Information Management: Electronic Dissemination of Government
Publications (30-MAR-01, GAO-01-428).
Electronic dissemination of government documents offers the
opportunity to reduce the costs of dissemination and make
government information more usable and accessible. Electronic
dissemination of government documents offers the opportunity to
reduce the costs of dissemination and make government information
more usable and accessible. However, to move to an environment in
which documents are disseminated solely in electronic format, a
number of challenges would need to be overcome. Regarding the
feasibility of transferring the depository library program to the
Library of Congress, both advantages and disadvantages are
associated with such a move. In studies conducted in 1993 and
1994, the Library concluded that the depository library program
was not inconsistent with the mission and functions of the
Library and that it might be appropriate for the Library to have
responsibility for this program. However, according to the
Government Printing Office (GPO), the Library is not an
appropriate home for the depository library program because the
Library's mission and operations are inconsistent with a
large-scale information dissemination program. In addition, the
studies and librarian organizations cited disadvantages to the
transfer, including the potential negative effects on public
access to information and concerns about the availability of
funds to maintain the current program. If a decision is made to
transfer the depository library program, the concerns raised by
library organizations and employee unions should be addressed.
One option for addressing these issues is to form a GPO/Library
transition team to develop appropriate strategies.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-01-428
ACCNO: A00708
TITLE: Information Management: Electronic Dissemination of
Government Publications
DATE: 03/30/2001
SUBJECT: Cost control
Electronic publications
Government information dissemination
Government publications
Printing costs
Printing or duplicating
Federal Depository Library Program
******************************************************************
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GAO-01-428
Report to Congressional Committees
United States General Accounting Office
GAO
March 2001 INFORMATION MANAGEMENT
Electronic Dissemination of Government Publications
GAO- 01- 428
Page i GAO- 01- 428 Electronic Dissemination Letter 1
Appendix I Objectives, Scope, and Methodology 21
Appendix II Current Inventory of GPO Sales Publications and Documents
Provided to the Public 24
Appendix III Documents Requested for Deposit by Nonregional Depository
Libraries 28
Appendix IV Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents 30
Appendix V Programs of the Superintendent of Documents 48
Appendix VI Administrative Services and Infrastructure Support Provided to
the Superintendent of Documents 60
Appendix VII Essential Documents for Public Use That Will Remain in Paper
Format 64
Appendix VIII Previous Reform Initiatives 66
Appendix IX Comments From the Government Printing Office 69 Contents
Page ii GAO- 01- 428 Electronic Dissemination Appendix X Comments From the
Library of Congress 79
Tables
Table 1: Office of the Superintendent of Documents FTE a Allocations by
Organization and Positions Represented by Unions, Fiscal Year 2000 31 Table
2: Retirement Eligibility Status of Superintendent of
Documents Employees by Location 32 Table 3: Retirement Eligibility Status of
Superintendent of
Documents Employees by Grade and Pay Plan 33 Table 4: Office of the
Superintendent of Documents Expenditures
by Organization, Fiscal Year 2000 34 Table 5: Office of the Superintendent
of Documents S& E
Expenditures by Program, Fiscal Year 2000 35 Table 6: Office of the
Superintendent of Documents Revolving
Fund Expenses and Receipts by Program, Fiscal Year200036 Table 7: Library
Programs Service Expenditures, Fiscal Year 2000 37 Table 8: Office of
Electronic Information Dissemination Services
Expenditures, Fiscal Year 2000 40 Table 9: Documents Sales Service
Expenditures, Fiscal Year 2000 42 Table 10: Functions of Branches of Retail
Distribution Division 44 Table 11: Functions of Branches of Warehouse
Division 45 Table 12: Functions of Branches of Field Operations Division 45
Table 13: Documents Technical Support Group Expenditures,
Fiscal Year 2000 46 Table 14: Cost Allocations for Administrative Services
and
Infrastructure Support Provided to the Superintendent of Documents by GPO,
Fiscal Year 2000 60 Table 15: Space Provided to the Superintendent of
Documents by
GPO, Fiscal Year 2000 61
Figures
Figure 1: Number of Available Titles for Sale, Fiscal Years 1991– 2000
25 Figure 2: Number of Copies in Inventory, Fiscal Years 1991– 2000 25
Figure 3: Retail Value of Inventory, Fiscal Years 1991– 2000 26 Figure
4: Number of Destroyed Volumes, Fiscal Years 1991– 2000 27 Figure 5:
Retail Value of Destroyed Volumes, Fiscal Years 1991–
2000 27
Page iii GAO- 01- 428 Electronic Dissemination
Figure 6: Document Selection Rates by Nonregional Depository Libraries 29
Figure 7: The Superintendent of Documents Organization 30 Figure 8: Library
Programs Service Organization 36 Figure 9: Office of Electronic Information
Dissemination Services
Organization 39 Figure 10: Documents Sales Service Organization 41 Figure
11: Documents Technical Support Group Organization 46 Figure 12: Number of
Titles Classified and Cataloged, Fiscal Years
1991– 2000 49 Figure 13: Number of Paper and Microfiche Titles
Distributed to
Depository Libraries, Fiscal Years 1991– 2000 51 Figure 14: Number of
Paper and Microfiche Copies Distributed to
Depository Libraries, Fiscal Years 1991– 2000 52 Figure 15: Number of
Electronic Titles Distributed to Depository
Libraries, Fiscal Years 1991– 2000 53 Figure 16: Number of Electronic
Copies Distributed to Depository
Libraries, Fiscal Years 1991– 2000 53 Figure 17: Retail Sales Orders,
Fiscal Years 1991– 2000 57 Figure 18: Net Sales Revenue, Fiscal Years
1991– 2000 58 Figure 19: GPO Retail Sales, Profit and Loss, Fiscal
Years 1991–
2000 59
Page iv GAO- 01- 428 Electronic Dissemination
Abbreviations ACSIS Acquisition, Classification and Shipment Information
System ADDS Automated Depository Distribution System AFGE American
Federation of Government Employees CD- ROM Compact Disk– Read Only
Memory CGP Catalog of Government Publications DDIS Depository Distribution
Information System DSS Document Sales Service EIDS Electronic Information
Dissemination Services FDLP Federal Depository Library Program GAO General
Accounting Office GCIU Graphics Communications International Union GPO
Government Printing Office IES International Exchange Service JCP Joint
Committee on Printing LDS Library Programs Service MARC Machine- Readable
Cataloging MOCAT Monthly Catalog of United States Government Publications
NCLIS National Commission on Libraries and Information
Sciences OCLC Online Computer Library Center OIRM Office of Information
Resources Management OTA Office of Technology Assessment PIRA Public
Information Resources Administration PIRAP Public Information Resources
Access Program U. S. C. United States Code
Page 1 GAO- 01- 428 Electronic Dissemination
March 30, 2001 The Honorable Mitch McConnell, Jr. Chairman The Honorable
Christopher J. Dodd Ranking Member Committee on Rules and Administration
United States Senate
The Honorable Robert Ney Chairman The Honorable Steny H. Hoyer Ranking
Minority Member Committee on House Administration House of Representatives
The Government Printing Office (GPO) is the principal agent for federal
printing. Specifically, all printing for the three branches of government-
with a few exceptions- is required to be done by GPO. GPO also disseminates
and sells government publications through programs managed by the
Superintendent of Documents. The Superintendent disseminates government
publications to the public through the depository library program and sells
publications online, through 23 bookstores, and by mail order. Until
recently, the dissemination and sales programs dealt mostly in paper,
microfiche, or CD- ROM formats. However, advances in electronic publishing
technologies and the availability of government publications on the World
Wide Web are affecting paper- based dissemination and sales and are raising
questions about the direction and future of the Federal Depository Library
Program.
The conference report 1 for the legislative branch appropriations for 2001
required that we submit to you, by March 30, 2001, a study on electronic
dissemination of government information. Specifically, we were required to
1 Making Omnibus Consolidated and Emergency Supplemental Appropriations for
Fiscal Year 2001, Conference Report to Accompany H. R. 4577, House of
Representatives, December 15, 2000.
United States General Accounting Office Washington, DC 20548
Page 2 GAO- 01- 428 Electronic Dissemination
? study the impact of providing documents to the public solely in electronic
format and
? assess the feasibility of transferring the depository library program to
the Library of Congress.
As part of our assessment of the depository library program, we were asked
to (1) identify how such a transfer might be accomplished; (2) identify
measures that are necessary to ensure the success of such a transfer; (3)
identify when such a transfer might optimally occur; (4) examine the
functions, services, and programs of the Superintendent of Documents; (5)
examine and identify administrative and infrastructure support that is
provided to the Superintendent by GPO, with a view to the implications for
such a transfer; and (6) examine and identify the costs, for both GPO and
the Library of Congress, of such a transfer. In addition, the conference
report required that we provide (1) a current inventory of publications and
documents that are provided to the public and (2) the frequency with which
each type of publication or document is requested for deposit at nonregional
depository libraries.
To address these objectives, we analyzed GPO dissemination data and work
processes, GPO and Library of Congress program and budget documents, and
other documentation. We also reviewed technical literature and previous
relevant studies. In addition, we interviewed GPO and Library officials,
representatives of professional library associations, representatives of
unions representing GPO employees, and officials from the U. S. National
Commission on Libraries and Information Science. Further details on our
objectives, scope, and methodology are presented in appendix I.
Electronic dissemination of government documents offers the opportunity to
reduce the costs of dissemination and make government information more
usable and accessible. However, to move to an environment in which documents
are disseminated solely in electronic format, a number of challenges would
need to be overcome. These challenges include ensuring that these documents
are (1) authentic, (2) permanently maintained, and (3) equally accessible to
all individuals. In addition, certain cost issues- including the effect of
shifting printing costs to depository libraries and end users- would need to
be addressed.
Regarding the feasibility of transferring the depository library program to
the Library, both advantages and disadvantages are associated with such a
move. In studies conducted in 1993 and 1994, the Library concluded that
Results in Brief
Page 3 GAO- 01- 428 Electronic Dissemination
the depository library program was not inconsistent with the mission and
functions of the Library and that it might be appropriate for the Library to
have responsibility for this program. Further, a transfer could facilitate
the development of governmentwide solutions to issues surrounding the
acquisition, management, and dissemination of electronic documents. In
addition, three other GPO programs- closely tied to the depository library
program or the Library and consistent with the Library's mission- could be
considered for transfer. However, according to GPO, the Library is not an
appropriate home for the depository library program because the Library's
mission and operations are inconsistent with a large- scale information
dissemination program. In addition, the Library studies, as well as
organizations representing librarians, cited disadvantages associated with
such a transfer. These disadvantages included potential negative effects on
public access to information and concern about the availability of funds to
maintain the current program. In addition, unions representing GPO employees
raised concerns about the effect of a transfer on employee rights.
If a decision is made to transfer the depository library program, the
concerns raised by library organizations and employee unions should be
addressed. One option for addressing these issues is to form a joint GPO/
Library transition team- which would be led by the Librarian or his designee
and include representatives of the depository libraries- to develop
appropriate strategies. In addition, this team could develop a detailed
transition plan including a schedule and detailed cost estimates.
In commenting on a draft of this report, the Public Printer and the
Librarian of Congress raised numerous concerns about its contents.
Specifically, the Public Printer stated that the report does not provide a
comprehensive study of the impact of providing documents solely in
electronic format because it only briefly mentions such major issues as
authenticity, permanent public access, security, equity of access, and cost
considerations. Further, the Librarian stated that the report focuses
exclusively on shifting functions from one legislative branch agency to
another and not on the larger policy issues involved in providing citizens
useful and persistent access to government information. In regard to these
comments, we note that the conference report required us to focus our study
on the impact of providing government information solely in electronic
format and on various issues concerning the feasibility of transferring the
depository library program to the Library. Recognizing the limited timeframe
in which we were required to respond, this report appropriately raises the
major issues and challenges that would need to be
Page 4 GAO- 01- 428 Electronic Dissemination
addressed if the Congress decides to direct electronic dissemination of
government information or a transfer of the depository library program.
As requested, we are providing, in appendix II, a current inventory of
publications and documents that are provided to the public. Appendix III
contains information on the frequency with which each type of publication or
document is requested for deposit at nonregional depository libraries.
Established in 1861, GPO is the principal agent for federal printing. All
printing for the Congress, the Executive Office, and the Judiciary- except
for the Supreme Court of the United States- and for every executive
department, independent office, and establishment of the government is
required to be done at or contracted by GPO. An agency located in the
legislative branch, GPO produces the Congressional Record, the Federal
Register, the Code of Federal Regulations, and other key government
documents.
GPO, through its Superintendent of Documents, is also responsible for the
acquisition, classification, dissemination, and bibliographic control of
tangible and electronic government information products. Accordingly,
regardless of the printing source, the law requires that federal agencies
make all their publications in all formats available to the Superintendent
of Documents for cataloging and distribution. The Superintendent of
Documents then distributes this government information in traditional and
electronic formats to the public through a system of more than 1,300
depository libraries nationwide- the Federal Depository Library Program
(FDLP). The Superintendent of Documents also links the public to about
203,000 online government documents through its Web site, known as GPO
Access. In addition, it makes about 9,000 titles available for sale via
telephone, mail, fax, e- mail, online orders from publishing agency Web
sites, booksellers, the GPO Online Bookstore, and GPO Bookstores.
This longstanding structure for centralized dissemination of government
information is facing several challenges.
? First, government printing has evolved from a primarily in- house GPO
operation to a combination of GPO- administered private printing contracts,
executive branch agency contracts, and in- house printing. We have reported
on this development and questioned the efficiency and Background
Page 5 GAO- 01- 428 Electronic Dissemination
effectiveness in this environment of the centralized GPO model for
government printing. 2
? Second, federal agencies are increasingly disseminating information via
agency Web sites, which is decreasing reliance on large- scale printing as
the means to produce government documents.
? Third, the statutory mechanism for GPO printing and document distribution
faces constitutional issues. Congress gave the congressional Joint Committee
on Printing (JCP) broad authority to supervise government printing and
distribution of government publications. 3 Its regulation of executive
branch printing and document distribution, however, has been viewed by the
Department of Justice as being unconstitutional under the Supreme Court's
1983 “separation of power” decision in INS v. Chadha. In this
case, 462 U. S. 919 (1983), the Supreme Court invalidated the legislative
veto authority of Congress, ruling that Congress can only affect the
executive branch through legislation that has been passed by both Houses and
signed into law. In the years since Chadha, the Department of Justice and
the Office of Management and Budget have several times instructed executive
branch agencies that they need not comply with either statutory JCP
requirements or the JCP Printing and Binding Regulations.
