ADMINISTRATIVE NOTES NEWSLETTER OF THE FEDERAL DEPOSITORY LIBRARY PROGRAM Vol. 20, no. 05 GP 3.16/3-2:20/05 February 25, 1999 DAB HIGHLIGHTS REMARKS BY ROBIN HAUN-MOHAMED CHIEF, DEPOSITORY ADMINISTRATION BRANCH Before the Federal Documents Task Force and Cataloging Committee, Government Documents Round Table American Library Association Philadelphia, PA January 31, 1999 Good morning! I usually like to begin with highlights and work into the more routine material. Today I am going to switch the formula and begin with everyone's least favorite topic, depository microfiche. In many ways the microfiche products are the "great unsung heroes" of the Federal Depository Library Program (FDLP). When I was a depository librarian I disliked having to process microfiche. As a depository library inspector, I hated having to bring up the topic (but I always found the rubber bands on that one piece in the cabinet!). As Chief of the Depository Administration Branch, I find microfiche are often the best solution to the fugitive document problem, but are not well liked by those in the depository community. Let me give you some figures dealing with microfiche and the number of titles associated with physical products distributed to the Federal depository libraries to get a feel for the role of microfiche in the FDLP. * In FY 1995, LPS distributed 45,000 titles, 60% in microfiche format. * In FY 1996, LPS distributed 30,000 titles, 49% in microfiche format. * In FY 1997, LPS distributed 30,300 titles, 54% in microfiche format. * In FY 1998, LPS distributed 39,000 titles, 65% in microfiche format. In light of these figures, I would like to take some time now to explain the acquisition process associated with microfiche titles, the conversion process as performed by the full-service contractors, and the administration of the microfiche conversion process. Recently we have seen and heard much discussion about the requirement for Federal Government agencies to provide material for distribution through the FDLP. While in theory this is a very straightforward process, in practice it often is a catch-as-catch-can process. Many agencies routinely send their material to GPO for printing and replication, and we add the Federal depository library requirements to these orders. This is the process by which we obtain most material distributed in paper and CD-ROM formats. We often refer to this process as "riding the requisition." FDLP appropriated funds pay for these copies to be produced for distribution to the libraries. Some agencies have the authority to do printing outside of GPO either under authorized waivers or through "direct deal" contracts with GPO-approved printing contractors. Title 44 puts the responsibility on the agency or publishing entity to provide the copies for depository distribution. Agencies routinely use the "Notification of Intent to Publish" form to advise GPO of upcoming publications and to determine the quantity of publications needed to meet their FDLP requirements. So far, so good. Next, let's review the problem of when agencies do not provide publications for the FDLP for any number of reasons, including funding limitations, cooperative publications, agency format preferences and software requirements, failure of agency staff to know about the Title 44 requirements, and the most common reason, "oops, I forgot to notify LPS." Once a product has been published, it is very difficult to obtain, say 560 copies for distribution to the libraries in a physical format. The approach we use most often is to ask for multiple copies of the product in paper or tangible format. Then when the publishing entity is unable to meet our request, we can act like the good cop and settle for one copy when we feel confident the publication is suitable for microfiche conversion. When we obtain the one copy, we review it for microfiche conversion as the first option. If it has many color pictures, color charts, or is likely to be a reference title, we then must decide if we should go back to press or replicate the publication on either a quick turn-around contract or on an in-house high-speed copier. The costs of going back to press for products produced outside GPO can be very high. First a copy of original negatives and artwork must be obtained. Then this material is sent out on a contract to one of GPO's many print contractors. The negatives then must be received from the contractor and delivered to the originating agency. Often agencies no longer have the negatives or are unwilling to lend them to us. At this point we must reproduce the publication on a copier or convert it to microfiche. Some of the factors we take into account when making these decisions include: * The cost of going back-to-press if we have the negatives. * The cost when we do not have the negatives and must pay for mastering and set-up costs. * If the publication is black and white, we can use the high- speed duplicator. * The cost of converting to microfiche. Once the decision is made to microfiche the product, the material is sent to the Microfiche Control Section where it is prepared for conversion under one of the 15 microfiche contracts currently in place. Similar titles are gathered and sent to the microfiche contractor, who produces the original microfiche shipping lists, films the publications for microfiche conversion, and duplicates and distributes the microfiche to the libraries according to each library's item selection profile. Currently we have four microfiche contractors who do microfiche conversion for LPS. A fifth contractor, Lake George Industries, filed for bankruptcy last fall. They have not yet returned all of the material sent for conversion. LPS identified and re-acquired all but three of the missing titles and these have been resubmitted for microfiche conversion to another contractor. We are still trying to obtain copies of the missing titles. Once the material has been converted and the duplicates made, the material is sent by the contractors directly to the libraries in weekly batches. The contractor is responsible for filling any valid claims made within 60 days of the date on the shipping lists. They must also return to GPO for inspection a box of material which includes the original cut-up publication(s), a camera master (first generation silver microfiche), a second generation silver microfiche, and a diazo copy for each publication sent for conversion. The contractor is also responsible for providing us with a diskette containing the item number, class number, title and shipping list information for each title sent for conversion. Other receivables due from the contractors are the original shipping list, 25 copies of the shipping lists, and various management reports. When this material is received at GPO, we inspect a percentage of the jobs for contract compliance. I am sure many of you remember the contractor defaults of the late eighties where the microfiche conversion titles were essentially all sent to one contractor. One of the results of that experience was to break up the material into several contracts, thus allowing some of the smaller contractors to bid on contracts and setting up a mechanism to insure there are multiple contractors providing conversion service for LPS. Thus, we now have the four contractors, and before any contracts are awarded to new contractors, they must pass extensive pre-inspection tests. The bid process for contracts follows Government regulations, with low bidder generally being awarded the contract. Many new microfiche contractors bid too low, not realizing all the requirements of the contract and the time and resources it takes to do the conversion. Another