPA; the cost-plus-fixed-fee
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contract, the cost contract, the cost-sharing contract, and the
cost-plua-inceutive-fea or awprd fee contract.
Under each the Government is obligated to reimburse the
Contractor for his actual allowable and property allocable costs,
except that the cost-sharing contract provides for reimbursement
of only a stated proportion of the contractor's allowable costs.
Moreover, under a cost-reimbursement contract, the Contractor is
reimbursed for his actual allowable costs whether or not he
performs satisfactorily.
To help the EPA control work and costs, each cost-reimburse-
ment contract contains appropriate provisions defining allowable
costs. Many cost areas, however, may require special consideration
in negotiation to arrive at an advance understanding of their
allowability. Cost-reimbursement research and development
contracts also require the contractor to notify the Contracting
Officer 30 days before 85 percent of the estimated total costs
will have been spent, or at any time the Contractor comes to
believe that total costs will substantially differ from those
estimated. This allows contracting and technical personnel to
appraise the Contractor's performance and to decide whether
it is wise to give him more funds to complete the project.
The major disadvantage of cost-reimbursement contracts
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ia that they increase the administrative burden on the EPA
and the contractor. The contractor must use an accounting
system which is acceptable to Che cognizant Contracting Officer
and which facilitiates audit of his costs. Normally, all
equipment and supplies acquired under a cost-reimbursement
contract are Government property and as such must be administered
under procedures that are acceptable to the Government. Insurance,
overtime, travel, and other administrative areas also are of
more direct concern to the Government in connection with cost-
reimbursement contracting than they are in fixed-price contracting.
These factors plus the need for audit prior to contract close-out
result in additional administrative efforts both for EPA and the
Contractor.
b. Cost-Plus-Fixed-Fee. The CPFF contract is most widely used for
research and for preliminary exploration and study work. It
may also be used for development and testing requirements. The
CPFF contract pays the contractor his actual and allowable expenditures,
within the cost limiation as it may be amended from time to time,
plus a fixed-fee. The Government assumes most of the cost risk,
while the contractor is assured of a specific amount of fee. The
CPFF contract can take one of two forms; completion or terms.
The completion form normally requires the contractor to complete
and deliver a specified end-product (in certain instances, a
final report of research accomplishing the goal or target). If
the contractor cannot complete the work within the initially
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estimated cost and if the Government elects to provide more funds
for completion, these additional funds are provided without increase
in fee. However, if the work required by the contract schedule
is changed during performance, either by change order or mutual
agreement, an equitable fee adjustment is made, to take account
of the increase or decrease in the work effort. Also, if the
contract is allowed to expire when total estimated costs are
reached without completion of all the required work, a downward
fee adjustment is required to reflect the decrease in the scope
of work.
When the term form of cost-reimbursement contract is used,
the contractor is obligated to devote a specified level of effort
for a stated period of time. The Fixed-Fee is payable upon
certification by the contractor that he has exerted the specified
level of effort and provided that the Government is satisfied that
this is true. Renewals for additional periods with increases in
«jfI'orL require Increases in contract tee and they are, In effect,
new procurements. Also, if the level of effort of a term contract
is changed during contract performance, an appropriate equitable
increase or decrease in fee ana estimated costs should be made.
Cost. The cost contract is a cost-reimbursement contract without
fee. This type of contract is used principally in contracting with
educational or other non-profit institutions for research and
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development work. Generally, the cost research and development
contract contains similar terms as a CPFF contract, except for
standard modification of language to remove and exclude references
to fee and, in the case of educational institutions, different
principles for determining allowability of costs. Moreover,
these nonprofit contracts contain simplified and shorter versions
of certain contract clauses, such as the Inspection Clause and
Government Property Clause.
d. Cost Sharing. The cost sharing contract provides for partial
reimbursement of costs in accordance with a predetermined arrange-
ment. It may be used for jointly sponsored research or development
with educational institutions and in other cases where the profit
making contractor stands to benefit substantially from performing
the work (when, for example the results of the contract have
commercial use).
Research and Development cost sharing contracts may take various
forms. For example, the contractor may agree to a lower overhead
rate than his actual costs would permit. Or he may agree to prorate
all allowable costs, charging a stated percentage to the Government
and absorbing the balance himself. Whatever the method of cost
sharing, the basis and mechanics of reimbursement should be clearly
set forth in the contract.
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Cost-Plus-lncentive-Fee. The CPIF contract, like the CPFF
contract, provides for reimbursement of the contractor's
allowable costs. But the incentive fee contract establishes
a fee formula that rewards the contractor for cost underrun
and penalizes him for cost overruns of the target cost.
A target cost, a target fee, a minimum and maximum fee, and
a fee adjustment formula are set forth in the contract. The
target cost is the best estimate of the cost of completing the
work. If the contractor's actual costs are less than the
target cost, he receives a fee larger than the target fee;
if his costs are greater than the target cost, his target
fee is adjusted downward.
The CPIF contract may have performance incentives in
addition to the incentive for reduction in cost. A perform-
ance incentive gives the contractor an additional fee for
surpassing acceptable performance requirements. The maximum
fee for the selected areas of performance may be based on the
maximum performance that is attainable within the confines
of the contractor's technical proposal. Performance incentives
may include incentives for bettering delivery schedules, as
well as those tied to the technical performance of the equipment
being developed.
Cost-Plus-Award-Fee. The CPAF contract is a form of an incentive
type contract. The fee negotiated under this type of contract
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consists of a base fee to which the contractor shall be entitled
and an award fee, entitlement to which in whole or in part,
shall be determined by the Government in accordance with
evaluation criteria set forth in the contract. The basic
difference between a CPIF and CPAF form of contract is that
under the CPAF situation the major portion of the contractor's
fee is unilaterally determined by the Government based on the
contractor's performance.
The CPAF form of contract can be adopted for an R&D
situation where the contract scope of work can not be defined
specifically enough to completely predetermine the fee
incentive provisions. The CPAF contract requires periodic
evaluation of the contractor's performance and a fee determina-
tion by an objective Government official based upon recommenda-
tions of a Government Award Fee Evaluation Board.
Although the CPAF type of contract can be an excellent
mechanism under certain situations, its use should be carefully
considered in the view of the additional administrative time and
costs associated with the fee evaluation and determination
(2) Fixed-Price Contracts
a. There are five basic kinds of fixed-price contracts which
would normally be used in EPA. The most used and most
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desirable of all types and variations is the firm-fixed-price
contract. Other kinds are the fixed-price level-of-effort,
the fixed-price redeterminable, the fixed-price incentives,
and the fixed-price contract with escalation.
Firm-Fixed-Price
A firm-fixed-price (FFP) contract commits the Government to pay
specified item prices or a total price at specified intervals
or upon completion of the contract and based upon Govenment
acceptance of the items and/or end items called for. It gives
the contractor maximum incentives to reduce his costs and thus
maximize his profits. It places ell risks incurred in perform-
ance on the contractor, thus reducing the Government's admin-
istrative task. However, because of the indefinite nature
of most research and development procurements, the difficulty
of predicting accurate costs makes the use of such a contract
dangerous to the contractor in the event of unexpectedly high
costs, and risky for the Government should costs prove exceptionally
low. On the other hand, if the R&D program is at a relatively
low cost, the Contracting Officer may determine that a fixed-
price contract is most appropriate due to the additional admin-
istrative costs involved under a cost-reimbursement agreement.
Level of Effort Type
The level-of-effort type of FFP contract could be selected for
certain study and development work. The minimum level of effort
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and its time period has to be specifically set forth in the
contract. Any change in the level of effort constitutes a
change requiring a contract modification. This type of
contracting has the advantage of relieving the Government,
and the contractor, of administrative responsibilities regarding
Government audit of costs, insurance provisions, and of
providing increasing motivation to the contractor. However,
there must be clear and complete advance agreement as to the
minimum level of effort required. Otherwise, questions and
disputes may arise during contract performance. And, too,
where the fixed-price level of effort arrangement is used,
cost of any special test equipment, and other costs apart
from salaries must be susceptible to reasonable advance
estimates.
d. Fixed-Price Contracts with Redetermination
A fixed price contract with provisions for price redetermination
permits negotiation of a firm fixed-price based on cost
experience gained under the contract. Two kinds of fixed-price
redeterminable contracts are authorized; (a) the retroactive
price-redetermination-after-completion contract (applicable
to certain R&D work) and (b) the contract that provides for
prospective price redetermination at a stated time or times
during performance. The latter type is designed for quantity
production and service contracts that have a lengthy period of
76
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performance, and not for research and development.
Although it is a more flexible arrangement than an FFP
contract, a redeterminable contract lacks the flexibility of
a cost-reimbursement contract since its ceiling price cannot
be exceeded unless the scope of work is increased by Supplemental
Agreement. Accordingly, redeterminable contracts should be
used in preference to cost-reimbursement contracts only if
the nature of the work is tangible enough to warrant a
fixed-price ceiling.
e. Flxed-Prlce-Incentive Contract.
This type of contract, which provides for price increases
based on currently established labor rates and/or basic
material costs or on current list prices of standard commodities,
is not designed for research and development work.
Fixed-Rate Contracts
The fixed-rate contract can be used for services or items for which
a fixed-price or fixed-rate can be established for the labor or
for the required items but for which the quantity of labor or items
cannot be determined at the time of contract negotiation. This
type of contract is not usually used for research and development
requirements. Predetermined rates or prices are negotiated in the
form of a basic agreement between the Government and the contractor,
77
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and the Government will requee t the services or items in the
form of a call or order against this basic agreement.
For instance, the EPA requirements may be for specific types
of clinical tests or analysis with the quantity being tie unknown
factor. If available past cost data can provide a basis for
establishing a realistic price for each of the clinical tests,
the negotiated contract will include fixed-prices for each. The
Contracting Officer or his designated representative can then
place orders for the tests as the need arises and at the negotiated
fixed-rates. The most commonly used fixed-rate type of contract
is the Time-and-MateriaIs contract. Under a Tlme-and-Materlals
contract, the contractor promises to perform services on the
basis of (a) direct labor hours at specified hourly rates,
including direct labor, overhead, and profit; and (b) materials
at cost. The latter may include a mutually acceptable handling
charge to cover the contractor's overhead expense in regard to
the material.
D. ARCHITECT AMD ENGINEERING CONTRACTS
Proposed contracts for architect and engineering (A&E) services
are processed In a manner exceptional to the standard negotiation
process described in PARTS II and III. The initiating project office
should coordinate all A&E requirements with the designated Agency
A&E representative. Negotiation of A&E contracts are conducted with
78
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selected sources without the benefits of cost competition. The
sources are selected by the EPA A&E Source Selection Board. The
Contracting Officer cannot negotiate contracts for A&E services
for a price (or fee) in excess of 67. of the total estimated for
the construction project.
E. DEFINITIONS
Advertising - The method of awarding contracts through the public
opening of bids and award to the lowest responsive bidder based
on detailed design or performance specifications.
Agreement. Supplemental - A modification to an existing contract
which is accomplished by the mutual action of the parties. The
term is synonymous with contract amendment.
Annual Appropriation - An appropriation which is available for
incurring obligations only during one fiscal year specified in
the appropriation act. (This would be in contrast to "no-year
funds" which is common in many of EPA's research programs and
can be fully obligated in the next fiscal year.)
Bid - (1) An offer submitted in response to a formally advertised
invitation for bids, to buy from or furnish supplies or services
to the Government under certain prescribed conditions at a stated
or determined price.
(2) The act of submitting a bid.
79
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Budget - (I) A planned program for a fiscal period in terms of
(a) estimated costs, obligations and expenditure, (b) source of
funds for financing, including reimbursement anticipated and
other resources to be applied, and (c) explanatory and workload
data the project program and activities.
(2) To prepare such a program.
Business Evaluation - A measuring of a business proposal against
the expressed requirements of the solicitation and rating of the
proposal accordingly.
Commerce Business Daily - A daily list of U.S. Government procure-
ment invitations, subcontracting leads, contracts awarded, sale
of surplus property and foreign business opportunities published
by the Department of Commerce.
Contract - (1) An agreement, enforceable by law, between two
or more competent parties, to do something not prohibited by
law, for a legal consideration. (2) Any type of agreement or
order for the procurement of supplies and services. It includes
award and preliminary notice of award; contract of a fixed-price,
cost, cost-plus-a-fixed-fee, or incentive type; contract providing
for the issuance of job orders, task orders, or task letters
thereunder; letter contract, letter of intent; and purchase orders.
It also includes supplemental agreements and amendments with respect
to any of the foregoing.
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Contract Administration - The management of all facets of assigned
contracts $o as to assure that the contractor's total performance
is in accordance with his contractual commitments and that the
obligations of the contractor and the Government are fulfilled.
This management is conducted within the framework of delegated
responsibility and authority and includes support of buying
organizations.
Contract Award - The date of execution of the contract by both
parties. The date that the contractor commences work unless
authorized in advance by the Contracting Officer.
Contracting Officer - The individual who is the Government's
authorized agent in dealing with the contractor. This individual
has authority to negotiate and award contracts on behalf of the
Government and to make changes and amendments to the contract.
Contract. Negotiated - One obtained by direct agreement with a
contractor, without formal advertising for bids, but after soliciting
proposals from qualified sources.
Contract Negotiator - The individual who negotiates the contract.
Contract. Research and Development - A contract for experimental,
developmental, and research work.
81
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Cost Advisory Report - Contains a review of proposed contractor's
offer using techniques of price and cost analysis so that the
Government pays fair and reasonable prices for the roquired
articles and/or services.
Determination and Findings - Documents required to justify the
use of authority to (1) enter into contracts by negotiation, (2)
determine the kind of contract, or method 'of contracting to be
used, (3) advance payment authorization, and (4) necessity of
allowing the contractor to acquire nonseverable facilities.
Education and Other Nonprofit Organizations - Means any
corporation, foundation, trust, or institution operated for
scientific or educational purposes not organized for profit,
no part of the net earnings of which Inures to the profit of any
private shareholder or individual.
Federal Procurement Regulations - Regulations which apply to all
Federal agencies to the extent specified in the Federal Property
and Administrative Services Act of 1949, as amended, or in other
law. These regulations apply to procurements made within and
outside the United States to which the Federal Government is a
party.
Level of Effort - When the work statement is written in broad
general terms and describes the degree of effort to be expended,
82
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within a given pending time, a level of effort can be expressed
in the contract. This is an expression of the number and type of
man-hours or man-months that the Government is purchasing under
the contract.
Negotiation - The term when applied to the making of purchases
and contracts without formal advertising. Under negotiated
contracts, the lowest offeror does not necessarily receive the
award since technical proposal, price, and other factors are
considered in the selection of a contractor.
Negotiation Memorandum - Sets forth all of the significant details
relating to the negotiated procurement action. It reflects the
history of the procurement and the rationale for the judgments
supporting the negotiated agreement. It further docLiments the
basis for the decision that a particular price is fixed and
reasonable.
Phaslne - The dividing of the contractual effort into areas or
stages of accomplishment, each of which must be completed and
approved before the contractor may proceed to the next phase.
Pre-Award Survey - Investigation of a firm at the request of
a contracting activity to determine its ability to perform under
a proposed contract.
83
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Preneeotiatlon Conference - Meeting of negotiation team prior
to negotiation with the contractor in which negotiation goals
are developed.
Procurement - (1) The obtaining of material, or services by
purchasing, renting, leasing, or other means from sources
outside the Government. (2) In the supply management sense,
it may include the functions of design, standards, determination,
specification writing, selection of suppliers, financing, contract
management, and other related functions.
Project Officer - The individual who is responsible for the
technical direction and evaluation of the contractor's performance.
Proposals - The offeror's response to a Request for Proposal.
Proposal Evaluation Criteria - Criteria against which proposals
are evaluated. Offerors must be advised of the criteria, their
relative importance, and approximate weight in the Request for
Proposal.
Renewa1 - A supplemental agreement to an existing contract xor
continuation of work by the incumbent contractor.
Request for Proposal - (RFP) - The Government's invitation to
prospective offerors to submit a proposal based on the terms
and conditions set forth in the RFP.
84
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Respondents - Offerors who submit proposals in response to a
Request for Proposal.
Sources for Solicitation - The offerors to whom the Request for
Proposal will be sent.
Technical Evaluation - A measuring of a technical proposal
against the technical requirements expressed in the solicitation
and rating of the proposal accordingly.
Unsolicited Proposal - Is a research and development proposal
which is made to the Government by a prospective contractor
without prior formal or informal solicitation by representatives
of the Government.
Work Statement (Scope of Work - The document which states the
technical objectives and requirements of the contract.
85
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- RESPONSIBILITIES IN THE PROCUREMENT PROCESS -
RESPONSIBLE OFFICES WITHIN EPA
FUNCTION
PROJECT OFFICE
CONTRACTS OFFICE
OTHER OFFICES
PRE-SOLICITATION
Advance Planning
Submission of Purchase Request
Obtaining Sources
Sole Source Determination
Request for Proposal
SOLICITATION AND EVALUATION
Discussions with Contractor
Technical Evaluation
Business Evaluation
Selection of Competitive Range
NEQOTATIONS AND AWARD
Negotiations with Contractor(s)
Selection of Contractor
Contract Preparation and Award
CONTRACT ADMINISTRATION
Technical Direction
Contract Changes and Extensions
Monitoring Performance
Patents
Acceptance of Final Product
Payment of Vouchers
Property Administration
Administrative Close-Out
Develops Program Plan
Decision to Buy
Recommends & Evaluates
Sources
Prepares Justification
Develops Technical
Aspects
Advisory to contracts
office
Total Responsibility
Advisory
Participant
Advisory
Scope of Work and
Other Technical
Aspects
Within defined limits
Initiates to contracts
off ice
Technical Performance
Advisory to General
Counsel
Varies with Product
Advisory
Advises as to procurement
method
Establishes Source List
Final Decision
Responsible for RFP
contents and release
Responsible for all
contacts
Total Responsibility
Final Decision
Responsible for Conduct
Final Decision
Total Responsibility
Total Responsibility
Cost Performance
Coordinates Requests
Varies with Product
Reviews & Certifies
Advises and Recommends Final Decisions
Audit-Advisory
over $100 K
General Counsel
may be advisory
Total Responsibility
86
General Counsel
prepares Agency's
position
Financial Management
Schedules for Paymei
Property - Records,
Disposition & other
services
Audit & General Counsi
Advisory
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SUGGESTED CHECKLIST
FOR THE
USER'S HANDBOOK
Compiled by
Mary Lewis
Arvella Weir
Lorene Fuller
U. S. Environmental Protection Agency
Library System
June 1973
EXHIBIT E
-------
FOCUS: LIBRARY SERVICES
(j J ENVIRONMENTAL PROTECTION AGENCf
ROBERT S. KERR ENVIRONMENTAL RESEARCH LABORATORY
ADA, OKLAHOMA 74820
-------
To Our Users.
This manual is designed, to "Focus" your attention on the
library 'e programs/procedures, and the many inter-related
services of the EPA Library Cormunity
'I'fa- Library Hi anion and History
June 1973
-------
FOCUS: ROBcRT S. KERR ENVIRONMENTAL RESEARCH LABORATORY
Location/Hour a/Staff
Floor Plan
Proceduree
Collection
Special Collections
Special Equipment
-------
library Location
Nrjme
Addreae
Telephone Service
Librarian
General Reference
[nterlibrary Loan
Technical Processing
Branch or Satellite Libraries
Library Houro
Library Staff
Floor Plan
Library Privileges/Procedures
Circulation of Library Materials
Loan Periods - definite S indefinite
Circulating 4 referenoe materials
Recall of Material
Responsibility for Library Materials
Qualified Users
Acquisition Policy
Purchase
Reoomenda tions by Staff
Collection
General
Scope of Collection
Types of Material
Arrangement
Reference Collections
Reference Sources - encyclopedias,
dictionaries, biographical reference
hocks, handbooks, directories, biblio-
graphies, eta,
-------
Co Ilection(continued)
Literature Searching Tools
Listing of Aba tracts & Indexes (An annotated
list of the searching tools would be an
invaluable aid to users in the laboratory
libraries.)
Special Collections
Any collection of ttpecialized information
For Example: Lau Collection
Extensive Reprint Collection
Map Collection
Technical Basic Data -
e.g., River Baein Material
Technical Reports
-or-
College Catalogs
Telephone Directories
Theses & Dissertations
Laboratory Training Manuals
Annual Reports of Corporations
Special Equipment 6 Services
Types of Machines
Microfilm, microfiche, reader-printers
Reproduction Services
-------
FOCUS: HOW TO USE..
Indexes to Library Collection
Claasifieation System
Indexing/Abe traoting Services
-------
HOW TO USE...
Indexes to Library Collection
Card Catalog
Arrangement - dictionary /divided
Types of catalog cards
Parts of catalog card
Book Catalog
Special Indexes for Materials not
Listed in Card Catalog
For Example: Map Index
Utilisation of Printed Indexes,
e.g., "List of Bureau of Mines
Publications and Articles"
"Publications of the Geological
Survey"
Classification System
Indexing/Abstracting Services
-------
FOCUS: INFORMATION SERVICES
Reference
Literature Searches
Interlibrary Loans
Translations
Publications
Interpreting Library Service
-------
INFORMATION SERIVCES
Reference
Quick Reference Service
Extensive Research - Investigation of
many source a on a given subject within
a opecified period of time
Compilation of Bibliographies
Current Awareness - Routing of period-
icals, tables of contents, etc.
Li terature Searches
Typaa of Searches
Current awareness & retrospective
searches
Data Bases - Services available
through NERCt Cincinnati Library
Other Services
Interlibrary Loans
From Other Libraries—
Types of Material excluded from
Interlibrary Loans
Bibliographic Information
Lending Library Regulations
Translations
Sources
Processing of Translation Requests
Publications
EPA Periodic Publication Announcements
For Example: Air, Solid Waste, Water
Quality
Library Publications & Bulletins
Accession Lists
-------
Interpreting Library Service
Orientation Programs for Staff
Leoturee and Tours
Exhibits
Bulletin Boards
-------
APPENDICES
Hevisions
The Future
New Services Under Consideration
Other Libraries in the Area
Location of EPA Libraries(Map)
-------
EPA-IAG-DG-0673
INTERAGENCY AGREEMENT
BETWEEN THE
ENVIRONMENTAL PROTECTION AGENCY
AND THE
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION
This agreement provides for cooperation and the sharing of
services between the Environmental Data Service, National
Oceanic and Atmospheric Agency and the Library Systems
Branch, U.S. Environmental Protection Agency.
