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DRAFT REPORT FOR THE STUDY TO IDENTIFY MEASURES NECESSARY FOR A
SUCCESSFUL TRANSITION TO A MORE ELECTRONIC FEDERAL DEPOSITORY
LIBRARY PROGRAM (FDLP)
 
SECTION V.  Policy Issues That Impact Publishing Agencies, GPO,
NARA, Depository Libraries, the Public, and the Private Sector
 
GPO is now compiling the final report for the FDLP study.
Included below is the draft of section V.  Other sections of
the report will be released individually as soon as they are
completed.
 
Although time is short, your comments are welcome. You can send
Internet e-mail to [log in to unmask] or send a fax to the attention
of FDLP Study at 202-512-1262.  Correspondence can be addressed
to FDLP Study, Mail Stop SDE, U.S. Government Printing Office,
Washington, DC 20401.
 
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V.  Policy Issues That Impact Publishing Agencies, GPO, NARA,
Depository Libraries, the Public, and the Private Sector
 
The issues summarized below were identified during the course of
the study.  Many of them are explained in greater detail, with
examples and alternative solutions, in the individual Task Force
Reports that are included as Attachments E-1 to E-14.
 
ISSUE 1.  REDEFINITION OF TERMS; AUTHENTICITY OF INFORMATION
 
The electronic publishing environment necessitates new
definitions of terms such as Government Publication, Government
Information Product, and Government Information Service as well
as new means to identify, and assure the authenticity of
electronic Government information.
 
A.  The scope of Government information included in the FDLP and
the criteria for excluding information from the FDLP must be
established through revision of 44 USC 1901 and 1902.  These
sections must explicitly include all formats of Government
information, including electronic information.  Since NARA
accepts dissemination through the FDLP as one criteria for
identifying information for permanent preservation, this will
also serve to define a body of electronic Government information
that will be transferred by GPO to NARA for preservation.
 
B.  Means must be found to assure the authenticity of Government
information in the FDLP, both for the current users and usage and
for permanent access and preservation.  This may include the
utilization of "signatures" on electronic Government information
products (files) and the establishment of a unique and permanent
name or identification number for each file that is constant
throughout its life-cycle.  Authentication efforts should assure
the accuracy of the information content without imposing barriers
to reuse.
 
ISSUE 2.  CHANGING ROLES FOR FDLP PARTICIPANTS
 
The focus of the FDLP is changing, so that GPO is providing more
access and less dissemination and depository libraries are
providing connections to remote information sources, rather than
building collections in their own facility.
 
A.  The role of GPO as the agency responsible for administration
of the FDLP must be redefined to include the authority to
establish official arrangements for depository library access to
information available directly from Federal agencies or other
organizations, with the appropriate provisions for permanent
access to and through the FDLP.  This will assure that GPO, and
the depository libraries, can rely on access through these
distributed sources, rather than collecting the information for a
single, central computer system operated by GPO or requiring the
libraries to maintain extensive local collections of electronic
Government information.
 
B.  The role of depository libraries must be redefined to include
requirements to serve as local providers of public access
workstations and the related services necessary to connect the
public to remote Government information. This redefinition will
result in different types of resource and training requirements
that the libraries must meet in order to assure equitable access
to Government information.
 
C.  Means must be found to assure that publishing agencies in all
branches of the Federal Government are responsible for, and do
provide, notification to GPO as the administrator of the FDLP and
to other affected parties before they create new Government
information products, or significantly change or eliminate
existing information products. This includes notification
of removal, or change of address, of information on an agency Web
site when availability on that site is the means by which the
agency fulfills its depository responsibilities.  The Paperwork
Reduction Act establishes a notification requirement for
publishing agencies in the Executive branch, but it does not
explicitly identify GPO, and the FDLP, as one of the entities
that must be notified.  There is no comparable statutory
requirement for Legislative and Judicial branch publishers. It is
not enough to establish the obligation, there must be means to
assure compliance if the FDLP and others are to rely on this
notification.
 
ISSUE 3:  PERMANENT ACCESS AND PRESERVATION
 
The requirements for permanent access to and preservation of
electronic Government information necessitate a re-evaluation of
the life cycle of that information.  The best time to assure
preservation of official electronic Government information is
usually at the time it is prepared, when the originator can
certify its authenticity.
 
A.  NARA and GPO must establish an official relationship to
assure that electronic Government information disseminated to
depository libraries by GPO, or held by GPO for depository
library access, is transferred to NARA for preservation in
formats acceptable to NARA.  Ideally, this should be done in a
manner that meets the publishing agencies' requirements for
deposit with NARA, so that duplicative preparation and transfer
of such information is eliminated.
 
B.  The requirement for permanent public access at or through
depostiory libraries necessitates (1) the creation of information
in formats that resist technological obsolescence due to software
or platform dependence; and/or (2) periodic review and refreshing
of data to minimize deterioration and assure technological
currency throughout its life cycle.
 