These challenges have impaired GPO's ability to acquire and disseminate
government documents. In 1996, GPO estimated that about 50 percent of
government documents published in that year were not indexed, catalogued,
and distributed to the depository libraries. Documents that should be- but
are not- distributed by the Superintendent of Documents to the depository
libraries are known as fugitive documents. GPO asserts that these fugitive
documents are increasing because of electronic dissemination of information
via agency Web sites and decreasing agency compliance with the statutory
requirements for printing through GPO.
Many government documents are also disseminated or sold by other components
of the national information dissemination infrastructure, including the
Department of Defense's Defense Technical Information Center (a major
component of the Department of Defense's Scientific and Technical
Information Program) and the Department of Commerce's National Technical
Information Service. Increasingly, these documents are
2 Government Printing Office: Monopoly- Like Status Contributes to
Inefficiency and Ineffectiveness (GAO/ GGD- 90- 107, September 1990). 3
Title 44 U. S. C. 103.
Page 6 GAO- 01- 428 Electronic Dissemination
also available on agencies' Web sites and through FirstGov- a government Web
site providing the public with one- stop access to online federal resources,
including government publications.
Increasing use of electronic publishing and dissemination technology is also
changing the FDLP itself. The Legislative Branch Appropriations Act of 1996
directed GPO to reassess the program within this context. Noting that the
use of these technologies requires careful analysis, planning, and the
probable restructuring of the current federal dissemination program, the act
directed GPO to examine the functions and services of the FDLP, identify
measures that were necessary to ensure a successful transition to a more
electronically based FDLP, and prepare a strategic plan for such a
transition. The resulting study 4 and its companion strategic plan 5
recommended a 5- year transition to a more electronic FDLP, identified a
core of government publications that should continue to be distributed on
paper, such as the Code of Federal Regulations, and established a schedule
for the transition. According to this schedule, by the end of fiscal year
1998 FDLP libraries were to receive 50 percent of publications in electronic
format. The program reached this objective in fiscal year 2000, when about
57 percent of FDLP titles were made available online via GPO Access.
Although the FDLP has begun to provide online access to selected government
publications via GPO Access, it uses electronic information to supplement-
and selectively replace- the dissemination of the same information on paper
or microfiche. Thus, the number of tangible titles- on paper, microfiche, or
CD- ROM- distributed to FDLP libraries since the publication of the study
has remained relatively stable: from 29,372 titles distributed in fiscal
year 1996 to 28,849 titles in fiscal year 2000. A similarly modest decline
was evident in the number of distributed tangible copies, from 13,472, 946
copies distributed in fiscal year 1996 to 12,207,064 copies in fiscal year
2000.
A major impetus for accelerating the transition to a more electronic FDLP
occurred in fiscal year 2001, when the Congress reduced by $2 million the
4 Study to Identify Measures Necessary for a Successful Transition to a More
Electronic Federal Depository Library Program (U. S. Government Printing
Office, Publication 500.11, June 1996). 5 Federal Depository Library
Program: Information Dissemination and Access Strategic Plan, FY 1996–
2001 (U. S. Government Printing Office, June 1996).
Page 7 GAO- 01- 428 Electronic Dissemination
funding for the programs managed by the Superintendent of Documents. Faced
with this funding shortfall, GPO analyzed printing contracts to determine
whether the publications distributed on paper or microfiche might also have
online versions available. The analysis showed that 40 percent of the
distributed tangible titles had online versions available.
Acting on this finding, the Superintendent has accelerated the transition of
the FDLP to a primarily electronic program and issued a policy for the
dissemination of publications to depository libraries. 6 The policy restated
earlier guidance articulated in an August 2000 letter from the
Superintendent of Documents to the directors of depository libraries,
reaffirmed the commitment to use online dissemination as the primary method
of FDLP distribution, and defined the conditions under which the program
will continue to distribute paper publications and other tangible products,
even if the publications are available online. Specifically, the program
will also distribute the paper or tangible version when any one of the
following conditions is met:
? There is a legal requirement to distribute the publication in tangible
format.
? The paper publication is of significant reference value to most types of
FDLP libraries.
? The paper publication serves a special needs population.
? The commonly accepted medium of the user community is tangible format.
? The product is essential to the conduct of government. With regard to the
last category, the Superintendent of Documents has identified a list of
“Essential Titles for Public Use in Paper Format.” Based on an
initial list developed in 1996, these “essential” titles would
be made available to the depository libraries in paper format, regardless of
their online availability. These documents, listed in appendix VII, include
such titles as the Budget of the United States, the Code of Federal
Regulations, the Congressional Record, and the United States Code. We
determined that 28 of the 42 titles (about 67 percent) are also available
online. According to the Superintendent of Documents, maintaining the
availability of these titles for selection in paper format is essential to
the purpose of the FDLP.
6 Dissemination/ Distribution Policy for the Federal Depository Library
Program, No. SOD 71 (Superintendent of Documents, U. S. Government Printing
Office, January 2, 2001).
Page 8 GAO- 01- 428 Electronic Dissemination
Advances in information technologies and the Internet continue to shape the
FDLP. Over the years, these advances have also triggered numerous
initiatives focused on reforming and restructuring the nation's information
dissemination infrastructure in general and the Office of the Superintendent
of Documents in particular. These initiatives- including the recent proposal
by the National Commission on Libraries and Information Sciences- are
discussed in appendix VIII.
Electronic dissemination of government documents offers the opportunity to
reduce the costs of dissemination and make government information more
usable and accessible. However, to move to an environment in which documents
are disseminated solely in electronic format, a number of challenges would
need to be overcome. These challenges include ensuring that these documents
are (1) authentic, (2) permanently maintained, and (3) equally accessible to
all individuals. In addition, cost issues should be addressed, including the
effect of shifting printing costs to depository libraries and end users.
One of the advantages of electronic dissemination is that electronic
documents cost less to store, maintain, and disseminate. Electronic
documents require no warehouse space and incur no shipping charges. If
necessary, they may be readily updated with little further production cost.
The contrast in costs between electronic and paper dissemination is
illustrated by the costs associated with GPO Access in fiscal year 2000. In
this period, the Superintendent of Documents distributed almost 12.2 million
copies of 28,849 tangible titles to depository libraries and added 32,306
online titles to the 160,726 titles available at the end of fiscal year 1999
through GPO Access. For the 28,849 tangible titles, the reported fiscal year
2000 printing and reproduction costs were about $13. 7 million; for
operating and maintaining the 193,032 online titles the reported cost was
about $3.3 million. 7
A second advantage of electronic dissemination is that electronic documents
may offer greater functionality than traditional paper documents. They can
be searched, can be linked to related information, can be manipulated
(allowing users to cut and paste text), and may
7 This does not include the costs associated with the conversion of
electronic files produced by the printing process into a format that allows
them to be added to GPO Access. Impact of Providing
Government Documents to the Public Solely in Electronic Format
Electronic Dissemination Provides Advantages
Page 9 GAO- 01- 428 Electronic Dissemination
incorporate not only images, but also audio and video. Further, electronic
documents make printing on demand accessible to individuals.
A third advantage of electronic dissemination is that electronic documents
make government information far more accessible to citizens, including those
with physical impairments. Once posted, they are immediately accessible to
thousands of users from multiple locations around the nation. Because the
Web is location independent, it reduces geographic differentiation and may
eliminate the need for visits to a distant depository library or GPO
bookstore. Moreover, unlike their paper counterparts stored in the nation's
libraries and bookstores, electronic documents are generally available 24
hours a day, 7 days a week.
While the Web- based dissemination of electronic government publications
provides an attractive alternative to the traditional ink- on- paper
approach, a number of challenges would need to be overcome if the government
were to disseminate documents solely in electronic format. These challenges
include addressing (1) authentication, (2) permanence, and (3) equity of
access. In addition, cost issues would need to be addressed.
Authentication provides the assurance that the electronic document is
official and complete: i. e., that the document was not surreptitiously or
accidentally modified. When citizens access and retrieve government
documents from federal Web sites, they should have assurance that the
accessed documents are authentic.
Although document authentication may be achieved through electronic
signatures or seals, government documents currently available on the Web
often lack authentication. Once downloaded from government Web sites,
documents lacking electronic signatures or seals may be modified without
detection. The FDLP is not currently using electronic signatures or other
electronic means to authenticate government documents, but GPO is in the
process of procuring public key infrastructure (PKI) technology 8 to provide
authentication of government publications disseminated online via GPO
Access. Program officials told us that they guarantee the authenticity
8 A PKI is a system of hardware, software, policies, and people that, when
fully and properly implemented, can provide a suite of information security
assurances that are important in protecting sensitive communications and
transactions. Disseminating Documents
Solely in Electronic Format Poses Challenges
Page 10 GAO- 01- 428 Electronic Dissemination
of the electronic documents available on the GPO Access Web site, although
no such guarantee is posted on the Web site itself.
Permanence refers to the retention of an online document by a Web site,
making it possible for users to repeatedly find or link to the document. In
practice, this means that the document must be maintained online in
perpetuity.
Since GPO provides FDLP libraries with access to electronic documents
through GPO Access, it has assumed responsibility for their permanence. To
do this, GPO uses the Online Computer Library Center's Persistent Uniform
Resource Locators, which provide an effective means to update Internet
addresses by redirecting users from old Internet addresses to the most
recent address associated with an electronic publication.
Although the Government Printing Office Electronic Information Access
Enhancement Act of 1993 directs the Superintendent of Documents to maintain
an electronic directory of government information and provide online access
to government documents, there is no explicit legal requirement for the
Superintendent of Documents or any other federal entity to permanently
maintain online electronic versions of government documents. 9 However, GPO
has advised us that it believes that it has a legal basis to maintain
permanent access to electronic information.
In addition, portions of government electronic information products managed
by the Superintendent of Documents in what is known as the FDLP Electronic
Collection are maintained by partner institutions, including other federal
agencies and depository libraries and consortia. Recognizing the risk of
losing documents controlled by other agencies, FDLP is acquiring and
archiving electronic documents managed by these agencies.
Equity of access recognizes that some individuals may have difficulty
accessing and using electronic information. Many individuals have no access
to the Internet, lack computer skills, or are unable to navigate the
increasingly complex Web environment. A recent National Telecommunications
and Information Administration report 10 on
9 GPO officials told us that GPO is legally responsible for the FDLP
Electronic Collection under the authority of 44 U. S. C. Section 1909 and
4101. 10 Falling Through the Net: Toward Digital Inclusion (National
Telecommunications and Information Administration, Department of Commerce,
October 2000).
Page 11 GAO- 01- 428 Electronic Dissemination
Americans' access to the Internet notes that while the Web is becoming more
and more widespread, about 60 percent of U. S. households have no access to
the Internet, whether by choice, poverty, or disability. Moreover, people
with disabilities are only half as likely to have access to the Internet
compared to those without disabilities. Although individuals in households
without Internet access may use access provided by public schools or
libraries, the lack of direct access poses a barrier. Similarly, even
frequent Internet users may find it difficult to search for and locate
specific government documents on the Web. According to the National
Commission on Libraries and Information Sciences, government Web sites are
often difficult to search, with users confronted with such a massive volume
of disorganized materials that they cannot easily find what they are
seeking, even if they are highly computer and information literate. 11
In addition, while electronic documents are less costly to disseminate, GPO
may face near- term cost increases associated with creating electronic
documents when none exist. In 2000, the Superintendent of Documents explored
the cost of a fully electronic depository library program. The study pointed
out that there are no electronic versions available to the depository
library program for many of the documents printed by GPO, and that the
library program would have to digitize (that is, scan electronically)
thousands of documents to make them suitable for online dissemination via
GPO Access. The Superintendent of Documents estimated, based on 25,063
titles distributed to depository libraries between April 1999 and March
2000, that approximately 40 percent (10, 000 titles) had an online
counterpart, and that the remaining 60 percent (15,000 titles) would have to
be converted. According to GPO, an additional $7.7 million would have been
required in fiscal year 2000 to convert to a totally electronic FDLP,
bringing total program costs to $38 million.
The depository libraries may also expect to bear additional costs if the
depository library program begins to disseminate government documents solely
in electronic format. These include the costs of (1) printing shelf copies
of electronic documents, (2) purchasing selected printed documents no longer
provided by the library program, (3) training librarians in the use of the
Internet and electronic reference services, and
11 A Comprehensive Assessment of Public Information Dissemination (U. S.
National Commission on Libraries and Information Science, final report,
Volume 1, January 26, 2001).
Page 12 GAO- 01- 428 Electronic Dissemination
(4) helping library patrons to use the Internet to search and locate
government publications.
This shift in costs to the end user or to libraries was also recognized by
the Depository Library Council. The Council noted that although this shift
is an unintended consequence of technology, libraries will struggle with
different issues such as printing, formatting, and providing users with
instructions on how to use online technology. 12 This point was echoed by
the National Research Council in its argument that libraries must adopt a
new model for library acquisitions, one that considers not only the cost of
access to information, but also the cost of maintaining the technical
environment- including hardware, software, and personnel- required to make
these resources available to readers. 13
Both advantages and disadvantages are associated with transferring the
depository library program to the Library. In studies conducted in 1993 and
1994, the Library concluded that the depository library program is not
inconsistent with the mission and functions of the Library and that it might
be appropriate for the Library to have responsibility for a program
established to acquire government documents and distribute them to
depository libraries. Further, a transfer could allow the depository library
program and the Library to develop governmentwide solutions to the common
issues they face in addressing the acquisition, maintenance, and
dissemination of electronic information. In addition, three other GPO
programs- closely related to the depository library program or the Library
and consistent with the Library's mission- could also be considered for
transfer. However, the Public Printer stated that the Library is not an
appropriate home for the depository library program because the Library's
mission is inconsistent with a large- scale information dissemination
program. In addition, the Library studies, as well as organizations
representing librarians, cited disadvantages associated with such a
transfer. These disadvantages included potential negative effects on public
access to information and concern about the availability of funds to
maintain the current program. In addition, unions representing GPO
12 Report on GPO's Transition to a More Electronic FDLP (Electronic
Transition Committee, Depository Library Council, Spring 2000). 13 LC21: A
Digital Strategy for the Library of Congress, prepublication copy (Computer
Science and Telecommunications Board, National Research Council, July 26,
2000). Feasibility of Transfer
of the Depository Library Program to the Library of Congress
Page 13 GAO- 01- 428 Electronic Dissemination
employees expressed concern about the effect of a transfer on employee
rights.
According to studies conducted by the Library, the mission of the Library-
to make its resources available and useful to the Congress and the American
people and to sustain and preserve a universal collection of knowledge and
creativity for future generations- and that of the depository library
program- to ensure that the American public has access to government
information by disseminating information products to libraries nationwide-
are not inconsistent. The Library noted that its National Library Service
for the Blind and Physically Handicapped has long experience with
distributing library materials through its network of libraries for the
blind and physically handicapped. Therefore, a transfer could expand the
Library's current involvement in the dissemination of government information
and enable consolidation of dissemination functions.