Scope of Work:
Under this agreement, the EDS and the Library Systems
Branch of EPA will share library programs, literature
searching services, joint bibliography and other publishing
programs, and sponsorship of training programs.
1) Library programs. EDS and LSB will provide each
other copies of tools generated by either of the library
systems. Software and files supporting library programs
will be made available on an exchange basis. Joint files
may or may not result from this agreement. Joint holdings
lists will be issued as a result of this agreement.
&DS and LSB will jointly participate in library
management programs such as the development of staff and
user manuals, standard job description preparations, contracts
and other arrangements for accessing of computer data bases,
evaluation and cost benefit studies.
2) Literature Searching Services. EDS and LSB will
provide access to their own data bases to each other? share
in accessing of outside data bases as appropriate.
3) Joint Bibliographies and Publishing Programs. EDS
and LSB will jointly prepare state-of-the-art and continuing
bibliographies in areas of major concern to both organiza-
tions. Directories and library management tools will be
jointly published as appropriate. Cost of publishing joint
holdings reports will be shared, or alternated.
4) Sponsorship of Training Programs. EDS ar^ LSB will
jointly sponsor staff training programs in areas of mutual
EXHIBIT F
-------
3
cost of the joint projects from their operating accounts, e.g.
publications funds, etc.
APPROVED:
National Oceanic and Atmospheric Environmental Protection
Agency Agency
Director, Environmental Data Service Deputy Assistant Administrator O
for Administration
vi~/v4r- '/'V/7T
Date Date
-------
continuation or fcFA-lAG-04-Ub73J
INTERAGENCY AGREEMENT
between the
U. S. ENVIRONMENTAL PROTECTION AGENCY
and the
NATIONAL TECHNICAL INFORMATION SERVICE
U. S. DEPARTMENT OP COMMERCE
1. INTRODUCTION
This document constitutes an agreement between the U. S.
Environmental Protection Agency (hereinafter referred to as
EPA) and the National Technical Information Service, U. S.
Department of Commerce (hereinafter referred to as NTIS) setting
forth the provisions for the information program to be performed
by NTIS for EPA during Fiscal Year 1975.
2. SCOPE OF PROGRAM
NTIS will provide a broad-based information package, which will
provide a customized information services program that will be
responsive to EPA's changing requirements.
3. PRODUCTS AND SERVICES TO BE FURNISHED BASED ON DOCUMENT INPUT
a. EPA Reports Quarterly Abstract Bull in
(1) NTIS will produce, on a quarterly basis and at no
expense to EPA, a papercopy subscription journal con-
taining citations of all reports sponsored or. contracted
by EPA that were accessioned by NTIS during the preceding
quarter.' Also included will be joint-sponsored reports,
even when EPA is not the primary sponsor. The first
issue of this subscription will contain input from EPA
for the months of January through March., 19 75.
(2) In order to provide continuous announcement of EPA
material, NTIS will publish a second EPA Reports
Bibliography Supplement containing EPA input from
January, 1974 (the cutoff date for the first EPA Reports
Bibliography Supplement) to December 31, 1974. In
addition, this second supplement will contain any old
reports which can be identified in the NTIS data base
but which were not published in the first supplement*
EPA will purchase, at a discounted price to be nego-
tiated, an estimated 260 copies of this supplement,
the cost of which will be deducted from the EPA Head-
quarters deposit account. EPA will provide names and
addresses of recipients in order that NTIS may distribute
the documents-
-------
(3) The EPA Library System will require a subscription for
100 copies to the quarterly abstracts bulletin for
internal distribution; the EPA Libraries and the Foreign
Exchange program will require 160 subscriptions (two for
each of 80 addresses, which will be provided by EPA).
Costs for these subscriptions will be charged to the
EPA Headquarters deposit account number 77912-4. NTIS
will distribute these bulletins under its own mailing
labels. The fee for postage is included in the price
of the subscriptions.
b. Selective Research in Microfiche (SRIM) Distribution
A total of 75 microfiche subscriptions will be provided,
using the NTIS Selective Research in Microfiche (SRIM)
distribution system, to the designated recipients in the
EPA Library System and in the Foreign Exchange Program.
EPA will designate whether its subscribers will receive only
EPA-sponsored material ("EPA Only"category) or EPA-sponsored
reports plus all other environmental reports announced in
the NTIS WGA Category 68, Environmental Pollution and
Control ("All of Category 68" designation). Costs for
this microfiche will be charged to the deposit accounts of
the individual recipients or to the EPA Headquarters deposit
account/ as designated by EPA.
c. Computer Tape of EPA Reports Quarterly Abstracts Bulletin
Material
NTIS will supply the EPA Library Systems Branch with a
computer tape containing bibliographic citations of all
individual items listed i*n the second EPA Reports Bibliography
Supplement and in the EPA Quarterly Abstracts Bulletin. This
tape will be in the NTIS GRA sales tape format and may be
marketed and sold by NTIS under its computer products program.
d. Subscriptions to WGA Category 68, Environmental Pollution and
Control
(1) The EPA Library System will receive 80 subscriptions to
NTIS' Weekly Government Abstracts Category 68, Environ-
mental Pollution and Control. EPA will provide names
and addresses of these recipients, which will include
EPA Libraries and Foreign Exchange Program participants.
(2) EPA recipients who currently have subscriptions to WGA
Category 68 and who will be covered under this program
by EPA will be instructed by EPA to allow their current
subscriptions to expire. All new and renewal subscrip-
tions to WGA Category 68 covered under this agreement
will be entered by NTIS in such a way chat they will
all expire at the end of December, 1975. The cost of
these subscriptions will be charged to the EPA Head-
quarters deposit account number 77312-4. As of January
-2-
-------
19,76, the individual recipients will be responsible
for the cost of their subscriptions through their
respective deposit accounts.
EPA Translation Bulletin
(1) EPA will furnish NTIS with print masters for a monthly .
environmental translation bulletin covering EPA
translations and others which can be identified as
having interest to the environmental community. EPA
will obtain the necessary OMB clearances for this
bulletin. NTIS will print the bulletin and will market
and sell the product as an NTIS subscription item.
(2) EPA will purchase an estimated 50 subscriptions at a
discounted rate, including cost for postage, and will
supply NTIS with recipients' names and addresses in
order that NTIS may distribute the bulletins. The
cost of the subscriptions will be charged to the EPA
Headquarters deposit account number 77912-4.
(3) The EPA Library System will input those translated
documents, that are announced in the translation bulletin
as available from NTIS, into the NTIS system and will
indicate in the Supplementary Notes section of the NTIS
Form #35 (ANSI Report Documentation Page) that EPA has
sponsored the input of this material. These .documents
1,1 ill no ci l V*Tn i f t.t -» rK * At* 7\7 T' X C r»i r* ^ 1 k sn/1 5 "O
11 A M W M U •» W W !•!£* W W *a* tl A A W * W* Ak«W Q W 4M M ( ^ /
as is all material submitted to NTIS for accessioning.
Translations submitted for processing will be subject
to NTIS publication and reproduction requirements and
will be free of copyright restrictions, or an appropriate
copyright modification will be added by EPA below the
copyright statement in the document itself.
(4) In order that those translations announced in the bulletin
as available from NTIS may be processed, priced and
numbered in a timely manner to facilitate the preparation
of print masters for the bulletin by EPA, NTIS will work
with EPA to develop mutually satisfactory prccessing
procedures for these translations.
EPA's Summaries of Foreign Government Environmental Reports
Bulletin
(1) The EPA Office of International Activities will provide
NTIS with print masters of its monthly Summaries of
Foreign Government Environmental Reports bulletin to
print and sell on a subscription basis. EPA will
purchase, at a discounted rate, an estimated 525 sub-
scriptions, which NTIS will distribute according to
names and addresses provided by EPA. The cost of the
subscriptions will be charged to the EPA Headquarters
dsoosit bcca
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(2) To, the extent that is practicable, EPA will provide
an input processing copy of as many as possible of the
actual reports listed in the Summaries, for entry into
the NTIS system. These repor.ts will be provided through
the SRIM distribution system to EPA subscribers in
both EPA-designated SRIM categories, thereby assuring
that all EPA SRIM subscribers, including the United
Nations Environmental Program Libraries, will receive
them through their SRIM distributions. Copyrighted
material will be handled as stated on Page 3, paragraph
3,e, (3).
g. Foreign Reports Not Included in Summaries Bulletin
Foreign reports not included in the EPA .Summaries bulletin
will be furnished NTIS by the EPA Library. System for input
processing. The reports may not be translated from the
original language, but they will be submitted with the
standard NTIS Forms #35 and #79 in English. As with the
Summaries material, these reports will show EPA in the
Supplementary Notes area of the NTIS Form #35 as the
sponsoring agency in order to assure their inclusion in
both EPA-designated SRIM categories. Copyrighted material
will be handled as stated on Page 3, paragraph 3,e,(3).
h. Computer Tape of Translated and Foreign Items
P » •« IT ¦»— . t' F) 3\ T 4 Ts v* ^ f C » » t- u *.• n />"» n n * a"
LlilJ nxxx VX UC Ui A AJA 1 A— UAWJ. Ui. JT- wjr M A d
computer tape containing bibliographic citations of all
individual translated and foreign items that are actually
submitted to NTIS by EPA. This computer tape product may
be marketed and sold by NTIS under its computer products
program.
4. OTHER SERVICES TO BE PROVIDED
a. Announcement of EPA Material
A number of information and marketing programs may be
utilized by NTIS to provide regular and ongoing visibility
to EPA documents under NTIS bibliographic control. These
programs consist of inclusion and listing in NTIS' varied
current awareness publications, computer search files, and
promotion programs, including the following:
Weekly Government Abstracts (selected material)
Government Reports Announcements
and Government Reports Index
Government Reports Annual index
Direct Mail Promotion
Selected Research in Microfiche (SRIM)
Selected Research in Microfiche by Profiles
Professional. Journals
-------
( Trade List Promotion
NTISearch Program
Selected Bibliographies
1 Bibliographic Data Leasing Program
b. Technica\ Training Sesalong
NTIS will conduct training sessions, on a mutually agree-
able basis, to provide technical assistance to EPA's
document processing personnel in order to facilitate the
efficient handling of the information products covered by
this agreement.
c. Document Processing Requirements
The EPA Fiscal Year 1975 document input processing require-
ments are set forth in Amendment Number 1 to ongoing agree-
ment number EPA-IAG-D4-0396 (NTIS Interagency Agreement
number IA 74-023). All EPA input processing charges will be
covered by this Amendment Number 1.
5. STATE AND LOCAL GOVERNMENT PROGRAM
EPA will work with and encourage the state and local governments
to develop a document interchange program which would provide
exposure of their technical information on a Federal level and
would give them greater access to research that has been accom-
plished on the Federal level. This information exchange would
be particularly encouraged in the subject areas of environmental
protection, energy, transportation and urban technology.
6. COMPUTER TERMINAL REQUIREMENTS
NTIS will provide EPA with an access privilege to search the
NTIS bibliographic data files, accessible through a contractual
agreement between NTIS and the organization currently utilized
by NTIS for search purposes. Time will be provided to EPA for
search and retrieval of the NTIS bibliographic data files, as
specified in Attachment 1 to this agreement, Technical Specifica-
tions for EPA's Terminal Requirements.
7. DURATION OF AGREEMENT
This agreement will be retroactive to July 1, 1974, and is a .
continuing agreement subject to renegotiation or termination
upon a 60-day written request by either party. Specific work
specifications and funding information will be handled through,
an amendment each fiscal year.
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8. CHARGES
The estimated cost for the EPA Fiscal Year 1975 program, as set
forth in this agreement, is $61, 268. Unit cost's and estimated
charges for specific workloads are listed in Attachment 2 to
this agreement, Cost Estimate for EPA Fiscal Year 19 ?S Program.
NTIS reserves the right to adjust its unit costs for the-services
provided pending a periodic six-month review of its operational *
costs. Charges for the fulfillment of this program will be made
to the EPA Headquarters deposit account number 77912-4. EPA
will maintain sufficient funding in this account at all times to
cover program charges, plus any additional purchases of products
or services not contained in this agreement. Routine monthly
deposit account statements will show actual program charges made
to the account.
9. PROJECT OFFICERS
The representatives named below will serve in a liaison capacity
to facilitate operations between the participating organizations.
NTIS
EPA
Administrative
Administrative
Mrs. Eloise T. Collins
Chief. Office of Agreements
Telephone: (703) 321-7C20
Technical
Mr. James R. Jennings
Office of the Special Assistants
Telephone: (703) 451-3836
Ms. Sarah M. Thomas
Chief. Library Systems Branch
Management c.nd Crgzai cation
Division, Room 2903
Telephone: (202) T&55-0353
National Technical Information
Service
52 85 Port Royal Road
Springfield, Virginia 22161
U. S. Environmental Protection
Agency
401 M Street, S. W.
Washington, D. C. 20460
10. AUTHORITY
This agreement is entered into under the terms of NTIS enabling
legislation, 15 U. S. Code 1151-1157 and 1525-1527, and the
Economy Act, 31 U. S. Code 686.
11. AUTHORIZED SIGNATURES
This Interagency Agreement is executed by the duly-authorized
parties whose signatures are affixed below: i s
ii, C I L.
^ -—»- ---J
National Technical Information U.S. Environmental Protect^®
Dei-" VIC^
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Attachment 1
TECHNICAL SPECIFICATIONS FOR EPA'S TERMINAL REQUIREMENTS
NTIS Responsibilities
a. Terminal service will be provided on an "as needed"
basis as determined by EPA. For each hour of opera—-
tion, NTIS will bill EPA a fixed charge of $35.00 per
hour. Fractional portions of an hour will be payable
on a prorated basis.
b. If desired by EPA, NTIS will provide a training pro-
gram in the Washington, D. C. area demonstrating
techniques required for operation of the terminal
system at a charge of $45.00 per hour (includes instruc-
tor and terminal equipment).
EPA Responsibilities
a. The EPA will furnish NTIS with a list of days in the
week and hours preferred for terminal query time to
facilitate scheduling.
b. The EPA will be responsible for any equipment installed-
on the EPA site and exercise reasonable care in opera-
tion and storage.
c:. Tilt: EPA will be i-tJ^ijOiiaiult: jTOjl uevtrlopiiiy Sealuli LtsOl*—
niques, including search questions, defining terms and
keywords, for use in search data files and interrogating
the data files.
Financial Responsibilities
a. The hourly fee for access to the NTIS file is $35.00
per hour, plus equipment base charges. Land line charges
are included in the $35.00 per hour fee for access from
the Washington metropolitan area.
b. Off-line printing will be charged at $0.08 per item
(citation and/or abstract).
c. Equipment lease fees and terminal usage will be charged
on a monthly basis through the NTIS deposit account
system. Statements will be issued monthly on equipment
and usage rates. If necessary, usage information may be
provided semimonthly.
d. The projected annual fund requirement is $61,000.00.
e. Funds will or may be advanced in amount and fraauencv rscuired for the
TT*a|nfoTjApro nf tiis dspcsii account•
ilcc-d c-yr^r
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Attachment 2
COST ESTIMATE FOR EPA FISCAL YEAR 19 75 PROGRAM
The following estimate of costs is based on the specifications set
forth in Paragraph 3 of this agreement entitled Products and Services
to be Furnished Based on Document Input. The total program will be
funded from the EPA Headquarters Deposit Account No. 77912-4.
3,a: EPA Reports Quarterly Abstract Bulletin
3,b: Selective Research in Microfiche (SRIM)
Distribution
There will be 52 subscriptions (51 "EPA Only"and
one "All of Category 68) funded from the Head-
quarters deposit account (the remaining 23
subscriptions will be deducted from the individual
recipients' deposit accounts).
1,000 EPA reports x 51 subscriptions x the
negotiated "price of per ciLle;
5,800 titles (WGA Category 68) x 1 subscription x
the negotiated price of $.31 per title: 1,798
3,c: Computer Tape of EPA Reports Quarterly Abstracts
Bulletin Material: 2,000
3,d: Subscriptions to WGA Category 68, Environmental
Pollution and Control
50 subscriptions for Foreign Exchange Program
30 subscriptions for Library Systems Branch
80 total number of subscriptions 0 $30 each: 2,400
3,e: EPA Translation Bulletin
Purchase of an estimated 50 sunscriptions: 2,250
3 . f: EPA's Summaries of Foreign Government Environments I
Purchase of 260 subscriptions:
$15,600
Purchase of 260 copies of the second
EPA Reports Bibliography Supplement at an
estimated unit cost of $6.00 per copy:
1,560
rjr.r.
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Attachment 2, Page 2
3,h: Computer Tape of Translated and Foreign Items": $ 2,000
The following estimate is based on Paragraph 6 of this agreement,
the technical specifications for which are covered in Attachment 1.
6. Computer Terminal Requirements
Estimated usage: 285 hours x $35.00 per hour: 9,975
TOTAL ESTIMATED COST FOR FY 19 75 PROGRAM: $61,26 8
NOTE: Pending development of individual program specifications
in some areas, some items do not contain unit costs. As
these specifications are developed, public selling prices
and EPA negotiated discount prices will be determined.
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'.NATIONAL TECHNICAL INFORMATION SERVICE AMENDMENT NO. 1 TO ONGOING AGREEMENT IA-74-023 *
* (EPA- IAG-D5-0396)
COVERING DOCUMENT PROCESSING AND ANNOUNCEMENT SERVICES FOR FISCAL YEAR 1975
ADMINISTRATIVE TERMS AND SIGNATORIES
ARTICI£ I: Source Client--U. S. Environmental Protection Agency
Designated Source Code--EPA followed by a 3-digit Agency acronym
to be designated by NTIS
ARTICLE II: Estimated Workload--!,000 documents
ARTICLE III: Funding Information--
Unit Cost--$35.00 per document
Estimated Funding--$35,000.CO
Advance or Reimbursable - - Advance funding
Appropriation No.--
Account No. - - ; Object No. - - 2570
Address of Office to be Billed-- Document Control C00132
ARTICLE
IV:
Time Period of Amendment to Agreement--This Amendment No. 1
covers period of July 1, 1974 to June 30, 1975, and will continue
as an ongoing program.
ARTICLE
ARTICLE
V: Termination of Amended Agreement--This amended agreement may be
renegonatcu. or tsnnmatcu upon a^vO-uay written rcCjUcst by
either party.
VI: Source Client Liaison--
ARTICLE VII:
ARTICLE VIII:
Ms. Sarah M. Thomas, Chief
Library Systems Branch
Management and Organization Division
U.S. Environmental Protection Agency
Washington, D.C. 20460
(202) 755-0353
Authority--This Amendment No. 1 to Agreement No. IA-74-023 is
entered into under the terms of NTIS enabling legislation,
15 U.S. Code 1151-1157 and 1525-1527, and the Economy Act,
31 U.S. Code 686.
This amendment is executed by the duly authorized parties whose
signatures are affixed below.
National
(mical Information.
DaW^
Environmental Protection Agency
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SOURCE CLIENT TECHNICAL SPECIFICATIONS
FOR PROCESSING DOCUMENTS THROUGH THE
NATIONAL TECHNICAL INFORMATION SERVICE SYSTEM
Document Processing
The Source Client will provide NTIS with its publications
annually which will be processed into the NTIS information
system for announcement and sale. This includes cataloging,
indexing, abstract review and creation of a tape record of
the bibliographic information.- These services will enable
NTIS to announce the availability of paper copy and micro-
fiche copy of the Source Client reports through its various
announcement media. Bibliographic data describing the
Source Client reports will be stored for on-line bibliographic
search purposes. Microfiche masters of each report will be
prepared for reproduction of microfiche duplicates. Paper
copy and microfiche copy will be available for sale.
Document Submission
a. The Source Client documents will be submitted containing
a completed ANSI Report Documentation Page (NTIS Form
#35 or similar form) and will be accompanied by one
or more Accession Notice C^rds (NTJS Form #79) (samples
of both forms enclosed). 'Phe Source Client will endeavor
to prevent duplicate shipments of- documents to NTIS,
from any source, by attaching Accession Notice Cards
addressed to other offices likely to send the same
titles to NTIS. The NTIS Forms #79 will be annotated
by the contributor as follows:
Block #4: NTIS designated Source Client Code
Block #9: Quantity of stock sent to NTIS
b. The Source Client's name and address will be typed on
the reverse side of the NTIS Forms #79. Documents will be
addressed to: National Technical Information Service
ATTN: Input Branch (plus Source Client Code)
52 85 Port Royal Road
Springfield, Virginia 22161
c. Documents submitted for processing will be subject to
NTIS publication and reproduction requirements. Trans-
lations made from texts published in any country that is
signatory to the Geneva Copyright Convention must contain
a signed statement in block 18 of NTIS Form j{35 to the effect
that: 1). Original text is not copyrighted, or 2). Copyright
holder has authorized NTIS to reproduce and sell copies of
translation(s). If NTIS has been so authorized, a copy of
the copyright release will be furnished to NTIS for case
file purposes. The Source Client will furnish NTIS with
five to twenty-five copies of each document/report to be
registered whenever possible.
-------
d. Documents forwarded when known not to be reproducible
by NTIS standards should contain a disclaimer notice
for each document. The disclaimer will list the office
where user may write for information on the illegible
portion of copy. (NOTE: Inclusion of a disclaimer in
a document does not mean that the document will be auto-
matically processed in view of the disclaimer).
Pricing
NTIS will price the documents announced for public sale
under this agreement in accordance with its pricing policy
as stated in the Federal Register,October 31, 19 74, or super-
seding announcements. To permit NTIS to maintain the lowest
possible price schedules, the Source Client will refer
requests for reports to NTIS and avoid secondary distribution
of free copies to the public.
Marketing
ft number of information and marketing programs may be utilized
by the NTIS to provide regular and ongoing visibility to the
Source Client documents under NTIS bibliographic control.
These programs consist of inclusion and listing in NTIS*
varied current awareness publications, computer search files,
and promotion programs, including the following:
Weekly Government Abstracts "end Weekly Government Abstracts Index
Government Reports Announcements
and Government Reports Index
Government Reports Annual Index
Direct Mail Promotion
Selected Research in Microfiche (SRIM)
Selected Research in Microfiche by Profiles
Professional Journals
Trade List Promotion
NTISearch Program: Published Searches and/or
On-Line Searches
Selected Bibliographies
Bibliographic Data Leasing Program
Financial Procedures
a. The unit cost for processing reports into the NTIS
information system is covered on page one, "Administrative
Specifications". This listing charge includes announce-
ment, selective promotion, perpetual retrievability and
maintenance in the NTIS information collection, cataloging,
indexing, abstract review, tape service, and master micro-
fiche, and includes the activities described in the
-------
marketing section. NTIS reserves the right to adjust the
unit cost for those services ponding a periodic six-month
review of its operational cost.
b. The Source Client will advance total funding of the
program at the beginning of each fiscal year, and NTIS
will charge against this advance for the full document
processing and announcement cost. NTIS will provide
the Source Client with a quarterly accounting statement
of documents accessioned into the NTIS information system
with a running balance of funds. Future workloads will
be determined by the Source Client at the beginning of
each fiscal year; the funding will then be computed
based on the NTIS current unit cost for document pro-
cessing and will be advanced to NTIS accordingly.
