From jrussell@gpo.govSat Feb 17 09:05:00 1996 Date: Fri, 16 Feb 1996 13:51:09 -0800 From: "Judith C. Russell" Reply to: Discussion of Government Document Issues To: Multiple recipients of list GOVDOC-L Subject: FDLP Study: Task 9: Information Not Already in the FDLP STUDY TO IDENTIFY MEASURES NECESSARY FOR A SUCCESSFUL TRANSITION TO A MORE ELECTRONIC FEDERAL DEPOSITORY LIBRARY PROGRAM (FDLP) PRELIMINARY REPORT: TASK 9: MATERIALS NOT ALREADY INCLUDED IN THE FDLP As part of the Study, a task force examined issues surrounding inclusion of electronic information in the FDLP when that information is not already included in paper or microfiche format. This task force was lead by Julia Wallace, University of Minnesota Government Publications Library. Two specific case studies were selected for more detailed analysis and have been separately distributed as Task 9A: SEC EDGAR System and Task 9B: U.S. Court of Appeals Decisions. 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 9 - Materials Not Already Included in the FDLP Evaluation of issues surrounding inclusion in electronic formats of materials not traditionally included in the FDLP in either paper or microfiche. Examples include: Federal district and circuit court opinions (Task 9B), SEC filings (Task 9A), patents, military specifications and a variety of other scientific and technical information (primarily contractor reports). BACKGROUND Government information materials which have not been included in the Depository Library Program in their "traditional," or non-electronic, formats come from all three branches of government. Two categories were identified under this task for separate case studies: filings with the SEC (now available through the EDGAR system) and Federal District and Circuit Court Opinions. Other categories studied included patents; military specifications; Congressional Research Service publications; and scientific/technical reports from several agencies. These materials have eluded the FDLP for a variety of reasons, but as the publishing agencies migrate to electronic dissemination methods, it may be possible to expand public access to these materials through the FDLP. 1) Patents The Patent and Trademark Office (PTO) disseminates information through a combination of PTO search facilities, Patent and Trademark Depository Libraries, and commercial dissemination from private vendors who purchase bulk data from the PTO at marginal cost. Bibliographic descriptions and some full text are available in electronic formats. The patent database was a major component of the two year federally-funded Internet Town Hall, a cooperative project of Internet Multicasting Service and New York University which provided free Internet access. Since the end of that project, the PTO has begun providing direct Internet access to the descriptive database. The plan is to offer searchable bibliographic text for approximately 20 years of patents. This free system will not include the full text of the patents. The PTO called an open meeting for December 15, 1995, to "gain input into how it can maximize the potential of its information dissemination program. In view of technology changes, revisions to the Office of Management and Budget (OMB) Circular A-130, and the Paperwork Reduction Act of 1995 (Public Law 104-13), the PTO will review existing policies and...prepare a comprehensive information dissemination plan." At the same time, initiatives from the administration and the Congress are proposing major changes in the PTO. In a press release September 14, 1995, Vice President Gore announced that the PTO would be transformed into a "performance-driven, customer-oriented organization." While the impact on information dissemination is not spelled out, the announcement refers to commercial business practices and points out that the PTO is "fully funded by user fees." 2) Military Specifications and Standards Military specifications and standards are not yet available, full text, in electronic format. They are offered free for delivery by mail from the Navy Print on Demand System (NPODS). They may be ordered by "TeleSpecs", a system which takes automated telephone orders from 7:00 a.m. to 10:00 p.m. Monday through Friday. It is not a fax back system, but orders are mailed to requesters the next day. Customers may also buy a subscription to an automatic distribution service. This organization also offers paid subscriptions to an online service (most current) and CD-ROM version (with bimonthly updates) which include descriptions of mil specs and standards and some other databases. Both services are relatively new and are priced for cost recovery. 3) Congressional Research Service (CRS) Studies These comprehensive studies from the Library of Congress are very useful to the public but are not available through the FDLP. CRS' charge is to serve Congress, so they cannot make information directly available to the public; however, the Reports are obtained and sold by a private vendor. CRS is currently working on a plan which could make the reports available electronically through intermediaries. CRS is putting Issue Briefs, Infopacs, and other reports on CAPNET, the Congressional network that is accessible only to Congress and Legislative Branch Agencies. From there, members of Congress may place them on their own World Wide Web home pages for constituent access. It might prove efficient for Congress to use GPO and the depository system to provide that public link, rather than relying on individual Congressional staff members. 4) Scientific and Technical Information While a great deal of scientific and technical information, including contractor reports, is distributed through the FDLP, there is also a great deal which is not in the program. Two agencies have been used in this task as representative of the issues for agencies, the GPO, and libraries. 