From jrussell@gpo.govSat Feb 17 09:04:10 1996 Date: Fri, 16 Feb 1996 13:50:34 -0800 From: "Judith C. Russell" Reply to: Discussion of Government Document Issues To: Multiple recipients of list GOVDOC-L Subject: FDLP Sudy: Task 5: Incentives for Agencies to Move from Print to Electronic STUDY TO IDENTIFY MEASURES NECESSARY FOR A SUCCESSFUL TRANSITION TO A MORE ELECTRONIC FEDERAL DEPOSITORY LIBRARY PROGRAM (FDLP) PRELIMINARY REPORT: TASK 5: INCENTIVES FOR ELECTRONIC PUBLISHING As part of the Study, a task force examined possible incentives for publishing agencies, including Congress, to migrate from print-on-paper products to electronic format and include their electronic products in the FDLP. This task force was lead by Roy Francis, Department of the Interior, as a representative of the Interagency Council on Printing and Publication Services (ICPPS). This preliminary report of the task force is being made available for review and comment. Comments should be submitted by Friday, February 23, 1996, by internet e-mail to study@gpo.gov, by fax to FDLP Study at (202) 512-1262, or by mail to FDLP Study, Mail Stop SDE, U.S. Government Printing Office, Washington, DC 20401. ***************************************************************** TASK 5: Investigate and evaluate possible incentives for publishing agencies, including Congress, to migrate from print-on-paper products to electronic format and include their electronic products in the FDLP. METHODOLOGY Input was solicited from the two main agency sources involved in publishing and distribution of information: Information Resource Management (IRM) Officers and Printing Officers. This task was most relevant to the Printing Officers since the request from Congress was to identify cost incentives to migrate from print-on-paper products to electronic format. However, IRM Officers were included in order to identify the opportunities for, and obstacles to, including agency electronic products in the FDLP. From interviewing associates in the two fields, it is apparent that there is a definite difference of opinion on possible incentives for participation in the FDLP. Also, due to the differing procedural functions of the two entities, it was necessary to approach this task from two different perspectives. BACKGROUND Printing Management The printing community is very familiar with 44 U.S.C. and the Federal Depository Library Program (FDLP). It appears that in this arena there are real possibilities for an effective incentive program. Virtually all publications are made available to the FDLP automatically through the GPO printing procurement process. Only publications procured outside the GPO procurement process, "fugitive documents," fail to be considered for the FDLP. Printing management responses indicate a real perceived value to participation in the FDLP and an appreciation for the incentives already implicit in the current structure, i.e. that GPO pays for printing depository copies when a publication is printed or procured through GPO. Currently, approximately 50% of all printing requests submitted to GPO are submitted in an electronic format, but this encompasses a wide variety of formats. While this 50% is a basis for electronic distribution, it will require reformatting by the agencies or GPO to put the information in formats useful to and useable by depository libraries. If it becomes mandatory for GPO to make publications available to the FDLP in an electronic format, printing managers fear that the originating office could become responsible for creating, or reformatting, the document in a format suitable for FDLP distribution. If that occurs, it will be an administrative burden on the originating agencies as well as an additional expense, and therefore, a major disincentive to participation in the FDLP. That would lead to more fugitive documents. Since GPO is the recommended procurement office for Federal printing and the coordinator for the FDLP system, it is reasonable to assume that a program to enhance the FDLP system should start with the GPO. With its FY 1997 budget justification, GPO included The Electronic Federal Depository Library Program: Transition Plan, FY 1996 - FY 1998 (known as that Transition Plan) which sought continued funding and the authority for GPO to create, or reformat, electronic information for distribution through the FDLP. Information Resources Management (IRM) Unlike Printing Management, the typical IRM office is unaware of 44 USC requirements and the FDLP. There is little doubt that the IRM community has moved into the electronic information management age. With the advent of the Internet, more specifically the World Wide Web (WWW), public access to Government information has reached new levels. Virtually all publications that involve IRM are routinely evaluated for dissemination through agencies' WWW servers. However, information or documents made available directly to an IRM office may not be intended to be printed. Likewise, documents made to be printed may not be submitted to an IRM office. A key problem is that an IRM office often does not know what publications have been made available to GPO for printing and likewise the publications being printed often are not made available to an