Liaison Personnel and Organization Addresses
The representatives named below and on page one, Article VII,
will serve in a liaison capacity to facilitate communication
and operations between the participating organizations.
Administrative
Technical
Mrs. Eloise T. Collins
Chief, Office of Aqreements
(703) 321-7620
Mr. John H. Ashley
Chief, Input Branch
. (703)
Address
National Technical Information Service
U. S. Department of Commerce
5285 Port Royal Road
Springfield, Virginia
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INTERAGENCY AGREEMENT
BETWEEN THE
ENVIRONMENTAL PROTECTION AGENCY
AND THE
U.S. DEPARTMENT OF STATE
Purpose
This agreement provides for the Environmental Protection Agency
(EPA) to use services provided by the U.S. Department of State,
Division of Language Services.
Description of Services
The Language Services Division agrees to provide translating services
to the Environmental Protection Agency on a reimbursable basis as
follows:
1. Language Services Division staff and/or contractual personnel
will be assigned to work requested by the Environmental Protection Agency
to the extent that such personnel are available for assignment.
2. Language Services Division staff personnel will perform those
administrative functions relating to contracts translators assigned to
work requested by the Environmental Protection Agency.
The Environmental Protection Agency agrees to provide the Language
Services Division with:
1. The fiscal year dollar level of funded anticipated requirements
by July 20, 1974, and any change thereto resulting from program changes
or funding availability.
2. Advance notice of anticipated service requirements.
3. Memoranda or other document requesting services. This document
will cite this agreement and be signed by the EPA Project Officer. Such
documents received after June 20, 1975, will be applied against upcoming
fiscal year agreement.
Duration of Agreement
This agreement will become effective immediately upon execution, and remain
in effect until terminated by mutual consent on or before June 30, 1975.
The terms of this agreement may be amended by mutual agreement.
-------
2
Project Officers
The EPA project officers are:
For translating services
Ms. Sarah M. Thomas
Chief, Library Systems Branch
Management and Organization Division (PM-213)
Environmental Protection Agency
Washington, D. C. 20460
Ms. Chandlee Murphy
Translations Services Section
Environmental Protection Agency
Yorktown Office Mall
Research Triangle Park, N. C. 27711
Only authorized persons above may request or approve translating services.
Office providing services
Division of Language Services
Room 2214
U.S. Department of State
2201 C Street, N.W.
Washington, D. C. 20520
Contact point: Mrs. Nora Legins
632-1528
Financial Provisions
Reimbursement to the Department of State for services provided by the
Language Services Division will be at the rates used for reimbursement
from all agencies requesting language services. These rates are subject to
adjustment concurrently with Federal Pay Adjustments and/or contractual
negot iations.
The Department of State will bill the Environmental Protection Agency on
SF-1080 on a twice yearly basis. The initial billing at mid^year will
cover 50 percent of the annual estimate. The final billing, in June, for
the balance due, will be addressed to the following EPA office:
Environmental Protection Agency
Division of Financial Management
Accounting Operations Branch
401 M Street S.W., PM-226
Washington, D. C. 20460
The amount to be reimbursed under this agreement will not exceed $5000.
Requests for reimbursement will cite the following EPA Accounting Data:
Appropriation 6850105 Commitment C00062 Account 521217C990 Object Class 25.70
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3
Authorization
This agreement is established pursuant to the authority of the Economy
Act of 1932, as amended (31 U,S.C« 686).
APPROVED:
Deputy Assistant Administrator
for Administration
£>*rr- ^ /??/
Date
Chief
Language Services Division
/ 9 P ¥
Date
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or" „(] hK
'3/13a «'
2265.3
FIELD LIBRARY GUIDELINES
MAY 1975
HUD STAFF
A HUD HANDBOOK
ADMINISTRATION
U. S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
WASHINGTON, D. C. 20410
ASLiDlSTRlBUTtON: W-l, W.2, W-3, W-3-1, W.4, R-l, R-2, R-3,
R-3-2, R-4, R-4-1, R-4-2, R-5, R-5-l, R-5-2, 018
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FOREWORD
This Handbook presents minimum policy and procedure guidelines for
the establishment, maintenance, and development of Regional, Area
and Insuring Office library facilities. Budgetary and staffing
limitations may constrain the capability of a given office to meet
these minimum guidelines from time to time. Nevertheless, every
effort should be made to provide adequate staff on a collateral or
part-time basis when permanent full-time staff is not available for
the effective performance of the library functions set forth in
this Handbook.
It is designed primarily for the Regional, Area and Insuring
Office personnel, a diverse group with varying knowledge and
experience in library policies, skills, and techniques. Additional
guides to organizing and managing a library facility, especially
for non-professional employees, are in Chapter 12, Library
Organizational Guides: A Selected Bibliography.
The relationship between the headquarters HUD Library Division and
the field is delineated.
Libraries were established in HUD field offices in response to
staff needs for documentation and technical information to support
and develop Departmental programs.
A library is herein defined as a place set apart for an organized
collection of recorded informational material in different formats
maintained and developed by a qualified individual to meet user
needs.
Except where noted, all procedures described are those used in the
Headquarters Library. These procedures are examples only and may
be modified or adapted to meet the needs of an individual field
library.
This Handbook supersedes and cancels the Housing and Home Finance
Agency's "Initiating and Operating Procedures for Regional Office
Book and Periodical Collections", April 1962.
It supplements Handbook 2265.2, Library and Program Information
Services, September 1971.
5/75
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2265.3
TABLE OF CONTENTS
Paragraph Page
FOREWORD
CHAPTER. 1. GENERAL
1. Regional Library Mission and functions 1
2. Staff Functions and Qualifications 2
3. Regional Library Organization 2
4. Area Library Staffing 2
5. Area Staff Responsibilities 2
6. Regional Staff Responsibilities 3
7. Insuring Office Collections 3
B. Role of the Headquarters library 3
9* Budget Considerations 4
10. Annual Budget Factors 4
CHAPTER 2, PHYSICAL PLANNING
11. Location 7
12. Size 7
13- Planning the Physical Layout 7
14. Furniture and Equipment .9
CHAPTER 3. THE COLLECTIONS
15* Scope 13
16. Core Collections 13
17* Selection Guides 13
15. Size 13
19* Organization 13
20. Consolidation 14
21. Maintenance 14
CHAPTER 4. ACQUISITION OF MATERIAL
22. Acquisition Process 15
23. Selection Sources 15
24. Verification 15
25. Approval 17
26. Purchased Materials 17
27. Special Accounts 21
28. Book Order Records 21
29. Free Materials 22
30. Gifts and Exchange 22
31. Periodicals 25
32. Renewals 251
i
5/75
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2265.3
Paragraph Page
33. Confirming Orders 30
34• Prepayment 30
35. Imprest Funds 30
36. Financial Records 30
37. Initial Processing Procedures 30
CHAPTER 5. TECHNICAL ORGANIZATION OF MATERIALS
38. Cataloging and Classification 37
39. Classification 37
40. C at aloging 42
41. Preparation of Catalog Cards 46
/*2. Catalog Card Filing 49
43. Charge Cards, Book pockets and Book Labels 49
44. Periodical Organization and Control 49
45. Organization and Control of Legal Materials 60
46. Organization and Control of Comprehensive
Planning Reports 60
47. Organization and Control of Microforms 62
CHAPTER 6. PHYSICAL ORGANIZATION OF MATERIALS
48. General Book Collection 65
49. Periodicals 66
50. Legal Materials 66
51. Comprehensive Planning Reports 67
52. Other Materials 67
CHAPTER 7. REFERENCE SERVICE
53. Requirements 69
54. Scope 69
55. Technique 69
56. Information Sources 69
57* Legal Research 70
CHAPTER 8. CIRCULATION
58. Circulation Procedures 71
59* Loan Period 71
60. Overdue Material 71
61. Reserve Material 71
62. Indefinite Loan 71
63. Inter library Loans 71
5/75
ii
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2265.3
Paragraph Page
CHAPTER 9. INFORMATION DISSEMINATION
64. Additional Information Sources 77
CHAPTER 10. FREEDOM" OF INFORMATION
65. Regulations 83
66. Circular 1610.10A 83
67. Requests or Complaints 83
CHAPTER 11. STATISTICS
68. Purpose 85
69. Frequency 85
CHAPTER 12. LIBRARY ORGANIZATIONAL GUIDES:
A SELECTED BIBLIOGRAPHY
70. General 87
71. Physical Planning 87
72. Acquisition of Materials &&
73~ Cataloging and Classification 89
74. Reference 90
75. Statistics 90
iii
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2265.3
CHAPTER 1. GENERAL
1. REGIONAL LIBRARY MISSION AND FUNCTIONS. A Regional Library should
provide full documentation and technical information services to
support the Departmental programs. The Regional Librarian is
responsible for accomplishing this mission by:
a. Providing full range*of library services to Regional personnel
and outside clientele;
b. Using information resource? to assist Regional and Area/insur-
ing Office personnel in the execution of their duties;
c. Maintaining and developing regionally comprehensive collections
on housing, community development, and related subjects;
d. Assisting and having technical direction for the establishment,
maintenance, and development of Area and Insuring office libraries;
e. Managing the libraries by applying general guidelines provided
by the Headquarters Library, whenever suitable and feasible;
f. Controling and developing library procedures and establishing
the professional policy and programs;
g. Planning and introducing the most effective system (economic
and otherwise) for all Regional library operations and pro-
cesses;
h. Coordinating library activities and providing programs, assis-
tance, technical guidance and support to achieve maximum
productivity and utilization of the collection;
i. Providing linkage between the Regional Library, Headquarters
Library, and Area/insuring Office libraries;
j. Evaluating the performance of the Area and Insuring Office
libraries through regular field visits, to determine policies
and directions for their development}
k. Assisting in the selection and recommendation of candidates for
library positions within the Regional library network;
1. Preparing budget for Regional, library network;
m. Serving as depository for HUD publications, HUD supported
technical reports, and planning studies covering the Region;
Page 1
5/75
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226^.3
n. Representing the Region on technical information system
matters and documentation with outside libraries, agencies,
and the public;
o. Serving as principal advisor on library matters to the
Regional Administrator and his staff;
p. Assisting and advising communities, civic groups, universities,
professional organizations, private firms, and other outside
concerned groups on library resources, techniques, new devel-
opments, and research in the field;
q. Making the library facilities available to Federal, state, and
local officials, other government libraries, scholars, legis-
lators, practitioners, researchers, business and academic
communities, citizens associations and other groups interested
in housing and related topics;
r. Participating in professional meetings and training programs
such as the Federal Interagency Field Librarians1 Workshop to
keep abreast of new developments in library services.
2. STAFF FUNCTIONS AMD QUALIFICATIONS. It is recommended that the
Headquarters Library and the Civil Service Commission be consulted
for information on library staff functions and qualifications.
3. REGIONAL LIBRARY ORGANIZATION. The Regional library is under the
general direction of the Regional Director, General Services
Division, Assistant Regional Administrator for Administration. It
receives general guidance and assistance where needed from the
Headquarters Library Division. The Regional librarian is respons-
ible for the maintenance of the Regional Library and technical
direction of Area and Insuring Office collections within the
Regional jurisdiction.
4* AREA LIBRARY STAFFING. When the Area Offices were established,
each was provided with core legal and reference collections.
These collections have been maintained, in many instances, by a
clerk or legal secretary.
The growth of Area Office responsibility and staff, following the
decentralization of more KUD activities, created a need for more
vital and comprehensive Area library facilities. Some Areas have
begun to respond to the increased need by hiring professional
. librarians or library technicians.
5. AREA STAFF RESPONSIBILITIES. Although the Area librarian or
technician is under the general technical direction of the
Regional Librarian, he must be able to function independently.
5/75
Page 2
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226^.3
The Regional Librarian should delegate as much authority as
possible to the Area librarian or technician. The latter's
primary duty is assessing the information requirements of Area
personnel, then ordering, processing, and maintaining the material
to meet these requirements.
6. REGIONAL STAFF RESPONSIBILITIES. The Regional Librarian will pro-
vide technical assistance to library facilities in the Region for
which he is responsible and remain in frequent communication with
the staff. The Area libraries/collections should be visited on a
regular basis. This is done to insure a coordinated Regiona, Area
and where needed, Insuring Office library and information network.
7* INSURIKG OFFICE COLLECTIONS. Some Insuring Offices may require a
small reference and general collection pending the establishment of
a permanent library facility. The Regional Librarian should
supplement this collection with loaned materials when necessary.
ROIE OF THE HEADQUARTERS LIBRARY. The Headquarters Library
Division
a. Provides general policy and procedure guidelines for the
establishment, development and maintenance of HUD Regional
libraries, Area Office collections, and where needed, Insuring
Office collections;
b. Assists by providing information on staffing patterns, qualifi-
cations and personnel selection;
c. Renders technical assistance in all facets of library operation,
inducting personnel orientation and development, physical
planning, specialized furniture and equipment requirements,
book selection and procurement, cataloging, reference, and
bibliography;
d. Gives special assistance to newly established libraries and
those lacking full-time or professional library staffj
e# Provides support and technical guidance where needed in any
aspect of the operations via Headquarters staff visits to
Regional and Area Office libraries;
f. Evaluates the effectiveness of the Regional library network and
makes recommendations to responsible Regional staff;
g* Orients field librarians, especially when newly appointed, in
Headquarters Library facility;
h. Assists in planning the annual Federal Interagency Field
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5/75
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226£.3
librarians' Workshop which all HUD field library personnel
should attend;
i. Plans the Basic Library Skills Workshop for non-professional
fieLd library personnel held at the HUD East or West Teainitig
Centers;
j. Augments the collections of each Regional Library through the
purchase of a selected number of significant books in the
fields of housing and commurity development;
k. Distributes duplicate Headquarters materials, particularly to
newly established libraries. A sarop2.e catalog card accompanies
each purchased item, and in most instances, duplicate material
as well;
1, Provides indexes and guides to the community development
literature via its periodically published series "Housing and
Planning References", "Book Review", special bibliographies,
and the1 "Dictionary Catalog of the U.S. Department of Housing
and Urban Development Library and Information Division11 in
nineteen volumes with two supplements." (The last item is
available in Regional Libraries only.)
m* Assigns one librarian as Library Regional Liaison between
Headquarters and its field libraries. In addition to the many
services provided by all sections of the Headquarters Library,
this person is assigned nearly full-time to field library
concerns, assisting or representing them in various activities.
9* BUDGET CONSIDERATIONS* The initial costs to be considered in
establishing a library, exclusive of salaries, include purchase of
a basic collection of legal materials, books, and periodicals and
equipment. Price information on basic law and general books as well
as periodicals may be found by consulting the sources listed in
Chapter.'Aquisition of Material.
10. ANNUAL BUDGET FACTORS. Vfhen estimating future budget requirements,
allow for price increases for books, subscriptions, equipment, and
library supplies, since costs are continually rising. The follow-
ing are some of the key factors to be considered in yearly budget
planning:
a. Acquisition cf new legal materials, books, periodicals, micro-
forms, etc*
b. Maintenance of all. library materials (including subscriptions,
revisions ar-d updating services)
c. Binding and repair
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226$.3
d. Equipment
e. Travel expenses, including official travel to the Headquarters
Library for orientation and training, to professional meetings
and training workshops such as the Basic Library Skills
Workshop and the Federal Interagency Field Librarians' Workshop,
to learn fundamental library procedures and keep abreast of new
developments in library services, and reciprocal visits between
the Regional Librarian and Area and Insuring Office library
personnel for training, evaluation, and support purposes.
Page 5
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226^.3
CHAPTER 2. PHYSICAL PLANNING
11. LOCATION. Experience has shown the location of the library must be
chosen carefully. An attractive, convenient space promotes user
interest and. stimulates regular use of the library. The selection
of an unattractive, out of the way spot adversely affects library
service. It is desirable to select an area near the legal staff
as they need library materials as essential working tools more
immediately and. frequently than other staff.
12. SIZE. Most newly established Regional libraries have a minimum of
1,000 square feet; the Area facilities a minimum of 500 square
feet, and Insuring Office facilities a minimum of 250 square feet.
Where additional space is available, the library space should
increase as the collections expand an'd clientele and library staff
increase.
13. PLANNING THE PHYSICAL LAYOUT of the library should be the responsi-
bility of the librarian. Working with HUD management personnel,
the librarian should make a scale floor plan of the proposed
library area showing such items as doors, windows, pillar8,
electrical outlets and other permanent fixtures. The librarian
should experiment with the space alloted to achieve a layout that,
is functional and. efficient. Frequently, a library supply firm
will assist in layout planning without any obligation.
To facilitate space planning, the library may be divided into four
main areas - reading, stack, service, and work. To best utilize
the space available, it may be necessary to combine two or more of
these areas.
a. The Reading Area should have an adequate number of tables and/
or carrels, placed to provide maximum privacy, illumination,
and noise control. Space allowance for each reader depends on
the type of seating selected. Tables, 60" x 30" can accomodate
four readers satisfactorily. Carrels/ 36" x 24" and enclosed
on three sides give privacy and adequate work space for each
reader. Passageways of three to four feet should be allowed
between seating. When planning this area, determine normal
use (not peak load) to insure efficient utilization of reader
space.
b. Planning the Stack Area requires an estimate of the shelving
necessary to house the present collection with allowances for
expansion. Eight books per linear shelf foot is often used to
calculate stack capacity. (This measurement varies from six to
twelve books per shelf foot.) The figure is based on a
standard shelving section consisting of seven shelves, each
three feet wide, holding ninety volumes with allowance for
growth. As this figure varies according to the type of
Page 7
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226$,3
Figure 1
Floor Plan
Dallas Regional Office Library
38'
bHCl.»^>IELrB8HELF||SHEt^E^nTEH^^3HrLrCHnTBHE^T3HE^^3HE^T
o
¦ct
UBRARY
w
ss
V
m
¦2 Sm
™ 7
»
W
X —'
r* ui
<*- ait'
* -J
fn Hi
5H£ USE QEE
0GE22 ; Q
~
fiFTT fiFT
Q
a
£ £
5/75
Page 8
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226^.3
collection and average volume size, many librarians measure
a linear shelf foot of books from their existing collection
and base their estimates on the resulting number.
Floor loading requirements must also be considered in stack
areas. Most office buildings will have standard floor
loading rates of 125 to 175 pounds per square foot. .
Consultations with building designers or operators will
determine adequacy of library stack loads. Where possible,
stacks should be located near bearing walls and supporting
columns to allow maximum weight distribution. Space between
stacks varies from thirty inches to five feet. The average
is three feet.
c. The Service Area generally houses Reference and Circulation.
It should be placed at the entrance to the library for
reception, service, and control purposes. Sufficient space
will be needed for such items as the card catalog, display
racks, reference collection, dictionary and atlas stands,
charging and/or reference desk, etc. (See Paragraph 14,
subparagraph f, Equipment Checklist) Each staff member re-
quires a desk and comfortable chair. If this is a combination
service-work area, space for typewriters, work tables, file
cabinets, etc. is also necessary,
d. The Work Area is space not normally used by the public. It is
a room for the staff, where they may order, receive, and
catalog library materials. In a Regional or Area library,
it may be necessary to combine the staff and work areas.
e. A Sample Floor Plan of the Dallas Regional Library-
facility (! Figure 1 ) is included in the exhibits. While not a
model layout, it is a good example of library planning and
design.
14. FURNITURE AND EQUIPMENT. With the exception of certain
specialized equipment, library office furnishings are like those
of any business office. They should be attractive, durable, safe,
and maintenance-free.
The specialized equipment - shelving, card catalog, study carrels,
etc., - is discussed below, A checklist of the items needed to
establish a library facility is at the end of this section. This
equipment as well as other library furnishings may be ordered
throu^i library supply firms such as Demco Educational Corp., Box
1488, Madison, Wis, 53701, Gaylord Bros,, Inc., Box 61, Syracuse,
N.Y, 13201, Remington Rand, Library Bureau Div., 801 Park Ave.,
Herkimer, N.Y. 13350> and the "Federal Supply Schedule", FSC
Group 71, Part 13* "Library Furniture - Metal and Wood", when the
Page 9
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latter can fill the library's special functional needs.
a« Shelving. In a library, adjustable steel shelving is more
practical and efficient than conventional bookcases. It is
flexible, durable and reasonably priced. A standard section
of steel shelving is seven feet, six inches high, three feet
wide and has seven shelves, Ten-inch-deep shelving with a
twelve inch base for stability accomodates most average-size
books. Ten inches is the nominal depth figured from the
center of the range to the edge of the shelf; therefore, its
actual depth is nine inches.
There are two basic types of shelving!
(1) Bracket - shelving suspended from a pair of uprights by
brackets.
(2) Standard or sheet metal - shelving that slides into slots
in the end panels.
The bracket type has been found most effective for HUD Library
materials. It is simple, flexible, and less expensive, Oosts
will vary according to the type of finish and end panels
selected. Wood end panels are desirable for appearance,
stability and noise control.
When ordering shelving, specify single-or double-faced.
(Double-faced is shelving placed back to back to form
double ranges.)
b. Book Ends. The most commonly used book end is a sheet of
metal with a U-cut in it. The U-tongue is bent so it fits
under the books and supports them. These can be obtained
with a composition cork or urethane covering on the base to
hold the books more securely,prevent sliding, and keep the
shelves from being scratched. The large size provides
maximum support.
Wire book ends that may be inserted in the overhead shelf are
available from some manufacturers, However, they are usually
difficult to insert, adjust, and often damage paper bound
publications, a large part of HUD collections,
c. The Card Catalog is an essential piece of library equipment,
A new Regional library should order a fifteen drawer unit and
leg base,
d. Carrels provide private, functional study units for libraries.