A transfer of selected programs of the Superintendent of Documents might
also facilitate the depository library program and the Library working
together to address the broad issues of acquiring, managing, and
disseminating digital information- issues critical to both organizations. In
December 2000, the Library received a special appropriation of $100 million
to lead a national strategic planning effort to develop a National
Information Infrastructure and Preservation Program. 14 In making this
appropriation, the Congress directed the Librarian to develop a plan jointly
with federal entities having expertise in telecommunications technology and
electronic commerce, and with the participation of representatives of other
federal, research, and private libraries and institutions having expertise
in the collection and maintenance of archives of digital materials. The
Library has developed a planning framework and is assembling advisory groups
and forming partnerships to guide its planning for the national digital
information strategy.
In addition to the depository library program, three of the six other
programs managed by the Superintendent of Documents could be considered for
transfer. These programs are (1) Cataloging and Indexing, (2) GPO Access,
including the FDLP Electronic Collection, and (3) the
14 H. R. 5666 as enacted into law by Public Law 106- 554, Consolidated
Appropriations Act, 2001. Advantages of Transferring
the Depository Library Program
Page 14 GAO- 01- 428 Electronic Dissemination
International Exchange Service. Two of the programs, the Cataloging and
Indexing program and GPO Access, are closely related to the depository
library program. Under the third program, the International Exchange
Service, the Superintendent of Documents disseminates documents to foreign
libraries on behalf of the Library of Congress.
The Cataloging and Indexing program is responsible for identifying and
organizing government publications by title, subject, and agency, and
providing this information to users through indexes, catalogs, and online
retrieval systems. The Cataloging and Indexing program ensures that
government publications entering FDLP dissemination are under bibliographic
control.
According to Library studies, the Cataloging and Indexing program is
consistent with the functions of the Library. 15 The program would
complement the Library's cataloging operations and centralize the cataloging
of government documents in a single entity. The Library considers that
information gathered through the consolidated cataloging and indexing
operation would help to ensure that all government publications are reported
to a central source and thus help to reduce the number of fugitive documents
that escape bibliographic control.
GPO Access provides the public with access to electronic documents under the
bibliographic control of the Superintendent of Documents. This program is
essential to the Superintendent's commitment to provide online access to
government documents.
The International Exchange Service program provides for the distribution of
U. S. government publications to foreign libraries in exchange for
publications produced by their governments. Foreign publications are then
sent to the Library, which administers the program. As such, the program is
already the responsibility of the Library and consistent with the Library's
mission. In addition, integrating the international exchange program into
the Library's ongoing domestic and international information
15 Deputy Librarian of Congress, Government Information Dissemination and
Printing Improvement Act of 1993 (Title XIV of H. R. 3400): An Analysis of
Its Possible Impact on the Library of Congress With Regard to the Transfer
of Specific Functions of the Superintendent of Documents (Library of
Congress, November 9, 1993), and The Government Information Dissemination
and Printing Improvement Act of 1993: Analysis of Its Possible Impact on the
Library of Congress With Regard to the Transfer of Specific Functions of the
Superintendent of Documents (Library of Congress, January 26, 1994).
Page 15 GAO- 01- 428 Electronic Dissemination
exchange programs would allow the Library to consolidate responsibilities
for the administration and distribution of all federal documents. The
Library's Office of the Director of Acquisitions, which currently
administers the Library's portion of the program, could assume complete
responsibility for the international exchange program.
Both the Library studies and organizations representing the interests of
libraries and librarians- including the American Library Association and its
Government Documents Roundtable- identified disadvantages associated with a
potential transfer. The following are some of the more significant
disadvantages identified.
? The library community does not believe that a transfer would enhance and
promote the public's no- fee access to government information.
? The Library expressed concern about the availability of funds to maintain
the products and services available to depository libraries, much less
support new products and services.
? According to the library community, a transfer would signal to executive
agencies, which contribute thousands of tangible information products to the
FDLP, that their publications are no longer needed. This would lead to the
loss of thousands of publications that would no longer be accessible to the
public. Efforts to retrieve and convert these documents after the fact would
be logistically and financially prohibitive.
? The library community stated that disengaging the dissemination functions
of the depository library program from the printing functions of GPO may
destroy the only gateway available to minimize the number of fugitive
documents. Similarly, the Library noted that this separation would have a
major impact on both the depository library program and the international
exchange service by making it more difficult and costly to ensure that
materials Congress intended for these programs were actually distributed.
? The library community noted that a transfer of GPO's Cataloging and
Indexing program to the Library would likely result in a loss of quality,
speed, and detail in cataloging.
? The transfer would add a significant level of bureaucracy and would result
in increased costs in providing the transferred services, a loss of
productivity, and disassembly of a cohesive program, according to the
library community.
With regard to the missions of the depository library program and the
Library, Library studies indicated that the missions of the depository
library program and the Library are “not inconsistent,” but also
cautioned that administering the depository library program would
considerably Disadvantages of
Transferring the Depository Library Program
Page 16 GAO- 01- 428 Electronic Dissemination
expand the Library's mission. On the other hand, the Public Printer stated
that the mission and operations of the Library are inconsistent with a
large- scale information dissemination program such as the depository
library program. He further stated that transferring the depository library
program to the Library would increase costs, impose additional burdens on
the Library, and not result in any improvement in the public's ability to
access government information. In addition, the library community took the
view that the missions of the Library and the federal depository library
program vary so significantly that the appropriateness of a transfer is
questionable. The library community also noted that the mission of the
Library would have to be expanded to accommodate the needs of government
information users.
The unions representing employees- the American Federation of Government
Employees and the Graphics Communication International Union- expressed
concern that a transfer might negatively affect annuities and seniority for
all transferred employees and pay for bluecollar workers. Further, without
specific enabling legislation, they maintain, unionized employees
transferred to the Library would lose bargaining rights over wages.
As previously noted, we were also asked to assess other issues affecting a
potential transfer of the depository library program. If a decision is made
to transfer the program, transition planning would be critical to
determining how and when such a transfer should occur. One option would be
to form a joint GPO/ Library transition team which could include
representation from the depository libraries. This team could further study
and resolve critical issues cited by the library community and unions. This
team could develop a detailed transition plan and schedule, cost estimates,
and performance measures and identify data and system migration
requirements.
Regarding measures that could help ensure the success of a transfer, we
identified the following:
? Ensure that issues raised by the library community are appropriately
addressed, including the effects of a transfer on the number of fugitive
documents, and the effect on the cataloging and indexing function.
? Address seniority, salary rates, and bargaining rights of union members
transferred to the Library. Unions Representing GPO
Employees Have Concerns Other Issues Affecting a Potential Transfer
Page 17 GAO- 01- 428 Electronic Dissemination
? Consider limiting the physical movement of staff and equipment during the
transition period. Staff and equipment of the Superintendent of Documents
units responsible for managing the programs transferred to the Library of
Congress could continue to occupy their current office space at the GPO
site. The Library could pay GPO for support services, including rent,
building maintenance, and communications services.
? During the transition period, consider continuing to rely on the
information systems and computer support provided by GPO's Office of
Information Resources Management to the Superintendent of Documents offices
and programs transferred to the Library.
The transition could take place after the detailed transition planning
mentioned previously is completed. In addition, it may be advisable to begin
the transition at the start of the fiscal year to coincide with budgetary
actions.
Appendixes IV, V, and VI provide requested information on the functions,
services, and programs of the Superintendent of Documents and on the
administrative and infrastructure support that is provided to the
Superintendent by GPO.
With regard to the potential cost of transferring the depository library
program, we identified the program infrastructure costs for GPO and the
Library as the most likely to be affected. Infrastructure services include
administrative services such as payroll processing; rents, communications,
and utilities; and information system support. The Superintendent of
Documents currently pays GPO for these infrastructure costs.
It appears that the program costs may remain stable, unless the Library or
GPO makes changes in their scope or work processes. Of the seven programs
managed by the Superintendent of Documents, four could be transferred to the
Library and might be expected to continue to operate using existing
processes, equipment, and staff. Three of the seven programs- By- Law
Distribution, Sales of Publications, and Agency Distribution Services- are
expected to remain at GPO.
The costs for administrative services may also remain stable. As the Library
assumed the management of the transferred units, it would also begin to
provide various administrative services, such as personnel and payroll,
previously provided by GPO. We assume that the Library would continue to pay
for these services from the Superintendent's Salaries and Expenses
appropriations, and that the Library's overhead rate for these services is
comparable to GPO's. In fiscal year 2000, the Superintendent of
Page 18 GAO- 01- 428 Electronic Dissemination
Documents expenses for administrative services and support provided by GPO
were about $4.7 million.
Similarly, we expect that the cost for rents, communications, and utilities
would remain stable if there were no physical movement of staff or
equipment. Staff and equipment of the Superintendent of Documents units
responsible for managing the programs transferred to the Library of Congress
could continue to occupy their current office space at GPO. The Library
could then pay GPO at the current rate for rent, building maintenance, and
communications services. In fiscal year 2000, the Superintendent of
Documents expenses for the rents, communications, and utilities provided by
GPO were about $7.3 million.
The cost of information system support might increase during the transition
period, largely because the transferred units and programs would continue to
pay GPO for continuing information system support while migrating to the
Library's systems. In fiscal year 2000, the Superintendent of Documents
expenses for information systems support provided by GPO were about $3.5
million.
We provided a draft of this report for review and comment to the Public
Printer and the Librarian of Congress. Their comments are reprinted in
appendixes IX and X, respectively.
In a letter dated March 21, 2001, the Public Printer raised numerous issues
concerning the contents of the draft report. First, he stated that the
report does not provide a comprehensive study of the impact of providing
documents solely in electronic format. He stated that the report only
briefly mentions such major issues as authenticity, permanent public access,
security, equity of access, and cost considerations, and does not address
how these issues will be resolved in an all- electronic information
environment. Second, he stated that the Library is not an appropriate home
for the federal depository library program, as the Library's mission is
inconsistent with a large- scale dissemination program. Finally, he states
that the draft report lacks balance in the presentation of information from
prior GAO audits because we did not include a discussion of a more recent
study of GPO management.
With regard to electronic dissemination, the conference report required us
to study the impact of providing government information solely in electronic
format, among other issues, and provide a report by March 30, 2001.
Recognizing this limited timeframe, our report appropriately raises Agency
Comments
and Our Evaluation
Page 19 GAO- 01- 428 Electronic Dissemination
the major issues and challenges that would need to be addressed to move to
an environment in which government documents are disseminated solely in
electronic format. Resolving these challenges, however, is well beyond the
scope of what we were asked to do and is instead the responsibility of
federal agencies that disseminate information, including GPO. With regard to
the transfer of the depository library program, we have revised the report
to reflect GPO's position that the mission of the depository library program
is inconsistent with that of the Library. With regard to the comment on
balance, our 1990 report is mentioned briefly in the report's background
because of its discussion of issues relating to the structure of GPO. We did
not mention the Booz- Allen & Hamilton report cited by GPO because it dealt
primarily with the management of GPO- an issue not addressed by this report.
In a letter dated March 21, 2001, the Librarian of Congress also raised
numerous issues concerning the draft report. First, the Librarian stated
that sufficient analysis has not been done to support our recommendation
that an Interagency Transition Team be established to plan the transfer of
the depository library program, particularly in light of the recent mandate
from the Congress that designated the Library the lead agency in developing
the National Digital Information Infrastructure and Preservation Program.
The Librarian also stated that the report focuses exclusively on shifting
functions from one legislative branch agency to another and not on the
larger policy issues involved in providing citizens useful and persistent
access to government information.
With regard to the Librarian's comment concerning the recommendation in the
draft report, we would like to clarify that the report contains neither
conclusions nor recommendations. Our discussion of a transition team is
offered only as one possible option for facilitating a transition, if the
Congress decides to direct such a transfer. With regard to the focus of the
report, we again note that the conference report specifically required us to
study issues related to the feasibility of transferring the depository
library program to the Library. Therefore, our report properly identifies
the major issues that would need to be addressed if the Congress directs
such a transfer. However, we recognize that the larger policy issues raised
by the Librarian are valid. Therefore, we look forward to seeing the results
of the Library's efforts to study the dissemination of electronic government
information as well as its strategy for dealing with the life cycle of
digital information.
The Public Printer also stated in his comments that the draft report
contained numerous factual inaccuracies and misinterpretations. We
Page 20 GAO- 01- 428 Electronic Dissemination
subsequently received specific technical comments, which we have
incorporated into the report as appropriate. Appendix IX also includes more
specific responses to the Public Printer's comments. The Librarian also
provided technical comments that we have incorporated as appropriate.
We are sending copies of this letter to Senator Ted Stevens, Senator Robert
C. Byrd, Senator Robert F. Bennett, Senator Richard J. Durbin, Senator Fred
Thompson, Senator Joseph I. Lieberman, Senator Pete V. Domenici, Senator
Kent Conrad, Representative C. W. (Bill) Young, Representative David R.
Obey, Representative Charles H. Taylor, Representative James P. Moran,
Representative Dan Burton, Representative Henry A. Waxman, Representative
Jim Nussle, and Representative John M. Spratt, in their capacities as Chair,
Ranking Member, or Ranking Minority Member of Senate and House Committees
and Subcommittees, and to other interested parties. Copies will also be
available on our Web site at www. gao. gov.
Please contact me at (202) 512- 6240 if you or your staff have any
questions. I can also be reached by e- mail at koontzl@ gao. gov. Key
contributors to this report were Timothy E. Case, Barbara S. Collier, Mirko
J. Dolak, Jackson W. Hufnagle, William N. Isrin, and George L. Jones.
Linda D. Koontz Director, Information Management Issues
Appendix I: Objectives, Scope, and Methodology
Page 21 GAO- 01- 428 Electronic Dissemination
This report responds to the requirements in the conference report 1 for the
legislative branch appropriations for 2001 that we
? study the impact of providing documents to the public solely in electronic
format and
? assess the feasibility of transferring the depository library program to
the Library of Congress.
As part of our assessment of the depository library program, we were asked
to (1) identify how such a transfer might be accomplished; (2) identify when
such a transfer might optimally occur; (3) examine the functions, services,
and programs of the Superintendent of Documents; (4) examine and identify
administrative and infrastructure support that is provided to the
Superintendent by GPO, with a view to the implications for such a transfer;
(5) examine and identify the costs, for both GPO and the Library of
Congress, of such a transfer; and (6) identify measures that are necessary
to ensure the success of such a transfer. In addition, the conference report
required that we provide (1) a current inventory of publications and
documents that are provided to the public and (2) the frequency with which
each type of publication or document is requested for deposit at nonregional
depository libraries.
