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THE ELECTRONIC FEDERAL DEPOSITORY LIBRARY PROGRAM:
TRANSITION PLAN,
Note: This publication is provided for information purposes only. The information contained in this Transition Plan was essentially superseded by the publication "Federal Depository Library Program : Information Dissemination and Access Strategic Plan, FY 1996 - FY 2001," which appears as Exhibit 1 of the Final Report to Congress: Study to Identify Measures for a Successful Transition to a More Electronic Federal Depository Library Program [ Under Additional Files, click on "Exhibit (Strategic Plan) Only." ]
THE MESSAGE BELOW IS FROM ADMINISTRATIVE NOTES, VOL. 16, #18 (Dec. 29, 1995).
THE ELECTRONIC FEDERAL DEPOSITORY LIBRARY PROGRAM: TRANSITION PLAN, FY 1996 - FY 1998This special issue of Administrative Notes transmits The Electronic Federal Depository Library Program: Transition Plan, FY 1996 - FY 1998, which has been prepared to support the fiscal year 1997 requests for the Superintendent of Documents Salaries and Expenses Appropriation. This plan and proposed amendments to Chapter 19 of Title 44, U.S. Code, incorporated in the plan, were included in our budget submission in response to Section 210 of Public Law 104-53. This plan is one of the first outcomes of the discussions which have occurred during the Government Printing Office's (GPO) Study to Identify Measures Necessary for a Successful Transition to a More Electronic FDLP. We hope that this "tactical" plan will stimulate additional discussion which will assist the Working Group in completing the study report and the longer-range "strategic" plan called for pursuant to Senate Report 104-114. A copy of this plan has been distributed to all Working Group and Advisory Group members. A key assumption of the transition plan is that nearly all of the information provided through the Federal Depository Library Program (FDLP) will be electronic by the end of fiscal year 1998. Information which has been distributed to depository libraries in paper and microfiche formats will be available instead via remote electronic access or will be disseminated in a physical electronic format for local access at a depository library. The shift will occur through a transition as Federal agencies in all three branches of Government increasingly originate and publish their information electronically. In addition, during the transition period, we intend to convert publications received in paper to an electronic format for availability through the GPO Access services. In the partnership that will comprise an electronic FDLP, both the depository libraries and the Superintendent of Documents will be significantly impacted in terms of new resource requirements, roles, and responsibilities. Many depository libraries will have to accelerate their plans to obtain public access work stations, and deal with the demand for local printing and downloading. They will have to balance the needs to provide users with assistance in using electronic access services while at the same time providing access to the historical Government information contained in their pre-electronic documents collections. In an electronic environment, the responsibility for ensuring long-term access to electronic information will shift from the depository libraries to the Superintendent of Documents. Connections to electronic access services operated under the authority of the Superintendent of Documents replace the geographically-dispersed collections of books and microfiche. The plan is based on our understanding of Congressional intent and direction, technological developments, and operational and budgetary realities. The plan details basic Assumptions and policies and outlines actions necessary to accomplish the rapid transition to an electronic FDLP. We are very interested in your comments on this transition plan, particularly with respect to two general areas: - the impact of this transition on the users of Government information, on libraries in general, and specifically on depository libraries; - the role of the agencies and GPO's relationship with, and services, to them.
Any comments on the plan may be directed to Mr. J.D.
Young,
Director of the Library Programs Service at (202) 512-1114,
facsimile
(202) 512-1432, or by e-mail at
U.S. Government Printing Office
December 14, 1995
Table of Contents
Basic Assumptions for the Transition to an Electronic
FDLP
1. Based on our direction from Congress, we expect that nearly
all of
the information provided through the Federal Depository Library
Program
(FDLP) will be electronic by the end of fiscal year 1998.
2. Typically, the information provided through the FDLP will be
electronic, with the exception of a few select titles which must
be
available in paper as well as electronically.
3. The costs of the transition to the electronic FDLP will be
funded by
reducing the distribution of paper and microfiche.
4. In an electronic FDLP, the responsibility for ensuring
long-term
access shifts from the depository libraries to the Superintendent
of
Documents (SOD). In the electronic FDLP, connections to
electronic
access services operated under the authority of the SOD replace
the
geographically-dispersed collections of books and microfiche.
This implies new and different tasks and expenses. To provide
long-term
access to data, SOD assumes such costs as data preparation for
mounting,
maintenance, storage, and ongoing costs to minimize deterioration
and
assure technological currency.
5. The GPO Access services (on-line service, storage facility,
locator
service, and bulletin board) will be the foundation for providing
electronic access to Federal information for the FDLP.
6. Direct, no-fee access to Government information will be
provided to
the public by the GPO Access services as a function of the FDLP,
and be
funded by the Program.
7. SOD will coordinate with other agencies for depository
library access
to their electronic data. In the case of some agency databases
which
must be sold to be self-sustaining, the FDLP may not necessarily
provide
for direct, no-charge public access. However, depository
libraries will
be able to provide public access to these databases, either
on-site, or
by connecting through a gateway.