Most are designed to be used singly or combined to provide
5/75
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226S.3
space for two or four persons. They are usually 36" x 24"
with back and side panels as high as two feet. Both carrels
and tables should be chosen for their resistance to stain and
wear. They should not have polished surfaces that will
reflect the light into the readers' eyes nor should they be
so dark that reflected light is poorly distributed. A
laminated plastic surface is relatively maintenance-free and
can be ordered with a finish that eliminates glare.
e. Display Racks. Slanted shelving is often used to display
current books and magazines. It is possible to purchase
combination periodical display and storage shelves. Older
journal issues are stored under the slanted shelf which lifts
and slides back into the unit.
(1) Magazine racks with five or six compartments of varying
depths are also available. However, if journals of
different sizes are filed alphabetically, a small
magazine can be lost in one of the deeper compartments.
(2) A newspaper rack or stick holder is convenient for
displaying the latest issues, In one variety, newspapers
are secured by six wedge shaped wood sections held togeth-
er with a heavy rubber ring; another uses an aluminum
stick with pins. The sticks are then attached to a holder
or hung from a rack.
f. Equipment Checklist;
(1)
Shelving
(2)
Shelving Ladder
(3)
Step Stools
00
Book Trucks
(5)
Card Catalog
(6)
Charge File
(7)
Visible Card File
(8)
Carrels (3) and/or
(9)
Table (60" x 30") and Chairs
(10) Desk (60" x 30") and Cha4.r
(ll) Typist Desk (60" x 2k") and Chair
Page 11
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(12) Telephone(s)
(13) Electric Typewriter(s)
(14) Work Table(s)
(15) File Cablnet(s)
(16) Book Display Rack
(17) Periodical Display Rack
(18) Dictionary/Atlas Stand
(19) Bulletin Board
(20) Wall Clock
(21) Rug
(22) Costumer, Wastepaper Baskets, Ash Trays, etc, for
reader use
Other usual office equipment
5/75
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2265.3
CHAPTER 3. THE COLLECTIONS
.15. SCOPE, Regional and Area libraries should contain information on
HUD, its programs, activities, and areas of interest. Building
the collections depends on the individual requirements of each
library facility. Special character and jurisdictional needs
should be studied carefully before establishing the collection
policy. Once established, the scope and adequacy of the
collection must continually be evaluated in view of changing
organizational interests and new program developments. Key legal,
administrative and program. ,staff should be consulted as to their
needs,
16. Small CORE COLLECTION'S were procured by the Headquarters
Library for newly established Regional and Area Offices. All
Regional and Area Office libraries should include these basic
collections plus materials sent subsequently, currently issued
HUD publications and pertinent HUD sponsored studies including
Demonstration Grant, research, Comprehensive Planning (70l)
Reports, Model Cities Plans, etc.
17. SELECTION GUIDES. The following can also be used as selection
guides s
a. "Housing and Planning References" (subject coverage and titles)
b. "Dictionary Catalog of the U.S. Department of Housing and
Urban Development Library and Information Division" issued
by G.K. Hall arid in particular, the up-to-date supplements.
c. "Information Sources in Housing and Community Development"
d. Bibliographies and other publications of the HUD Library and
Information Division
Further details may be found in Chapter 4» Acquisition of
Materials and Chapter .7 1 Reference Service, Paragraph96,
Information So.urces.
IS. The SIZE of a collection, like its scope, is determined by its
purpose, the needs of its users, and its budget,
19. ORGANIZATION« The HUD Library collection is divided into smaller
entities by content or form. The following are brief descriptions
of some of these categories. For a complete listing, see
Issuance 2265.2, Library and Information Services, Chapter k, The
Collections, as these divisions may also be useful for Regional
and Area libraries,
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2265.3
a. General Collection - books (other than law), pamphlets,
documents, and technical reports.
b. Reference Collection - selected publications useful in answer-
ing reference questions. They are primarily dictionaries,
biographical directories, trade directories, encyclopedias,
and periodical indexes,
c. Law Collection - treatises, state and federal statutes,
regional reporter series, law periodicals, law reference
materials, etc,
d. Periodical Collection - publications issued two times a year
or more often.
e. Comprehensive Planning Reports - reports prepared by state,
metropolitan and local planning agencies under grants from
HUD for Comprehensive Planning Assistance under Section 701
of the Housing Act of 195^> as amended,
f. Folios - oversize books and reports,
g. Vertical Files - booklets, pamphlets, etc, small in size or of
a fragile or ephemeral nature.
20. CONSOLIDATION. All collections, general, reference, law, etc.,
should be housed in one library for convenience, control, ease of
maintenance, and to avoid duplication,
21. Constant MAINTENANCE is necessary to preserve the usefulness of
library collections. All materials should be promptly returned
to their proper place after use, collections checked regularly
to maintain them in correct order, and if possible, Inventoried
to replace or withdraw damaged and missing items.
To assist the users, locations of the various collections should
be clearly indicated and each range of shelving properly labeled.
If possible, the shelves should be only half full to prevent
crowding and avoid frequent shifting.
a. Looseleaf materials such as pocket parts, inserts, additions
and the like should be filed immediately to keep publications
up to date.
b. Circulation controls should also be maintained to enable the
library to serve users effectively. Accurate records should
reflect the disposition of each item not on the shelf,
(See Chapter 8 » Circulation for further Information on
circulation records)
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226^.3
CHAPTER 4. ACQUISITION OF MATERIALS
22. The ACQUISITION PROCESS is a continual selection of recorded
materials relevant to the needs of the' organization and its
client groups. It includes the procurement of individual items
requested by staff members. Where possible, these needs are
anticipated, and materials procured in advance. Procurement of
all publications must go through the Regional Library.
23. SELECTION SOURCES. Following are some general sources that should
assist in locating suitable literature, both purchased and free.
For more complete information, consult HUD Library Division's
"Information Sources in Housing and Community Development."
a. Books. Some sources used in book selection include: Publisher's
Weekly" and "Weekly Record", recommendations from the staff,
publishers' catalogs and announcements, bibliographies, ASPO
"Planning", news releases, reviews in trade and professional
journals, HUD Clipsheet, and HUD Newsletter.
b. Periodicals. Information about periodicals, including
subscription prices, may be found in the "Ayer Directory of
Newspapers and Periodicals", "The Standard Periodical
Directory", "Ulrich's International Periodicals Directory",
the Library of Congress* "New Serial Titles" (does not
include prices) and "HUD Library Periodicals List" (does not
include prices).
c. Government Documents. The "Monthly Catalog of U.S. Government
Publications" published by the Superintendent of Documents,
U.S. Government Printing Office lists government documents
State agencies usually issue a checklist of their publications.
For example, the California State Library publishes "California
Publications". The Library of Congress issues Information on
state documents in its "Monthly Checklist of State Publications".
Commercial indexes and announcements of municipal documents also
contain information on Federal, state and local government
materials.
d. Clientele. One of the best sources on what to procure is the
library's clientele. A small facility, especially, must rely
heavily on suggestions from the staff it serves. In some
organizations, subject specialists are asked to scan technical
journals in their fields for possible acquisition items.
24. VERIFICATION. Before acquiring any item, verify the author, title,
publisher, and price in art appropriate source such as "Books in
Print" or the "Ayer Directory". Then, check the card catalog and
Page 15
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2265.3
Figure 2
U.S. DEPARTMENT of HOUSING and urban development
REQUISITION FOR
SUPPLIES, EQUIPMENT, FORMS, PUBLICATIONS AND SERVICES
(See Instructions on Reverse of Last Copy)
1 .REQUISITION NUMBER
TF-3-71 .
2. DATE
Mav 18. 1973
*OR SERVICES USE ONLY
9.CONTROL NUMBER
4. DELIVER TO
NAME
Elsa Freeman
ROOM NUMBER
8141 ¦
8.POSTED BY
TELEPHONE number
S6182
6. PILLED BY
DIVISION AND BRANCH
BUILDINO
HUD
7 . OFFICE CODE
07800 3115
DESCRIPTION
(Double space between linesJ
to.
quantity
11.
UNIT OF
ISSUE
UNIT
PRICE
13.
AMOUNT
14
ACTION
CODE
1,
Wagner, Richard Edward
The Incidence of Public
Expenditure; Public Housing as an
Illustrative Example,
(Hard Copy)
FROM i
Xerox University Microfilms
Dissertation Copies
P.O. Box 176^
Ann Arbor, Michigan *J-8l06
ea,
$10.00
'8* I certify that the items requisitioned above have
been received,
(Dale)
(Receiving Employee)
'•.-REQUESTED BV
Director
HUD-10 <11-70* REPLACES FORMS FHA-7S, FHA-7SA, PHA-105 AND PREVIOUS EDITION WHICH ARE OBSOLETE
5/75
Page 16
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226$.3
the pending and completed order files to ascertain that the
requested materials are not already in the collection or on order.
25. APPROVAL. The librarian should approve all selections for the
library since he is responsible for collection development.
He should evaluate each acquisition request, whether the material
is free or must be obtained through purchase, in terms of the scope
of the collection, user needs, resource and budgetary limits. Items
needed for official use, but which are outside the scope of the
collection, should not be purchased, but should be borrowed from
another library on interlibrary loan. (See Chapter 8, Circulation,
Paragraph 63, Interlibrary Loans).
26. PURCHASED MATERIALS. Library publications are acquired by purchase,
exchange, gift, or free request. Purchased materials may be obtained
through the Procurement and Grants Division, Office of Procurement
and Contracts (OPC), using the proper object class as specified in
Issuance 2160.4B, Chg. 1, "Handbook of Codes".
In Headquarters, both general and legal are ordered under object
class 3115; periodicals and legal subscription items, including
pocket parts, are ordered under object class 2640.
a. Ordering procedures may vary slightly from library to library.
Items not available through a book .jobber or publisher (See
Paragraph 27, Special Accounts) are ordered on a HUD-10, "Request
for Supplies and Equipment" (Figure 2) with the personal ,author
or issuing organization, complete title, publisher and addr.ess,
date, edition or subscription period, and price. In the case
of renewal subscriptions, add the words "To continue P0 "
and supply the previous year's purchase order number, giving
Federal Supply Schedule number where applicable. The listed
items may be from different publishers as long as they are
ordered under the same object code.
b. Federal Supply Schedule. Items available through the Federal
Supply channels must be purchased from the vendor indicated
on the Federal Supply Schedule, even though they are also
available from a jobber or book store. On the HUD-10,
include pertinent information using exact wording from the
Supply Schedule. The FSS price is generally lower than the
price on the open market and has been established .through
General Services Contract to ^reduce costs to the Government.
c« A completed HUD-10 is sent to OPC where purchase orders
(Figure 3) are prepared. The librarian retains the
green copy of the HUD-10, and OPC later returns one
additional copy after assigning a control number to the
Page 17
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226^.3
Figure 3
METHOD OP PURCHASE
INDICATE METHOD BY NUMBER
1. federal Supply Schedule
2. Federal Supply Service Stock
3. Surplus Property Transfer
4. Advertising (RS. *3709)
5. Other Exemptions from R.S. *3 709
6. Miscellaneous
HUD—35
(2-66)
PURCHASE ORDER
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
I
This number must appear on oil
packages and papers relating !o
ihIt order.
Point of Iisue
Washington,
Order No.
HUD-341-74
D.C, 20410
Date
3/15/73
Requisition No.
B-73-73
Appropriation Symbol and Title
864-3980
07800
3115
TO: (Name, Address a-id Zip Code)
| Institute of Governmental Affairs
L University of California
g Davis, California 95616
Consignee and Destination
H Department of Housing and Urban Development
' Library - Room 8233
451 - 7th Street, S.W.
t Washington, D.C. 20410
Invitation No.
Contract No.
Time for Delivery
Discount Terms
0t>en Market
1-30 davs aro(
-------
2265.3
Figure 4
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
REQUISITION FOR
SUPPLIES, EQUIPMENT, FORMS, PUBLICATIONS AND SERVICES
(See Instructions on Reverse of Lost Copy)
DELIVER TO
I . REQUISITION NUMBER
B-12-7^
2. OA TE
August 28. 1973
FOR SERVICES USE ONLY
3.CONTROL NUMBER
Elsa S, Freeman
ROOM NUMBER
8233
S.POSTED BY
TELEPHONE NUMBER
6. FILLED BY
56938-
division and branch
Librai-v t,
nfrvrtnatlon Division
BUILDING
HUD
7. OFFICE CODE
07800
ITEM
NUMBER
DESCRIPTION
(Double space between lines J
10.
QUANTITY
11.
UNIT OF
ISSUE
UNIT
PRICE
13.
AMOUNT
ACTION
COOE
Renew blanket order account with the
McGraw-Hill Book Company. By specia L
arrangement with their Library Servi
Division. Books received from them
can be obtained with up to kOfc disco
Orders should be consolidated and
invoiced once a month for all items
delivered. Each Invoice should cite
the blanket order number. Payments
will be made monthly on the basis of
each invoice.
Orders are to be addressed tot
Ms. Maureen Frascinella,
Library Services Division
McGraw-Hill Book Company
1221 Avenue of the Americas
New York, N. Y. 10020
TOTAL NOT TO EXCEEDt
To continue P.O. 7^6-73
PLEASE EXPEDITE
:es
int.
$300.00
19 * I certify that the items requisitioned above have
been received,
(Date)
(Receiving Employee)
IS. REQUESTED BY
Director
HUD-10 (11-70) replaces FORMS PHA-7S, PHA-7SA, FHA-tM AND PREVIOUS COITION WHICH ARE OBSOLETE
Page 19
5/75
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226^.3
Figure 5
Book Order Form
1* ! ¦ > r GO v I. R '• Mi I
IN T Ii c-i !¦ I't K t <*7 t - 42 9- 997
CLASS NO.
ACC. NO.
LIST PRICE
7.50
DEALER
NO. OF COPIES
1
ORDER NO.
L. C. CARD NUMBER
AUTHOR
Galenson, Walter, edt
TITLE
Incomes policy: "what can we learn from
Europe?
YEAR
PLACE
PUBLISHER
Ithaca, NY Cornell Univ. Press 1973
VOLS.
RECOMMENDED BY
FUND CHARGED
DATE ORDERED
DATE RECEIVEO
EDITION
COST
S.B.N.
cAftb
»CTS
OWP'O
LC.
U. S. Department of Housing and Urban Development
HSB Library Mo> Labor Rev. 8/73. p.92
Washington, DC 20410
L*. C. CARD NUMBER
CLASS NO.
AUTHOR
|
CARD
TITLE
SETS
ORO'O
ACC. NO.
L.C.
LIST PRfCE
PLACE
publisher
YEAR
L.J.
DEALER
VOLS.
SERIES
EDITION
Wt.
NO. OF COPIES
RECOMMENDED BY
DATE ORDERED
COST
OTHER
ORDER NO.
FUND CHARGED
DATE RECEIVED
S.B.N.
U. S. Department of Housing and Urban Development
Library
Washington, DC 20410
5/75
Page 20
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2265*. 3
requisition. Generally, when a purchase order is issued by the
Procurement Section, the following three copies should be sent
to the librarian: (1) Receipt Copy (pink), (2) Property Record
Copy (yellow), and (3) Consignee Copy (white). When material
purchased is received, the librarian signs all copies of the
purchase order and makes the following distribution: (1) pink
copy to Accounting, (2) yellow copy to Procurement, and (3)
27. SPECIAL ACCOUNTS. A library may procure materials through special
or blanket accounts with book jobbers, publishers, or local book
stores. These accounts are established by submitting a HUD-10 to
Procurement requesting that a contract or purchase order be issued
for a certain amount. ( Figure 4,) Once a blanket account has
been opened, the library may. send orders direct to the vendor
without the necessity of submitting further requisitions and
having individual purchase orders issued for each item. The
number of orders sent to each vendor is limited only by the
dollar ceiling established when the blanket account was opened.
The Central Office has such accounts with a book jobber,
publishers, and a book store.
a. Other special accounts,are also available with the Government
Printing Office, Library of Congress, and the National
Technical Information Service.
b. GPO Outlets. In addition to the main Government Printing
Office in Washington, D.C., there are GPO outlets in each
city in which HUD has a Regional Office. These outlets were
established primarily to provide the public with a source for
government agency publications, thus relieving these agencies
of the burden of public requests, However, each store
manager selects the items to be stocked. Therefore, items
needed by a library on a continuing basis could be stocked if
the librarian informed the manager of the need. The full
range of GPO publications in stock is, of course, available
by direct order from the central Government Printing Office
in Washington. Further information on establishing this and
other special accounts may be obtained from the Acquisitions
Section, Headquarters library, or the organizations them-
selves,
28. BOOK ORDER RECORDS. Many types of book order forms are available,
The Headquarters Library uses a five-part form produced
specifically for its use by the Government Printing Office.
(Exhibit 5) Gaylord Bros, and other library supply
firms also have multiple order forms that may be adapted to
Regional, Area, or Insuring Office needs. The five copies of the
GPO form are coded by color - yellow, white, pink, blue, and
buff - for various purposes, The form contains space for basic
Page 21
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2265.3
order information including author, title, place, publisher,
date, price, number of copies, etc,
a. For blanket accounts, all copies are used. The yellow and
white copies are sent to the vendorj the white is returned
with the book. The pink copy is filed by order number in a
separate file for each blanket account. The order number
consists of two parts - the purchase order used to open the
account and a running number assigned in sequence. The green
and buff copies are stapled together and filed by author in
the pending order box. When ordering books on a HUD-10, only
the green and buff copies are kept and filed in the pending
orders,
b. On receipt of an Item, the green and buff cards are dated}
the green remains in the pending order file. The buff copy
is attached to the book until it is cataloged, classified,
and sent to Circulation for shelving. At this time, the card
with its book number (Chapter 5f Technical Organization of
Materials, Paragraph 39> Classification) written in the
appropriate space, is returned to the Acquis!tons Section,
The green is then discarded, and the buff placed in the
completed order file,
c• Other Uses. These book order forms have a variety of possible
uses. As indicated, a field library may adapt them to their
individual needs. For example, one could be used as a
temporary catalog card. Even if a Regional or Area library
does not use all the parts of a multiple form, the form can
be a useful and timesaving acquisitions tool.
29. FREE! MATER TAT,fl. A library may obtain free copies of many publica-
tions on request. The Headquarters Library uses HUI>-43»
"Request for Publications", ( Figured ) to secure these materials.
(A two-part form, HUD-43A, "Request for Publications", was
designed for Regional use (Fiaure 7 ) and may be obtained in the
usual manner from Headquarters.) The form consists of four
parts - white, pink, cream, and buff. The white and pink copies
are sent to the issuing organizations the cream and buff cards
remain in the pending order file until the item is received.
Free publication requests may also be made by telephone, but a
similar record should be kept of each one in the pending order
box,
30. GIFTS AND EXCHANGE, A Regional or Area Office library may also
receive free materials in exchange for HUD publications or as
gifts. To avoid duplication, gift items must be searched and
verified in the card catalog before being processed. Libraries
cannot afford to discard valuable items? however, they also can-
Page 22
-------
Figure 6
HUD-^3. "Bequest for Publications"
U.S. DEPARTMENT OF HOU»N« ANO URBAN DEVELOPMENT
LIBRARY U11 BY
D. Gilfert
Q) AU.
8/31/73
nr
TTTUB
Day Csre: Crowing, Learning, C&rirw
( 2 copies)
| PUB. DATE
Cpnadiar. Council on "Social Development
noMumtD by I nqoBT date
0. Gilfert I 8/31/73
-Oi/.'t ORDER RECORD
m
-------
2265.3
Figure 7'
HUD-43A, "Request for Publications"
u,s. department of housing and urban development
REGIONAL LIBRARY
REQUEST FOR PUBLICATION MUD-«3A(iz-es)
Kindly tend the title titled below for the work of thia Department. The
enclosed self»addr*9ted label will carry the publication through the mail
pottage free., pleate return the enclosed transmittal slip either with the
publication orf if the material it not available, check to indicate Kt
SWWMKWfflSftRfflKS
courte«y in thii matter.
(Librarian)
AUTHOR
TITLE
SERIES
EDITION
PUB.DATE
PAOINO
PUBLISHER
RECOMMENDED BY REQUEST DATE REVIEWED IN
5/75
Page 24
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226$.3
not afford to acquire and process unnecessary ones. Publications
outside the organizational scope may be disposed of at the
librarian's discretion. Many libraries prepare lists of their
duplicate or unwanted materials for exchange with other libraries.
31. PERIODICALS. in the Headquarters Library, serial or periodical
orders, purchased or free, are recorded on HUD-738, "Periodical Order
Record". (Figure 8) The information on each form includes title,
publisher, price, subscription period, ottrder date, requisition
number, and purchase order number, ' Order cards are filed by
renewal month. Another file, on plain 3" x 5" cards contains
only title and renewal month. This file is the alphabetic key to
the monthly file.
a. Kardex cards ('Figures 9 - 11) used in Headquarters as
a serial record for issues received (See Chapter 5, Technical
Organization- of Materials, Paragraph44t Periodical Organiza-,
tion and Control) may also contain acquisition information,
( Figure 11) In a small library, record keeping should be at
a minimum. Where feasible, adapt Headquarters techniques
and combine functions to expedite the handling and processing
of material.
b. Multiple Year Orders, In placing orders for periodical
subscriptions, libraries should take advantage of reduced
multiple year prices when available. Multiple year orders
are advantageous because they reduce the number of purchase
orders needed, and they save library manhours used in prepar-
ing orders, Limiting factors could be the lack of funds, or,
in the case of new publications, insufficient information to
make a decision for a long term commitment. Because 'of recent
rapid increases in most subscription costs, it is often
better to get the price from the latest current issue, or
telephone the publisher to verify price.
32. RENEWALS. Two months before a subscription is to expire, it
should be checked to i
a. Determine if it is still needed by the library and/or persons
on routing}
b. Check receipt} if not received, call or send claiming letter
to publisher;
c- Verify publisher's address and subscription rate by checking
renewal invoices or recent issues of the periodical;
d. Determine if number and length of subscriptions are adequate,
Pag« 25
5/75
-------
226$.3
Figure 8
HUD-738, "Periodical Order Record"
new sub.
publisher
PRICE
SUB. PERIOD
FROM TO
~ ATE
ORDERED
REQ. NO.
P. O. NO.
Washington Report on
Long Term Care
!+37 National Press
31dg.
Washington, D.C. 20004
$?5
June'73 - May'7^
O.
P-64-73
U.S. DEPARTMENT OP HOUSING AND URBAN DEVELOPMENT
HUD-738 11-69)
PERIODICAL ORDER RECORD
235568-P
5/75
Page 26
-------
226^.3
Figure 9
Kardex Card, Daily
—Pally Washington Tava fiapnrt.fvr
FREQUENCY ~na *11 y
PUBLISHER—, ° ^ _ *
qr_agent The Washington Law Reporter
SU9SCRIP, DATE
address 1625 Eye Street, N.W.