To assess the impact of providing government documents solely in electronic
format, we reviewed technical literature and studies, analyzed the
Superintendent's workload and publication dissemination data, and reviewed
the workload and performance of the GPO Access Web site. In addition, we
interviewed the Superintendent's personnel, depository librarians, members
of the American Library Association 2 and of the Association of Research
Libraries, 3 and a representative of the American
1 H. R 106- 796, July 27, 2000. 2 The American Library Association is a not-
for- profit educational organization of over 60,000 members. Its mission is
to provide leadership for the development, promotion, and improvement of
library and information services.
3 The Association of Research Libraries is a not- for- profit membership
organization comprising 120 leading research libraries in North America.
Appendix I: Objectives, Scope, and
Methodology
Appendix I: Objectives, Scope, and Methodology
Page 22 GAO- 01- 428 Electronic Dissemination
Association of Law Libraries 4 to obtain their views on the feasibility and
impact of distributing government documents solely in electronic format.
To develop a current inventory of publications and documents provided by the
Superintendent of Documents to the public, we focused on the sales inventory
because GPO does not maintain an inventory of publications distributed to
the depository libraries. We analyzed GPO's fiscal year 2000 publication
inventory and sales data. We also interviewed the Superintendent's personnel
responsible for preparing cyclical and annual inventories to obtain
information on warehousing locations and on the disposal of excess
publications.
To obtain information on the frequency with which each type of publication
or document is requested for deposit at nonregional depository libraries, we
obtained and analyzed data from the 1999 Biennial Survey of Federal
Depository Libraries.
In assessing the feasibility, cost, and the timing of transfer of the
depository library program to the Library of Congress, we reviewed GPO and
Library of Congress program and budget documents, legislative proposals, and
studies that examined the feasibility of the transfer of the Superintendent
of Documents functions and staff to the Library of Congress. In addition, we
interviewed GPO and Library of Congress managers and staff, members of
selected professional library associations, the representatives of the two
unions representing unionized employees of the Superintendent of Documents,
and the executive director of the U. S. National Commission on Libraries and
Information Science to obtain their views on this issue.
We performed our work at GPO and Library of Congress headquarters in
Washington, D. C., from October 2000 through March 2001 in accordance
4 The American Association of Law Libraries is a not- for- profit membership
organization with over 5,000 members. The Association represents law
librarians and related professionals who are affiliated with law firms, law
schools, corporate legal departments, courts, and local, state, and federal
government agencies.
Appendix I: Objectives, Scope, and Methodology
Page 23 GAO- 01- 428 Electronic Dissemination
with generally accepted government auditing standards. While we did not
assess the reliability of GPO- supplied data, we worked with GPO officials
to verify fiscal year 2000 budget, personnel, and production data.
Appendix II: Current Inventory of GPO Sales Publications and Documents
Provided to the Public
Page 24 GAO- 01- 428 Electronic Dissemination
GPO makes publications available to the public through the FDLP and the
sales program. Under the FDLP, GPO disseminates thousands of publications-
about 28,000 in fiscal year 2000- to over 1,300 depository libraries each
year. The depository libraries maintain these publications as part of their
collections and make them available, free of charge, to the public. GPO does
not, however, maintain centralized information on publications that have
been distributed to the depository libraries, and as a result, we are unable
to provide a current inventory of these publications. (See appendix V for
more detailed information on the FDLP.) Under its sales program, GPO sells
documents to the public by mail and telephone order, through its bookstores
located around the country, and through its Online Bookstore on GPO Access.
GPO maintains information on its inventory of publications offered for sale.
GPO's program to sell government publications is managed by the
Superintendent of Documents' Documents Sales Service. In fiscal year 2000,
the Service made approximately 9,000 titles of government documents (figure
1) available to the public for sale. The Service maintains a large inventory
of these documents- about 5.2 million copies in fiscal year 2000, with a
retail value of $74 million (figures 2 and 3).
The number of titles available for sale and the inventory maintained by the
Service has dropped substantially over the last decade. From fiscal years
1991 to 2000, the number of titles dropped by 7, 759, a reduction of 46
percent, and the number of copies in the inventory fell by about 4.8 million
copies, a drop of 48 percent. Appendix II: Current Inventory of GPO Sales
Publications and Documents Provided to the Public
Appendix II: Current Inventory of GPO Sales Publications and Documents
Provided to the Public
Page 25 GAO- 01- 428 Electronic Dissemination
Figure 1: Number of Available Titles for Sale, Fiscal Years 1991– 2000
Source: GPO.
Figure 2: Number of Copies in Inventory, Fiscal Years 1991– 2000
Source: GPO. 9.0
11.8 11.5 11.9 15.9 16.2 16.2
17.6 16.8 16.8 0 3
6 9
12 15
18 21
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year Titles (in
thousands)
5.2 5.7 5.6 5.6 6.5 8.9
8.0 8.6
9.7 9.9 0 2
4 6
8 10
12 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year Copies (in
millions)
Appendix II: Current Inventory of GPO Sales Publications and Documents
Provided to the Public
Page 26 GAO- 01- 428 Electronic Dissemination
Figure 3: Retail Value of Inventory, Fiscal Years 1991– 2000
Source: GPO.
The retail value of the inventory- which in fiscal year 2000 totaled $74.1
million- has had periods of both stability and fluctuation since 1995.
Although the value of the inventory was relatively stable from 1991 to 1995,
it lost almost 30 percent of its value, or $25 million, from 1995 to 1996.
This dramatic drop in the value of the inventory, according to GPO
officials, is closely associated with the large number of unsold documents
destroyed by the Service in fiscal year 1996. Every year, the Service
destroys, as required by law, a substantial number of unsold or superseded
documents. In fiscal year 2000, it destroyed 1.9 million documents (figure
4) with a retail value of $22.3 million (figure 5). According to GPO, the
actual cost of the destroyed publications was only $2.8 million- a fraction
of their stated retail value of $22.3 million.
74.1 74.3 66.0 62.4 67.1 86.5 84.6 83.5 81.7 85.1
0 10
20 30
40 50
60 70
80 90
100 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Dollars (in millions)
Fiscal year
Appendix II: Current Inventory of GPO Sales Publications and Documents
Provided to the Public
Page 27 GAO- 01- 428 Electronic Dissemination
Figure 4: Number of Destroyed Volumes, Fiscal Years 1991– 2000
1.9 1.8 2.3 2.3 4.5
3.1 3.2 2.9 3.0 2.8
0 1
2 3
4 5
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Volumes (in millions)
Fiscal year Source: GPO.
Figure 5: Retail Value of Destroyed Volumes, Fiscal Years 1991– 2000
22.3 22.4 23.2 24.6 51.7
33.5 22.8 23.1 23.8 15.3
0 10
20 30
40 50
60 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Dollars (in millions)
Fiscal year Source: GPO.
Appendix III: Documents Requested for Deposit by Nonregional Depository
Libraries
Page 28 GAO- 01- 428 Electronic Dissemination
The Federal Depository Library Program (FDLP) is a national network of
depository libraries designed to ensure free public access to government
information. In fiscal year 2000, the program included 1,328 libraries.
Participating libraries must maintain government publications as part of
their existing collections and are responsible for ensuring that the public
has free access to the deposited documents.
Fifty- three libraries are designated regional depository libraries, with a
goal of each state having at least one regional library. Regional libraries
receive all materials distributed through the FDLP and are required to
retain all received government documents in perpetuity, although they may
withdraw superseded publications from their collections. The remaining 1,275
nonregional libraries may select what materials to receive and have limited
retention responsibilities.
We relied on information on library document selection rates reported in the
1999 Biennial Survey of Depository Libraries conducted by the Library
Programs Service.
As figure 6 shows, 971 (77 percent) of the 1,286 nonregional depository
libraries participating in the survey reported that they were selecting less
than 40 percent of the items 1 offered by the FDLP, and only 135 (10
percent) reported selection rates over 60 percent.
1 An item represents a series or group of related publications issued by a
specific federal agency and available for selection by depository libraries
from GPO. Appendix III: Documents Requested for
Deposit by Nonregional Depository Libraries
Appendix III: Documents Requested for Deposit by Nonregional Depository
Libraries
Page 29 GAO- 01- 428 Electronic Dissemination
Figure 6: Document Selection Rates by Nonregional Depository Libraries
Libraries 39 96
162 425
546 0 100
200 300
400 500
600 700
1 19% 20 39% 40 59% 60 79% 80 100% Document selection rate
Source: FDLP 1999 Biennial Survey.
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 30 GAO- 01- 428 Electronic Dissemination
The Office of the Superintendent of Documents is organized into four units
(figure 7): (1) the Library Programs Service, (2) Electronic Information
Dissemination Services, (3) the Documents Sales Service, and (4) the
Documents Technical Support Group. The four units manage seven major
programs (see appendix V).
Figure 7: The Superintendent of Documents Organization
Source: GPO.
In fiscal year 2000 the Superintendent of Documents operations were
supported by 597 full- time equivalent (FTE) positions, with 450 employees-
about 75 percent- working in the Documents Sales Service. The Service is
responsible for publication sales and for the Agency and By Appendix IV:
Organization, Staffing,
Expenditures, and Functions of the Superintendent of Documents
Staffing
Library Programs Service Product Services Electronic Information
Dissemination Services
Electronic Product Development Documents Control Branch Sales Management
Division Bibliographic Systems Branch
Promotion and Advertising Branch Superintendent of Documents
Publication Order Branch Order Division Mail List Branch
Receipts and Processing Branch Document Sales Service Retail Distribution
Laurel Operations
Warehouse Division Pueblo Branch Field Operations Division
Bookstore Branch Documents Technical Support Group
GPO Access User Support Team See figure 10 See figure 10
See figure 10 Operations Branch
Planning and Development Branch Depository Services
Library Division Cataloging Branch Depository Administration Branch
Depository Processing Branch Depository Distribution Division
Depository Mailing Branch
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 31 GAO- 01- 428 Electronic Dissemination
Law Distribution Programs. It operates phone, fax, and electronic order
services in Washington, D. C., and Pueblo, Colorado, and retails
publications through consignment agents and GPO bookstores.
The next largest Superintendent of Documents unit- the Library Programs
Service- has 106 employees, or about 18 percent of the total of 597 (table
1). The Service manages and operates the Cataloging and Indexing program,
the Federal Depository Library Program, and the International Exchange
Service.
The remaining two units- Electronic Information Dissemination Services and
the Documents Technical Support Group- employ 22 and 17 people,
respectively, or less than 6 percent of the 597 positions. The Office of
Electronic Information Dissemination Services assists federal agencies in
electronic dissemination, supports the sales program and the sale of
electronic products, and provides strategic planning and customer support
for GPO Access. It relies largely on GPO's Production Department for the
development, operation, and maintenance of GPO Access. Finally, the
Documents Technical Support Group provides management support and services
to the Superintendent of Documents.
GPO recognizes 16 labor unions, and two of these represent Superintendent of
Documents employees: the American Federation of Government Employees (AFGE)
and the Graphics Communications International Union (GCIU). Superintendent
of Documents employees represented by AFGE belong to one of two locals:
AFGE- PCJC or Local 3392. Under the provisions of the Federal Service Labor-
Management Relations statute, GPO deals with unions on all personnel
policies, practices, and matters affecting working conditions other than
wages. Wages are negotiated under the provisions of section 305 of Title 44,
known as the Kiess Act. The three locals represent 402 positions of the
Superintendent of Documents, or about three fourths of all Superintendent of
Documents employees (table 1).
Table 1: Office of the Superintendent of Documents FTE a Allocations by
Organization and Positions Represented by Unions, Fiscal Year 2000
Organization FTEs Represented positions
Superintendent of Documents 3 2 Library Programs Service 106 93 Electronic
Information Dissemination Services 22 14
Union Representation
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 32 GAO- 01- 428 Electronic Dissemination
Organization FTEs Represented positions
Documents Sales Service 450 278 Documents Technical Support Group 17 15
Total 597 402
a FTEs are annualized FTE usage. FTE numbers do not add correctly because of
rounding errors. Source: GPO.
AFGE was founded in 1932 and is the largest federal employee union,
representing over 600,000 federal and District of Columbia government
workers nationwide and overseas. GCIU, a product of a series of mergers
among predecessor craft unions, was established in 1983. AFGErepresented
staff employed by the Superintendent of Documents include librarians,
program analysts, writer- editors, office automation specialists,
publication management specialists, marketing research analysts, supply
technicians, customer accounts technicians, and inventory management
specialists. GCIU- represented staff employed by the Superintendent of
Documents include warehouse workers, materials handlers, stock handlers,
motor vehicle operators, and printing plant workers.
Among the three locals, AFGE- PCJC represents about three- fourths of all
represented positions at the Superintendent of Documents (294). AFGE3392 and
GCIU members represent 9 percent (35 positions) and 18 percent (73
positions), respectively, of total union representation at the
Superintendent of Documents.
According to GPO, in February 2001 the Superintendent of Documents employed
569 people in various locations. As shown in table 2, about 44 percent of
the 569 employees are eligible for retirement (109 employees) or early
retirement (139). The largest group of employees (156) eligible for
retirement or early retirement is found in Washington, D. C., followed by 56
employees in Laurel, Maryland, 18 employees in Pueblo, Colorado, and 18
employees in bookstores around the country. Table 3 shows GPO- reported
employee retirement eligibility by grade.
Table 2: Retirement Eligibility Status of Superintendent of Documents
Employees by Location
Retirement eligibility status Washington Laurel Pueblo Bookstore
locations Total
Eligible for retirement 59 37 6 7 109
Eligible for early retirement 97 19 12 11 139
Staff Location and Retirement Eligibility
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
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Page 33 GAO- 01- 428 Electronic Dissemination
Retirement eligibility status Washington Laurel Pueblo Bookstore
locations Total
Not eligible for retirement 196 41 30 49 316
Not eligible for federal retirement 0 2 0 3 5 Total 352 99 48 70 569
Source: GPO.
Table 3: Retirement Eligibility Status of Superintendent of Documents
Employees by Grade and Pay Plan
Grade Pay plan
Eligible for early retirement Eligible for
retirement Not
eligible for retirement
Temporary employees not eligible for federal
retirement Total
00 a WG b 2 25 09 00 PG c 0 01 01 01 WG 0 0 2 0 2
03 WG 3 12 2 0 17
03 PG 0 0 1 0 1
04 WG 4 1 17 0 22
04 PG 0 2 5 3 10
05 WG 9 7 8 0 24
05 PG 16 18 78 2 114
05 WS d 0 01 01 06 WG 1 3 6 0 10
06 PG 30 13 60 0 103
07 WG 0 0 2 0 2
07 PG 13 9 26 0 48
08 PG 10 5 4 0 19
09 WG 0 1 0 0 1
09 PG 19 15 42 0 76
10 PG 3 0 1 0 4
11 PG 11 12 21 0 44
12 PG 11 7 20 0 38
13 PG 2 1 11 0 14
14 PG 4 1 2 0 7
15 PG 1 0 1 0 2 Total 139 109 316 5 569
a 00 Administratively established grade for wage rate (WG) supervisory plant
workers b WG All wage grade workers are covered by the Kiess Act c PG
Printing office grade similar to General Schedule (GS) grades in the
executive branch d WS Supervisory wage grade employee
Source: GPO.