8. Some depositories need assistance in order to serve the
public in an
electronic FDLP environment. SOD will request funding for
"technology
grants" sufficient to assure at least one electronically-capable
depository in each Congressional district.
9. Priority in this transition will be given to electronic
access to
materials already in the FDLP, with highest priority on
high-demand
titles. Current electronic information not presently in the FDLP
will be
given the next priority, with retrospective data receiving the
lowest
priority.
10. This transition will require certain legislative changes.
11. Accomplishing this transition by the end of FY 1998 will
require
funding of the Superintendent of Documents Salaries and Expenses
Appropriation at approximately the FY 1996 level.
Superintendent of
Documents
Effective Date No.
SUPERSEDES
No. 13
Dated:
8/21/81
I. Policy.
The FDLP will rapidly shift to a more electronically based
program. In
this regard, Federal information which has been provided to
depository
libraries in paper and microfiche formats will be available
instead via
remote electronic access or will be disseminated in a physical
electronic
format for local access at a depository library. This shift will
occur
through a transition as Federal agencies in all three branches of
Government increasingly originate and publish their information
electronically. Also, information provided to the Superintendent
of
Documents (SOD) in a non-electronic format may be converted to
achieve
cost-effective access that is appropriate to both the type of
information
and the needs of users. Access to electronic information will be
available through the FDLP at no charge to depository libraries
or to the
public. However, depository libraries will be responsible for
the
startup and maintenance costs associated with equipment and
Internet
connectivity required to provide access to information in
electronic
formats.
Electronic information under the custody of the SOD will be
maintained
for access as long as usage warrants. SOD will seek to improve
access to
information in electronic formats by defining a life cycle
beginning with
the original document as an electronic file and ending with
archiving in
appropriate formats. SOD will coordinate with the National
Archives and
Records Administration (NARA) to offer electronic information
which no
longer warrants maintaining at SOD sites for the FDLP to NARA.
However,
transfer to NARA for permanent preservation is the legal
responsibility
of the originating agency.
The SOD and depository libraries must remain current as
technologies
evolve in order to continue to provide greatest access to Federal
information for the public.
This policy is in accordance with the intent of Congress as
expressed in
The Legislative Branch Appropriations Act of 1996 (Senate Report
104-114,
House Report 104-141, and House Report 104-212) and with the
information
dissemination objectives codified in Title 44, U.S. Code.
Additionally,
the Office of Management and Budget in OMB Circular A-130,
paragraph 8
(6) (h) encourages agencies to "provide electronic information
dissemination products to the Government Printing Office for
distribution
to depository libraries."
II. Scope.
This policy pertains to all U.S. Government electronic
information
products and services, except for those required for official or
administrative use only, or those which are classified. It
pertains to
all libraries designated as Federal depositories under Title 44,
U.S.C.
III. Application.
A. SOD will work with Federal agencies to assure
that
electronic information encompassed in the scope of this policy is
available to the public through the FDLP.
Generally, Federal electronic information will be
available through the FDLP in the following modes:
1. Via physical copies of electronic
products disseminated to depository libraries. These products
will
include CD-ROMs and diskettes.
2. Via Internet or dial-up
connections to
sites operated under the authority of the SOD or another Federal
agency.
a. Sites may include those with
selective
housing arrangements operated under the authority of the SOD, as
well as
non-government sites acting as agents of other Federal agencies.
b. Access at SOD sites to will be
provided in the most cost-effective manner based on the level of
usage of
the information.
3. Via "Gateway Libraries," which
provide
off-site access to electronic information at SOD and other
Federal sites
at no charge through depository library computer systems or those
of
partner networks in their areas.
B. SOD will provide capabilities to assist
depository
libraries and the public in locating and using electronic
information
available at sites operated by another Federal agency or its
agent.
SOD will provide for long-term access to
electronic
information at sites under its authority and will establish
processes
that minimize deterioration and assure technological currency.
1. When a Federal agency charges for its
electronic
services, every effort will be made to establish an arrangement
whereby
access will be provided at no charge to depository libraries.
2. When a Federal agency publishes via the
Internet
and provides public access at no charge, information encompassed
under
the scope of this policy will be identified and made available
through
SOD Pathway services, which will describe, and dynamically link
users to
the information. Pathway services will be developed using open
systems
standards and will be compatible with the Government Information
Locator
Service (GILS).
3. When it is determined that an agency no
longer
intends to provide access at its site, SOD will coordinate with
the
agency to acquire the information and take steps necessary to
make it
available for long term access through the FDLP.
C. Depository libraries are expected to:
1. Provide no-fee public access to
information
identified in SOD Pathway services as well as to information made
available directly through the FDLP.
2. Offer users access to work stations with
a
graphical user interface, CD-ROM capability, Internet
connections, and
the ability to access, download, and print extensive documents.
These
capabilities are in accordance with the revised "Recommended
Minimum
Technical Guidelines" published in the January 15, 1995 issue of
Administrative Notes. These or updated capabilities will become
requirements for all depository libraries in 1996.
D. The Director, Library Programs Service, is
responsible
for implementing the policies and applications described above.
E. Exceptions to this policy must be authorized by
the
Director, Library Programs Service or his/her authorized
designee.