IRM office. It is apparent that the two entities do not communicate as thoroughly as necessary, therefore publications are missed by both offices. There are many legitimate reasons why this happens, but subject matter and audience appear to be major considerations in determining whether a publication goes to print-on-paper or to the IRM community. Typical IRM offices see no incentive to make publications available electronically through the FDLP. The belief is that as long as publications are made available to the public via the WWW, their mission of providing information to the American public is complete because the information is available to anyone who has access to a computer and the Internet. This overlooks the necessity to provide information to those who do not have Internet access and a computer as well as the need to provide extend access, both of which are currently assured by the FDLP. It should be noted that if the FDLP continues, the general consensus in the IRM community is that all depository libraries should be required to include a minimum standard of computer equipment, including at the absolute minimum: CD-ROM readers, network connections, download and printing capabilities. This, in fact, has occurred and the minimum technical guidelines become requirements in October 1996. General Conclusions Although several specific alternatives for new incentives were developed and are discussed below, the strongest incentive identified during this task was, in fact, the one that exists in the current program: make participation as effortless and automatic as possible and at no cost the agency. One agency official summarized this by saying "first do no harm," i.e. don't distract the agencies from their primary missions or require the expenditure of any of their increasingly scarce resources. The current system where GPO rides agency print orders at its own expense means that merely by printing through GPO, as required by 44 USC, FDLP participation is ensured at no cost to the agency. Whatever new mechanism are put in place for an electronic depository library program must provide an equally simple and cost-effective means for agencies to participate. DISSEMINATION ALTERNATIVES Incentive A Establish an electronic information management function within the Superintendent of Documents. This would be similar to the current system of publication identification and review via GPO Form 3868 (Notification of Intent to Publish) and the SF-1 (Printing and Binding Requisition), where all publications are reviewed to establish the requirements for depository library distribution as part of the publication process. The electronic information management function would assume those current duties and add to that a determination of balance between electronic requirements and printing needs. It is anticipated that the number of print-on-paper copies will be greatly reduced by this process. GPO would utilize to the extent possible electronic information received from agencies and, when necessary, create or procure alternative formats useful to and useable by depository libraries and the National Archives and Records Administration (NARA). GPO, in conjunction with the depository libraries and within its available funding, could provide access to the information or disseminate it in a tangible form such as CD-ROM. Electronic information included in the FDLP would also be transferred to NARA at the appropriate time and in formats acceptable to NARA. It should be noted that this transfer would not relieve the publishing agency of its archival responsibility without a change in the law or regulations. Benefits This would not affect the procurement process of GPO. It would reduce the number of print-on-paper copies needed for the FDLP, thereby reducing the total cost of printing to GPO. Agencies could continue to meet public requests for their information by referring inquiries to depository libraries. Agencies would continue to submit documents to GPO in the same manner with no additional burden or cost. GPO remains the main focal point for a significant portion of the documents entering the FDLP. This would not adversely affect the current printing procurement procedure, but would continue to funnel documents through a central point for dissemination to the public. This alternative allows for standardization of formats of publications for electronic dissemination. Standard formatting is a cause for great concern among all Federal agencies including GPO and NARA. It is widely accepted that this is probably the most imposing task we face in electronic publishing today. This would also provide the option for the agencies to receive their own information back from GPO in one of the standardized formats at little or no additional cost to the agency. Reformatting to standard formats by GPO relieves the submitting agency from encumbering their current process. This encourages participation in the FDLP by eliminating the cost for reformatting each publication for electronic dissemination. At the same time, it guarantees widespread distribution of agency publications. Providing its electronic information to GPO for FDLP distribution would also fulfill an agency's obligation to NARA. GPO will be