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 34 GAO- 01- 428 Electronic Dissemination
Table 4 shows expenditures for the major organizational units of the
Superintendent of Documents in fiscal year 2000. According to GPO, the
Superintendent of Documents spent $92. 8 million in fiscal year 2000. The
Documents Sales Service (DSS) accounted for 62 percent of the Superintendent
of Documents fiscal year 2000 expenditures; DSS and the Library Programs
Service (LPS) combined account for 90 percent of expenditures.
Table 4: Office of the Superintendent of Documents Expenditures by
Organization, Fiscal Year 2000 Object classification
Office of the Superintendent of
Documents Library
Programs Service
Electronic Information Dissemination
Services Documents Sales Service
Documents Technical
Support Group Totals
Total personnel compensation and benefits $3,633,052 a $7,798,163 $1,284,012
$23,442,862 $1,114,999 $37,273,088
Travel and transportation 9,243 2,034,570 22,703 3, 092,265 2,219 5,161,000
Rents, communications, and utilities 334,341 645,278 224,322 5, 920,961
166,246 7,291,148
Printing and reproduction - 13,467,020 - 381,980 - 13,849,000
Other contractual services 120,359 509,847 118,306 1, 326,950 13,538
2,089,000
Materials and supplies 140,522 425,274 336,638 1, 241,282 18,284 2,162,000
Depreciation and amortization 372,627 169,117 204,866 282,390 - 1,029,000
Information technology - 702,301 1, 134,923 1,636,688 - 3,473,912
Cost of publications sold --- 12,887,528 - 12,887,528
General sales postage --- 4,804,852 - 4,804,852
Surplus publications expense --- 2,789,707 - 2,789,707 Total expenses
$4,610,144 $25,751,570 $3,325,770 $57,807,465 $1,315,286 $92,810,235
a Includes allocated costs. . Source: GPO.
Tables 5 and 6 show the fiscal year 2000 expenditures for the seven major
programs conducted by the Office of the Superintendent of Documents.
According to GPO, the Salaries and Expense (S& E) appropriation provides
funds for labor and related expenses for five of the Office's seven programs
(table 5): (1) Cataloging and Indexing, (2) the Federal Depository Library
Program, (3) GPO Access, (4) By- Law Distribution, and Expenditures
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
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Page 35 GAO- 01- 428 Electronic Dissemination
(5) the International Exchange Service. The remaining two programs- Agency
Distribution Services and Sales of Publications- are funded from the GPO
Revolving Fund (table 6). In addition to these two programs, the Revolving
Fund finances the printing and binding operations managed by the Public
Printer.
As shown in table 5, most of the Superintendent of Documents S& E
appropriations were allocated to the Federal Depository Library Program,
with expenditures of almost $26 million, or about 87 percent of the fiscal
year 2000 S& E appropriations. The Cataloging and Indexing program expended
about $2.7 million, or about 9 percent of the S& E appropriations, while the
By- Law Distribution Program and the International Exchange Service spent
about $529,000 and $687,000, respectively.
Table 5: Office of the Superintendent of Documents S& E Expenditures by
Program, Fiscal Year 2000
Program FY 2000
expenditures ($ K)
Cataloging and Indexing $2,737 Federal Depository Library Program (includes
GPO Access) 25,919 By- Law Distribution Program 529 International Exchange
Service 687
Total $29,872
Source: GPO.
According to GPO, Sales of Publications and the Agency Distribution Services
Program are funded through GPO's Revolving Fund (table 6). Expenses as they
occur are drawn from the Revolving Fund, and revenues from sales and agency
transfers replenish it. In fiscal year 2000, sales expenses were about $57.7
million and sales revenues were $45.5 million, resulting in a net deficit to
the Revolving Fund of about $12.2 million. The Agency Distribution Services
Program generated a surplus in fiscal year 2000 of about $85,000 on expenses
of approximately $5.1 million and revenues of approximately $5.2 million.
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 36 GAO- 01- 428 Electronic Dissemination
Table 6: Office of the Superintendent of Documents Revolving Fund Expenses
and Receipts by Program, Fiscal Year 2000
Program FY 2000
expenses ($ K)
FY 2000 revenue
($ K) Profit (loss) ($ K)
Sales of Publications $57,697 $45,479 ($ 12,218) Agency Distribution
Services Program $5,130 $5,215 $85
Source: GPO.
The Library Programs Service, with 106 employees, is the second largest of
the Superintendent of Documents' major units. As shown in figure 8, the
Library Programs Service is made up of two major units, the Library Division
and the Depository Distribution Division, which are further subdivided.
Figure 8: Library Programs Service Organization
Source: GPO.
The Library Programs Service administers the Federal Depository Library
Program and the Cataloging and Indexing program, and manages the
distribution component of the International Exchange Service for the Library
of Congress. Historically, these programs have been carried out through
seven basic functions: distribution/ dissemination, bibliographic control of
government information products in all formats, acquisition, classification,
format conversion, the inspection of depository libraries; and the
continuing education and training of depository library personnel. The
electronic information environment has created an eighth function, that of
preservation of electronic government information for permanent Library
Programs
Service Functions
Depository Services Library Division Cataloging Branch
Depository Administration Branch Depository Processing Branch Depository
Distribution Division
Depository Mailing Branch Documents Technical Support Group
Library Programs Service Electronic Information Dissemination Services
Superintendent of Documents
Document Sales Service
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 37 GAO- 01- 428 Electronic Dissemination
public access. This is done through the management of the FDLP Electronic
Collection.
According to GPO, the Library Programs Service expended about $26 million in
fiscal year 2000 (table 7). Printing and reproduction costs were over $13
million, which accounted for over 50 percent of its fiscal year 2000 budget.
Compensation and benefits accounted for about $8 million (30 percent) of the
unit's fiscal year 2000 budget.
Table 7: Library Programs Service Expenditures, Fiscal Year 2000 Account FY
2000 expenditures
Total personnel compensation and benefits $7,798,163 Travel and
transportation 2,034,570 Rents, communications, and utilities 645,278
Printing and reproduction 13,467,020 Other contractual services 509,847
Materials and supplies 425,274 Depreciation and amortization 169,117
Information technology 702,301
Total $25,751,570
Source: GPO.
The Library Division is responsible for managing Depository Services, the
Cataloging Branch, and the Depository Administration Branch.
Depository Services. Depository Services designates new depository
libraries, inspects participating libraries, administers self- studies,
provides continuing education and training, and produces administrative
publications. Its staff is responsible for relations with the federal
depository libraries. Individual depository libraries are inspected for
compliance with the requirements of 44 U. S. C. Chapter 19, by means of
onsite visits. The staff also manages the designation of new depository
libraries and terminates libraries upon their request or for cause, and
reviews the depository libraries' self- studies to determine if on- site
visits are warranted. It also investigates and acts to resolve complaints
about services in participating libraries.
The Depository Services staff also develops and administers the Biennial
Survey of Depository Libraries and manages the continuing education
components of the FDLP. This function consists primarily of arranging the
annual Federal Depository Library Conference. The Services staff oversees
Expenditures
Library Division
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 38 GAO- 01- 428 Electronic Dissemination
the Library Programs Service's administrative publishing effort, including
the publication of the Administrative Notes newsletter, the conference
proceedings, and the depository library Manual and Guidelines.
Cataloging Branch. The Cataloging Branch provides descriptive and subject
cataloging (i. e., library- standard descriptions of content and other
attributes) for a wide range of government publications in all formats and
media. These bibliographic records contain numerous data elements, including
author, title, publishing agency, date, Superintendent of Documents class
number, etc. The cataloging records are entered into the OCLC (Online
Computer Library Center, Inc.) system via the Internet. The principal
outputs of the Branch are the cataloging records themselves, which are
distributed in machine- readable format via the Library of Congress'
Cataloging Distribution Service, the online Catalog of U. S. Government
Publications on GPO Access, and the printed Monthly Catalog. The Branch also
searches the Web to discover electronic documents that federal agencies have
not provided to the FDLP.
Depository Administration Branch. The Depository Administration Branch
manages document acquisition, maintains shipping lists, tracks fugitive
publications, develops item selection lists, acts as the documents
distribution agent to the foreign libraries in the International Exchange
Service program, and maintains the GPO Classification Manual and List of
Classes.
The Depository Distribution Division manages both the Federal Depository
Library and the International Exchange Service distribution programs through
the physical receipt, storage, handling, and mailing of tangible government
publications. The Division uses the Automated Depository Distribution System
(ADDS) to guide the physical distribution of publications to depository
libraries. The Division also coordinates, negotiates, and manages
interagency agreements- primarily for products such as maps- as well as
standby contracting and delivery carrier contracts to support distribution
programs. In fiscal year 2000, the Division distributed an average of
102,500 copies weekly through the depository library program and about 6,900
copies weekly through the International Exchange Service program.
Depository Processing Branch. The Depository Processing Branch uses ADDS to
perform the physical distribution of publications to depository libraries.
Depository Distribution
Division
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 39 GAO- 01- 428 Electronic Dissemination Depository Mailing Branch. The
Depository Mailing Branch is
responsible for packaging, weighing, and shipping materials sent through the
Federal Depository Library and International Exchange Service programs. This
Branch also processes claims for nonreceipt of publications from the
participating depository libraries.
The Office of Electronic Information Dissemination Services (EIDS) employs
22 workers and is made up of three units (figure 9): Product Services, the
GPO Access User Support Team, and the Electronic Product Development Team.
Figure 9: Office of Electronic Information Dissemination Services
Organization
Product Services Electronic Product Development GPO Access User Support Team
Documents Technical Support Group
Library Programs Service Electronic Information Dissemination Services
Superintendent
of Documents Document Sales Service
Source: GPO.
EIDS is responsible for assisting federal agencies in disseminating their
electronic government publications through the Superintendent of Documents.
The Office works with the GPO Production Department in all stages of
development, from the creation, implementation, and maintenance of
electronic products to their final sale through GPO Access, including
customer support and training. This function includes advising agencies of
alternative dissemination platforms and helping them define their
requirements for electronic dissemination.
The Office also performs strategic planning for the GPO Access program and
establishes the program's policies, procedures, and budget. The GPO Access
Internet servers and Web sites are operated and maintained by staff of the
GPO Production Department.
According to GPO, EIDS expended about $3.3 million in FY2000 (table 8).
About $1.3 million, or 39 percent, of the EIDS budget went for compensation
and benefits. Over $1.1 million of FY2000 expenditures were Electronic
Information Dissemination Services
Functions Expenditures
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 40 GAO- 01- 428 Electronic Dissemination
for information technology- including the operations and maintenance of GPO
Access- provided on a reimbursable basis by GPO's Production Department.
Table 8: Office of Electronic Information Dissemination Services
Expenditures, Fiscal Year 2000
Account FY 2000 expenditures
Total personnel compensation and benefits $1,284,012 Travel and
transportation 22,703 Rents, communications, and utilities 224,322 Other
contractual services 118,306 Materials and supplies 336,638 Depreciation and
amortization 204,866 Information technology 1, 134,923
Total $3,325,770
Source: GPO.
The Product Services group manages the Web content of GPO Access and
develops GPO Access participation and training programs, promotional
materials, training guides, and operational manuals. The group also manages
the Federal Bulletin Board and administers the U. S. Fax Watch System. Fax
Watch is a free fax- on- demand service that provides information on the
products and services available from the Superintendent of Documents.
The GPO Access User Support Team provides support to GPO Access users. The
Team also supports electronic product sales and users of GPO's U. S.
Government Online Bookstore.
The Electronic Product Development Team develops new electronic products for
federal agencies and develops proposals to meet agency electronic publishing
needs.
The Documents Sales Service includes four major units (figure 10): the Sales
Management Division, the Order Division, the Field Operations Division, and
Laurel Operations, which includes the Warehouse Division and Retail
Distribution. The Documents Sales Service (DSS) is the Superintendent of
Documents' largest entity, with 450 (about 75 percent) of its 597 employees.
Product Services
GPO Access User Support Team
Electronic Product Development Team
Documents Sales Service
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 41 GAO- 01- 428 Electronic Dissemination
Figure 10: Documents Sales Service Organization
Source: GPO.
The Documents Sales Service purchases, warehouses, announces, and
distributes government documents in agreement with Titles I and 44 of the U.
S. Code. Functions performed by this group include providing subscription
services for government publications and selling single publications. The
Service operates phone, mail, fax, and electronic order services at the
central office in Washington, D. C., and in Pueblo. It also Functions
Documents Control Branch Sales Management Division Bibliographic Systems
Branch
Promotion and Advertising Branch Publication Order Branch Order Division
Mail List Branch
Receipts and Processing Branch Publication Branch Subscription Branch Retail
Distribution
Retail Sales Branch Laurel Operations Consigned Sales Branch
Storage Branch Warehouse Division Receiving Branch
Shipping Branch Pueblo Branch Field Operations Division
Bookstore Branch Main GPO Bookstore Atlanta Bookstore Birmingham Bookstore
Boston Bookstore Chicago Bookstore Cleveland Bookstore Columbus Bookstore
Dallas Bookstore Denver Bookstore Detroit Bookstore Houston Bookstore
Jacksonville Bookstore
Kansas City Bookstore Los Angeles Bookstore Milwaukee Bookstore New York
Bookstore Philadelphia Bookstore Pittsburgh Bookstore Portland Bookstore
Pueblo Bookstore San Francisco Bookstore Seattle Bookstore Washington, D.
C., Bookstore Documents Technical Support Group
Library Programs Service
Electronic Information Dissemination Services
Superintendent of Documents
Document Sales Service
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 42 GAO- 01- 428 Electronic Dissemination
sells publications through government consigned sales agents and GPO
bookstores, and provides By- Law and Agency Distribution Services for
Congress, the General Services Administration, and other federal agencies.
Products may be ordered in person at GPO Bookstores, via e- mail, mail, or
through the GPO Online Bookstore.
The Documents Sales Service is funded through GPO's Revolving Fund.
According to GPO, in fiscal year 2000, DSS expended about $58 million (table
9). About $23 million- 41 percent- of DSS expenditures in the same year went
for personnel compensation and benefits. Almost $13 million of DSS' expenses
were for the cost of publications sold.