References.
Senate Report 104-114, 104th Congress
House Report 104-141, 104th Congress
House Report 104-212, 104th Congress
OMB Circular A-130
P.L. 104-13, Paperwork Reduction Act of 1995
Administrative Notes, January 15, 1995
Administrative Notes, February 15, 1995
Transition Plan for the Electronic
Federal Depository Library Program
This plan, which is based on the Superintendent of Documents
Policy
Statement, Subject: Electronic Information Access and
Dissemination
Services of the Federal Depository Library Program (FDLP), is
intended to
achieve the goal of changing the FDLP to a predominantly
electronic
program by the end of FY 1998. This plan addresses significant
changes
for the Government Printing Office (GPO). The transition also
entails
significant changes for the nation's nearly 1,400 depository
libraries.
During this transition the FDLP, which is managed by the Library
Programs
Service (LPS) in the Office of the Superintendent of Documents
(SOD),
will move rapidly to an electronic service environment, in which
official
Government information is accessible to the public directly or
through
depository libraries from on-line services operated under
authority of
the SOD. Electronic information will be accessible at SOD sites,
from
other Government agencies, or from institutions acting as agents
for the
Government. Some information will be distributed as tangible
electronic
products, such as CD-ROMs or diskettes.
This electronic FDLP model replaces the geographically-dispersed
collections of books and microfiche with connections to a number
of
on-line electronic services operated under authority of the SOD.
The
responsibility for ensuring long-term access shifts from the
libraries to
the SOD. This change will bring a new mix of tasks and expenses
for
GPO. To provide long-term access to data in SOD facilities, the
SOD
assumes such costs as data preparation for mounting, maintenance,
storage, and ongoing costs to minimize deterioration and assure
technological currency. The SOD will work with the National
Archives and
Records Administration (NARA) to ensure that electronic
information which
no longer has sufficient usage to warrant maintaining it at a SOD
site
for the FDLP is permanently preserved.
Other expenses, especially those associated with acquiring and
shipping
physical printed products, will decline. LPS anticipates
off-setting
cost savings in such areas as postage and shipping costs,
printing of
depository copies, microfiche contracts, and space charges.
To effectively accomplish this transition by the end of FY 1998,
technical implementation assistance is required. A statement of
work for
contractor support in FY 1996 has been developed and is included
with
this plan.
Information Formats in the Electronic FDLP
Depository information will be available in two basic types: that
which
is accessible on computer from an SOD or agency site, and that
which is
disseminated in a physical format. For the overall program,
electronic
access will replace physical dissemination. Information provided
through
the FDLP will consist of the following:
- Access Services:
- on-line electronic information, from SOD or agency
sites,
delivered to the user via computer. Self-service on-line
information
will also be available directly to the public at no charge.
- Dissemination of Physical Products:
- CD-ROMs or other electronic deliverables which, when
used at
local sites, provide information to the user via computer.
- print information in microfiche format, replicated by
LPS when
the originating agency supplies microfiche masters;
- print information in paper format for the select group
of core
titles which are essential to informing the public about the
activities
of the Government.
In virtually every case, no-charge public use of these physical
products
will be at or through depository libraries. Should members of
the public
wish to obtain their own copies they must purchase them as they
do at the
present.
Role of the GPO Access Service
The GPO Access service, with its components of the on-line
interactive
service, the storage facility, the locator services, and the
bulletin
board, is the foundation which will support the transition from
product
dissemination to electronic access. A set of general information
processing and system requirements has been developed and is
included
with this plan.
Managing the Transition: Existing Materials
During the transition to a more electronic FDLP, LPS' focus will
be on
providing electronic access to material which is already in the
Program
in paper or microfiche. Highest priority will be providing
high-demand
information electronically. Current electronic information not
presently
in the FDLP will be given the next priority, with retrospective
data
receiving the lowest priority.
In compliance with the administrative provisions contained in
Section
210 of House Report 104-212, LPS will process and make available
information received in the various formats as follows:
- Electronic Receipts
- when agencies produce CD-ROMs (or other electronic
deliverables) through GPO, LPS will ride for depository copies
and ship
them to the selecting libraries.
- when agencies provide LPS with an electronic source
data file,
it will be prepared for mounting, loaded to a SOD facility, and
made
available via the Internet.
- Paper Receipts
- a limited set of core titles, deemed to be essential to
an
informed electorate, will be available through and funded by the
FDLP as
long as the originating agency publishes in paper.
- if for other paper titles the originating agency
requires
distribution in paper, that agency must bear the cost of printing
and
reproduction of the depository copies.
- other individual paper titles, including many of those
previously converted to microfiche, will be converted to an
SOD-specified
format for electronic access via the Internet.
- publications issued in series or as periodicals will be
identified and the originating agency will be contacted to obtain
equivalent electronic files. However, an electronic version will
not
replace the paper until LPS is able to obtain a dependable,
on-going flow
of equivalent electronic source data files from the originating
agency.
- Microfiche
- when agencies supply LPS with master microfiche, the
master
will be replicated and copies distributed to depository
libraries.