-g£MM_ Washington. D.C. 20006
NOS. PER VOL.
VOLS. PER YEAR
RREPA
RED
FVh
?s
-inJ
q,i
-j
IN BINDERY
YEAR
VOL.
MO.
2
3
4
s
6
7
8
9
10
11
12
13
14
IS
16
17
IS
19
20
21
22
23
24
25
26
27
28
39
30
31
1973
JAN.
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
FEB.
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
MAR.
APR.
MAY
JUN,
JUL.
AUG.
SEP,
OCT,
NOV.
DEC.
JLHSl
JAN I FIB | MAR I APR | MAY I JUN 1 JIIL I AUG
CAT NO t.jftM
KP I OCT | NOV I DEC
| Daily Washington Law Reporter
~ IT IJ T hio 1 1 1 1 1 1 1 1.1 *io 1 1 11 1 1 11 1 01 1 1 1 1 1 1 1 14101 1 1 1 1 1 1 1 151017 t 1 r r 1 i i
WfgMMW
Kahoix Visible Division REMINGTON RAND — l division or stcbry rmid corporation
CAT. NO. 1-2003.1
131
hhhtu nisi
The year and date may be handscribed. Sample is typed to
provide a clearer reproduction.
Page 27
5/75
-------
226^.3
Figure 10
Kardex Card, Weekly
TITLE
Time
PUBLISHER ~ Z
qragent lime, Inc.,
FREQUENCY Wkl V DAT DUE
TiTLf WkSC
SUBSCRIP. DATE
ADDRESS 5^0 Michigan Ave.. Chi CagQ. HI. NOS> PER VOL.
Keep 2 years only
VOLS, PER YEAR
N StNDERY Stamp inside and
YEAR
SER,
VOL.
JAN.
FEB.
MAP.
APR
MAY
JUNE
JULY
AUG.
SEPT.
OCT.
NOV.
DEC.
T.P.
I
197i
t 3
7
6
3
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28
27
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28
25
23
27
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29
11
30
...
1
2
3
4
5
1
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3
4
5
out
Time
nsir
33^
j MAY | JUH | JUL | AUG J SIP | 64T J J 6I
-------
226^.3
Figure 11
Kardex Card, Monthly
TITLE
Journal of Housing
frequency Monthly date due
$12.00
orBageHnt Nat' 1 Assoc. of Housing and Redev.
address Watergate Bldg., 2600 Virginia Ave.
bound Washington, D.C. 20037
HQS. PER VOL.
VOLS. PER rEAR
prepared DISPLAY RACK (R)
BiNDERvRec. 12 c, on members!
~i
YEAR
SER.
VOL.
JAN.
FEB.
MAR.
APR-
MAY
JUNE
JULY
j*X—
AUG.
-~LL* 1
SEPT.
OCT.
NOV.
DEC.
T. P.
1.
1972
29
#1
31
fFZ
(3 -
27)
#3
18
ft^r
24
30
28
#1
9-5
wT~
10-?
w 9
.1-30
12-2
) 1-2
3-7!
1
TITLE PAGE
INDEX
JAN | FEB I MAR [ APR | WAV | JltH
Journal of Housing
I 4 1 I I I I Mio I I I I I I I I 12lo |
0.1
CAT. NO 1-200B.1 «>20W0
purpu5™peF^frp5ovywc~
M I f I II 0 I I I f I I I I I «|0 I I I I J II I I 510 I | I I I I I J I
TYPIST PLtASE NOTE— THIS SCALE CORREtFONDS TO (PICA) SCALE—BET P »ER GUIDES SO THAT CARD SCALE WILL RC0I4TER WITH MACHINE SCALE WHEN
CAflO 8 TURNED (NTO TINO POiirTwS, START INMX
-------
226^.3
After verifying the above information, the HUD-10 should be
typed, its date and number recorded on the order card, and then,
it should be forwarded to Procurement. If a subscription is new,
prepare a title and a periodical order record card to be placed
in the serial record file. Invoices or blurbs are held until the
purchase orders are received from Procurement. They are attached
to the copy of the purchase order which will be sent to Finance
and Accounts to authorize payment to the vendor on receipt of the
material. On receipt of the purchase order, the purchase order
number is recorded on the order card and on the green copy of the
requisition. This copy of the requisition is placed in the
completed periodical requisition file when all purchase orders
have been issued.
33. CONFIRMING ORDERS. Occasionally material is sent on approval or
must be obtained immediately without time to process a purchase
order. In these cases, a confirming order may be prepared on a
HUD-10 and sent to Procurement. The HUD-10 is prepared in the
usual manner, the words "CONFIRMING ORDER - DO NOT DUPLICATE"
appearing at the beginning of the item, ( Figure 12) This will
prevent the vendor from mistakenly sending an additional copy of
the material when he receives the purchase order.
34. PREPAYMENT. If items require prepayment, they are ordered in the
regular way on a HUD-10. One knows that prepayment is required
because of an announcement from the publisher or from past
experience, having previously ordered the item or one similar to
it from particular publishers. If an announcement staging that
prepayment is required is available, forward that to Procurement
together with the HUD-10. On the HUD-10 state "PREPAYMENT
REQUIRED", ( Figure 13)_ An order_requiring prepayment is not
a confirming order.
35. IMPREST FUNDS. For local orders of $150 or less, a requisition
with justification may be written requesting cash in hand.
( Figure 14 )
36. FINANCIAL RECORDS. The Headquarters Library records the dollar
amount of its purchases and maintains cumulative dollar totals on
each purchase account. In this way, expenditures may be kept
within the budget authorization. The record is kept on ledger
paper. ( Figure 15)
37. INITIAL PROCESSING PROCEDURES. Each item received is verified
against the order record before stamping it with the library
property stamp. Determine that in every respect the book received
is the book ordered, and that it is in acceptable condition.
Check for imperfections - missing, upside down, blank or uncut
pages. Faulty books are usually quickly replaced by the
5/75
Page 30
-------
226^.3
Figure 12
I U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
' REQUISITION FOR
' SUPPLIES, EQUIPMENT, FORMS, PUBLICATIONS AND SERVICES
(See Instruction! on Reverse of Lost Copy)
DELIVER TO
I .REQUISITION NUMBER
B-36-73
March 9. 1973
FOR SERVICES USE ONLY
t.CONTBOLNUMBER
Elsa S. Freeman
ROOM NUMBER
8233
S.POSTED BY
TELEPHONE NUMBER
56936
6. PILLED BY
DIVISION AND BRANCH
Library & Information Division
7. OFFICE CODE
HUD
07800
JUL
ITEM
NUMBER
, DESCRIPTION
(Double space between itnes)
to.
QUANTITY
1 1 .
UNIT OF
ISSUE
UNIT
RRice
II.
amount
14.
ACTION
CODE
1.
CONFIRMING ORDER - DO NOT DUPLICATE
22 LAMSAC Publications
Available froms
LAMSAC
35 Belgrave Square
London, SVIX 8QB
England
INVOICES ATTACHED
22
¦(Pri
us $
ea
Total $ 39.00
es listed In B ritish po'
equivalent pe r Riggs Bd:
Foreign Dept.)
ajndsj
nk,
"•I certify thot the items requisitioned above have
been received.
(Date J
{Receiving Empioyeef
t«. REQUESTED BY
Director
HUD-10 (11-70) REPLACES FORMS FHA-TS, FHA-TSA, PHA-lOft AND PREVIOUS EDITION WHICH A*E OBSOLETE
Page 31
5/75
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226S.3
Figure 13
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
REQUISITION FOR
SUPPLIES. EQUIPMENT, FORMS, PUBLICATIONS AND SERVICES
(See Instructions on Reverse of Lost Copy)
DELIVER TO
1 . REQUISITION NUMBER
B-57-73 page 2
May 8, 1973
FOR SERVICES USE ONLY
13. CONTROL NUMBER
Elsa S. Freeman
DIVISION AND BRANCH
Library & Information Division
ROOM NUMBER
8233
5 . POSTED BY
TELEPHONE NUMBER
56938
A. FILLED 6 Y
BUI LDINO
HUD
7. OFFICE CODE
07800 11IS
ITEM
NUMBER
DESCRIPTION
(Double space between lines J
10.
iQUANTITY
I 1 .
UNIT OF
ISSUE
UNIT
PRICE
13.
AMOUNT
action!
cope
6.
7.
9.
California Publicity Outlet
(with supplement)
Available from:
Unicorn Systems
3807 Wilshire Blvd.
Los Angeles, Calif., 90010
New York Publicity Outlet
(with 2 supplements)
Available from:
Mr. Harold Hansen
P.O. Box 327
Washington Depot, Ct. 06794
Engineering Index (1972 annual vols.
Available from:
United Engineering Center
345 E. 47th St.
New York, N.Y. 10017
NOTE: Prepayment is required. See
Price was verified by telephoi|
Financing the Nation's Housing Needs
(Statements on National Policy
#50P)
Available from;
Distribution Division
CED
^77 Madison Avenue
New York, N.Y. 10022
ea.
2^. 95
24.95
ea.
27.50
27.50
ea.
275.00
(pre-pa
275.00
ment read
lred)
ttachedj
e call.
15
copy if letter stating
this.
ea.
[Less d
1.50
scount)
(Note
on 0
rders
discount
For 10
2*
22.50
-2.25
20.25(riet)
given
copies)
"• I certify that the items requisitioned above have
been received.
(Date)
(Receiving Employee J
1®. REQUESTED BV
Director
HUD-10 (11-70) REPLACES FORMS FHA-7*, FHA-78A, FHA-109 AND PREVIOUS EDITION WHICH ARE OBSOLETE
5/75
Page 32
-------
2265.3
Figure 14
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
REQUISITION FOR
SUPPLIES, EQUIPMENT, FORMS, PUBLICATIONS AND SERVICES
(See Instructions on Reverse of Last Copy)
1 . REQUISITION NUMBER
B-6^-73
2, DA TE
May 17, 1973
FOR SERVICES USE ONLY
3 . CONTROL NUMBER
4. DELIVER TO
NAME
Elsa S. Freeman
ROOM NUMBER
8233
3. POSTED B Y
TELEPHONE NUMBER
5693*
6. FILLED BY
DIVISION AND BRANCH
Library & Information Division
BUILDING
HUD
7 . OFFICE CODE
07800 3115
ITEM
NUMBER
®' DESCRIPTION
{Double space between lines)
10.
QUANTITY
1 \ .
UNIT OF
ISSUE
12'UNIT
PRICE
13.
AMOUNT
14.
ACTION
CODE
1.
PLfcASE PAY ON IMPHEST FUNDS
How to Win Friends and Influence
People, by Dale Carnegie
Available from
Trover Shop
2Z7 Pennsylvania Ave,, S,E.
Washington, DC
1
ea
.95
.95
"• I certify that the items requisitioned above have
been received ,
(Date) (Receiving Employee)
t«. REQUESTED 6T
tit lb
Director
HUD-10 (l t — 70) REPLACES FORMS FHA-7#, FHA-7BA, FHA-105 AND PREVIOUS EDITION WHICH ARE OBSOLETE
Page 33
5/75
-------
Figure 15
JOHN I. THOMPSON CO. P.O. HUD 102-72
Year Bate
1971 Aug.
Sept.
' Purchase Order
Item
25
25 #1-4
30 #5-21
31 #22-117
1 #118
Obligatio
n Adjustmerr
52 95
51 20
836 02
5 00
Cumulative
ts Obligatioi
is Encumbranc
71
Unobligate
e Balance
00 00
d Voucher
to F & A
Total
14 #119-120
15 #121-122
24 #123-126
27 #127-194
17 50
30 00
49 60
Sll 95
>45 17
54 83
Oct.
Total
29 #195-199
30 #200-214
6 #215-216
7 #217
41 55
275 85
12 00
9 75
1
154 22
5£
45 78
Total
7 #218-224
13 #225-227
15 #228-241
20 #242-245
58 4 5
27 91
266 15
20 00
1
>93 .33
5i
06 63
Total
22 #246
26 #32 (Cancell
27 #247-261
28 #17, #178 (C
!d)
incelled)
5 00
L19 30
2
¦12 50
-7 90
165 88
51
34 12
Nov.
Total
2 #202-269
8 #14. 15, 37,
8
10
101, 118
(Cancelled)
86 40
34 90
258 85
2'
26 00
£9 78
5C
30 22
J
-------
2265.3
publisher or jobber without charge, but not if they have been
stamped or partially processed.
a. The property stamp should be placed inside the front and back
covers and title page. Some librarians also put this stamp on
a designated page within each publication. Periodical issues
are stamped on the front cover.
Page 35
5/75
-------
2265.3
Figure 16
Page from
Bond yields (332.6)
xx Bonds
Bondi (332.63)
x Debentures
xx Corporation law
xx Corporations
xx Finance
xx Negotiable instruments
xx Securities
sa Bond yield tables
sa Bond yields
sa Municipal bonds
sa State bonds
Bonds, Fidelity SEE Suretyship and guaranty
Bonus system SEE Wage incentives
Book selection (025.2)
xx Library science
sa Bibliography
Book trade SEE Publishers and publishing
Brick construction (693.2)
xx Building construction
sa Bricklaying
sa and xx Tile construction
Contracts and specifications
xx Building construction — Contracts and
specifications
xx Contracts
Brick industry (666.7)
xx Building industry
sa and xx Bricks
Bricklaying (693.2)
xx Brick construction
xx Bricks
xx Building construction
Bricks (691.42)
xx Building materials
sa Bricklaying
sa and xx Brick industry
sa and xx Clay
Bridges (624.2)
xx Concrete construction
xx Engineering
xx Welding
sa Vibration
sa and xx Trusses
Standards and specifications
Budget (336)
(Here are entered works on appropriations
end expenditures of government depart-
ments,Agencies, etc. Works on family
budgets are entered under Budgets or
Family income and expenditure)
x Planning-programming-budgeting
xx Finance
u Municipal finance
sa State finance
sa and xx U.S. Appropriations and ex-
penditures
"Urban Vocabulary
S» and xx U.S. Executive departments —
Appropriations and expenditures
Budgets (647.1)
(Budgets for families)
sa and xx Cost and standard of living
sa and xx Family income and expendi-
ture
Building SEE Building construction; Building
industry
Building, Fireproof SEE Fireproof construction
Building and loan associations SEE Savings and
loan associations
Building associations SEE Savings and loan
associations
Building board SEE Wallboard
Building code administration (690.091.82)
x Administration
xx Building codes
Building codes (Geographic subdivision)
(690.091.82)
x Building laws and regulations
x Building ordinances
x Building regulations
x Codes
x State building codes
xx Building construction
xx Building construction - Contracts
and specifications
sa Building code administration
sa Building inspection
sa Building materials - Standards and
specifications
sa Electrical codes
sa Fire prevention
sa Fireproof construction
sa Heating codes
sa Plumbing codes
sa Zoning legislation
sa and xx Building standards
sa and xx Housing codes
Building components SEE Coordinated com-
ponents
Building construction (Geographic subdivision)
(690)
(Here are entered works dealing with the
process of construction. Works on
the construction business are entered
under Building industry)
Building
Construction
House construction
Residential construction
Engineering
Technology
Tools
Aided self-help housing
Architectural acoustics
Basements
Brick construction
Bricklaying
Building codes
Building construction films
x
X
X
x
xx
xx
XX
sa
sa
sa
sa
sa
sa
sa
Page 36
5/75
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226^.3
CHAPTER 5. TECHNICAL ORGANIZATION OF MATERIALS
3$. CATALOGING AND CLASSIFICATION. Following is a brief description
of the cataloging and classification of library materials. For
more detailed instruction on various aspects, consult the "books
listed in the bibliography or the HUD Headquarters Cataloging
unit.
The Headquarters Library catalogs and classifies materials to
provide a bibliographic record for information retrieval.
Subjects are assigned from the "Urban Vocabulary" ( Figure 16 )»
a list of subject headings created and developed by the Library
to meet the special needs of the Department and the group it
serves.
a. Books are classified according to the Universal Decimal System
(UDC) (Figure 17 )» modified to meet the special needs of the
Department and its client groups. The author numbers are
assigned by the Cutter System as modified by HUD library usage.
( Figure 18 )
b. The public card catalog is arranged alphabetically with
authors (personal and corporate), titles, and subjects inter-
filed. In addition, G. K. Hall Co. has reproduced the "card
catalog in a nineteen volume book catalog with supplements that
is available in the Headquarters and Regional Office Libraries.
Volume 19 is a computer produced book catalog listing the HUD
Comprehensive Planning Reports (701 Reports) by geographic
and.KWIC index. (See Paragraph 46, Organization and Control
of Comprehensive Planning Reports)
The Headquarters cataloging and classification systems are
recommended for use in all field libraries to help create a
uniform network and facilitate exchange of material among the
various libraries.
39. CLASSIFICATION is an ordered arrangement that groups together
books on similar topics. It is particularly helpful in an open
shelf library for browsing purposes. Most classification systems
use a notation scheme of numbers and/or letters to identify a
publication.
a. Universal Decimal System. The UDC is numeric. In assigning
the UDC number the first step is to analyze the subject
content and determine the primary subject. Locate that
subject in the "Urban Vocabulary" and use the UDC number
indicated in parentheses following the subject. If a
geographic designation is desired, the librarian may consult
the geographic listing that was distributed with the draft of
Page 37
5/75
-------
2265.3
Figure 17
UNIVERSAL DECIMAL CLASSIFICATION
OUTLINE OF THE MAIN DIVISIONS
000 GENERALITIES
000 Prolegomena, Fundamentals of knowledge and culture
010 Bibliography. Catalogues
020 Libraries. Librarianship
030 Encyclopedias. Dictionaries. Reference books
040 Essays, Pamphlets, offprints, brochures and the like
050 Periodicals. Reviews
060 Corporate bodies. Institutions. Associations.
Congresses. Exhibitions. Museums
070 Newspapers. Journalism
080 Polygraphies. Collective works
090 Manuscripts. Rare and remarkable works. Curiosa
100 PHILOSOPHY. METAPHYSICS. PSYCHOLOGY.
LOGIC. ETHICS AND MORALS
110 Metaphysics
130 Metaphysics of spiritual life, Occultism
140 Philosophical systems
150 Psychology
160 Logic, Theory of knowledge. Logical method
170 Ethics. Moral science. Convention
180 Aesthetics
200 RELIGION. THEOLOGY
210 Natural theology
220 Holy Scripture. The Bible
230 Dogmatic theology (
240 The religious life. Practical theology
250 Pastoral theology
260 The Christian church in general
270 General history of the Christian church
280 Christian churches or worshipping bodies
290 Non-Christian religions, Comparative religion
300 SOCIAL SCIENCES. ECONOMICS. LAW.
GOVERNMENT. EDUCATION
300 General sociology. Sociography
310 Statistics
320 Political science. Politics. Current affairs
330 Political and social economy. Economics
3^0 Jurisprudence. Law. Legislation
350 Public administration. Military science. Defence
360 Social relief and welfare. Insurance
370 Education
380 Trade. Commerce. Communication and transport
390 Ethnography. Custom and tradition. Folklore
Page 38
5/85
-------
4oo
410
420
430
44o
450
460
470
480
490
500
510
520
530
540
550
560
570
580
590
600
610
620
630
640
650
660
670
680
690
700
710
720
730
740
750
760
770
780
790
800
800
820
830
840
850
2265.3
PHILOLOGY, LINGUISTICS, LAwGUAGES
Philology and linguistics in general
Western languages in general. English
Germanic languages. German. Dutch, etc,
Romance languages in general. French
Italian. Roumanian, etc.
Spanish. Portaguese, etc,
Latin and Greek
Slavonic languages. Baltic languages
Oriental, African and other languages
MATHEMATICS AND NATURAL SCIENCE
Mathematics
Astronomy, Surveying. Geodesy
Physics and mechanics
Chemistry. Crystallography. Mineralogy
Geology. Meteorology
Palaeontology
Biology. Anthropology
Botany
Zoology
APPLIED SCIENCES. MEDICINE, TECHNOLOGY
Medical sciences. Health and safety
Engineering and technology generally
Agriculture. Forestry. Stockbreeding, Fisheries
Domestic science. Household economy
Commercial, office, business techniques. Management
Communication, Transport
Chemical industry. Chemical technology
Manufactures, industries and crafts
Specialized trades, crafts and industries
Building industry, materials, trades, construction
THE ARTS. RECREATION. SPORT, ETC.
Physical planning, Landscape, etc.
Architecture
Sculpture and the plastic arts
Drawing and minor arts and crafts
Painting
Engraving and prints
Photography. Cinematography, etc.
Music
Entertainment. Pastimes. Games, Sport
LITERATURE. BELLES LETTRES
Generalities, Rhetoric. Criticism
Literature of the Western countries. English literature
Germanic literature! German, Dutch and Scandinavia
Romance literature. French literature
Italian literature. Roumanian literature
Page 39
5/75
-------
.3
860
870
880
890
900
910
920
930
9^0
9^0
950
960
970
980
990
Spanish literature, Portuguese literature
Classical, Latin and Greek literature
Slavonic literature. Baltic literature
Oriental, African and other literature
GEOGRAPHY. BIOGRAPHY. HISTORY
Geography, exploration and travel
Biography. Genealogy, Heraldry
History in general. Sources. Ancient history
Mediaeval and modern history
History of Europe
History of Asia
History of Africa
History of North America
History of South America
History of Oceania, Australasia and Polar region
Page U0
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226^.3
Figure 18
U.S. Department of Housing and Urban Development Library
Code for Assigning Book Numbers
The book numbers are part of the call numbers. The first lines in the call
number relate to the subject classification and are used by any number of books;
the book numbers on subsequent lines distinguish the Individual books.
In general, the Cutter or boot number is dependent on the catalog entry. In
order that no two books have an Identical number, the book number used in the
HUD Libtary is a combination of letters and figures arranged so that books with
the same classification may be located on the shelves and quickly identified,
The basic elements of the book number system used arei
1. The initial letter is usually taken from the first word (not an article)
of the author or title entry as shown on the main entry card. It is
written in upper case. This is followed by two figures to represent
the two subsequent letters in the word selected in accordance with
this schedulei
ab
1
cde
2
fgh
3
ijk
4
lmn
5
opq
6
rst
'7
uvw
8
xyz
9
For example, Grebler, G72, but Greene G722, since it must be- distin-
guished from Grebler if the titles being cataloged have the same
classification. However, if the book by Grebler is classifies, in 600
and the one by Greene in 711, G72 may be used for both since the
classification differs.