Table 9: Documents Sales Service Expenditures, Fiscal Year 2000 Account FY
2000 expenditures
Total personnel compensation and benefits $23,442,862 Travel and
transportation 3,092,265 Rents, communications, and utilities 5,920,961
Printing and reproduction 381,980 Other contractual services 1,326,950
Materials and supplies 1, 241,282 Depreciation and amortization 282,390
Information technology 1, 636,688 Cost of publications sold 12,887,528
General sales postage 4, 804,852 Surplus publications expense 2, 789,707
Total $57,807,465
Source: GPO.
The Sales Management Division is responsible for product acquisition,
pricing, inventory management, outreach to federal agency publishers, market
research, customer surveys, and product promotion and advertising. The
Division also maintains and updates bibliographical information and catalogs
documents. The Division is made up of three units (see figure 10): the
Documents Control Branch, the Bibliographic Systems Branch, and the
Promotion and Advertising Branch. It employs 56 workers.
Documents Control Branch. The Documents Control Branch selects and purchases
information products for sale and provides inventory management of sales
products. Funding and Expenditures
Sales Management Division
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 43 GAO- 01- 428 Electronic Dissemination Bibliographic Systems Branch.
The Bibliographic Systems Branch
creates, updates, and maintains bibliographic information for the Sales of
Publications Program. This information is used to create the sales product
catalog and other products to identify materials for sale.
Promotion and Advertising Branch. The Promotion and Advertising Branch
provides promotional and advertising services in support of all
Superintendent of Documents programs.
The Order Division manages the clerical processes in the fulfillment of
requests for sales publications and subscriptions, deals with congressional
sales correspondence and inquiries, maintains sales information, processes
customer complaints, and establishes book dealer and reseller accounts. The
Division is made up of three units (see figure 10): the Publication Order
Branch, the Mail List Branch, and the Receipts and Processing Branch. The
Order Division had 145 employees in fiscal year 2000.
Publication Order Branch. The Publication Order Branch receives telephone
inquiries and orders via the Order Desk and handles mail inquiries and
publication customer complaints.
Mail List Branch. The Mail List Branch processes requests for subscription
services, maintains various mailing lists (including reimbursable mailing
lists, standing order customer lists, and marketing lists), and responds to
subscription customer complaints.
Receipts and Processing Branch. The Receipts and Processing Branch opens and
organizes mail and manages various accounts, including deposit accounts,
government accounts, bookstore transaction accounts, and consigned sales
agent accounts. The Branch also handles customer refunds.
The Laurel Operations unit employs 105 personnel and is made up of two
divisions (see figure 10): the Retail Distribution Division and the
Warehouse Division. The Retail Distribution Division supports processing of
sales and federal agency reimbursable customer orders, while the Warehouse
Division is responsible for receiving and shipping. The Laurel Operations
unit is housed in two buildings, but in a recent GPO costsavings
reorganization, it relinquished 23,563 square feet to storage of paper.
Order Division
Laurel Operations
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 44 GAO- 01- 428 Electronic Dissemination
The Laurel Operations unit provides oversight of the Retail Distribution and
Warehouse Divisions, including the operation of the Receiving, Storage, and
Shipping Branches. Specifically, Laurel Operations
? ensures that all stock received in the Laurel complex conforms to contract
specifications,
? manages bulk orders, addition or removal of items from bulk storage, and
bulk quantities of all sales, By- Law Distribution, and reimbursable stock,
? deals with procedural issues regarding the shipping control and shipping
operation sections, including shipment of outgoing orders,
? prepares and maintains government bills of lading,
? manages the pickup and delivery of materials in the Laurel complex by GPO
truck drivers, and
? processes subscriptions and mails subscription and nonsubscription items.
The Retail Distribution Division is responsible for the processing of sales
and federal agency reimbursable customer orders. The Division employs 72
people. The functions of its branches are given in table 10.
Table 10: Functions of Branches of Retail Distribution Division Branch
Function
Publications Branch Processes and ships sales customer orders Subscription
Branch Processes and ships subscription items to customers Retail Sales
Branch Stocks and sells selected products to the public Consigned Sales
Branch Responsible for the Agency Distribution Services Program;
processes orders or distributes agency copies on a reimbursable basis
The Warehouse Division is responsible for receiving, storing, and shipping
publications purchased by the Superintendent of Documents for its Sales of
Publications program. Its branches perform receiving, storage, and shipping
activities for both the Sales and Consigned Publications Programs (see table
11). It employs 30 staff. Retail Distribution Division
Warehouse Division
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 45 GAO- 01- 428 Electronic Dissemination
Table 11: Functions of Branches of Warehouse Division Branch Function
Storage Branch Stores product stock and supplies in bulk storage and
performs pulls and distributions from bulk storage Receiving Branch
Responsible for the receipt of all product stock, supplies, and
returned mail delivered to the Laurel Distribution Complex (LDC); performs
the initial distribution of items within LDC Shipping Branch Responsible for
shipping bulk orders via transportation carriers;
uses a fleet of trucks to pick up and deliver items to customers and
Congress
The Field Operations Division oversees 23 bookstores nationwide, providing
local access to government information. The Division runs the Sales Agent
Program, which allows federal agencies to sell publications on behalf of
GPO, and operates the Public Documents Distribution Center at Pueblo,
Colorado. The Division employs 139 personnel, 46 in the Pueblo Branch and 93
in the Bookstore Branch. Table 12 gives details of the branch functions.
Table 12: Functions of Branches of Field Operations Division Branch Function
Pueblo Branch Operates the Consumer Information Center, Pueblo, which
distributes publications listed in the Consumer Information Catalog;
provides custom mail processing, provides inventory and distribution
services for Center, and manages publication sales. Bookstore Branch
Operates 23 GPO bookstores (figure 10)
The Documents Technical Support Group has two branches (figure 11): the
Operations Branch and the Planning and Development Branch. The Group, with
17 employees, is the smallest of the four Superintendent of Documents
operating units.
The Documents Technical Support Group provides management and support
services for Superintendent of Documents programs. Functions performed by
this group include defining requirements for automated systems and working
with other Superintendent of Documents units on implementation, as well as
conducting annual, cyclical, and special inventory projects. The Group is
also responsible for control of the quality assurance, policy and
procedures, and forms management programs, and serves as a liaison with
Personnel Services and Financial Management Services on personnel programs,
payroll, and budgetary matters. It Field Operations Division
Documents Technical Support Group
Functions
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 46 GAO- 01- 428 Electronic Dissemination
provides management and support services essential to the successful
operation of Superintendent of Documents programs.
Figure 11: Documents Technical Support Group Organization
Operations Branch Documents Technical Support Group
Planning and Development Branch Library Programs Service
Electronic Information Dissemination Services Superintendent of Documents
Document Sales Service
Source: GPO.
Documents Technical Support Group expenditures (table 13) were the smallest
of the Superintendent of Documents' operating units. According to GPO, in
FY2000, the Group expended about $1.3 million. About 85 percent of its
expenditures were for personnel compensation and benefits; most of the
remaining expenditures were for rents, communications, and utilities.
Table 13: Documents Technical Support Group Expenditures, Fiscal Year 2000
Account FY 2000 expenditures
Total personnel compensation and benefits $1,114,999 Travel and
transportation 2,219 Rents, communications, and utilities 166,246 Printing
and reproduction -
Other contractual services 13,538 Materials and supplies 18,284
Total $1,315,286
Source: GPO.
The Planning and Development Branch serves as the central coordination point
for Superintendent of Documents- wide plans and programs, manages automated
data processing (ADP) systems development for the Superintendent of
Documents organization, serves as coordination point with the GPO Office of
Information Resources Management and outside information system contractors,
and reviews all information system requests to assure compatibility and
consistency with overall data automation goals and objectives. Expenditures
Planning and Development Branch
Appendix IV: Organization, Staffing, Expenditures, and Functions of the
Superintendent of Documents
Page 47 GAO- 01- 428 Electronic Dissemination
The Operations Branch serves as the central coordination and control point
for Superintendent of Documents activities that cross organizational and
functional lines; manages the Documents Reports, Forms, Policies and
Procedures, Directives, Property, Space Utilization, and Quality Assurance
programs; and is responsible for Superintendent of Documents automated
annual and cyclical inventory programs. Operations Branch
Appendix V: Programs of the Superintendent of Documents
Page 48 GAO- 01- 428 Electronic Dissemination
The Superintendent of Documents manages seven major programs: (1) Cataloging
and Indexing of federal documents, (2) the Federal Depository Library
Program (FDLP), which is responsible for distributing federal documents to
over 1,300 participating libraries, (3) GPO Access, (4) the International
Exchange Service (IES), which provides for the distribution of government
publications to foreign libraries in exchange for publications produced by
their governments, (5) the By- Law Distribution Program, focused on the
distribution of government printed materials as directed by law, (6) the
Sales of Publications program, with 23 bookstores as well as telephone and
mail- order sales operations, and (7) the Agency Distribution Services
Program, which mails, at the request of agencies and members of Congress,
certain publications specified by law.
Cataloging and indexing are the tools used by the Superintendent of
Documents to identify and organize government publications by title,
subject, and agency, and provide this information to users through indexes,
catalogs, and online retrieval systems. The Cataloging and Indexing Branch
of the Library Programs Service manages the Cataloging and Indexing program
with assistance from the staff of the Depository Administration Branch, who
assign the Superintendent of Documents classification number to government
publications. The Cataloging Branch publishes- under the legal authority of
Title 44 U. S. C. 1710 and 1711- the Monthly Catalog of United States
Government Publications (MOCAT). MOCAT is made up of bibliographical records
of government publications in tangible and electronic media published by all
three branches of the government. The program maintains an online version of
MOCAT called the Catalog of Government Publications (CGP). Records are added
to the CGP daily, with about 22,000 records added annually. The CGP provides
links from bibliographic citations to electronic documents.
The Cataloging Branch also produces the U. S. Congressional Serial Set
Catalog, establishes and maintains cataloging guidelines and policies,
corrects catalog records, and prepares machine- readable cataloging records
for the Online Computer Library Center, Inc. (OCLC) system. In fiscal year
2000, 30,124 titles were classified by the Depository Administration Branch,
and 18,552 titles were cataloged by the Cataloging Branch (figure 12). This
work was performed by 23 staff members at a cost of $2.7 million. Appendix
V: Programs of the Superintendent
of Documents Cataloging and Indexing Program
Appendix V: Programs of the Superintendent of Documents
Page 49 GAO- 01- 428 Electronic Dissemination
Figure 12: Number of Titles Classified and Cataloged, Fiscal Years
1991– 2000
Titles 30,833
18,552 24,708
18,264 23,114 31,764
29,426 37,737
23,245 33,577
27,252 24,397 35,000 58,604
62,001 32,736 30,124 32,025 37,625
16,000 21,000
26,000 31,000
36,000 41,000
46,000 51,000
56,000 61,000
66,000 71,000
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Cataloged Classified
32,599 Source: GPO.
As shown in figure 12, the cataloging and indexing workload has steadily
decreased from fiscal year 1991, when the Branch classified 62,000 titles
and cataloged 29,000 titles, to fiscal year 2000, with 30, 000 titles
classified and 19,000 cataloged. The program is dependent on the Internet
and the OCLC systems for the production of bibliographic records. Once
created, the records are provided to GPO mainframe systems supporting
various programs managed by the Superintendent of Documents.
The depository library program is a national network of depository libraries
1 designed to ensure free public access to government information. One of
the largest Superintendent of Documents programs, it focuses on
1 A depository library is an existing public, governmental, or college
library designated, in accordance with certain criteria (44 U. S. C. 1909),
to receive for deposit in its collections, without charge, certain federal
publications, which it selects from offerings that are available for this
purpose from the Superintendent of Documents. In return, the depositories
pledge to provide free access to all depository library users. Federal
publications received by the regional depository libraries must be retained
permanently. Federal Depository
Library Program
Appendix V: Programs of the Superintendent of Documents
Page 50 GAO- 01- 428 Electronic Dissemination
the acquisition and distribution of depository materials and the
coordination of over 1,300 federal depository libraries in the 50 states,
the District of Columbia, and U. S. territories.
Libraries that have been designated federal depositories maintain these
information products as part of their existing collections and are
responsible for ensuring that the public has free access to the material
provided by the FDLP. Fifty- three of these libraries are designated
regional libraries. Regional libraries receive all materials distributed
through the FDLP and are required to retain all received government
documents in perpetuity, although they may withdraw superseded publications
from their collections. An advisory group representing the library and
information community- the Depository Library Council- assists GPO in
identifying and evaluating alternatives for improving public access to
government information through the program. Established in 1972, the
15member Council is structured to provide the Public Printer with a diverse
range of opinion and expertise.
The Library Division is responsible for managing the Cataloging Branch, the
Depository Administration Branch, and Depository Services.
The Depository Distribution Division manages the distribution programs of
both the Federal Depository Library and the International Exchange Service
through the physical receipt, storage, handling, and mailing of tangible
government publications. The Division also coordinates, negotiates, and
manages interagency agreements, as well as stand- by contracting and
delivery carrier contracts to support distribution programs. In fiscal year
2000, it distributed 27,761 tangible titles, including 12,422 paper titles,
14,572 microfiche titles, and 617 electronic titles.
As shown in figure 13, the volume of titles in paper and microfiche formats
distributed to the participating libraries declined significantly during the
last decade. The distribution of paper titles shrank by 8,714 titles, from
21,186 titles in fiscal year 1991 to 12,472 titles in fiscal year 2000.
During the same period, the distribution of microfiche titles shrank by
20,679 titles, from 35, 251 in fiscal year 1991 to 14,572 titles in fiscal
year 2000.
Appendix V: Programs of the Superintendent of Documents
Page 51 GAO- 01- 428 Electronic Dissemination
Figure 13: Number of Paper and Microfiche Titles Distributed to Depository
Libraries, Fiscal Years 1991– 2000
Source: GPO.
The decline in the number of distributed titles was reflected in the decline
in the number of distributed copies. As shown in figure 14, the volume of
distributed paper copies distributed during the last decade declined by
3,379,000 copies, from 9, 303,000 copies in fiscal year 1991 to 5,924,000
copies in fiscal year 2000. An even larger decline was experienced in the
number of distributed microfiche copies, which declined during the same
period by 11,088,000 copies, from 17,141,000 copies in fiscal year 1991 to
6,053,000 copies in fiscal year 2000.
Titles 26,856 17,466
13,216 12,422 12,759
11,867 14,268 15,267 20,755
19,254 21,186 16,347 25,740
33,544 35,251
51,214 29,070
25,394 14,572 14,465
0 10,000
20,000 30,000
40,000 50,000
60,000 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Paper Microfiche
Appendix V: Programs of the Superintendent of Documents
Page 52 GAO- 01- 428 Electronic Dissemination
Figure 14: Number of Paper and Microfiche Copies Distributed to Depository
Libraries, Fiscal Years 1991– 2000
Source: GPO.