- publications issued in series or as periodicals will be
identified and the originating agency will be contacted to obtain
equivalent electronic files. However, an electronic version will
not
replace the microfiche until LPS is able to obtain a dependable,
on-going
flow of equivalent electronic source data files from the
originating agency.
- Maps
- due to the unique physical and information
characteristics of
maps and charts, LPS will make cartographic products available to
depositories in the format in which they were issued by the
originating
agencies. LPS will contact the originating agency to identify an
on-line
electronic source for this information to which we can point
depository
users.
Managing the Transition: Information Not Previously in
the FDLP
The FDLP is not funded to obtain retrospective files of
information not
previously in the Program, regardless of the format of that
information.
When Government information not previously available through the
FDLP
becomes available, LPS' approach will be to begin with current
information and move forward. Access to retrospective electronic
information will be a low priority for the FDLP unless depository
access
can be arranged by pointing to an agency electronic resource,
such as a
Web site.
SOD expects to encounter opportunities to coordinate with other
agencies
for depository library access to their on-line data. We will
propose
that these agencies provide unrestricted, no-fee access for
depository
libraries. However, when no such agreement can be reached, SOD
may,
funds permitting, reimburse the originating agency for depository
access
to their on-line service. In such scenarios SOD will not be
funding
direct, no-charge public access, although depositories may serve
the
public via gateways, if permitted under the agreement with the
agency.
The Office of Electronic Information Dissemination Services
(EIDS), in
coordination with LPS, will have primary responsibility for
obtaining new
material in electronic formats for the FDLP. GPO will maintain
mechanisms to charge agencies for making their electronic
information
available on GPO Access, if that information does not meet the
criteria
expressed in this transition plan.
Eliminating Duplication
The transition to an electronic FDLP is planned to occur without
major
increases in appropriations. The funding source for the
transition to
electronics will be the cost savings which accrue to SOD from
phasing out
paper or microfiche versions of information which is available
through
the FDLP electronically. Redundant dissemination of content in
different
formats; e.g. paper and microfiche, or microfiche and electronic,
or
CD-ROM and on-line, will be eliminated due to the limited
availability of
funds. Once the transition to an electronic FDLP is complete,
only the
"core" paper titles will represent potential duplicate
distribution, as
their content may also be available electronically.
Cost savings in the FDLP will support no-charge use of the GPO
Access
services for depository libraries and the general public. FDLP
costs
will shift from printing, microfiche conversion and reproduction,
and
shipping and handling to other costs and work associated with
administering an electronic information access activity.
Legal Changes Which Support the Transition
The Depository Library Program is rapidly shifting to an
electronically
based program. Government information which has been provided to
depository libraries in paper and microfiche formats will be
available
instead via remote electronic access or will be disseminated in a
physical electronic format for local access at a depository
library. To
effectively accomplish this transition by FY 1998 and assure the
long
term accessibility of Government information falling under the
purview of
Chapter 19 (Depository Library Program), Title 44, United States
Code,
this Chapter should be amended to add the following new
provisions:
New Section (1917). Components of the Government publishing
information
dissemination products falling under the purview of Section 1902
of this
Chapter shall provide the Superintendent of Documents with
electronic
source data files of those products at the time of publication.
New Section (1918). Publishing components shall notify the
Superintendent of Documents at such time as they initiate,
substantially
modify, or terminate an electronic information dissemination
product or
service.
New Section (1919). Publishing components shall notify the
Superintendent of Documents of their intent to initiate an
electronic
information dissemination product or service. Those components
shall
further authorize the Superintendent of Documents to either
obtain, on an
incremental cost basis, copies of such products which are
produced or
procured elsewhere than through the Government Printing Office;
or,
establish an agreement with the Superintendent of Documents
whereby the
Superintendent of Documents will reimburse the publishing
component the
incremental costs associated with depository library usage of the
information service.
New Section (1920). The Public Printer will issue guidelines for
components of the Government to implement Sections 1917, 1918,
and 1919
of this chapter. Components that fail to comply with these
guidelines
and Sections 1917, 1918, and 1919 of this chapter shall bear the
full
cost of producing copies of products necessary for depository
libraries
as may be required pursuant to the provisions of this chapter and
will
provide such copies to the Superintendent of Documents for
distribution.
New Section (1921). Definitions.
As used in this chapter--
(1) The term "publishing component" means an agency of
the
Federal Government which makes its information dissemination
products or
services available for public use or access.
(2) The term "information dissemination product" means a
Government publication as defined in Section 1901 of this
Chapter,
including any book, paper, map, machine-readable data recorded on
a
physical substrate, audiovisual production, or other documentary
material, regardless of other characteristics.
(3) The term "information dissemination service" means
any
information which falls under the purview of Section 1902 of this
Chapter
which is available to the public electronically from a Federal
computer
facility or site.
(4) The term "electronic source data files" means the
digital
information used to produce a Government information
dissemination
product, as defined in this Section.
(5) The term "on-line public access" means that
information is
made accessible electronically over the Internet, or any
successor
network, without regard for the storage media which holds the
data, or
the searching mechanisms employed to access it.