2. Two books written by the same author and having the same classification
are distinguished by adding to the book number the first letter of the
first word of the title not an article. It is written in lower case.
For examplei Wilma Donahue's Housing and Social Health of Older
People would take the call number 728.1 i362,6 D65h to distinguish it
from her Housing for the Aged also classified in 728,1 i362,6,
3. Two, three or four titles by the same author in the same class and
beginning with the same three or four letters are distinguished by
adding in lower case the first, first two, or first three letters of
the first word of the titles to the book number. For example 1
Three books by Wilma Donahue having a title beginning with the word
Housing would take the call numbers 728,1 d65j 728.1 D65hj 728.1 D65ho.
A fourth book would be 728.1 D65hou. (Preferably no more than three
lower case letters are added.) Further titles beginning with the same
letters are distinguished by adding an additional figure to the two
selected in paragraph 1 above, followed if necessary by lower case
letters as described in paragraphs 2 and 3 above. For example* Six
ormore books by Wilma Donahue having a title beginning with the word
Housing would have the call numbers 728.1 D651 728.1 D65h| 728.1
D65hoi 728.1 D65hou; 728.1 D65Ij 728.1 D651h, etc.
Page 41
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2265.3
"Urban Vocabulary" for the appropriate number. (Additional
copies may be obtained from the Headquarters Library.)
The final step is the assignment of the Cutter number,
b. A temporary arrangement of publications alphabetically by
author may be used when a library is quite small. Author,
title, and subject access may be provided through the card
catalog. However, a subject arrangement facilitates browsing,
assisting the users in finding the right books even when they
do not know precisely what they want. With such an arrange-
ment, a small library may easily convert to a classified
system as the collection grows, and time, personnel, and
budget permit.
40. CATALOGING.
a. Descriptive cataloging is the process of establishing the
author entry, identifying and describing individual publi-
cations in a standardized manner. This basic data includes
author, title, imprint (place of publication, publisher, and
date), pagination, and the subject and added entries known
as tracings. (Figure 19 )
b. Subject cataloging is the process of determining a specific
word or group of words which best indicates the subject or
subjects dealt with in a book or other material.
c. Catalog Cards. For each book in the library, there should
be a set of catalog cards. The types of cards ar£ as follows:
(1) Author or Main Entry - This is the basic card and
contains all the descriptive and subject cataloging
data. ( Figure 19 )
(2) Subject Card(s) - A duplicate of the main entry, this
card has the subject printed in red or capital letters
above the author, ( Figure 20 )
(3) Added Bntry - This card represents a secondary entry, any
other than the main entry, such as a joint author,
editor, corporate body, etc. The added entry is indented
and printed above the author on the top line of a
duplicate of the basic card. ( Figure 21 )
(4) Title Card - The title of the work is indented and print-
ed on the top line of a duplicate of the basic card.
( Figure 22 )
(5) Shelf List Card - Also a duplicate of the main entry,
5/75
Page
-------
Figure 19
AUTHOR CARD
Call number
Title
Date of
publication
Subjects-
Author
¦320
lA5u Lineberry, Robert L
Urban politics and public policy, by Robert
—Place of
Lineberry and Ira Sharkansky. New YorkT Harper and publication
RoWj_ 1971.
• 372p."
Publisher
1, Political science. 2. Municipal government.
I, Sharkansky, Ira, jt. au. II.-Title.
•Number of pages
— Added entries
-------
226*.3
Figure 20
SUBJECT CARD
(Subject may be typed in red or capitals)
693.97 STEEL CONSTRUCTION.
A52c American Institute of Steel Construction.
Commentary on the specification for the design,
fabrication and erection of structural steel for
buildings. New York, 1961.
39p.
1. Steel construction,
Figure 21
ADDED ENTRY CARD
624.131 Demo, Owen R
:308 Link Ernest G
(77598) Soil survey of Kenosha and Racine Counties,
IA5 Wisconsin, by E.G. Link and O.R. Demo, Wash.,
U.S. Soil Conservation Service, in cooperation
with University of Wisconsin and others, 1970.
lv.
1. Soil surveys - Kenosha County, Wis, 2. Soil
surveys - Racine County, Wis, I, Demo, Owen R.
II. U.S. Soil Conservation Service.
III. Wisconsin. Uniyersity. IV. Title.
5/75
Page 42*
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226$.3
Figure 22
TITLE CARD
711 Automobile parking.
(016) Kessler, Mary Z
C65 Automobile parking: a selected list of
no. 228 references. Indianapolis, Indiana Dept of
Commerce, Planning Division Library, 1971.
23p. (Council of Planning Librarians.
Exchange bibliography no. 228)
1. Planning - Bibl. 2. Parking - Bibl.
I. Indiana, Dept. of Commerce. Planning
Division Library. II. Title. (Series i
Council of Planning Librarians. Exchange
bibliography no. 228.
Figure 23
SHELF LIST CARD
339.3
(789) New Mexico. University. Bureau of Business
N28 Research.
19 0(0,57
Income by counties in New Mexico, by Vincente T.
J. Ximemes.
Cftjoifti Albuquerque, N.M,, 1957. 5S
Jl v. illus. (New Mexico studies in business
and economics no. 5, (s> )
For complete information see shelf list.
1. Income - New Mexico. I, Ximenes, Vincente T,
( ) S L
Page 45
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226S.3
this card is arranged in order by classification number,
in the same order the publications are filed on the
shelf. Usually the shelf list catalog is kept in the
work area of the library. It provides an accurate
record of the library's holdings and may contain
acquisition information on each item. The cards may be
distinguished by stamping or typing "S.L." on them.
The shelf list file may be used to avoid order duplica-
tion, insure classification uniformity, inventory the
collection, prevent classification duplication, and
indicate the number of books in a class, ( Figure 23)
Analytic Card(s) - This card identifies a small unit of
information such as a chapter within a book. ( Figure
24) For example if a HUD official authors a section in
a publication, an analytic card may be made.
"See" Card - A "see" card indicates there is no informa-
tion under this subject and refers the user to other
appropriate headings. (^Figure 25)
"See Also" Card - This card refers the user to addition-
al, related material filed under different subject head-
ings, ( Figure 26)
41. PREPARATION OF CATALOG CARDS. There are three basic ways a
library may produce catalog cards - type the entire set, purchase,
printed cards, or type the main entry and use duplicating equip-
ment to supply the rest.
a. The Headquarters Library'3 cards are produced with the use
of the IBM Magnetic Tape Selectric Typewriter (MT/ST-). This
method is best employed where moderate to high volume card
work is needed (100 or more publications per week), With
this typewriter, it is necessary only to type the main entry
card, additional cards with appropriate headings are repro-
duced by the machine,
b. Regional Methods. The Denver Regional Library types a main
entry then uses a mini-duplicator to reproduce additional
"bards. One or two Regional libraries purchase printed
Library of Congress cards and type HUD classification
numbers and subject headings on them. The Chicago Regional
Library prepares a master unit card and reproduces it on
card stock using a standard photocopying machine with vari-
able weight paper feeder. Other Regional Libraries type one
card and have the rest printed by an outside contractor.
c. Selecting a Method. The method selected depends on the needs
(6)
(7)
(8)
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Page 46
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2265>.3
Figure 24
ANALYTIC CARD
728.1
H68?4h Lilley, William III
The homebuilders' lobby, by W. Lilley III,
Deputy Assistant Secretary for Policy Development
and Research, HUD.
(In Housing urban America, edited by Jon
Pynoos and others. Chicago, Aldine Pub. Co.,
1973. p. 30-48)
1. Housing. 2. Minority groups - Housing.
I. Title.
The purpose of an analytic card is to identify sections of a
work not normally brought out in the regular cataloging pro-
cedures. The same purpose may be served by cataloging the
work as follows.
728,1
H6874h Housing urban America, edited by Jon Pynoos
and others. Chicago, Aldine Pub. Co., 1973.
597p.
Partial contents,-The homebuilders' lobby, by
W. Lilley III, Deputy Assistant Secretary for
Policy Development and Research, HUD,
Bibliography: p. 579-59^.
1. Housing. 2. Minority groups - Housing.
I, Pynoos, Jon, ed. II, Lilley, William III.
The homebuilders' lobby.
Page 47
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2265.3
Figure 25
"See" Card
HOUSING ABANDONMENT
See
ABANDONED BUILDINGS
Figure 26
"See also" Card
BURGLARY PROTECTION
See also
LAW ENFORCEMENT
5/75
Page 48
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2265.3
of the library and the equipment available. Typing all
catalog cards is expensive and time-consuming. Purchasing
printed cards is useful only if the company can provide a
fast, moderately priced service. Typing a master card for
mechanical reproduction has proved most successful in our
field libraries as long as the cards can be reproduced
quickly and economically.
d. Format. A general format for typing catalog cards is shown
in Figure 27.
42. CATALOG CARD FILING. The Headquarters Library uses a modifica-
tion of the American Library Association filing rules in its card
and book catalog. These rules may be found in Volume 19 of the
book catalog distributed to all Regions or a copy of the rules
may be obtained from the Headquarters library Cataloging unitI
However, a Regional, Area or Insuring Office Library may wish to
use the standard American Library Association rules for filing
catalog cards. (See Chapter 17, Library Organizational Guides:
A Selected Bibliography)
43. CHARGE CARDS, BOOK POCKETS AND BOOK LABELS.
a. Charge Cards. HUD-750, Library Book Card ( Figure 2&), may
be requested from Headquarters on a HUD-10, Reouest for
Supplies and Equipment. The charge or book card should have
the call number, copy number, author, and title.
b. Book pockets ( Figure 29 ) may be obtained at any library -
supply firm. They are pasted on the back inside cover of the
book or pamphlet or on the -first blank flyleaf when there are
maps or charts. For ease of identification, a book pocket
may also bear the classification or call number, copy number,
author, and title of the publication.
c. Book labels ( Figure 30) are available at library supply firms
most stationery stores. The classification number is typed
on the label, and the label secured to the lower portion of
the book spine. If the spine is too narrow, affix the label
to the upper left hand corner of the publication. The
classification number is also generally written on the verso
of the title page. Thus, if the label is damaged or removed,
the relabeling process is simplified,
44. PERIODICAL ORGANIZATION AND CONTROL. A periodical is here defined
as a publication issued twice a year or more often.
a. Organization. Periodicals, in the Headquarters Library, are
Page 49
5/75
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2265.3
Figure 27
Rules for the Production of HUD Library Catalog Cards
1. Call number: Start typing call number on the second linfc from the top of
the card. Begin typing two spaces in from the left hand border of the
card. Keep the left hand margin uniform for all lines of the call number.
2. Margin for all catalog copy other than call number! Fix this margin by
moving to the right two spaces'beyond the longest line in the call number.
3. Author entry> Begin typing the name of the au^hor on the third line from
the top of the card (on the same line with the second line of the call
number). Start the author's name at the margin established in no. 2
above. If the author's name runs to more than one line, indent the second
and subsequent lines two spaces to the right of the first line.
4. Titlei Indent the title two spaces to the right of the margin established
in no. 2 above. Bring the second and subsequent lines of this paragraph
out to the margin.
5. Collations Indent the paging two spaces to the right of the margin estab-
lished in no. 2 above. Bring the second and subsequent lines of this
paragraph out to the margin.
6. Notesi Indent the first line two spaces, Bring the second and subsequent
lines of this paragraph out to the margin.
7. Subject headings and added entries.- Indent the first line two spaces.
Bring the second and subsequent lines of this paragraph out to the margin.
Arabic and Roman numerals are followed by a period and one space. When
typing such entries as "U.S." or "U.K." do not leave any spaces between
initials and periods. However, leave two spaces before typing the next
word that follows, (e.g., U.K. Building Research Station.) Follow the
same procedure in typing proper names that include initials. Do not
space between the initials and the periods tha follow them, (e.g.,
Slmms, L.G., jt. au.)
8. Copy which runs to two cardss At the end of the first card, type- these
words: (Con't on next card). Position this on the right on the last line
on the first card. On the second card, repeat the call number exactly as
on the first card. Position the author entry in the same place as on the
first card. Follow it by the first couple of words in the title followed
by three periods and the date taken from the end of the paragraph in
which the title is found. On the second card, the title follows on the
same line with the author entry, not on a separate line, One the right
hand end of the same line type these wordsi (Card 2). If there is not
enough room on that line, type it at the right on the next line. Then
skip one line before continuing typing the rest of the copy.
9. Typing subject headings and added entries at the top of cards» These
entries are typed on the lines at the top of the first card. Subject
headings are typed in all caps. Added entries are in upper and lower case
as shown in the copy. If the entry is one line or less in length, type it
on the second line from the top of the card (opposite the top line of the
call number), Indent it two spaces to the right of the margin established
in no. 2 above. If the entry will run longer than one line, indent the
second and subsequent lines two additional spaces to the right of the
first line. Move the copy up on the card as necessary to fit it in.
5/75
Page 50
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2265.3
Figure 27
10. Treatment of Initials in names of authors and others: In the author entry,
do not put periods after initials in the name. Leave five spaces after
each initial Instead. Do the same for names appearing at .the top of the
cards as added entries. (However, note that periods without spaces follow
initials of persons in the added entry paragraph in the body of the card.)
11. In call number, don't type lower case "L" — it looks like the numeral one
and causes confusion. Handscribe it on cards in black ink, like this,jL
12. When the following abbreviations appear in the subject headings — Bibl.,
Diet,, Direct, — write the words out in full when typing the subject
headings on the tops of the cards — BIBLIOGRAPHY, DICTIONARIES, DIREC-
TORIES.
13. When the added entry "Title" appears, the typist is to pick up the title
from the copy and type the wording of the title at the top of the
appropriate added entry cardi Do not put the word "Title" at the top of
the card. A title includes all words up to, but not beyond, a colon,
semi-colon, or period, If in applying this rule the title exceeds two
lines in length, refer title to HUD Library for a decision,
14. When the added entry "Title" is followed by given wording, type this
wording at the top of the appropriate added entry card, (e.g., Titles
Surface water in Illinois. Type only "Surface water in Illinois,")
15. When the word "(Series)" appears in the tracings, it should be ignored
when typing added entry cards — that is, it appears in the body of the
card but is not typed at the top of an added entry card. However, if
the entry is "Seriesi" followed by given wording, type this wording at
the top of the appropriate-added entry card,
16. Be sure to distinguish between brackets and parentheses.
17. Certain information given in the copy is not to be typed on the finished
cards. This includes information on holdings or in regard to open entry
material. The cataloger (or librarian) will circle any information that
is not to be reproduced by the typist, (e.g., (2cP^ Qv. 15p9) (c. 1-Ref"})
18. Number of cards to make: Make four main entry cards (Central Office only),
plus one card with each subject heading and added entry typed at the top
above the rest of the copy. (See samples)
Page 51
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2262.3
Figure 27
Positioning copy on cards (Rules 1 - 7)
Main entry card
690.22
HI5a Ha.nsteen, Ole Edvard.
Analysis of stress distribution in shear walls
by the finite element displacement method. Oslo,
Norwegian Building Research Institute, 1969-
77-83p. (Oslo. Norges Byggforskningsinstitutt.
Reprint 160)
Reprinted from: IV International Congress on
the Application of Mathematics in Engineering.
The Application of Computers in Building, Weimar
1967. Reports Vol. 1.
1. Walls. 2. Strains and stresses.
I. Oslo. Norges Byggforskningsinstitutt.
II. Title.
Typing subject headings at top of cards (Rule 9)
Subject heading card #1
690.22 WALLS.
HI5a Hansteen, Ole Edvard.
Analysis of Stress distribution in shear walls
by the finite element displacement method. Oslo,
Norwegian Building Research Institute, 1969.
77-83p. (Oslo. Norges Byggforskningsinstitutt.
Reprint 160)
Reprinted from: IV International Congress on
the Application of Mathematics in Engineering.
The Application of Computers in Building, Weimar
1967. Reports Vol. 1,
1. Walls. 2. Strains and stresses,
I, Oslo. Norges Byggforskningsinstitutt.
II. Title.
5/75
Page 52
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2265.3
Figure 27
Typing subject headings at top of card (Rule 9)
Subject heading card #2
690.22 STRAINS AND STRESSES.
HI5a Hansteen, Ole Edvard.
Analysis of stress distribution in shear walls
by the finite element displacement method. Oslo,
Norwegian Building Research Institute, 1969.
7?-83p. (Oslo, Norges Byggforskningsinstitutt.
Reprint 160)
Reprinted from: IV International Congress on
the Application of Mathematics in Engineering.
The Application of Computers in Building, Weimar
1967. Reports Vol. 1.
690.22 Oslo. Norges Byggforskningsinstitutt.
HI5a Hansteen, Ole Edvard.
Analysis of stress distribution in shear walls
by the finite element displacement method. Oslo,
Norwegian Building Research Institute, 1969.
77-83p. (Oslo. Norges Byggforskningsinstitutt.
Reprint l6o)
Reprinted from: IV International Congress on
the Application of Mathematics in Engineering.
The Application of Computers in Building, Weimar
1967. Reports Vol. 1.
1. Walls.
I. Oslo, Norges
II. Title.
2. Strains and stresses.
Byggforskningsinstitutt.
Typing added entries at top of cards (Rule 9)
Added entry card
1. Walls.
I. Oslo, Norges
II. Title
2. Strains and stresses.
Byggforskningsinstitutt,
Page 53
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226S.3
Figure 27
Copy which runs to two cards (Rule 8)
First card
388
(7946) Martin, Darryl B
Ml7 Feasibility of an exclusive lane for buses on
the San Francisco-Oakland Bay Bridge.
/Sacramento/ State of California, Business and
Transportation Agency, Dept. of Public Works,
Div. of Highways and Div.- of Bay Toll Crossings,
1969.
30p.
To be presented at 4-9th annual meeting,
Highway Research Board, Jan. 1970.
1, Transportation - San Francisco Bay Area.
2. Journey to work. I. California. Div.
of Highways. (Cont'd on next card)
Second card
388
(7946) Martin, Darryl B Feasibility of an exclusive
Ml7 lane for buses19&9« (Card 2)
II. Title: Buses. III. Title. IV. Highway
Research Board.
5/75
page 54
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2265.3
Figure 27
Typing title at top of cards (Rule 9 for spacing, Rule 13)
Title card
Analysis of stress distribution in shear walls
690.22 by the finite element displacement method.
HI5a Hansteen, Ole Edvard.
Analysis of stress distribution in shear walls
by the finite element displacement method. Oslo,
Norwegian Building Research Institute, 1969.
77-83p. (Oslo. Norges Byggforskningsinstitutt.
Reprint 160)
Reprinted from; IV International Congress on
the Application of Mathematics in Engineering.
The Application of Computers in Building, Weimar
1967. Reports Vol. 1,
1. Walls. 2. Strains and stresses.
I. Oslo. Norges Byggforskningsinstitutt,
II. Title.
Treatment of initials and spacing in added entry (Rule 7)
Added entry card #2.
690.22 U.K. Building Research Station.
W66 Wood, R H
A tentative design method for the composite
action of heavily loaded brick panel walls
supported on reinforced concrete beams, by R.H.
Wood and L.G. Simms. Garston, Eng., Building
Research Station, 1969.
6p. (U.K. Building Research Station.
Current paper CP 26/69)
1. Walls, 2. Brick construction, 3. Concrete,
Reinforced. I. Simms, L.G., jt. au.
II. U.K. Building Research Station. III. Title.
Page 55
5/75
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226S.3
Figure 27
Treatment of initials in author's name (Rule 10)
Main entry card
690.22
W66 Wood, R H
A tentative design method for the composite
action of heavily loaded brick panel walls
supported on reinforced concrete beams, by R.H.
Wood and L.G. Simms. Garston, Eng., Building
Research Station, 1969.
6p. (U.K. Building Research Station,
Current paper CP 26/69
1. Walls. 2, Brick construction. 3. Concrete,
Reinforced. I. Simms, L,G., jt. au.
II. U.K. Building Research Station, III. Title,
Treatment of initials in added entry (Rule 10)
Added entry card #1
690,22 Simms, L G jt, au,
W66 Wood, R H
A tentative design method for the composite
action of heavily loaded brick panel walls
supported on reinforced concrete beams, by R.H.
Wood, and L.G, Simms, Garston, Eng,-, Building
Research Station, 1969.
6p, (U.K. Building Research Station.
Current paper CP 26/69)
1. Walls. 2. Brick construction. 3- Concrete,
Reinforced, I, Simms, L.G., jt. au.
II. U.K. Building Research Station. III. Title.
5/75
Page 56
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2265.3
Figure 28
HUD-750, Library Book Card
711.73 A66 c.'3
Appleyard, Donald.
The view from the road.
date
ISSUED TO
9-13-73
S. Smith Rm. 1072
X56W
10-^-73
UJ.DCPANTMKNT OF HOUMNO AND URBAN DIVlLOPMtNT
LIBRARY BOOK CARD
HUD—780 (8-70)
Page 57
5/75
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226S.3
Figure 29
Book Pocket
711.73 A66 c.3
Appleyard, Donald.
The view from the road.
5/75
Page 58
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226^.3
Figure 30
Book Labels
728.13
B13
Page 59
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226S.3
arranged alphabetically by title. The "HUD Library
Periodicals List" contains all periodicals available in the
HUD Library as of March 1971. Field libraries may find the
list helpful in establishing title entries, identifying
publishers, and the like.
b. Control. There are several systems for periodical control and
record keeping. The most common uses a visible card file such
as the Remington Rand Kardex or Demco Visible File.
(1) The Kardex or Visible File is a metal file containing
a number of shallow drawers in which printed cards are
placed so only the lower edge, with the periodical
title is visible. ( Figure 31 )
(2) Kardex cards are available for daily, weekly, and
monthly periodicals. (Figures 9 - 11 ) All periodicals,
both purchased and free, are entered on these cards -
daily and weekly by date of issue, monthly by date
received.
They may also contain acquisition(See Chapter 4,
Acquisition of Material, Paragraph 31j Periodicals),
bindery, routing or other information. To route
periodicals, record the names and room numbers'of the
persons receiving them regularly on the back of the card
or on a routing slip attached to the card.
45. ORGANIZATION AND CONTROL OF LEGAL MATERIALS. In the Headquarters
Library, legal publications are cataloged in the same
manner as the general material, and the catalog cards interfiled
in the general card catalog. Classification, however, differs.
The designations "LAW" (Law, Treatise), and "LAW R" (Law,
Reference) are used on catalog cards, book cards, and book pockets.