4a) Technical Reports and Guidelines from the Environmental Protection Agency (EPA) The EPA is a decentralized agency in which a number of offices and research centers produce or contract for technical reports. While many of these reports are provided to GPO for FDLP distribution, many others are not. Some staff members apparently believe that providing copies of documents to the National Technical Information Service (NTIS), or providing a single copy of NTIS diazo microfiche to GPO, satisfies information dissemination requirements of Title 44. This is a misconception not unique to EPA. Some of EPA's CD-ROMs are provided to depositories, but others are not. The EPA is making major efforts to provide information online, and this provides additional opportunities for federal depository libraries to participate in its dissemination efforts. No limitations on public access to online reports have been identified, although many EPA reports in traditional formats are sold by NTIS. EPA uses the GPO's Federal Bulletin Board to disseminate some of its publications, thus meeting depository responsibilities. For example, an important element of EPA regulation is the development of Environmental Test Methods and Guidelines. EPA's solution to public access includes announcement of the availability of draft guidelines in the Federal Register. Proposed guidelines are released on the EPA gopher. Final guidelines are posted on the GPO's Federal Bulletin Board. GPO thus can provide the files for downloading, and also can sell paper copies to users who prefer that format. EPA staff has suggested that there would be a demand for compilations of these online materials into formats such as CD-ROM, created by GPO from agency source files. 4b) Technical Reports from the Department of Defense (DoD) The Defense Technical Information Center (DTIC) maintains collections of three types of technical reports: classified; unclassified with limitation of export; and unclassified, unlimited. DTIC maintains a Technical Reports bibliographic database for both of the unclassified categories of reports. The database is available for purchase from DTIC in CD-ROM or online. These products do not provide public access, since they are only available to government agency personnel, government contractors, and potential government contractors, who register with DTIC. The reason for this restriction is that the databases contain the "unclassified with limitation of export" category, although DTIC reports that the vast majority of reports fall in the "unclassified, unlimited" category. DTIC forwards copies of all unlimited, unclassified reports to the National Technical Information Service (NTIS) for public sale, but most are not provided to depository libraries. The NTIS bibliographic database, including descriptions of these DTIC reports, is available for purchase through private vendors in online and CD-ROM versions. DTIC is moving towards electronic storage of data and documents. The Electronic Document Management System (EDMS) is an integrated system which is moving DTIC from a manual, microfiche-based system to automated information management and document delivery. The system involves document scanning and optical storage. It can generate microfiche copies, since many DTIC customers still use microfiche. While the program includes a limited Web trial, DTIC probably will not provide public access to technical reports on their Web site because of security restrictions, and because technical resources must be devoted to serving primary clientele. DoD is committed to its DefenseLINK Web site to link and point to all DoD home pages and a growing variety of unclassified material which is becoming available in electronic form. Some of the materials available as searchable databases on the Web are also sold in CD-ROM format. The DOD must adhere to restrictions on distribution of information which is classified or limited, and also must assure that its resources are available to its primary clientele such as government employees and contractors. Perhaps a restructured Depository Library Program could expand public access to such information by providing a separate source for unclassified electronic documents, one which did not place additional demands on DTIC's own technical resources. FEDERAL DEPOSITORY LIBRARY DISTRIBUTION This task addressed materials which are not in the program in traditional formats (paper, CD-ROM, microfiche or floppy disk). Each of these categories of materials is distributed to its primary audience through government or cooperative channels, but not through the FDLP. The Patent and Trademark Office supports its own reading rooms and depository library program; military specifications are available on demand without charge. Scientific and technical reports are distributed directly from the originating agencies and secondarily through NTIS. Because of the enormous volume in most of these collections, the cost of depository distribution in paper or fiche would be large, and they would also present a significant processing and storage burden on depository libraries. GPO's decision has been to direct the limited resources available for support of depository printing and distribution to materials which do not have such specialized audiences and distribution programs. As these materials become available electronically, it may be possible to use the FDLP as an additional channel for public access. DISSEMINATION ALTERNATIVES Alternative A Agency information is available electronically to the general public, from the agency itself, at no cost to the user. The GPO Locator will direct users, including depository libraries, to the agency site. Benefits Information which has not been in the FDLP is available without charge to the public in its electronic form. Libraries can access selected publications on demand, without the burden of processing and maintaining large collections. Minimal costs are incurred by GPO for inclusion of new information in the FDLP. The GPO Locator enhances public access to the agency information. Disadvantages/Problems Depository libraries without Internet capabilities cannot access the information. Delivery of graphics inclusive contents like specifications and patents may require considerable band width and high-end computers at the user end. Public access may place additional loads on agency computing and telecommunication resources, as well as on support services, and may present security problems. Alternative B Agency information is available electronically for a fee. The GPO will negotiate an agreement with the agency to pay the costs of online access for depository libraries. The agreement may include limitations on numbers of users and on redissemination. The GPO Locator will lead depository libraries to the agency site. Benefits Information which has not been in the FDLP is available without charge to the public, through depository