ISSUE 4:  STANDARDS
 
The requirements for timely access to current Government
information within the scope of the FDLP and for permanent access
to and preservation of that information necessitate the
development and implementation of standards for formatting
electronic Government information.
 
A.   Broad utilization of Standard Generalized Markup Language
(SGML) in the preparation of Government information will
facilitate the exchange, dissemination and preservation of that
information;  however, it will take many years for this to be
broadly accepted throughout the Government.
 
B.  As the agency responsible for the administration of the FDLP,
GPO will need to establish a range of preferred file formats,
including SGML, for use in the FDLP and to recommend (but not
require) publishing agencies to use one of those formats when
submitting electronic Government information to GPO for FDLP
dissemination.  Whenever possible, open systems and formats
compliant with Federal Information Processing Standards (FIPS)
and other national or international standards will be used to
assure that the format of the information is not a barrier to its
use. Such standardization is essential to assure that depository
libraries have the hardware, software and training necessary to
assist the public in the utilization of information made
available through the FDLP.
 
C.  When agencies cannot, or do not, use one of the preferred
formats, GPO will need the authority and the funding to convert
agency supplied electronic Government information to one of the
preferred formats if that is necessary to assure that the
information is appropriate to the needs of users and intended
usage.  The formats selected for FDLP dissemination must be
appropriate for the program's intended audience, representing a
broad cross section of the general public. If the format selected
by the publishing agency is not suitable for public access
through the FDLP, GPO should convert, repackage or scan the
information product for distribution through the FDLP. This will
not restrict dissemination by Federal agencies in the formats
which they feel best serve the needs of their primary
constituencies, but rather will supplement agency dissemination
efforts by assuring availability to a wider range of users
through the FDLP.
 
D.  Where paper and microfiche are formats that do not face
technological obsolescence, many electronic information formats
are software or platform dependent, necessitating the periodic
review and, when necessary, refreshing of that information to
newer media and or file formats. Creation in, and certification
of, information in standard formats that are not technologically
dependent is the best way to assure that Government information
is preserved and remains permanently accessible.
 
E.  The use of standards in the preparation and dissemination of
Government information will also facilitate its incorporation in
value-added information products from the private sector and
assure a diversity of sources for Government information.
 
ISSUE 5.  LOCATOR SERVICES
 
With the proliferation of Government electronic information
services, and the necessity to link or direct depository
libraries to those services, rather than duplicating them, the
provision of comprehensive finding aids and indexing (locator)
services is essential.  This includes full participation in and
utilization of the Government Information Locator Service (GILS)
as well as development of other locator services tailored
specifically to the needs of the FDLP.
 
ISSUE 6.  INCLUSION OF FEE-BASED SERVICES IN THE FDLP
 
The principles for Government information, and many of
the laws and policies implementing them, recognize the need for
assuring broad public access to Government information.  The
statute authorizing the FDLP specifically requires no-fee public
access; however, this requirement is often in conflict with
statutes establishing fee-based Government information services.
Providing GPO with the authority, and funds, to purchase access
to fee-based Government information services is one means to
reduce this conflict.  Implementation of such authority would
require the establishment of a basis for determining appropriate
fees for depository access and the restrictions, in any, that
such services should be able to place on the use and reuse of
information provided to the public through the FDLP.
 
ISSUE 7.  AVOIDANCE OF COPYRIGHT-LIKE RESTRICTIONS
 
Government information must be available without copyright-like
restrictions to assure broad public access and a diversity of
sources.  When publishing agencies impose, or permit others to
impose, copyright-like restrictions on information created or
compiled by Government employees or at Government expense, the
effect is to restrict public access to that information.  This
violates the intent, if not the specific provisions, of the laws
and policies precluding copyright on Federal information,
including the Paperwork Reduction Act and OMB Circular A-130.
Nevertheless, budget constraints, requirements for operating
cost-recovery information services, and other factors are
encouraging agencies to treat Government information as a
commodity whose economic value can only be preserved by the
imposition of such restrictions.  Excessive fees, exclusive
arrangements, charging royalties, and placing restriction on use
or reuse of Government information are examples of copyright-like
restrictions that must not be permitted.  The utilization of
proprietary formats may also impose copyright-like restrictions
by requiring users to obtain software licenses in order to access
the information.
 
ISSUE 8.  INCENTIVES FOR AGENCY COMPLIANCE WITH FDLP REQUIREMENTS
 
As the agency responsible for the administration of the
FDLP, GPO must inform publishing agencies of their obligations to
the program.  The Office of Management and Budget (OMB) and the
Congress can, and should, assist GPO in making sure that agencies
understand the requirements for participation in the FDLP and
comply with them.  GPO must have the ability to offer incentives
for participation and to assure publishing agency compliance with
statutory obligations to the FDLP.
 
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Individuals and organizations wishing to provide comments can
send Internet e-mail to [log in to unmask] or send a fax to the
attention of FDLP Study at 202-512-1262.  Correspondence can be
addressed to FDLP Study, Mail Stop SDE, U.S. Government Printing
Office, Washington, DC 20401.