The spines of the legal books, with the exception of legal
reference and treatises, are not labeled.
a. Legal periodicals should be entered in a visible card file
with the general periodicals, but filed with the legal
collection.
b. Shelf Arrangement. For a suggested shelf arrangement of the
legal collection, consult Chapter 6 , Physical Organization
of Materials, Paragraph 50, Legal Materials.
^6. ORGANIZATION AND CONTROL OF COMPREHENSIVE PLANNING REPORTS.
a. Regional Methods. In most HUD field libraries with establish-
ed Comprehensive Planning (701) Report collections, the
5/75
Page 60
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226^.3
V^idM'"* '»<*>^WJii> mi
£*!Figure 31
Visible Card File
WC"**1
fiiy ywwy—j
I li —<—>¦¦ HI rr»
American Behavioral Scientist
agmjiiiB
S^flj^'Aaericari
AMERICAN BOOK" FUBLISkjWC BMOBg
- ,.- V -W l'- 7 . v. '
J.L' — » ->¦-[;w |mjLAj|.urpu.tprc^llil|i^| ti< |IU»|U
American Builder
^WBSTJ
4 j- American City
mm
pinfi>r|riTin^gwy -W.~v :-V*^-5v-j;s>»^
American Council on Education. Fact Book on Higher
-V" f-sr
, ^Aur^'H.! ' 11
American Concrete Institute
f
American Concrete Institute Jn
¦pwpnnv
pi JM '^7
i»,m; i" mm
r*T7^«PWJ; I ."! •|iuu>fu,»ifl«
pn
fage 61
5/75
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2265.3
reports are arranged alphabetically by state and within state
by locality. To provide subject and author approach,
standard catalog cards may be prepared for each item with the
geographic designation used instead of a call number, In one
Region, a subject arrangement with standard catalog entries
was preferred by the program managers. Another used full
cataloging and classification, integrating the reports with
the general collection.
b. The Headquarters Library formerly performed full cataloging
and classification of 701 reports. Since 1971 • reports have
been indexed on selected bibliographic data elements and re-
corded in a computer system. From this are obtained two lists
of reports, one arranged by geographic terms and one by title
words (KWIC).
(1) The KWIC (Ke.vword-ln-Context) index is a permuted title
keyword index which serves the user much as a subject
index. The KWIC index is comprised of an alphabetical
array of title entries, one for each significant word in
a document title. The words of the title are so position-
ed as to allow the keyword to remain in a constant posi-
tion relative to other keywords while the balance of the
title is adjusted either to the left or right as space
allows. The document title is repeated as' many times as
there are title keywords, and each entry appears alpha-
betically under its respective keyword.
(2) Listing the Comprehensive Planning Reports began, as a
new feature, with the November/December 1971 of "Housing
and Planning References". The KWIC index was added with
the May/June 1973 issue.
Of the more than 40,000 reports issued, 29,000 axe listed
in Volume 19 of the "Dictionary Catalog", and 7i000 under
the heading "U.S. HUD, UPAP", The citations in Volume
19 are arranged by geographic place name and KWIC index}
those in Volume 17 are completely cataloged.
47. ORGANIZATION AND CONTROL OF MICROFORMS. There are two main types
of microforms J microfilm and microfiche.
a. 35 mm microfilm contains at least one page of material per
frame.
b. Microfiche is usually a 4 x 6 filing card containing up to
sixty or more pages of material.
c. Reader/Printer. Both microforms, of course, require a
Page 62
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226S.3
mechanical reader for viewing, It is best to obtain a
machine that handles both microforms. A reader/printer
is more expensive but allows a hard copy to be printed with-
out delay.
d. User Response. Many library users dislike microforms; also
color and certain formats cannot be reproduced.
e. Usefulness. Microforms can be extremely useful in a library.
Periodicals, newspapers and even legal materials such as the
Reporter Systems and Federal Register are available on micro-
film. Many research and technical reports may also be obtain-
ed in microform. Microform copies conserve space and preserve
them in good condition. It is recommended that Regional and
Area Office libraries begin building a microform collection
and purchase a reader/printer.
f. Catalogs on microforms are available from University Micro-
films, 300 N0rth Zeeb Road, Ann Arbor, Michigan 48106.
g. Cataloging Information about microforms may be recorded on
catalog cards according to standard procedures. An accession
number rather than a classification number may be used to
identify the microforms,
5/75
Page 63
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226S.3
Figure 32
Filing Sequence
728 728 728 728 728
B18 C65 C65f C653 C653a
728 728 728 728 728
C653b C66 C66 G87 S52
I960 1961
728 728 728 728 728
(016) (04) (07) (41) (436)
N17 W34 H17 B78 H25
728 728 728 728 728
:308 : 333 : 392 : 392 : 392
M25 C31 P34 (016) (493)
A37 J12
728 728 728.1 728.1 728.1
s551.5 :551.5 C25 C654 F22
B15 E58
728.1 728.1 728.1 728.1 728.1
(519) (52) (6) (330) :332.6
K67 J16 A44 H25 (73:347)
B68
728.1 728.1 728.1 728.1 728.1
: 333'63 -.336,18 :336.18 :336.18 «336.18
G15 (74932) (7526) (76) (761)
N28 B15 A12 C19
5/75
Page 64
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2265.3
CHAPTER :6., PHYSICAL ORGANIZATION OF MATERIALS
48. GENERAL BOOK COLLECTION, If the general collection is organized
by the personal or corporate author, the shelf arrangement is
alphabetical. If the collection has been classified, the publi-
cations are shelved by call number.
a. General filing instructions for the Universal Decimal Classi-
fication numbers are as follows:
(1) Call numbers are filed in sequence as shown in the
following examples:
Basic number - indicates main subject
Cutter number - indicates author
Basic
Parenthesis - indicates form or geographic
Cutter subdivision
Basic
Colon - indicates continuation of main subject
Cutter or additional subject
Basic with decimal
Cutter
Basic with decimal
Parenthesis
Cutter
Basic with decimal
Colon
Cutter
Basic with decimal
Colon
Parenthesis
Cutter ( Figure 32 )
(2) All numbers including those in parenthesis or following
a colon are filed as if they are decimal numbers.
(3) Cutter numbers are filed alphabetically then decimally,
b. Simplified System. Regional, Area or Insuring libraries may
w^sh to simplify this system even further. As indicated in
Chapter 5», Technical Organization of Materials, Paragraph' 39*
Classification, a basic classification number or basic number
(a) 728
C21
(b) 728
(M)
B16
(c) 728
«308
M25
(d) 728.1
C25
(e) 728.1
(368)
F37
(f) 728.1
121
A34
(g) 728.1
B68
Page 65
5/75
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2265.3
with decimal and a Cutter number may be sufficent to ade-
quately identify a publication. If a geographic or form
designation is desired, the appropriate number may be added
in parenthesis. The Headquarters Library uses Dewey Decimal
geographic and form numbers.
Additional information on shelving material classified by the
Universal Decimal System may be obtained from the Central
Office Library,
49. PERIODICALS, in the Headquarters Library are organized alpha-
betically by title. The arrangement follows the arrangement in
the Library of Congress* "New Serial Title's", with two exceptions.
Acronyms and abbreviations are filed as words, letter by letter.
U.S. corporate entries are filed under the first keyword after
U.S. Department of Housing and Urban Development is filed in the
letter "H" under Housing. Field libraries, having fewer periodi-
cals than the Headquarters Library, may wish to group U.S.
entries together by filing them under the letter "U".
50. LEGAL MATERIALS. Each Regional and Area Counsel's Office should
be consulted for recommendations on the physical arrangement of
the legal collection. If no particular arrangement is specified,
the following may be used,
a. Legal Reference
b. Legal Treatises
c. Legal Encyclopedias
d. Statutes at Large
e. Code Congressional and Administrative News
f. United States Codes
g. Code of Federal Regulations
h. Supreme Court Reporter
i. Federal Reporter
j. Federal Supplement
k. Modem Federal Practice Digest and Shepard's Citations
1. State Statutes
5/75
Page.66
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2265.3
m. State Digests
n. National Reporter System (alphabetically arranged "by title)
o. Legal Periodicals
This list was designed to include all types of legal materials.
Depending on individual requirements, Regional and Area Office
collections will have only those items needed to fulfil their
functions. Infrequently used materials may be obtained on
interlibrary loan from other nearby legal facilities. (See
Chapter 8. Circulation, Paragraph 63, Interlibrary Loans)
To provide the most efficient and effective library service, the
legal collection should be located with the general and other
library collections.
51 • COMPREHENSIVE PLANNING REPORTS in Headquarters library are filed
irtumerically by accession number. Field collections, organized by
state and locality are filed alphabetically by state and within
state, alphabetically by locality.
52. OTHER MATERIALS, such as folios and vertical file pamphlets (See
Chapter 3, The Collections, Paragraph 19f Organization) .
alphabetically by author or classified and arranged numerically
in the same manner as the general collection. However, specially
designed shelving may have to be ordered to accomodate these
materials. If they are shelved apart from the general collection,
the designations VF (Vertical file) or Folio should, precede the
classification number,
Microforms are usually filed by accession number and kept in suit-
able cabinets.
Page 67
5/75
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226$.3
Figure 33
HUD-336
U. S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
OFFICE OF THE GENERAL COUNSEL
REQUEST FOR MATERIALS RELATING TO
FEDERAL LEGISLATION
(Submit in triplicate)
TO: Office of The General Counsel, Department of Homing and
Urban Development, Washington, D. C. 20410
Attention: Legislative Reference Service
FROM: Region Signed by
Date:
Please send additional copies of the following:
NUMBER OF
COPIES
NAME OF PUBLICATION, INCLUDING ANY IDENTIFYING
NUMBER, SUCH A$ PUBLIC LAW NUMBER
Request received by Legislative Reference Service_
Request filled by on
(Name)
218887-P HUD-Wash., D. C.
fUate)
{Date)
5/15
Page 68
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226^.3
CHAPTER 7. REFERENCE SERVICE
J>3» REQUIREMENTS. A thorough knowledge of Departmental concerns, pro-
grams, and research as well as of the basic reference tools in
the field is necessary to provide adequate reference service.
The librarian and/or technician should keep abreast of signifi-
cant issues related to housing and be aware of new developments.
54» SCOPE. Each Regional Office Library should provide maximum refer-
ence service to its Regional, Area, and Insuring Office personnel.
Outside requesters such as local public agencies, universities,
consultants, public groups, etc. should be assisted as much as
possible. However, limitations may be placed on the depth or
scope of service. A librarian may legitimately refuse to answer
non-work related inquiries. When a request is limited or refused,
the requester should be referred to an appropriate source for
assistance.
55. TECHNIQUE. In responding to an inquiry, the librarian must first
establish rapport with the requester. A library is judged not
only by the quality of its reference service, but by the manner in
which that service is rendered. The librarian should be
courteous, patient and understanding.
Secondly, the librarian should clarify the request as people
rarely state their actual problem, but ask more generalized
questions. Expert probing is necessary to analyze and define a
question before seeking its solution. If the problem is technical,
the requester may assist by explaining difficult" terms or dis-
cussing related topics. If the answer to an inquiry cannot be
found in the resources at hand, the librarian may borrow the
needed materials from another library (See Chapter3, . Circula-
tion, Paragraph 63 , Interlibrary Loans) or refer the requester to
a more likely information source. "A negative response with no
further attempt at assistance is poor reference service.
56. INFORMATION SOURCES. A primary source on housing and related
material is the Library Division's "Information
Sources in Housing and Community Development". It contains infor-
mation on other Library publications such as "Housing and Planning
References", the bi-monthly index to current books, documents,
periodicals, HUD and HUD sponsored publications, and Comprehensive
Planning Reports, specialized bibliographies like "The Built
Environment for the Elderly and the Handicapped", "Citizen and
Business Participation in Urban Affairs" and the "HUD Library
Periodicals List", In addition, there are key reference and acqui-
sition tools from a variety of organizations and publishers with
addresses and prices as an aid to ordering.
Page 69
5/75
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226S.3
a. Other libraries are excellent sources of assistance,
Municipal reference, public, state, and university libraries
may be willing to establish lending privileges in exchange for
HUD materials or a reciprocal loan agreement. (See Chapter
8, Circulation, Paragraph 63, Interlibrary Loans; Chapter 4
Acquisition of Materials, Paragraph 30, Gifts and Exchange)
In seeking information, do not overlook local special
libraries. Gale Research Company's "Directory of Special
Libraries and Information Centers" edited by Anthony T. Kruzas
gives geographic and subject listings of a wide variety of
information facilities in the United States and Canada.
b. Regional and Area subject srieclallsts are also useful informa-
tion sources, particularly if you are trying to locate
unpublished or soon to be published data.
57. LEGAL RESEARCH. To perform in-depth legal research requires
extensive specialized knowledge. If such knowledge is required in
a Regional or Area library, it is recommended that the librarian
obtain additional training from a local library school, law school,
American Association of Law Schools, Department of Agriculture
Graduate courses or other appropriate source. Suggested readings
on this topic are listed in the bibliography. (Chapter 12)
To request materials relating to Federal legislation such as
public laws and recent committee prints, submit a HUD-336,
"Request for Materials Relating to Federal Legislation" (Figure
33)» to the Legislative Reference Service, Office of General ,
Counsel, Department of Housing and Urban Development, Washington.
D.C. 20410.
Federal legislation may also be obtained by sending a self-address-
ed franked envelope to the House or Senate Document Room. At the
state level, state legislative reference libraries may be contact-
ed for material.
5/75
Page 70
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226^.3
CHAPTER 8. CIRCULATION
5^., CIRCULATION PROCEDURES are designed to keep a record of the mate-
rials on loan. This protects Government property and permits the
location of items not on the shelves. The HUD Library uses the
book card system. A book charge card is filled out for each item
borrowed with the date loaned, the name, room number and telephone
number of the borrower, and the date due. ( Figure 28 ) The card
is then filed by the call number, the author's last name, if the
item is uncataloged, or by title, if a periodical.
59. LOAN PERIOD. The Headquarters library charges reserve books
for one week, periodicals for two, and other materials for three
weeks, The circulation period of law material varies. Reference
books do not generally circulate while Comprehensive Planning Re-
ports and Model Cities Plans circulate to Department personnel
only.
60. OVERDUE MATERIAL. When an item is kept beyond the loan period, an
overdue notice is sent, (Figure 3^) If the overdue item is not
in demand by another requester, the loan may be renewed for two
weeks. Lost or damaged library material should be replaced by the
borrower.
61. RESERVE MATERIAL. A requester may obtain an item charged to some-
one else by placing a "reserve" on it, His name, room number,
and telephone number are placed on the book card, and the publi-
cation is sent to him when it is returned. If the requested
publication is overdue, the librarian should recall it immedi-
ately.
The privilege of reserving library materials is extended only to
Departmental personnel. Outside requesters are usually informed
of the due date, and they may request the material again,
62.. INDEFINITE LOAN. Material required for constant use in an office
may be assigned for an indefinite loan period, when requested
with sufficient justification. An office holding such material
should make it available to other HUD personnel if an urgent need
arises. Publications on indefinite loan remain library property
and are to be returned to the library when no longer in constant
use. ( Figure 35 )
63. INTERLIBRARY LOANS. Interlibrary loan allows libraries to borrow
books from one another and expand their resources while avoiding
needless duplication. The American Library Association has
established interlibrary loan policies and procedures in a pam-
phlet titled "General Interlibrary Loan Code". One free copy may
usually be obtained from library supply houses, Interlibrary
Page 71
5/75
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226^.3
Figure 34
UNITED STATES GOVERNMENT
DEPARTMENT OF
HOUSING AND URBAN DEVELOPMENT
Memorandum
TO
DATE:
In reply refer to:
ASL
from HUD Library, Room 8141
subject: Overdue Books, Periodicals
The publications listed below are overdue and should be returned to the library,
unless you have further need for them.
Material checked Hot Renewable has other requests waiting or has been borrowed
from another library.
Please return or renew books on or prior to date due, as this makes them more
available to all, and saves the sending of notices.
Publication
Date Date Not
Borrowed Due Renewable
Please
Renew
229021-P
HUD-Woih., 0. C.
5/75
Page 72
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2265.3
Figure 35
HUD-M (7-66)
UNITED STATES GOVERNMENT
DEPARTMENT OF
HOUSING AND URBAN DEVELOPMENT
Memorandum
TO
DATE:
In rtply rtfar to:
ASL
from : WJD Library, Room 8141
subject: Confirmation of Indefinite Loan
Attached are oopies of the reoorda of publications charged to you
on indefinite loan. If they are not used regularly by your office,
we should appreciate their return to the Library.
If you wish to retain these publications, please sign and return
the copy of the charge card.
229020-F
HUD>W««h., D. C.
Page 73
5/75
-------
Figure J6
Standard Form l6l, InterliDrary Loan Request
Fill it Ml
iKMua
Mfc l*wy
MKNH
to 1*11
A, ft Ml C
ttMil
REPORTS,
iMniMM
ewic*
Datt d ftqiwd;
A
REQUEST
For UM of
Author <«r wMkll VlL M jpMT)
irt* <*IB Mflwr I MM tar artidtt) (IkI. •iitiM, >lm i
~
TliU odlHoo o^hf
V«rtftod in (« UKB X rtf«MC»)
II nwKlKuloling, pltflH ittpplv Q MkroWm Q Hard copy If cost do** n©» **e**d S—
I Fm m
rIM
ttDrlikW L««> C**t
L«fCi«jnii
AUTHORIZED BY:.
(FULL RAKE)
INTERLIBRARY LOAN REQUEST
Accord^ »q iht A.I.A. trMrlibrory Loon Cod*
and lh* Fodtrol librory Commltt**'* I.I.L Cod*
REPORTS: Chfdwd by
SENT BY; ~ librory rat* F"!
Ckn^Ml lnnif>d
Dot* »»"i
out_r
RESTRICTIONS: ~ for us* In librory only
~ Copying not porrnlttod 1 1
WOT SENT BECAUSE:
D Nmlrcubtlng
~
D In us*
~ Not own*d
Estimated Cost of: Microfilm.
Hard copy.
BORROWING LIBRARY RECORD:
Pat* rmrm\**A
Dot* roturnod
librory rot*
Postage
•ndoaodt
RENEWALS: fltoqi—rf r*porl on shott C)
R»qw«st»d on
6*i>*w*d
(or p«riod at r*n*wol)
GOVERNMENT PRINTING OFFICE: 1970 — 389 • 137
-------
226^.3
Loan Request Standard. Form l6l ( picture 36 ) is available from the
Government Printing Office, Washington, D.G, for $1,^0 per
hundred.
When borrowing from other libraries, remember the following
points:
a. Verify request (author, title, etc.) before submitting.
b. Pick up and return the material promptly.
c. Don't borrow from one library repeatedly unless there is an
understanding that you may do so,
d. If you determine there will be a continuing need for a
borrowed item, purchase it for your collection.
e. Borrow only for official use.
The key to successful interlibrary loan is cooperation. A
library must be as willing to lend as it is to borrow. However,
interlibrary loan agreements should not be maintained at the ex-
pense of your own clientele. When possible, reproduce articles
rather than lending bound periodicals or one-of-a kind publica-
tions. Do not reproduce complete copies of copyrighted materials,
Page 7§
5/75
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2265.3
CHAPTER 9. INFORMATION DISSEMINATION
64. ADDITIONAL INFORMATION SOURCES. In addition to its reference and
circulation services, a library can disseminate information
through the following:
a. Special Subject Interest File - card file by subject or pro-
ject with names of interested staff members. New material is
scanned and routed to appropriate personnel.
b. Acquisition Lists - listings of all new materials to be circu-
lated regularly to the staff, This list is usually arranged
alphabetically or by subject and may be annotated, "Housing
and Planning References" may also be used as an acquisition
list with the Regional or Area holdings indicated. Samples of
Regional library lists may be found in Figure 37 •
c. Bibliographies - selected reading lists on a specific subject.
To avoid unnecessary duplication of effort, the Central Office
Library will provide master lists of all its published and un-
published bibliographies.
d. Exhibits - displays on topics of current interest, Coopera-
tion with various program areas on such exhibits can be
mutually beneficial.
e. New Book Displays - selected new publications put on display
for a limited period, usually one week. Library users may
examine and reserve the books for later use,
f. Book Reviews - produced regularly by the Headquarters library
for distribution to Headquarters, Regional, Area, and In-
suring Office personnel. They are objective, lengthy reviews
of current publications considered to be of particular inter-
est to HUD staff. ( Figure 38)
g. Bulletin Board - post book jackets, publishers' announcements,
and other pertinent information.
h. Posters - use to publicize library resources, services, and
location.
i. Staff Newsletter - brief items on the library, recent acquisi-
tions, etc. should be a regular item or appear as frequently
as possible.
j. Library Information Brochures - information about 'the library
facilities and resources for distribution to new employees,
outside requestors, other libraries, etc.
Page 77
5/75
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2265.3
Figure 37
listing of Newly Acquired Publications - HUD Region VIII Library, Denver
(Sample page shown below)
Dobyns, Henry F.
Peasants, power, and appljed social changes by Henry F. Dobyns
Beverly Hills, Sage, 1972 237p. (Social change)
Edeltnan, Sidney
Search warrants and sanitation inspections-the new look in
enforcement. Reprint from American Journal of Public Health,
Vol 58, No. 5, May 1968. Wash., NAHRO, 1968. (Law enforcement)
Fa Ik, Karl L.
Housing problems and tax policies: an International comparison. Wash,,
NAHRO, 1969. I3p. (Housing)
Federal Power Commission
All electric homes in the United States. Wash., GPO, 1971 (Housing)
Fielding, Byron
Home ownership for low-income families, by Byron Fielding and others.
Reprint from Journal of Housing, Vol 26 No 6 (June) and No 8
(Aug/Sep) 1969. Wash., 1969 24p. (Home ownership)
Genung, George R. jr
Public housing: success or failure? Reprint from George Washington
Law Review, Vol. 39, No. 4, May 1971. Wash., NAHRO, 71. (Public
hou s i ng)
Guthrie, Harold W.
The role of earning rates in determining poverty, by Harold W. Guthrie.
Wash., Urban Institute, 1973. (Poverty)
Green, Leslie
Urbanization in Nigeria: a planning commentary, by Leslie Green.
New York Ford Foundation, (972. 44p (City planning - Nigeria)
Gutman, Robert
People and buildings. New York, Basic, 1972. 471p. (Architecture)
Hage, Richard E.
The better communities act: the cities speak. Wash., National
League of Cities, I3p. (Housing legislation)
Hatry, Harry P.