Future of the In-House Distribution Operation
As the distribution of physical items declines, LPS will reach
the point
where it is no longer cost-effective to maintain an in-house
distribution
capability. The current LPS distribution system, using the
Lighted Bin
System, relies upon economies of scale for cost-effectiveness.
SOD will
carefully analyze the costs of Lighted Bin System maintenance,
distribution staffing, space requirements, overhead, etc., to
determine
the break-even point. Once that point is identified and reached,
LPS
will discontinue the in-house distribution operation, and move
entirely
to contractual shipping arrangements for the few remaining
physical items
in the FDLP.
Needed personnel will be retrained for new roles in the
electronic FDLP.
During the transition period, positions which become vacant
through
attrition will generally remain unfilled. If determined to be
critical,
a vacancy will be filled through a temporary appointment.
Strengthening the Depository Library System
GPO will take the initiative to reshape its relationship with
depository
libraries and librarians in order to strengthen the depository
library
system and to advance the goal of better serving the public.
In an increasingly electronic environment, GPO intends to take an
expanded role in the provision of support services for depository
libraries and librarians. These system support services will
better
prepare depositories to serve as intermediaries providing direct
services
to end users. Expanded services to libraries include, but are
not
limited to, locator services, user support, training, and
documentation.
The SOD will provide training and user support for depository
libraries
for the GPO Access services. In those cases where we point to
electronic
services provided by another agency we will seek arrangements
with the
originating agency to provide user support for depository
libraries.
Depository Library Service Expectations
The planned rapid transition to an electronic FDLP will pose a
significant challenge to depository libraries. Some depository
libraries
will have to accelerate their plans to obtain public access
computer work
stations, and deal with the demand for local printing and
downloading.
Depository librarians will do their best to balance the needs to
serve
the computer have-nots in our society, while preserving and
providing
access to the historical Government information contained in
their
pre-electronic documents collections.
Depository libraries are expected to provide access to electronic
information identified in SOD Pathway services as well as
information
made available directly through the FDLP at no charge to the
public.
Fulfilling this expectation requires depository libraries to
offer users
access to work stations with a graphical user interface, CD-ROM
capability, Internet connections, and the ability to access,
download,
and print extensive documents. However, depository libraries may
charge
users to recover the cost of printing information accessed
electronically.
These electronic capabilities are in accordance with the revised
"Recommended Minimum Technical Guidelines" published in the
January 15,
1995 issue of the Administrative Notes newsletter. Following the
advice
of the Depository Library Council to the Public Printer, these or
updated
capabilities will become requirements for all depository
libraries in
1996. Depository libraries are responsible for the startup and
maintenance costs associated with equipment and Internet
connectivity
required to provide access to Federal Government information in
electronic formats.
Technology Grants
It is clear that some depositories lack the resources to acquire
the
requisite computer or telecommunications resources necessary to
adequately serve the public in the electronic FDLP. Based on a
preliminary analysis of the responses to the 1995 Biennial Survey
of
depository libraries, 25% of the depositories do not have public
access
work stations connected to the Internet. Many of these libraries
are
planning to offer public Internet access within two years, but
over 12%
(164 of 1,347 responding libraries) have no plans to provide
Internet
access to the public. The lack of public Internet access in
depository
libraries is a critical missing "last mile" in making Government
information available electronically.
GPO intends to expend up to $500,000 in FY 1997 for "technology
grants"
to depository libraries. The technology grants are intended to
ensure
reasonable public access and proximity to at least one
electronically-capable depository in every Congressional
district. These
grants, at up to $25,000 each, are to be used for public access
work
stations and Internet connections in depository libraries. This
one-time
financial assistance will enable libraries to achieve a minimum
level of
capability to serve the public with on-line electronic Government
information. In order to be eligible for a technology grant, the
depository library must demonstrate need and stipulate that no
other
funding source is available for this purpose.
Training Efforts and Regional Librarians' Conference
SOD intends to devote additional resources to promoting training
and
continuing education opportunities for depository librarians, to
raise
the level of knowledge and skills with electronic information
resources.
This approach will guide the development of future "Federal
Depository
Conferences" as we will provide hands-on training in the use of
the GPO
Access on-line services, and facilitate training on other
agencies' systems.
GPO will take a leadership role in arranging workshops to inform
agencies
about issues and concerns in developing Government information
products
and services suitable for use by the depository libraries and the
general
public.
There is potential for leadership growth among the 53 regional
depository
libraries. Closer cultivation and coordination with the regional
depository libraries and their directors should lead to a greater
ability
to rely upon the regional librarians as field coordinators for
the FDLP.
To this end, GPO is requesting that the statutory limitation on
S&E
travel be raised by $20,000 to $150,000 in FY 1997. We propose
to bring
the regional librarians together for a one-time conference, at
SOD
expense, for training, discussion of state planning initiatives,
and a
clarification of the regionals' role in the administration of the
technology grants.