libraries, in its electronic form. Libraries can access selected publications on demand, without the burden of processing and maintaining large collections. The GPO Locator enhances access to the agency information. Disadvantages/Problems GPO incurs new costs for access to information which has not previously been in the program. Depository libraries without Internet capabilities cannot access the information. Public access may place additional loads on agency computing and telecommunication resources, as well as on support services, and may present security problems. Agencies or distributors may see free public access through the FDLP as a threat to revenue generation. Alternative C GPO establishes a database of information from agency sites which is tailored to the FDLP. Agencies provide electronic source files, or GPO downloads files from agency sites. Benefits Information which has not been in the FDLP is available without charge to the public in its electronic form. Agencies are relieved of security problems related to unauthorized access to classified or non-government information in their primary sites. Agency computer and telecommunication resources do not experience additional loads from depository library or general public access, as agencies may direct public users to FDLP sites. Disadvantages/Problems GPO incurs new and essentially duplicative costs for access to information which has not previously been in the program. GPO costs include downloading, reformatting, search mechanisms, and long-term storage. Provision must be made for updating dynamic data as it changes on the agency site. Alternative D Information from online sources is made available to depositories in CD-ROM format instead of through direct connections to online data. Agencies produce CD-ROMs, with GPO riding orders for the cost of depository copies and for FDLP distribution, whether or not CDs are produced through GPO. Benefits Information which has not been in the FDLP is available without charge to the public in its electronic form. Currently, depository libraries are better equipped to handle CD-ROM than online services. CD-ROM provides for extended access in libraries throughout the country. Agency computer resources do not experience additional load from depository or public access. Agency revenue streams from online user fees are protected. Disadvantages/Problems GPO and/or agencies incur new costs for access to information which has not previously been in the program. Large report collections on CD-ROM may require a large number of disks, creating storage and access pressures in libraries. CD-ROM is not as timely for current information as direct online access, and does not permit dynamic updating of changing information. Alternative E Information from online sources is made available to depositories in CD-ROM format instead of through direct connections to online data. GPO obtains agency source files or downloads files from agency sites, and creates CD-ROM collections for FDLP distribution. Benefits Information which has not been in the FDLP becomes available without charge to the public in its electronic form. Currently, depository libraries are better equipped to handle CD-ROM than online services. Use of information is facilitated by GPO's creating CD-ROMs with consistent search interfaces. CD-ROM provides for extended access in libraries throughout the country. Agency computer resources do not suffer additional strain from depository or public access. Agency revenue streams from online user fees are protected. Disadvantages/Problems GPO incurs new costs for access to information which has not previously been in the program. Large report collections on CD-ROM may require a large number of discs, creating storage and access pressures in libraries. CD-ROM is not as timely for current information as direct online access, and does not permit dynamic updating of changing information. ISSUES TO BE ADDRESSED Government Information Policy How can the Federal Depository Library Program assist the government in fulfilling its responsibility for informing its citizens in the new electronic environment? How can basic public access to government information be assured despite increasing requirements that agencies find new ways to raise revenues? Depository Library Role in Access to Non-GPO Data There is no current model for bringing electronic information stored on remote agency sites officially into the FDLP. Should there be? Should GPO attempt to establish interagency agreements for inclusion of material available from agency Web sites in the FDLP? If so, what limitations, restrictions or guarantees should be covered by these agreements? What provisions should be made for extended FDLP access to this type of information? Is the fact that the GPO Locator directs users to an agency site enough to consider the information at that site an "official" part of the FDLP? What is the responsibility of depository libraries for providing assistance with information at non-GPO sites, and for providing facilities for downloading and printing? Depository Library and GPO Role in Managing Limitations on Usage or Redissemination If GPO negotiates agreements with agencies which put limits on redissemination of the their data, libraries will be put in the position of enforcing copyright-like restrictions on government information. They might be required to check for user affiliation, or forbid downloading of data. Such restrictions are used in libraries for commercial products, but have not been in place for government information. Should Congress and GPO cooperate in creating systems which place limits on the use of government information? Is an expansion of access, even with limitations, reason enough to accept limitations which agencies need in order to protect their revenue stream? Extended Access and Permanent Archiving How will the public be assured of access to information over periods of many years, if electronic resources such as web sites are purged of older materials? How will electronic information be permanently archived? Although CD-ROM can provide access for a number of years, it is not considered a permanent medium and all data on CD will need to be refreshed or migrated to new formats for truly extended access. ***************************************************************** 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.