Issues in productivity measurement for local governments. Wash.,
Urban Institute, 1973. (Municipal government)
U.S. Dept of Health, Education and Welfare
Charges for care In nursing homes. Rockvllle, Md., National
Center for Health Statistics, 1972 57p, (Nursing homes)
5/75
Page 78
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2265.3
Figure 37A
» » ' >1 i|4 • »
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
REGIONAL OFFICE
26 FEDERAL PLAZA. NEW YORK, NEW YORK 10007
March 10, 1975
REGION II
IN REPLY REFER TO:
HOUSING AND U'RBAN RESEARCH
COMPILED BY
THE REGIONAL LIBRARY STAFF
SELECTED
CURRENT LITERATURE
Ashmore, Richard D. and John B, McConahay.
Psychology and America'a Urban Dilemnaa. New York, McGraw-
Hill, 1975. S^.95.
Bednar, Michael J.
Architecture for the Handicapped j.n Denmark, Sweden, and Hol-
land ; A Guidebook to Normalization. Ann Arbor, University of
Michigan, 1974. $6.00.
Chandler, Tertius and Gerald Fox.
3000 Years of Urban Growth. New York, Academic Press, 1974.
$28.00.
Davidaon, Harold A
HouBing Decigndt Mobi le, Modi'lpr. or ConventionalY New iork,
Van Noatrand Reinhold Co., 197?. $17*00.
Due Diligence In Real Estate Transactions. 2 vols. New York,
Practising Law Institute, 1974. $20.00.
Economic Consultants Organisation.
The Mobile Home: An Analysis of Its Potential As a Housing Re-
source . Syracuse, N.Y.,1972. $8.00.
Field, Donald R., James C. Barron and Burl F. Long.
Water and Comnunity Developmentt Social and Economic Perspec-
tives. Ann Arbor, Mich., Ann Arbor Science Publishers, 1974.
H2I50.
Page 1 of 4
AREA OFFlCBf
Insuring Officii .
Albany, N«w YoricHtmpiUsd, N»w York
Page /V
5/75
-------
Figure 38
LIBRARY AND INFORMATION DIVISION
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
WASHINGTON, D. C. 20410
BOOK REVIEW October 29, 1973
City Limits; Barriers to Change in Urban Government, by Diana R. Gordon.
New York, Charterhouse, 1973. 329p. $7.95 (Library call number: 352 G67c)
Diana Gordon, a Harvard Law School graduate, with experience
in both federal and municipal government, began her research for
"City Limits" while a Fellow at the Institute of Politics at Har-
vard. It was her previous experience as a New York City govern-
ment official that led to her assignment to analyze that city's
implementation of various programs, primarily those designed to
alleviate problems of the urban poor. Her research was under-
taken to clarify, if possible, why there is such disparity between .
intentions and results in governmental programs, and "what part
of the answer lies in organizational factors: bureaucratic proce-
dures, personnel, internal politics."
In her introduction, Gordon points out that cities' problems are
not necessarily of their own making, and that traditionally
"local governments have acted only on problems
that could be solved with the provision of a limited,
tangible service. Fifty years ago New York City
spent substantial protions of its budget on sanita-
tion and highways, nothing on public housing or
welfare."
In the 1960's, however, many citizens and political leaders with
reformist impulses, felt that citizen participation, welfare reform,
affirmative teaching in the schools, rehabilitation of prisoners
and other social goals could be attained through the application
of sophisticated analytic and managerial techniques to local
government, thereby halting the decline of the cities. John V.
Lindsay was elected Mayor of Now York on such a reform plat-
form in 1966.
Mayor Lindsay did fight for his reforms, Gordon says, but was
the victim not only of unrealistic expectations, but of the "juris-
dictional and managerial problems that seem to many to det6rmi
cities' fates more surely than the competence or ideology of the
Mayor and his appointees." In support of her contention, she
writes:
"Some of my observations of New York City govern-
ment have already indicated to me that we have neglected
one of the most important forces constraining our
ability to bring about change. I have been struck over
and over by the importance of patterns of behavior
within big-city government agencies, patterns that
help determine how a policy imposed from above is
interpreted and carried out. . .My own experience
suggests that not only decisions but their impact and
outcome are shaped by bureaucratic behavior."
From her own, and colleagues' experiences, she synthesizes
(over)
-------
some attempts to bring about change in the New York City
government during the Lindsay years (1966-1973). Each was in-
tended to be an innovation, and each, she believes, was a sincere
effort to provide service. The specific cases were selected to illus-
trate one of four phases of stimulating, defining, implementing
and sustaining change. And each was a failure.
Illustrating the results of stimulus, the author chose two health
problems that outside pressures forced the city to act on—lead
poisoning and the drug problem. The first failed because the
lead activists did not bring the same kind of pressure to bear on
the housing officials as they did on the health people. The sec-
ond, because the program was deliberately fragmented among a
number of city agencies.
"The Sixteen-Story Misunderstanding" recounts the problems
that arose over definition when the City, in an attempt to imple-
ment Mayor Lindsay's concept of citizen participation, tried to
negotiate with a group of residents of the Lower East Side over
the use of an immense, empty city-owned building. Irresponsible
promises by city officials as well as escalation of demands on the
part of citizens resulted in confrontations, angry officials and un-
fulfilled expectations for the citizens.
38
The problems of implementation are illustrated by two records
of defeat. One dicusses a three-year struggle between two arms
of the City government over a water tunnel; the other examines
the behavior problems of workers in a large organization—speci-
fically, the effort to institute reform of correction officers after
the prison riots of 1970.
The effects of sustaining change are shown in "A Hotel is Not a
Home," in which the practice, initiated in 1947, of putting welfare
families "temporarily" in hotels, was continuing into 1973, at im-
mensely greater costs.
As Gordon points out, these, or other failures of New York City,
arc doubtless duplicated in other cities. In every case she describes,
the reformers were better able to push for change than were the
civil servants, but the informers were more likely to pin their
hopes on process rather than substance. On the other hand,
"impediments to change are rooted in rationalizing bureaucracies."
For those readers not familiar with New York City, there may be
a plethora of names, but for anyone interested in municipal gov-
ernment, and/or efforts to effect improvements, this book provides
a rare insight into the workings of a city administration.
Mrs. Helen S. Boston
Senior Bibliographer
Distribution: W-1, W-2, W-3, R-1, R-4, R-5
-------
226^.3
k. Tour Orientation - tours of library facility for new employees
to acquaint them with library personnel and resources.
5/75
Page 82
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226^.3
CHAPTER 10. FREEDOM OF INFORMATION
65• REGULATIONS. Under the regulations established pursuant to the
"Freedom of Information Act", (Public Law 90-23, Public Infor-
mation Act) HUD information and records are made available to the
public.
66. CIRCULAR l6l0.3A. " Provision of Information to the Public",
states "It is the policy of the Department to make full and res-
ponsible disclosure of its identifiable records and information.
Thus, although certain types of records are not subject to the
mandatory disclosure requirements of the Freedom of Information
Act, even these shall be made available upon request unless there
is need in the public Interest to withhold them. Statutory pro-
hibitions against disclosure, such as 18 U.S.C. 1905> authorize
withholding those records which are clearly subject to such pro-
hibitions. Prompt response shall be made to every request of the
public for information,"
67. REQUESTS OR COMPLAINTS. Non-work related inquiries with which you
cannot comply should be referred to an appropriate source for
assistance. In handling requests for documents which are exempt
from the coverage of the Freedom of Information Act, you should
be guided by the provisions of Circular 1610.3A and refer the
requests to the designated Information Center Officer in each
Regional, Area or Insuring Office.
Page 83
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2265.3
CHAPTER 11. STATISTICS
68. PURPOSE. Every well-run organization compiles facts and figures
about its assets, progress, and volume of business. These statis-
tics are used for management analysis and to justify budget and
staff.
69. FREQUENCY. In the Central Office, statistics of key library
activities such as acquisitions, reference, and circulation are
maintained on a monthly basis by every staff member. The form,
HUD-63 Library Statistics ( Figure 39 )i may be adapted for
Regional and Area libraries,
Page 85
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Figure 39
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
LIBRARY STATISTICS
Dote
TOTAL
REFERENCE
READERS IN THE LIBRARY
CIRCULATION
Books ond Pamphlets
Periodicals routed
Borrowed from Outside Sources
TOTAL
BIBLIOGRAPHY
HPR (Items in issue)
Other bibliographies - Items
TOTAL
ORDER
Purchase
Free
ACQUISITIONS
Books and Pomohlets
~o
V
(/>
TOTAL
CATALOGING
Publications cataloged
Cards typed
Cards fifed
Publications processed
MAINTENANCE
Overdue notices ond telephone recalls
Filing and Shelving
Cords fled (Other thon cataloging)
Typing (If not counted above)
Discords
PROGRAM INFORMATION CENTER
Telephone Calls
Visitors
Publications Distributed
HUD-43 16-70) Previous edition is obsolete
HUD-Wosh., B.C.
221071
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22.65.3
CHAPTER 12. LIBRARY ORGANIZATIONAL GUIDES: A SELECTED BIBLIOGRAPHY
70. GENERAL.
American Library Association. A.L.A, Glossary of Terms. Prepared
under the direction of the Committee on Library Terminology,
by Elizabeth H. Thompson. Chicago, 19^3. 159p. (020 (03)
A52) $4
Baltimore Regional Planning Council. A Report on the Organiza-
tion of the Regional Planning Council Library. Prepared by
Teresa Romanowska- Lakshmanan. Baltimore, 19&9. 85p. (026
(7526) B15r)
Council of Planning Librarians. Planning Agency Library Manual.
Eugene, Ore., 1964. 27p. (020 C68) $5 (Revised edition,
Planning and Urban Affairs Library Manual, also listed. How-
ever, this edition has valuable information not included in '
the revision.)
Knight, Hattie M. The 1-2-3 Guide to Libraries. 4th ed.
Dubuque, Iowa, Wra. C, Brown, 1970. 84p. (027 K54o) $2.50
Knobbe, Mary L. and Janice W. Lessell, ed. Planning and Urban
Affairs Library Manual. Rev. Monticello, 111., Council of
Planning Librarians, 1970. 82pv (026 K56) $10
A revision of this publication should be available in June
or July of 1975.
Petru, William C, and Martha W. West, ed. The Library: An Intro-
duction for Library Assistants. New York, Special-Libraries
Association, 1967. 79p^ (020 P27)
Special Libraries Association, "Objectives and Standards for
Special Libraries", Special Libraries. Vol. 55» no. 10, Dec.
1964, pp. 672-680.
Strable, Edward G.( ed. Special Libraries: A Guide for Manage-
ment. Rev, ed. New York, Special Libraries Association,
1975. 106p. (026 S77 1975) $8
Weiner, Betty H. Special Libraries: Planning and Operation.
Washington,D .C., Educational Resources Information Center,
Clearinghouse on Library and Information Sciences, 1971. 3^P«
(026 W24) $3.29
71. PHYSICAL PLANNING.
Brawne, Michael, Libraries: Architecture and Research Library
Buildings. New York, Praeger, 1970. l87p. (027 B71) $21,50
Page 87
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226^.3
Calderhead, Patrica, ed. Libraries for Professional Practice.
London, Architectural Press, 1972. 127p. (026 C15) $11.50
Lewis, Charles M., ed. Special Libraries: How to Plan and Equip
Them. New York, Special Libraries Association, 1963. H7p.
(026 L28)
Metcalf, Keyes, Planning Academic and Research Library Buildings.
New York, McGraw, 1965. ^31p. (025 M27) $l6
Mount, Ellis, ed. Planning the Special Library, New York,
Special Libraries Association, 1972. 122p, (025 M68) $7.50
72. ACQUISITION OF MATERIALS.
Ford, Stephen. Acquisition of Library Materials. Chicago,
American Library Association, 1973. 237p. (025.2 F67) $9,95
Melcher, Daniel. Melcher on Acquisition. Chicago, American
Library Association, 1971. l69p. ("025.2 M25) $8
U.S. Department of Housing and Urban Development, Library.
Information Sources in Housing and Community Development.
Wash., 1972. ^p. (728.1 (0l6) H68in) (Lists key book,
periodical and film finding guides such as Books in Print.
Standard Periodical Directory, etc.) Available free to HUD
field libraries! 500 at Government Printing Office.
Wulfekoetter, Gertrude. Acquisition Work; Processes Involved in
Building Library Collections. Seattle, University of Wash-
ington Press, 1961, 268pi (020 W85) $7.95
73. CATALOGING AND CLASSIFICATION
American Library Association. Anglo-American Cataloging Rules.
Prepared by the American Library Association and others.
North American text. Chicago, 1967. ^00p. (025.3 A52 1967)
$9,50; pap., $^.50.
Bloomberg, Marty and G. Edward Evans. Introduction to Technical
Services for Library Technicians. Littleton, Colo.,
Libraries Unlimited, 1971. 175p. (020 B56) $8.50
Daily, Jay E. and Mildred Myers. Cataloging for Library Technical
Assistants, Wash., Communication Service Corporation, 1969,
llOp. (025.3 Dl^)
5/75
Page 88
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2260.3
Freeman, Elsa S. The Universal Decimal Classification In the U.S.
Department of Housing and Urban Development. Speech at the
United States National Committee, International Federation for
Documentation, Subcommittee on the Universal Decimal Classi-
fication, technical session, Dec. 19&9» Washington, D.C.
Wash,, 1969. 10p. (Available free to all HUD field libraries
from the Central Office Library,)
International Federation for Documentation. Universal Decimal
Classification. Abridged English ed. Prepared by the B.S.I,
under the auspices of the International Federation for Docu-
mentation (F.I.D,) and with the concurrence of the Lake
Placid Education Foundation, New York. 3rd ed. rev. London,
British Standards Institution, I96I. 254p. (B.S.I. Reports
100QA; F.I.D. publication no. 289) (025.4 157)
Mills, Jack. The Universal Decimal Classification. New Brunswick,
N.J., Graduate School of Library Science, State University,
1964. 132p. (025.3 M45u) $6
Osborne, Andrew D. Serial Publications. 2nd ed. Chicago,
American Library Association, 1972.
Seely, Pauline A., ed. ALA Rules for Filing Catalog Cards. 2nd
ed. Chicago, American Library Association, 1968. 260p.
(025.3 A52 1968) $2
Wellisch, Hans. The Universal Decimal Classification, A Programmed
Instruction Course. College Park, Md.j School of Library and
Information Services, University of Maryland, 1970. 195p.
(025.4 W25) $3.50
Wynar, Bohdan S. Introduction to Cataloging and Classification.
4th ed. Littleton, Colo., Libraries Unlimited, 1972. $8.50
74. REFER MCE.
Anders, Mary Edna. 'Reference Service in Special Libraries",
Library Trends. Vol. 12, no. 3, Jan. 196i+» pp. 390-404.
Andriot, John L. Guide to U.S. Government Serials and Periodicals.
McLean, Va., Documents Index, 1962- . (351 (016) A52)
Council of State Governments. State Blue Books and Reference
Publications: A Selected Bibliography. Lexington, Ky., 1972.
70p.
Hutchens, Margaret. Introduction to Reference Work. Chicago,
American Library Association, 1944* $4*50
Page 89
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226S.3
Schmeckebier, Laurence F. Government Publications and Their Use.
Rev. ed. Wash., Brookings Institution, 1969- 476p. (351
(016) S23) $9-95
U.S. Department of Housing and Urban Development. Library.
Information Sources in Housing and Community Development.
Wash,, 1972. 44p, (728,1 (016) H6«in) Available free to HUD
libraries; 500 at Government Printing Office.
Winchell, Constance M. Guide to Reference Books. 8th ed.
Chicago, American Library Association, 1967. 7^+lp. (030
(016) w^5 1967) $15
Wynar, Bohdan S., ed. Introduction to Bibliography and Reference
Work. 4th ed. Littleton, Colo., Libraries Unlimited, 1968.
1^25
75. LEGAL RESEARCH.
American Jurisprudence; A Comprehensive Text Statement of American
Case Law,,, 2nd, San Francisco, Bancroft-Whitney Co,,
Rochester, N.Y., The Lawyers Cooperative Publishing Co., I962,
45v. (supplements) (Consult Federal Supply Schedule for
price)
Corpus Jurus Secundum; A Complete Restatement of the Entire
American Law as Developed by All Reported Cases. St. Paul,
West, 1936. 136v. [supplements) (Consult Federal Supply,
Schedule for price,)
Index to Legal Periodicals. Bronx, N.Y. , Wilson, 19 . Monthly.
$35 per year
Pollack, Erwin H. Fundamentals of Legal Research, by J. Myron
Jacobstein and Roy M, Mersky, 4th ed. Mineola, N.Y.,
Foundation Press, 1973. 565o. (LAW T P655fu) $12
Price, Miles 0. and Harry Bitner. Effective Legal Research. 3rd
ed. Boston, Little, Brown, 1969^ 503p. $10
76. STATISTICS -
American Library Association. Library Statistics; A Handbook of
Concepts. Definitions, and Terminology. Joel Williams, ed.
Chicago, 1966, $5.50
American Library Association. National Conference of Library
Statistics. Chicago, 1966. $2
NOTE: HUD call numbers and prices are tHvgn whPrP
5/75
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226^.3
Assistant Secretary
for Administration
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POLICY
-
LIBRARY SYSTEMS BRANCH
MANAGEMENT AND ORGANIZATION DIVISION
OFFICE OF ADMINISTRATION
OFFICE OF PLANNING AND MANAGEMENT
AUGUST 1975
U.S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
^PIIIIIIIIPIIIPIIIPlPlPilllPIPUlPM
-------
U. S. ENVIRONMENTAL PROTECTION AGENCY
LIBRARY SYSTEMS BRANCH
POLICY
August 1975
-------
SELECTION AND DISPOSAL OF MATERIALS
Selection of Materials
1. Materials will be purchased if they are
determined relevant to the collection and
if:
a. Headquarters staff, regional librarians,
or outside librarians recommend them.
b. Need is apparent from multiple inter-
library loans of the material.
c. Gaps in the collection are thereby
filled.
2. Collection will include books, journals,
films, reports, microfiche, maps, charts,
documents, etc.
3. Attempts will be made to collect relevant
non-published materials and information.
Libraries will maintain a directory of
persons and organizations likely to be
sources of such information in various
subjects areas.
4. Desiderata lists can be maintained by
librarians to aid in establishing priori-
ties regarding selection of items for
purchase.
5. Replacement policy for items missing from
library is determined on a similar basis
as book selection.
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CATALOGING
1. Cataloging of books is accomplished centrally
in Cincinnati for the entire EPA Library
System.
2. Cataloging of EPA documents and non-EPA
documents is performed by each individual
library, in accordance with established
procedures for the organization of material.
3. Organization of Material:
a. Books: Shelved according to the Library
of Congress scheme.
b. EPA Documents: PB number
c. Non-EPA and NTIS Documents: PB and
accession number
d. Periodicals and Newsletters: Alphabeti-
cally by title, chronologically within
same title
e. Pamphlets: By subject in filing cabinet
f. Microfiche:
1) EPA Documents: PB number
2) Non-EPA Documents: Filed by appropriate
ID number
g. Microfilm: Alphabetically by title
h. Theses: Alphabetically by author
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CIRCULATION
1. Materials circulate to EPA employee and,
through Interlibrary Loan, to other libraries
both government and non-government.
2. Materials circulate for as long as needed.
Another user's need of the material is the
only reason for recall. Periodic checks
will be made on loans to remind users they
have the material and to ascertain need.
Interlibrary loan materials are returned by
date due assigned by lending library. Re-
newals are requested only in rare instances.
3. Reference material and current editions of
journals and newspapers do not circulate.
Individual libraries can decide on routing of
new journals.
4. Xeroxing of materials with a copyright is
permissible only for in-house use or for use
by other government libraries.
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Inter!ibrary Loans
1. Material not available in the EPA local
Library may be borrowed from other libraries
for official use. Conversely, material that
is needed by the local EPA staff but not
available in the local library is obtained
from outside sources if possible. No charge
is made by the Library for this service.
2. Excluded from interlibrary loans are certain
types of material, e.g., non-circulating
reference books, exceptionally rare or classi-
fied literature, current journals.
3. Libraries should have available, and make use
of, the index and bibliographic tools required
to fully identify resources that may be wanted
from other participating libraries.
4. Materials may or may not be mailed within the
metropolitan area to non-government libraries,
at the discretion of the local library. Some
libraries may require that materials be picked
up by the borrowing library. Libraries outside
the metropolitan D. C. area receive full in-
terlibrary loan cooperation.
5. Loans will be made to other libraries, but
not to individuals.
6. Interlibrary loans circulate for two weeks,
through renewals sometimes may be arranged.
7. Requested government reports are sent on
microfiche, on a retention basis, if the
borrowing library has microfiche capability.
8. Journals will be loaned to non-government
libraries; articles will be xeroxed for non-
government libraries at the discretion of
the individual library.
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TRANSLATIONS
Poli cy
1. A central translation service is provided
for the exclusive use of EPA research
staff and EPA libraries. This covers all
technical documents primarily for transla-
tion from foreign languages into English,
but translations can also be provided
from English into any other language.
2. Requests for translations of legal and
administrative or other foreign exchange
documents should be directed to Headquar-
ters Library.
3. Charges are made to researchers and to
EPA libraries for translation services.
4. Copies of all items translated into
English by EPA will be sent to the
National Translation Service at the
John Crerar Library (Chicago) uncopy-
righted items will be sent to NTIS as
well. Requests for copies of transla-
tions received from outside EPA should
be referred to either of the above.
5. Translation services of all abstracting;
specified parts of a document; printing;
binding; rapid service translating; and
are prepared in an editable, reproducable
form.
Possible Sources of Material for Translation
1. Information obtained from literature
searches by EPA information centers and
from other data systems.
2. Material that researchers are given by
their counterparts in foreign countries.
3. Citations seen by researchers in journals,
field abstract bulletins, and in other
general reading.
Procedures: See EPA order 2130.1A
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FOREIGN LITERATURE EXCHANGE PROGRAM
1. The international Documents Exchange
program, administered through the Office
of International Activities, is designed
to acquire as much environmental material
from other nations as possible through
exchange agreements. This permits aware-
ness of other countries' experiences in
formulation standards and regulatory
controls and provides an opportunity to
share information on management and
control systems.
2. The Office of International Activities
maintains exchange agreements with the
environmental agencies of foreign co-
untries. This is often done through
agreements between the Administrator of
EPA, or his representative, and his
counterparts in other countries.
3. Under this program EPA is assembling at
the Headquarters Library a reference
collection of foreign documents relative
to environmental programs and regulatory
systems in other countries.
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