New Focus for the Inspection Program
The depository library inspection program will be redesigned, so
that the
resources devoted to periodic inspections can be reallocated to
FDLP
system support and services to depository libraries. Over the
last eight
years, 95% of the depository libraries inspected have been found
in
compliance with the requirements of the FDLP. Now that the
depository
library self-study has been adopted as an evaluation tool for use
by the
libraries, LPS intends that the basis for inspections will be
that
specified in 44 U.S.C. 1909, which states that "the
Superintendent of
Documents shall make firsthand investigation of conditions [in
depository
libraries] FOR WHICH NEED IS INDICATED ..." (emphasis added).
LPS will concentrate on site compliance inspections of those
libraries
which submit unsatisfactory self-studies, have major changes in
staffing
or facilities, have prior records of non-compliance, or if
complaints are
received from the public concerning depository library services.
The LPS
Depository Services Staff (DSS) will also be available to visit,
consult
with, and assist a depository library upon request. This change
will
permit the DSS resources to be reallocated to providing
assistance to
libraries during the transition to a more electronic FDLP.
Promoting GPO Access to Public Libraries
In an electronic environment, the FDLP will no longer be an
exclusive
source of free Government information to libraries. Other
incentives to
increase library participation need to be identified and
explored. As
previously indicated, LPS is planning an expanded program of
training and
other assistance to depository librarians, and technology grants
to
assist depository libraries. Another approach is to promote the
FDLP
electronic services to libraries which already have service to
the public
as their primary mission. In an electronic environment, the
incremental
cost of serving additional libraries or members of the public is
minimal. LPS proposes a program of outreach to public libraries,
in
order to encourage them to become adjunct public service outlets
for
electronic Government information. This expansion could be
accomplished
at low cost, while significantly expanding GPO's ability to serve
the
public. To facilitate this outreach, LPS will attend and make
demonstrations and presentations to the Public Library
Association (PLA)
conferences. Additionally, we will expand our outreach to state
library
associations.
Cataloging and Indexing Program
The GPO cataloging program will also change significantly. We
will
continue to catalog information that we hold, whether in a
physical
format or an electronic file in a SOD facility. Our Pathway
service will
index and point users to the content of other Government
information
resources on the Internet. We will also use, and when
appropriate,
create, Pathway GILS records designed to assist FDLP users.
Locator Services, including Pathway services, GILS, and the Web
Monthly
Catalog data application are critical to locating desired
information in
an on-line environment. The Cataloging and Indexing Program,
which has a
broad legal mandate under Sections 1710 and 1711 of Title 44,
U.S.C.,
will not decline precipitously with the near elimination of
tangible
products from the FDLP. As long as the originating agencies
publish
tangible products, LPS is required to catalog them, even though
they may
no longer be included in the FDLP. Although the volume of
cataloging
work may decline as agencies cut back on their paper
publications, the
complexity and importance of cataloging services at the SOD
electronic
sites will increase.
GPO, in cooperation with the other cataloging agencies, will
attempt to
consistently utilize existing mechanisms for including in
cataloging
records information identifying Government publications available
at
Internet/World Wide Web sites. As Government publications are
discontinued in paper and microfiche format and replaced with
electronic
versions, library patrons are asking for electronic versions of
government documents. For depository libraries to be able to
continue to
provide access to these publications, it is imperative that
electronic
location and access information be included in cataloging records
so that
locations are readily known.
The cataloging of electronic resources is a major topic of
discussion
among national cataloging standards organizations. Through its
participation in cooperative cataloging efforts, GPO will work
with other
institutions to implement a consistent methodology to provide the
necessary linking information for titles converted from paper or
microfiche to an electronic format. Ideally, such linkages will
direct
users forward to the new electronic edition and backwards to the
paper/fiche.
GPO's Superintendent of Documents classification system is
another major
element of the Cataloging and Indexing Program. By assigning
these
unique identifiers to physical items, GPO has enabled libraries
to shelve
and provide access to their physical collections. However, such
requirements are no longer valid when working with intangible
electronic
data. GPO expects that the application of the classification
system will
be substantially reduced as the number of physical products in
the FDLP
declines. The "locating" function of the traditional
classification
system will be replaced by including the URL (Uniform Resource
Locator)
data element in our records.
Transition Chronology
In general, the transition to the electronic FDLP will entail the
following activities:
For the remainder of FY 1996, LPS will concentrate transition
activities
on materials under our control. We will:
- Begin elimination of duplication by offering only an electronic
format
except for core paper titles.
- Develop initial standards for the format(s) of data to be
mounted on
the GPO Access service.
- Obtain contractual technical implementation assistance to
accomplish
the transition.
- Establish one or more contracts to scan monographs which would
have
been distributed in paper or microfiche.
- Encourage agencies to provide SOD with electronic source files,
particularly for serials or series publications.
- Develop guidelines for technology grants.
- Inform the depository library community about the transition
plan.
In FY 1997, assuming that the law has been changed to require
agencies to
provide electronic source files, we will:
- Continue scanning monographs until source files begin coming to
us.
- Concentrate on obtaining source files for serials/series
titles.
- Begin to phase out scanning.
- Initiate the "needs-based" technology grants to depositories.