As shown in figures 15 and 16, a similar decline was experienced in the
distribution of electronic titles and copies- including CD- ROMs, DVDs, and
diskettes. Although the volume of the distributed electronic titles
initially increased between fiscal years 1992 and 1998, it declined during
the last two years, from 836 titles in fiscal year 1998 to 617 titles in
fiscal year 2000. Similarly, there was a decline in the number of
distributed copies, from the peak of 341,105 copies distributed in fiscal
year 1997 to 240,965 copies distributed in fiscal year 2000.
Copies (in millions) 9.7 21.1
6.1 5.9 9.3
8.5 7.1
6.1 6.1 5.6 7.2
9.8 9.6 12.6
8.0 6.0 5.7 9.7
7.1 17.1
0 5
10 15
20 25
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Paper Microfiche
Appendix V: Programs of the Superintendent of Documents
Page 53 GAO- 01- 428 Electronic Dissemination
Figure 15: Number of Electronic Titles Distributed to Depository Libraries,
Fiscal Years 1991– 2000
Titles 306
412 639
741 682 617 836
182 292
0 100
200 300
400 500
600 700
800 900
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Source: GPO.
Figure 16: Number of Electronic Copies Distributed to Depository Libraries,
Fiscal Years 1991– 2000
Copies 95,448
166,517 231,269
275,815 334,795
201,801 277,662
240,965 341,105
0 50,000
100,000 150,000
200,000 250,000
300,000 350,000
400,000 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Source: GPO.
Appendix V: Programs of the Superintendent of Documents
Page 54 GAO- 01- 428 Electronic Dissemination
GPO Access is the principal mechanism used by the Superintendent of
Documents for the electronic dissemination of government documents to the
public. Established by Public Law 103- 40, the Government Printing Office
Electronic Information Access Enhancement Act of 1993, GPO Access offers
free Web- based access to information from all three branches of the federal
government. The act requires that the Superintendent of Documents (1)
maintain an electronic directory of federal electronic information, (2)
provide a system of online access, and (3) operate an electronic storage
facility. In addition, Senate Report 103- 27 incorporated the Federal
Bulletin Board as the fourth component of GPO Access. The Federal Bulletin
Board is a free electronic bulletin board service of the Superintendent of
Documents, enabling agencies to provide the public with self- service access
to federal information in electronic form. The Bulletin Board is a component
of GPO Access, providing utility and support files for use with online,
searchable databases on GPO Access.
GPO Access also provides other Internet- related services on a reimbursable
basis to other federal agencies. These services include hosting of 16
federal agency Web sites and 32 agency databases of Government Information
Locator Service (GILS) 2 records.
GPO Access fulfilled approximately 17 million document retrievals per month,
with a total of more than 203 million retrievals in fiscal year 2000. Three
documents- the Code of Federal Regulations, the Federal Register, and the
Commerce Business Daily- accounted for over 172 million retrievals (85
percent of all the documents retrieved during this period).
A major part of the GPO Access site supporting the Superintendent of
Documents programs is the FDLP Electronic Collection. The collection is made
up of (1) core legislative and regulatory documents residing permanently on
GPO Access, (2) other remotely accessible documents maintained either by GPO
or by other institutions with which GPO has established formal agreements,
(3) remotely accessible documents that GPO identifies and links to but that
remain under the control of the originating agencies, and (4) tangible
electronic products, such as CDROMs, distributed to depository libraries. In
addition, GPO Access
2 GILS is an effort to identify, locate, and describe publicly available
federal information resources, including electronic information resources.
GILS records identify public information resources within the federal
government, describe the information available in these resources, and
assist in obtaining the information. GPO Access and the
FDLP Electronic Collection
Appendix V: Programs of the Superintendent of Documents
Page 55 GAO- 01- 428 Electronic Dissemination
provides access to Library Programs Service information pertaining to the
FDLP.
The Office of Electronic Information Dissemination Services (EIDS), a unit
of the Superintendent of Documents, manages strategic aspects of GPO Access,
while the GPO Production Department manages and operates GPO Access on a
day- to- day basis. The 22 EIDS employees are responsible for GPO Access
strategic planning, the Web content management of GPO Access products and
services, and the management of the Federal Bulletin Board. In addition,
EIDS is responsible for providing telephone, e- mail, and fax support to
users of GPO Access, and for electronic product sales and support. The day-
to- day operation and maintenance of GPO Access is carried out on a
reimbursable basis by the employees of the GPO Production Department.
The By- Law Distribution Program distributes- primarily by mail- documents
and other tangible information products for executive agencies and members
of Congress. Section 1701, Title 44, U. S. C. prohibits the use of
appropriated funds by federal departments and agencies to address, wrap,
mail, or otherwise dispatch a publication for public distribution, except
for certain specified materials. Such distribution work is required to be
performed at GPO with the use of agency mailing lists. Nine categories of
publications are specified for By- Law Distribution, including the Daily
Congressional Record, Legations, the Official Report of the Supreme Court,
and Presidential Documents. In fiscal year 2000, the program was supported
by about three FTEs, mostly in the Laurel Operations Center, and $529,000
was expended.
The International Exchange Service (IES) provides for the distribution of U.
S. government publications to nearly 48 nations with 70 libraries in
exchange for publications produced by their governments. Foreign
publications are sent to the Library of Congress, which administers the
program.
The Library Programs Service manages the distribution component of the
Library of Congress' IES program. The Depository Administration Branch is
responsible for acquiring publications and the Depository Mailing Branch is
responsible for packaging, weighing, and shipping materials to IES foreign
recipients. In fiscal year 2000, the Service distributed more than 360,000
paper, CD- ROM, and microfiche copies to 66 IES libraries. By- Law
Distribution
for Other Government Agencies and Members of Congress
International Exchange Service
Appendix V: Programs of the Superintendent of Documents
Page 56 GAO- 01- 428 Electronic Dissemination
The IES program cost $687,000 in fiscal year 2000 and employed four people.
On behalf of certain federal agencies, the Consigned Sales Branch of the
Documents Sales Service distributes publications to recipients designated by
agencies and charges for the cost of services performed. This is a Revolving
Fund activity. The program expended $5 million and employed 50 staff.
GPO sells government publications to the public for other government
agencies. Although most sales are made through mail and telephone orders,
the program operates 23 bookstores throughout the country and a distribution
center in Pueblo, Colorado.
Unlike most of the Superintendent of Documents programs, which are funded
through appropriations, the sales program is funded through the GPO
Revolving Fund. In fiscal year 2000, the program generated about $45 million
in revenues, with expenditures of $58 million- a loss of about $12.2
million. The program employed 450 people, with most of the employees
supporting order fulfillment and bookstore sales.
Almost 74 percent of the 563,000 sales orders in fiscal year 2000 were mail
orders, and there were 87,000 telephone and 58, 000 walk- in orders. As
shown in figure 17, the number of sales orders in fiscal year 2000 declined
from 1,597,000 in fiscal year 1991 to 686,000 in fiscal year 2000. GPO
officials believe that the shift from a print to an electronic format, with
titles now available free over the Internet, has substantially reduced the
demand for printed publications from GPO, especially for relatively
expensive publications, such as the Commerce Business Daily and the Federal
Register. Paper subscriptions to the Federal Register, for example, dropped
off more than 50 percent from fiscal year 1994 to fiscal year 2000. Agency
Distribution
Services Sales of Publications
Appendix V: Programs of the Superintendent of Documents
Page 57 GAO- 01- 428 Electronic Dissemination
Figure 17: Retail Sales Orders, Fiscal Years 1991– 2000
Source: GPO.
The decline in orders is reflected in the decline in revenues. Sales orders,
sales revenue, and profits have been declining in recent years. As shown in
figure 18, net sales revenues declined from $81.5 million in fiscal year
1991 to $45.9 million in fiscal year 2000. An additional factor contributing
to the mounting losses is the destruction of unsold documents. As noted
earlier, the sales program, as required by law, destroys a substantial
number of unsold or superseded documents every year. In fiscal year 2000, it
destroyed 1.9 million documents with a retail value of $22.3 million and an
actual cost of $2.8 million.
Dollars (in millions) 1.60 1.58
1.46 1.53 1.15 1.06 1.00
0.75 0.56 1.49
0.0 0.5
1.0 1.5
2.0 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Appendix V: Programs of the Superintendent of Documents
Page 58 GAO- 01- 428 Electronic Dissemination
Figure 18: Net Sales Revenue, Fiscal Years 1991– 2000
Dollars (in millions) 81.5 81.4 78.9
68.0 65.1 57.5
50.8 45.9 84.1
79.9 0 15
30 45
60 75
90 105
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year
Source: GPO.
As shown in figure 19, the sales program operates at a deficit, with a
cumulative loss of over $32 million between fiscal year 1996 and fiscal year
2000. The program lost over $12 million in fiscal year 2000.
Appendix V: Programs of the Superintendent of Documents
Page 59 GAO- 01- 428 Electronic Dissemination
Figure 19: GPO Retail Sales, Profit and Loss, Fiscal Years 1991– 2000
0.9 0.5 3.6
6.2 3.2
8.9 1.8
3.6
9.2
12.2
15
10
5 0
5 10
1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 Fiscal year Dollars (in
millions)
Source: GPO.
There are currently 23 GPO bookstores located in cities throughout the
United States. The GPO bookstore with the greatest sales is the main
bookstore in Washington, D. C., which accounted for $785,789 in fiscal year
2000 sales. The Cleveland bookstore has the least sales, with $179,390 in
fiscal year 2000 sales. Overall, however, GPO bookstores experienced a net
loss of just over $700,000 in fiscal year 2000, with the Chicago bookstore
losing over $250,000.
GPO's draft Sales Program 5- Year Plan (2001– 2006) identifies
numerous goals for achieving a revitalized and healthy sales program. These
goals included reducing inventory to only 15 percent of the amount
originally purchased, reducing the number of bookstores, enhancement of the
U. S. Government Online Bookstore, improving services to customers, and
establishing on- demand printing production for some types of printed items.
Appendix VI: Administrative Services and Infrastructure Support Provided to
the Superintendent of Documents
Page 60 GAO- 01- 428 Electronic Dissemination
The Office of the Superintendent of Documents and its four units- the
Library Programs Service, Electronic Information Dissemination Services
(EIDS), the Documents Sales Service, and the Documents Technical Support
Group- are provided space and other services on a reimbursable basis by GPO.
These services include
? administrative services, including payroll and personnel,
? rents, communications, and utilities, and
? information technology support. The cost allocation for these components
is shown in table 14.
Table 14: Cost Allocations for Administrative Services and Infrastructure
Support Provided to the Superintendent of Documents by GPO, Fiscal Year 2000
Service Office of the
Superintendent of Documents
Library Programs
Service Electronic
Information Dissemination
Services Documents Sales Service
Documents Technical Support Group Total
Administrative services and support $20,894 $983,891 $166,470 $3,411,562
$109,495 $4,692,312
Rents, communications, and utilities $334,341 $645,278 $224,322 $5,920,961
$166,248 $7,291,148
Information technology - $702,301 $1,134,923 $1,636,668 - $3,473,912
Source: GPO.
GPO provides to the Superintendent of Documents administrative services and
support, including payroll, other employee services, and services provided
by the Office of Inspector General, OIRM, and others. In fiscal year 2000,
the Superintendent of Documents expenses for administrative services and
support were about $4.7 million, according to GPO. The largest share of the
costs for administrative services and support- $3.4 million- was allocated
to the Document Sales Service.
In fiscal year 2000, the Superintendent of Documents expenses for the rents,
communications, and utilities provided by GPO were about $7.3 million. The
largest share of the costs for rents, communications, and utilities-$ 5.9
million- was allocated to the Document Sales Service. The costs to remaining
units were far smaller-$ 645,000 for the Library Programs Service, $334,000
for the Office of the Superintendent of Documents, $224, 000 for Electronic
Information Dissemination Services, Appendix VI: Administrative Services and
Infrastructure Support Provided to the Superintendent of Documents
Administrative Services
Rents, Communications, and Utilities
Appendix VI: Administrative Services and Infrastructure Support Provided to
the Superintendent of Documents
Page 61 GAO- 01- 428 Electronic Dissemination
and $166,000 for the Documents Technical Support Group. Table 15 shows space
allocation by organizational units.
Table 15: Space Provided to the Superintendent of Documents by GPO, Fiscal
Year 2000
Organizational unit Space in square feet
Office of the Superintendent of Documents 2, 238 Library Programs Service
43,658 Electronic Information Dissemination Services 5,673 Documents Sales
Service 51,351 Documents Technical Support Group 5,530
Total 108,450
Source: GPO.
GPO has approximately 240 staff providing IT support, with the majority
located in the Office of Information Resources Management (OIRM). The
Superintendent of Documents also receives support from the Production
Department. OIRM maintains and operates a mainframe computer and several
mainframe software systems used by the Library Programs Service to manage
the FDLP. The Production Department operates and maintains GPO Access for
the Superintendent of Documents. All headquarters units, including the
Superintendent of Documents, use GPO's local area network.
In fiscal year 2000, the Superintendent of Documents expenses for the
information technology provided by GPO were about $3.5 million. The largest
share of the information technology support cost was allocated to the
Document Sales Service ($ 1.6 million), followed by Electronic Information
Dissemination Services ($ 1. 1 million) and the Library Programs Service ($
700,000).
IT support is supplied to four programs: the FDLP, Cataloging and Indexing,
Sales of Publications, and GPO Access.
The FDLP is supported by four systems: (1) The Depository Distribution
Information System (DDIS), (2) the Acquisition, Classification and Shipment
Information System (ACSIS), (3) the Automated Depository Distribution System
(ADDS), and the System for the Automated Management of Text from a
Hierarchical Arrangement (SAMANTHA). The four systems are operated and
maintained by the GPO OIRM. One component of ADDS is maintained under
contract by its developer. These systems are described as follows:
Information
Technology (IT) Support
Appendix VI: Administrative Services and Infrastructure Support Provided to
the Superintendent of Documents
Page 62 GAO- 01- 428 Electronic Dissemination
1. DDIS maintains depository library address information, depository item
number selection profiles, item number and Superintendent of Documents
classification information, and an interface to ADDS. The DDIS databases
contain about 2.7 million records.
2. ACSIS is a large system with almost 1 million records. Its database
contains bibliographic information for all titles in the depository library
system that are ordered, received, processed, and distributed to depository
libraries. The system has an interface to DDIS for Superintendent of
Documents classification number, piece number, and shipping count
information.