problem you often see today is the lack of companies capable of doing microfiche conversion. We do not have microfiche shipping list information available from our acquisition system. This system, called ACSIS (Acquisitions, Classification, and Shipment Information System), not to be confused with GPO Access, has the classification information for all products distributed to the libraries since 1992, and for many of the older products back to 1976. But it does not and may never have the microfiche shipping list information added to the product records. The microfiche processing component of ACSIS was to be worked on after the initial implementation of the system. Our ACSIS system is not yet complete, but additional enhancements to legacy systems are on hold pending resolution of the Y2K issues. When we receive a request for microfiche shipping list information for products received in libraries, we must look them up by print order. A few minutes ago I said similar material is joined together to prepare for conversion. This means each day's material sent to a contractor on one of the specific programs is done on a print order. The title, item number, and class number are generally not included on the print order and even when they are included on the print order, they are not in a searchable field. The process to respond to these requests is to look through the print orders for the days around when the product was classed. As there is no appreciable backlog in the Micrographics Control Section for print products to be sent to the microfiche contractors, we can generally locate the information. But it is not easy and it is time consuming. Microfiche Shipping List numbers are assigned by GPO and given to the contractors as the material on each print order is prepared for conversion. Recently we began posting the microfiche shipping list numbers and contractor information on a Web page on a monthly basis. This is also a good place to check if there are cancelled shipping lists, as in the recent situation with Lake George Industries and the bankruptcy problems. You can easily locate this Web page from the Tools section of the FDLP Administration page. Material distributed in microfiche format also places responsibilities on staff in the depository libraries. The same check-in requirements for paper products apply to the microfiche products. Material must be checked-in to the piece level. There must be adequate viewing equipment available for library patrons to read the material. The microfiche must be stored in a suitable area. Claims for missing microfiche must be made within the required time frame from the official microfiche shipping lists. I feel one final issue should be addressed under the libraries' responsibility for microfiche material. I often hear librarians say the microfiche material is not used and therefore the librarian decides to deselect all item numbers associated with microfiche format. And while this may be the goal of the librarian, you may not be successful because you will still receive occasional microfiche titles from the resolution of fugitive document problems. This is a disservice to your community. Many publications are available only in this format, whether by agency choice or because of the many reasons I have already gone through. The material may not be highly used now, but it may be needed a few years down the road. Please carefully consider the content before deciding against an item simply because it is available only in microfiche format. Because of the many recent problems we have been having with the microfiche conversion process, we are putting additional resources into the area to review the current processing procedures and adding an additional microfiche inspector. This inspector will not only inspect the microfiche, but review the receipt of all deliverables required under the current microfiche contracts. We are also adding to each microfiche contract the requirement for the contractor to access an anonymous FTP site on a weekly basis to pull down each library's current item selection profile. About half of the contracts already have this requirement in place and we will build this requirement into all of our 15 contracts as they come up for renewal. OK, so if you have fallen asleep, or your neighbor has, please wake up! In the DAB Update handout located in the back of the room we have included the usual what's new of interest and what's coming up on the horizon. To tempt you I will give you a few quick highlights. The 1999 U.S. Industry and Trade Outlook is expected from NTIS sometime this month. Both O*Net and the 1998 World Factbook were distributed to libraries in early January. The first release of the IRS Tax Forms on CD-ROM will be shipped out early in February. There has been quite a bit of interest in the 1997 edition of Crime in the United States. We have received the publication, but due to contractor error we are over 250 copies short. We have already notified the contractor to obtain sufficient copies for distribution to the libraries. And from the Census Bureau, the American FactFinder database, perhaps more familiar to depository librarians as DADS, is expected to roll out this month. There are a few other pieces of information dealing with classification and acquisitions. As Gil noted in his remarks yesterday, LPS is also beginning to implement the policy of disseminating new Government document periodical titles only in electronic format. When we determine that a new periodical title is available on a Web site and meets the criteria listed in the handout titled Migration of Physical Format Products to Online Distribution, we are not obtaining the duplicative tangible products, but are pointing libraries directly to the newly discovered online site. Only when the material is of exceptional value, such as a reference resource, will LPS obtain tangible copies for distribution to the libraries. Another project we are working on in DAB is the development of a database for superseded information. We have over 30 volunteers who will review the current paper Superseded List and the supplements in the Administrative Notes Technical Supplement. We will also be focusing specifically on the tangible electronic products to determine which supersede on a regular and irregular basis. On behalf of the Electronic Transition Staff (ETS), I have been asked to bring you up-to-date on the NTIS-GPO Imaging Pilot Project: Phase One. In October, the 22 participating libraries received a packet of information from NTIS on the project. Since October, NTIS has completed the entry screens to access the database and set up a discussion list for the project participants. In January, the participating libraries should have received a packet with the user ID and password information required for the library staff to access the database. I have been fortunate in that I was allowed to go into the database to give it a try. Depository access for the pilot project participants is straightforward. The searching is easy to do. All in all, it is a cool service. Look for more on this project at the upcoming Federal Depository Library Conference in April. I always like to close on an upbeat note. We have had positive results recently from agencies when we request materials in response to askLPS and GOVDOC-L inquiries. For example, we expect to receive copies of Natural Resources Inventory Data on CD-ROM later this year. We have also requested copies of the President's Own, a ten disc CD-ROM set celebrating the 200th anniversary of the President's Marine Corps Band, and the multi-volume Drug Court Survey Report for microfiche conversion.