By the end of FY 1998, most FDLP information should be received
from the
originating agencies as electronic source files. SOD plans to
terminate
the technology grants effort.
General Requirements
Electronic information for the FDLP will be prepared for
inclusion in the
GPO Access service in two basic ways: scanning print format
products, and
from agency-supplied electronic source data files.
SOD requires the capability to scan/accept scanned information
and mount
it on our system. This will pertain primarily to monographs
which would
have been distributed in paper or microfiche format. Serial or
series
publications will be maintained in their present format until a
dependable, ongoing supply of electronic source files is assured.
Scanning will be a short-term, transitional requirement assuming
that the
law is changed beginning in FY 1997 to require agencies to
provide SOD
with their electronic source files. However, even during the
transition
period, the SOD scanning requirements could be extensive. LPS
estimates
that, beginning in FY 1996, and continuing through FY 1997, from
25,000
up to 40,000 titles (potentially 3 to 4 million pages) will need
to be
scanned and mounted on the system.
When agencies supply electronic files in a variety of formats, we
require
the capability to accept the various file formats, and to take
whatever
steps are necessary to mount them on our system. In order to
gain the
widest cooperation from agencies, we anticipate accepting data in
whatever file format the agency offers.
As an incentive for agencies to provide their data, SOD will not
dictate
a file format to the agencies. However, based on a preliminary
analysis,
standard data formats for the GPO Access services are expected,
in the
near term, to be ASCII and Adobe PDF (Portable Document Format).
In
order to fully implement the use of the Open Text (GPO Access
Phase II)
software, SGML formatted files are required.
System Requirements
For FDLP information accessed electronically the system must:
- be capable of linking multiple users to multiple sites.
Since
FDLP users include depository libraries and the public at large,
the
system should have sufficient capacity to support an expanding
base of
users connecting via Internet, telnet, or modem. Because of
resource
limitations on our system, users who connect by telnet or modem
will be
able to use the SOD sites, and will be provided with information
to
enable them to connect to those sites.
- as long as technologically current, our primary focus
will be
on the GPO World Wide Web site as the point of entry, or front
end, for
all of the electronic services of the FDLP.
- support a full range of users; i.e., both depository
librarians
and the general public, including persons who have less than
state-of-the-art computer resources. The system must employ
appropriate
technologies, such as SWAIS, to comply with the Americans with
Disabilities Act.
- support Pathway services, which will utilize Web
indexer
technology to assist users in locating and connecting to
Government
information on the Internet.
- provide daily database updates and indexing, including
a means
to let users know what is new on the system.
- provide the means to authenticate that Government
information
delivered from SOD sites is official.
- be in full compliance with ANSI Z39.50. Developing a
client/server system will facilitate multiple standard user
interfaces
and reduce the burden on users to learn numerous different
interfaces.
The use of applications which require customized or non-standard
clients
should be minimized.
- to the greatest extent practical, offer full-text
searching of
the electronic files offered on GPO Access. However, for
publications
which are highly graphics intensive, it is sufficient to provide
nonsearchable image files.
- have a system design which minimizes life-cycle costs
to the
SOD, with consideration of the cost implications for libraries
and end
users.
- have the capability and flexibility to support, in the
most
cost-effective manner, information of high, medium, and low-level
usage.
In addition, there is a potential requirement to establish, at an
SOD
facility, on-line or "near line" access to CD-ROMs which have
been, or
could be, physically distributed through the FDLP. Before
defining
applications or candidate CD-ROM products for such a service, we
need to
identify, investigate and test appropriate technologies, and to
explore
the costs and benefits of alternative delivery mechanisms.
It has become clear in planning for the transition to a more
electronic
FDLP that there is a core group of publications which must remain
in
paper. There are significant socioeconomic and technical
impediments to
a broad-based public ability to effectively access electronic
information. There are other important considerations as well,
such as
the "official" nature of the information, and issues of long-term
access
and preservation.
The following titles contain information which is vital to the
democratic
process; information critical to an informed electorate. They
support
the public's right to know about the activities of their
government.
Maintaining these titles in paper format, whether or not they may
be
available electronically, is essential to the purpose of the
FDLP. GPO
will request funding to continue providing these titles to
depository
libraries in paper format as long as they are published in paper.
I. LEGISLATIVE BRANCH
United States Congress, Joint Committee on Printing
II. JUDICIAL BRANCH
III. EXECUTIVE BRANCH
National Center for Health Statistics,
Dept. of Health and Human Services
Dept. of State
Office of Management and Budget
I. BACKGROUND:
The Government Printing Office (GPO), through the Office of
Superintendent of Documents (SOD), manages and administers the
Federal
Depository Library Program (FDLP). Under this program, the SOD
has
traditionally distributed Federal Government publications to
approximately 1400 congressionally designated public, academic,
law, and
Federal libraries throughout the United States and its
territories to be
maintained for use by the general public. Documents in paper,
microfiche, diskette, and CD-ROM, as well as access to electronic
on-line
information, are provided at no charge to the receiving library.