3. ADDS (formerly known as the lighted bin system) was procured by
Engineered Systems, Inc., of Omaha. This system aids in the distribution of
government materials to over 1,300 depository libraries. ADDS guides the
physical distribution of publications to depository libraries by providing
visual cues- via lighted bins- to personnel, showing which libraries should
receive copies of the publications being distributed. ADDS operates with a
daily batch interface with DDIS for item number, shipping count, depository
address, and shipping list information. The ADDS database contains about
20,000 records. The system handling the actual lighting of the bins is
maintained by Engineered Systems. Follow- up audit trails and report
generation are performed on the OIRM mainframe.
4. SAMANTHA prepares OCLC bibliographic records in MARC (machinereadable
cataloging) format for publication of the printed version of the Monthly
Catalog, the Catalog of U. S. Government Publications, and the creation of
cataloging tapes sold by the Library of Congress.
The Library Programs Service is planning to replace these systems with an
off- the- shelf Integrated Library System (ILS) in fiscal year 2002.
However, if the depository library program were transferred to the Library
of Congress, much of the information system support currently provided by
the mainframe systems could be provided to the program by the Library's ILS.
The GPO Production Department supports the FDLP on a reimbursable basis. The
Department maintains the servers with the FDLP Electronic Collection,
develops interactive Web- based services for depository libraries- including
Library Directory and Biennial Survey- and maintains the servers where the
FDLP Desktop and Locator Services reside.
Appendix VI: Administrative Services and Infrastructure Support Provided to
the Superintendent of Documents
Page 63 GAO- 01- 428 Electronic Dissemination
GPO Access operates on more than 40 Compaq Alpha servers running the UNIX
operating system and a dedicated Fiber Distributed Data Interface ring.
Public access is provided through a broadband connection to GPO's Internet
service provider. Data are formatted and searched through the Wide Area
Information Service (WAIS). 1
In support of the Sales of Publications program, GPO has spent about $11
million since 1988 to develop and implement its Integrated Processing
System. The system is to replace 15 stand- alone legacy systems currently
supporting the Sales of Publications program, which officials stated are
over 20 years old and do not meet GPO's current and future needs. Currently,
GPO's goal is to complete acceptance testing of the contractordeveloped
system in June 2001 and begin implementing it shortly thereafter.
1 WAIS is a commercial software package that allows the indexing and
searching of large quantities of information on the Internet.
Appendix VII: Essential Documents for Public Use That Will Remain in Paper
Format
Page 64 GAO- 01- 428 Electronic Dissemination
Based on an initial list developed in 1996, the Superintendent of Documents
has identified the following “Essential Titles for Public Use in Paper
Format.”
Title Available online?
Agricultural Statistics !
Budget of the United States Government !
Catalog of Federal Domestic Assistance !
Code of Federal Regulations !
Condition of Education !
Congressional Directory !
Congressional Record (final bound edition) a Constitution of the United
States, Analysis and Interpretation Consumer Price Index Detailed Report
Crime in the United States !
Decennial Census Digest of Educational Statistics !
Economic Census Economic Indicators !
Economic Report of the President !
Federal Register !
Foreign Relations of the United States !
Green Book (Committee on Ways and Means) !
Handbook of North American Indians Harmonized Tariff Schedule of the United
States !
Health US !
Letters to Delegates of Congress List of Sections Affected- Code of Federal
Regulations !
Monthly Labor Review !
North American Industry Classification System Manual Occupational Outlook
Handbook !
Producer Price Index- Detailed Report Public Papers of the President !
Social Security Bulletin !
Social Security Handbook Sourcebook of Criminal Justice Statistics !
Statutes at Large State and Metropolitan Area Data Book !
Statistical Abstract of the United States !
Treaties and Other International Acts of the United States Treaties in Force
!
United States Government Manual !
United States Industry and Trade Outlook United States Code !
United States Congressional Serial Set a !
Appendix VII: Essential Documents for Public Use That Will Remain in Paper
Format
Appendix VII: Essential Documents for Public Use That Will Remain in Paper
Format
Page 65 GAO- 01- 428 Electronic Dissemination
Title Available online?
United States Reports !
World Factbook !
a Bound editions with distribution currently limited to regional depository
libraries and one library in each state without a regional depository
library.
Source: GPO.
Appendix VIII: Previous Reform Initiatives Page 66 GAO- 01- 428 Electronic
Dissemination
Advances in information technologies- and most notably in electronic
publishing and the Internet- have triggered numerous proposals to reform and
restructure the nation's information dissemination infrastructure in general
and the Office of the Superintendent of Documents in particular. These
reforms range from a 1988 proposal by the Office of Technology Assessment
(OTA) for the creation of a Government Information Corporation to the most
recent proposal by the National Commission on Libraries and Information
Sciences (NCLIS) to consolidate federal printing and dissemination programs
in a newly created Public Information Resources Administration.
In 1988, an OTA report 1 addressed the impact of electronic technology on
federal information dissemination, examined the infrastructure for federal
information dissemination, and offered several institutional alternatives
for the Superintendent of Documents. These alternatives included
centralizing all or most government dissemination functions in one office or
agency; privatizing the Superintendent of Documents; reorganizing the
Superintendent of Documents as part of a legislative printing office; and
consolidating the Superintendent of Documents with the National Technical
Information Service and creating a Government Information Office or
Corporation.
In a 1993 report 2 to the Superintendent of Documents, the Depository
Library Council recommended restructuring the FDLP. The Council noted that
as structured, the depository library program was foundering so badly that
its very existence was threatened, and suggested restructuring the program
to ensure its future viability. The Council proposed ten alternative FDLP
models, ranging from the creation of a National Collection of Last Resort 3
to the development of a network of super
1 Informing the Nation: Federal Information Dissemination in an Electronic
Age (Office of Technology Assessment, October 1988). 2 Alternatives for
Restructuring the Depository Library Program, a Report to the Superintendent
of Documents and the Public Printer, discussion draft (Depository Library
Council, June 14, 1993). 3 The proposed National Collection would house at
least one copy of each government document printed or produced
electronically and would provide access, as a depository library of last
resort, to copies of documents by reproduction, interlibrary loan, or
electronic transmission for other depository libraries throughout the
country. Appendix VIII: Previous Reform Initiatives
OTA Proposal to Restructure the Superintendent of Documents
Depository Library Council Proposal to Restructure FDLP
Appendix VIII: Previous Reform Initiatives Page 67 GAO- 01- 428 Electronic
Dissemination
regional depository libraries. No action was taken on the Council's
proposals.
The next effort to reorganize the Office of the Superintendent of Documents
came in 1993, when the House of Representatives passed the Government
Information Dissemination and Printing Improvement Act of 1993 (H. R. 3400).
Title XIV of the bill transferred the position, functions, and staff of the
Office of the Superintendent of Documents to the Library of Congress. The
bill stated that the Superintendent of Documents shall be appointed by, and
serve at the pleasure of, the Librarian of Congress.
Concerned about the potential impact of the Internet on federal information
dissemination, the Congress passed the Government Printing Office Electronic
Information Access Enhancement Act. The act directed the Superintendent of
Documents to provide a system of online access to the Congressional Record
and the Federal Register by June 1994. In response, GPO created GPO Access-
an Internet portal that provides free online access to FDLP libraries. In
December 1995, GPO made GPO Access available free of charge over the
Internet.
In 1998 a government printing reform bill was introduced by Senator John
Warner as S. 2288- the Wendell H. Ford Government Publications Reform Act of
1998. The focus of the legislation was to restructure the federal printing
laws to eliminate reliance on the constitutionally suspect authorities of
the Joint Committee on Printing and to strengthen the Government Printing
Office's control of federal agency printing and other dissemination
activities and its responsibility for providing permanent public access to
government information.
The bill would have abolished the Joint Committee on Printing and
transferred many of its responsibilities to the House Committee on House
Oversight and the Senate Committee on Rules and Administration. The bill
also would have renamed GPO the Government Publications Office, to be
administered by the Public Printer. The production of all government
publications, regardless of form or format, was to be centralized in the new
Government Publications Office, except such production required by the
Supreme Court and certain national security entities. A presidentially
appointed Superintendent of Government Publications Access Programs would
have assumed the duties of the current Superintendent of Documents,
administering the GPO sales, federal depository library program, and GPO
electronic documents access programs. The Government
Information Dissemination and Printing Improvement Act of 1993
The Government Printing Office Electronic Information Access Enhancement Act
of 1993
Wendell H. Ford Government Publications Reform Act of 1998
Appendix VIII: Previous Reform Initiatives Page 68 GAO- 01- 428 Electronic
Dissemination
The most recent proposal to reorganize the federal information
infrastructure was made in January 2001 by NCLIS. The Commission proposes
the creation of a new agency whose primary mission is to serve as the
federal government's focal point for providing timely dissemination and
permanent public availability of its public information resources. This
agency, provisionally called the Public Information Resources Administration
(PIRA), would be in the executive branch and would bring together under one
management the National Technical Information Service, the programs
currently under the Superintendent of Documents at GPO (including the FDLP),
and other information sales and dissemination programs from all three
branches of government.
In the Commission's sweeping proposal, the Superintendent of Documents would
be renamed the Superintendent of Public Information Resources, reporting
directly to the head of the PIRA. The FDLP would be renamed the Public
Information Resources Access Program (PIRAP), and the Federal Depository
Libraries would be renamed Public Information Resources Access Libraries
(PIRA Libraries). The basic structure of the FDLP or the congressional
designation and other criteria for becoming a federal depository library
would not be changed. NCLIS Proposal to
Create Public Information Resources Administration
Appendix IX: Comments From the Government Printing Office
Page 69 GAO- 01- 428 Electronic Dissemination
Appendix IX: Comments From the Government Printing Office
Appendix IX: Comments From the Government Printing Office
Page 70 GAO- 01- 428 Electronic Dissemination
See comment 3. See comment 2.
See comment 1.
Appendix IX: Comments From the Government Printing Office
Page 71 GAO- 01- 428 Electronic Dissemination
See comment 7. See comment 6. See comment 5.
See comment 4.
Appendix IX: Comments From the Government Printing Office
Page 72 GAO- 01- 428 Electronic Dissemination
See comment 10. See comment 9. See comment 8.
Appendix IX: Comments From the Government Printing Office
Page 73 GAO- 01- 428 Electronic Dissemination
See comment 15. See comment 14. See comment 13.
See comment 12. See comment 11.
Appendix IX: Comments From the Government Printing Office
Page 74 GAO- 01- 428 Electronic Dissemination
Appendix IX: Comments From the Government Printing Office
Page 75 GAO- 01- 428 Electronic Dissemination
Appendix IX: Comments From the Government Printing Office
Page 76 GAO- 01- 428 Electronic Dissemination
1. Our report refers to security issues within the context of authenticity.
Specifically, we note that authentication provides the assurance that a
document has not been surreptitiously or accidentally modified, which are
problems that can be avoided with appropriate security controls.
2. The report has been revised to reflect that electronic documents may
offer greater functionality than paper documents. However, we disagree with
the Public Printer's statement that the only barriers to the use of printed
documents are basic literacy and physical disability. In fact, other
barriers exist including geographic distance from the library where the
printed information is maintained. In addition, the costs associated with
maintaining paper documents may limit what is readily available.
3. Our report states that GPO would face major challenges- including
ensuring equity of access- in moving to an environment in which government
information is disseminated solely in electronic format. GPO raises valid
concerns about how to achieve equity of access in an electronic environment
and how this would be more achievable by the Library. Resolving such
concerns is beyond the scope of what we were mandated to study.
4. We agree that total program costs may increase if the number of the
documents eligible for inclusion in the depository library program also
increases because of the availability of documents on the Web or other
factors. We also recognize in our report that electronic dissemination may
result in costs shifting to end users and depository libraries. Finally, an
economic analysis of dissemination costs is beyond the scope of this study,
but we do include the results of GPO's own study of the costs of converting
to an all- electronic depository library system.
5. The policy decision of whether to transfer the library program is one
that rests with the Congress. Our role is to provide factual information-
including advantages and disadvantages- that can be used to inform the
decision- making process. The question of how public access to government
information might be improved by transferring the depository library program
to the Library is a valid one but clearly beyond our charge.
6. Our report points out that if a decision is made to transfer the
depository library program, policymakers may want to consider limiting the
physical movement of staff and equipment. This is offered GAO Comments
Appendix IX: Comments From the Government Printing Office
Page 77 GAO- 01- 428 Electronic Dissemination
as a measure for ensuring the success of a potential transfer, in response
to our mandate.
7. The Public Printer is correct in stating that the depository library
program is much larger in scope than the Library's National Library Service
for the Blind and Physically Handicapped. In recognition of this, our report
notes that the Library cautioned in its studies that administering the
depository library program would considerably expand the Library's mission.
8. A transfer of the depository library program would clearly require
changes to legislation. However, a detailed discussion of the specific
changes needed would be difficult, if not impossible, without knowing the
details of a policy decision that, to date, has not been made. The Public
Printer's question concerning the effect of a transfer on fugitive documents
is valid, and our report highlights the concerns of the library community
related to this issue.
9. The Public Printer is correct in stating that if a transfer is directed,
spreading GPO's current overhead costs over the programs remaining at GPO
would result in increased costs for those programs. He is also correct that
some reduction in overhead costs may, as a result, be warranted. We would
expect that this issue would be addressed during transition planning.
Further, we would expect that the transition team would identify and
consider all options for dealing with this issue, including transferring the
positions supporting the depository library program to the Library.
10. If a decision is made to transfer the depository library program to the
Library, the Librarian would, of course, have to address the priority of the
transferred program within the context of the mission of the Library.
11. The Public Printer also points out many detailed implementation
questions that our report does not address. We believe such questions can be
addressed if and when a decision is made to transfer the depository library
program and the details of the functions to be transferred are known.
12. In regard to the impact on transferred employees, the report identifies
the concerns of unions representing GPO employees and states that issues
such as seniority, salary rates, and bargaining rights should be addressed
during transition planning.
Appendix IX: Comments From the Government Printing Office
Page 78 GAO- 01- 428 Electronic Dissemination
13. In regard to a potential transfer of GPO Access, our report does not
suggest that the Library duplicate GPO's preparation of the data bases that
are derived from the printing processes currently managed by the production
department or that dissemination of the databases be moved to another
location. If a decision is made to transfer the program, we are confident
that detailed transition planning- conducted by the Library and GPO- would
result in an appropriate and cost- effective division of responsibilities
between the two organizations.
14. The report has been revised to reflect that GPO Access is a program. 15.
The report has been revised to reflect that GPO Access also includes
GPO's U. S. Government Online Bookstore. A discussion of the remaining
components is contained in appendix V.
Appendix X: Comments From the Library of Congress
Page 79 GAO- 01- 428 Electronic Dissemination
Appendix X: Comments From the Library of Congress
Appendix X: Comments From the Library of Congress
Page 80 GAO- 01- 428 Electronic Dissemination (310310)
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