responsible for reformatting the data so that it will be acceptable for archiving and for transferring the information to NARA at the appropriate time. Disadvantages This will not influence the IRM managers who have never used and may be unfamiliar with the traditional print channels at GPO, so it will not be a comprehensive solution. GPO will incur additional costs for reformatting, providing access to and storing agency data. Some types of reformatting would result in GPO, rather than the agency, assuming responsibility for the accuracy of the content. If the agency provides GPO with camera copy instead of machine readable data, and is unwilling or unable to provide some electronic format, GPO must scan the information for electronic distribution. Unless scanning is done at a high resolution the image files produced will be only slightly better than microfiche. If scanning is done at higher resolutions, it will be difficult to provide the image files online due to the slower and more limited access methods that many depositories currently use to access online services. Incentive B For agencies who wish to maintain access to their information themselves, encourage participation in the FDLP by offering to have the GPO Locator direct users to the agency Web sites. Also, offer to provide extended access through GPO Access and the FDLP when the agency no longer has the desire or resources to maintain the information on its own Web site. Partnerships between GPO and these agencies could be formalized through interagency agreements. Electronic information transferred to GPO for the FDLP would also be transferred to NARA at the appropriate time and in formats acceptable to NARA. It should be noted that this transfer would not relieve the publishing agency of its archival responsibility without a change in the law or regulations. Benefits More electronic information is brought "officially" into the FDLP. Public access is improved because the GPO Locator provides a centralized mechanism for finding information on multiple Government Web sites. Extended access to information through the FDLP is maintained. Providing its electronic information to GPO for FDLP distribution would also fulfill an agency's obligation to NARA. GPO will be responsible for reformatting the data so that it will be acceptable for archiving and for transferring the information to NARA at the appropriate time. Disadvantages Depository libraries that currently have little or no WWW access cannot access Government information on these sites. This disadvantage will be reduced over time as the libraries upgrade their equipment and internet access. The willingness of GPO to provided extended access is not an incentive for agencies to convert from print to electronic format, although it does have the potential to bring additional electronic information into the FDLP. ISSUES TO BE ADDRESSED Standard Formats for Electronic Information Standard formats has been a key issue for a number of years. Now is an excellent time to address it. If standard formats are implemented, expenditures could be reduced in preparation, printing, distribution, storage and retrieval, archiving, and use of Government information. Need for Central Management of Public Access and Dissemination The Government Printing Office is an important cog in the Federal Government procurement system. GPO has been very effective in procuring a myriad of crosscutting services far beyond simple printing. This is accomplished at the best price and quality level available in the United States. In the Government printing community there is a heavy reliance on the expertise and guidance of GPO staff in addition to printing procurement. While the information management community may be decentralized, there should remain a central focal point and coordinated means for assuring public access to government information. As stated earlier, GPO is the recommended procurement source for Federal printing and is the coordinator for the FDLP. It is reasonable to assume that any program should only enhance what GPO now provides better than any other source. The natural progression is to begin making GPO the Federal Government's information manager for public dissemination of Government publications. Education and Outreach Many agency IRM and program managers are unaware of the FDLP and their obligations to the program under Title 44 and OMB Circular A-130. Some of those who are aware do not recognize the value of the program in providing public access to their information. To influence these managers it may be necessary to implement an outreach program highlighting what the FDLP is, the role it plays in providing public access to Government information, and agency obligations to the FDLP. The difficulty will be in locating those people within in an agency who need to be contacted as responsibilities for dissemination of information becomes increasingly decentralized. ***************************************************************** Judy Russell Comments should be submitted by Friday, February 23, 1996, by internet e-mail to study@gpo.gov, by fax to FDLP Study at (202) 512-1262, or by mail to FDLP Study, Mail Stop SDE, U.S. Government Printing Office, Washington, DC 20401.