GPO has developed a plan entitled The Electronic Federal
Depository
Library Program: Transition Plan, FY 1996 - FY 1998. The plan is
intended to achieve the goal of changing the FDLP to a
predominantly
electronic program by the end of Fiscal Year (FY) 1998. To
effectively
accomplish this rapid transition, Technical Implementation
Assistance
(TIA) is required to determine the most cost effective and
feasible
alternatives for providing access to electronic Federal
Government
information to the American public through the FDLP. The
information to
be addressed and access to this information will be in accordance
with
Title 44 of the United States Code, as amended by the Government
Printing
Office Electronic Information Access Enhancement Act of 1993
(P.L.
103-40).
The transition will change the program from a print environment
to an
electronic environment. This will result in new roles and
responsibilities for the program that were previously
nonexistent.
Federal information which has historically been provided to
depository
libraries in paper and microfiche formats will be available
instead via
remote electronic access or will be disseminated in a physical
format for
local access at a depository library. Electronic information
under the
custody of the SOD will be maintained for access as long as usage
warrants. SOD will coordinate with the National Archives and
Records
Administration (NARA) to offer electronic information which no
longer
warrants maintaining at SOD sites for the FDLP to NARA, although
transfer
to NARA for permanent preservation remains the legal
responsibility of
the originating agency. Under this plan, the responsibility for
ensuring
long-term access shifts from the libraries to the FDLP.
II. TASKS:
Based on the "Transition Plan" developed by the SOD, the
contractor, a
Federally Funded Research and Development Center (FFRDC), will
conduct
surveys and analysis and provide deliverables that will assist in
implementation of this plan.
The Office of the SOD will manage this project throughout the
TIA period. SOD will facilitate access for data gathering and
furnish
the contractor with government materials needed.
The following actions will be taken by the contractor:
A. Conduct a requirements analysis that includes the key
participants in the FDLP:
1. A survey of Federal publishers in all three
branches of
Government to determine their current and expected long-term
electronic
publishing plans and ways in which the FDLP can best support
them.
2. A survey of depository libraries to determine:
a. The electronic technologies best suited
to meet
user needs based upon expected services made available under the
authority of the SOD.
b. Technology requirements in libraries to
meet
local user needs. This will include an assessment of the
technological
skills of staff and a baseline determination of equipment already
available in depository libraries.
3. Consult with library associations and others to
solicit
their input on user needs and gain their views as they relate to
this
TIA. (Appropriate associations and contact persons are listed in
Appendix).
B. Conduct an analysis that will identify alternatives for
achieving
an electronically based FDLP. This analysis will include the
following:
1. A survey of Federal agencies to identify current
and
expected electronic formats that will be used in creating and
maintaining
electronic source data files necessary for publishing electronic
information dissemination products.
2. A survey of information products in the FDLP and
the
available technologies for providing public access
electronically. This
survey should address, at a minimum, technologies available for
access to
information located at Federal agency sites, access to
information
located at sites operated under the authority of SOD, as well as
locally
based access at depository libraries. This survey must consider
technology relating to:
a. Hardware
(1) Data storage
(2) User work stations, including the
capability to download and print information. Determine
appropriate ratio
for number of work stations per number of users on an average
daily basis.
b. Software
(1) Client tools
(2) Server tools
c. Communications
(1) Wide Area Networks
(2) Local Area Networks
(3) Other technologies
3. Consideration of findings from the requirements
analysis
relative to the various roles, capabilities, requirements, and
interests
of the key participants in the FDLP.
4. A cost-benefit analysis and life-cycle costs of
each
alternative.
III. DELIVERABLES
A comprehensive report in support of the "Transition Plan" that
provides:
A. A requirements analysis that describes
and
evaluates the results of the surveys and consultation conducted
under
paragraph IIA.
B. A technical alternatives analysis that
describes
and evaluates reasonable alternatives for achieving a successful
transition to an electronically based FDLP under paragraph IIB.
The
evaluation of each alternative shall include a
cost-benefit analysis.
C. A technical report on current and
expected
electronic formats to be used by Federal agencies in publishing
electronic information dissemination
products.
This report shall also recommend the appropriate platforms
necessary for
making this information available for long-term access.
D. Recommended solutions based on a cost
benefit
analysis of the various alternatives. For each recommended
solution,
provide an action plan that outlines steps, with associated
costs, to be
followed in implementing that solution for key participants as
appropriate.
E. A recommendation of the most appropriate
and
cost-effective electronic formats for delivering and accessing
the
various types of information products in the FDLP, based on
content,
characteristics, and user needs.
IV. SCHEDULE:
A. The contractor will provide deliverables as
defined in
paragraph III within four months from the date of contractor
award.
B. Progress Reports will be scheduled as follows:
1. Regular verbal progress reports will be
made at
least weekly to SOD throughout the contract period.
2. Bi-weekly written progress reports will
be made
to SOD throughout the contract period.
V. TECHNICAL COGNIZANCE:
Technical cognizance for this task is assigned to Mr.
J.D. Young,
Director, Library Programs Service, U.S. Government Printing
Office,
North Capitol & H Streets NW, Washington, DC 20401, telephone
(202) 512-1114.
The primary contact for the conduct of this study will
be:
Ric Davis
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