US GPO

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MICHAEL F. DiMARIO

PUBLIC PRINTER





PREPARED STATEMENT BEFORE THE

COMMITTEE ON RULES AND ADMINISTRATION

U.S. SENATE

ON

OVERSIGHT OF THE GOVERNMENT PRINTING OFFICE





RUSSELL SENATE OFFICE BUILDING, ROOM 301

FRIDAY, FEBRUARY 27, 1998

9:30 A.M.





Mr. Chairman and Members of the Committee, I am pleased to be here this morning to assist you in the Committee's oversight of the Government Printing Office (GPO). My prepared statement summarizes GPO programs and operations and details our appropriations request for FY 1999, currently pending before the House and Senate.


GPO KEEPS AMERICA INFORMED

GPO is one of the most visible demonstrations of our Government's commitment to keeping the public informed. GPO's mission under the public printing and documents statutes of Title 44, U.S.C., is to fulfill the needs of the Federal Government for information products and to distribute those products to the public.

For more than a century, GPO accomplished its mission solely through the production and procurement of traditional printing technologies. That is no longer true today. A generation ago we began migrating our processes to electronic technologies, and in 1993, following the leadership of this Committee, Congress amended Title 44 with the GPO Electronic Information Access Enhancement Act (P.L. 103- 40). This landmark act established our online Internet Service, GPO Access at http://www.access.gpo.gov, and requires us to disseminate Government information products electronically. This service has enjoyed amazing public acceptance with more than 8 million documents now being downloaded monthly, and has become the vehicle for transitioning one of our most important programs--the Depository Library Program--to an electronic future.

GPO is dedicated to producing, procuring, and disseminating Government information products in a wide range of formats--print, microfiche, CD-ROM, and online. In GPO the Government has a unique asset that combines a comprehensive range of conventional production and electronic processing, procurement facilitation, and multi-format dissemination capabilities to support the information life cycle needs of Congress, Federal agencies, and the public:

We provide all of our services in a non-partisan, service-oriented environment that emphasizes the primacy of the customer's requirements for timeliness, quality, security, and economy. We are committed to achieving the greatest access and equity in information dissemination through printed and microfiche publications, CD-ROM, and online information technologies. Our electronic and traditional technologies simultaneously enable us to facilitate the re-engineering of information products to satisfy the Government's changing information requirements, and to preserve and protect public access to Government information for all of our citizens. A recent news article on GPO by Media General News Service, "Venerable GPO Thrives in Cyberspace", provides a snapshot of how GPO's services have changed to accommodate the changing publishing needs of Federal agencies in the Information Age.

At the bottom line, Mr. Chairman and Members of the Committee, our programs reduce the need for duplicative production facilities throughout the Government, achieve significant taxpayer savings through a centrally-managed production and procurement system, and provide essential public access to Government information, which is increasingly needed by all Americans in the Information Age. More than a century ago, Congress in its wisdom designed a system in GPO for keeping America informed. That system continues to serve a vital purpose today.




GPO AND CONGRESS

GPO was originally established to provide Congress with immediate, reliable service in a work environment under its direct control. That mission continues today. We produce the daily and permanent editions of the Congressional Record, bills, committee and business calendars, hearings, committee reports, committee prints, documents, stationery, and a wide variety of other products that are essential to the legislative process in Congress. We produce this work in our central office facility on North Capitol Street in Washington, DC, through the creation and storage of electronic databases of publications for printing and dissemination, as well as the provision of CD-ROM, online access, and print-on-demand services. All of this work is funded through an annual appropriation for Congressional Printing and Binding.

Our Congressional Printing Management Division (CPMD) serves as GPO's liaison with the Congress for printing and information product needs. CPMD staff provide assistance to Members and officials of Congress as well as committees and support staffs regarding the printing and electronic availability of congressional information products. The CPMD is also responsible for managing approximately 53 GPO employees detailed to congressional committees and offices to assist with printing requirements. To ensure the timely delivery of printed materials, 19 congressional receiving clerks, who are part of the CPMD staff, are assigned to congressional buildings. In addition, the CPMD coordinates and maintains distribution lists for all agency requests for congressional products.

Support for the Cyber-Congress. We have built a core capability for electronic information and communications services to support Congress's information needs. Today, our state-of-the-art electronic systems are characterized by a complex of direct electronic linkages via CAPNET to a variety of congressional offices on Capitol Hill for data interchange. Once considered only the by-product of the print production process, digital electronic databases of congressional information are now the primary product: they are the databases from which the official versions of documents are produced in print, CD-ROM, and online access formats and made available to the public through GPO Access, as well as other systems such as the Library of Congress's THOMAS information system.

Our electronic systems provide a standardized system for use by both Houses of Congress, resulting in compatibility of production processes and uniformity in the resulting products. They provide for the interchangeable use of databases to produce different congressional publications, generating significant savings. Our systems are a resource where production and dissemination equipment and staffing can be concentrated, yielding significant economies of scale. Finally, they facilitate both production and dissemination. Databases prepared for printing are easily converted into databases suitable for CD-ROM distribution and for online dissemination via the Internet to libraries, schools, offices, and homes nationwide and around the world.

Our electronic systems and staff expertise position us to continue supporting the development of the cyber-Congress. We have been participating with both the House and the Senate in the development of new legislative information systems that will expand the capability to create and utilize electronic information products in Congress and potentially reduce GPO's printing costs. One objective of these systems is the adoption of Standard Generalized Markup Language (SGML) to permit the submission of machine-readable keystrokes requiring less processing by GPO prior to final production. We support initiatives in both Houses of Congress to facilitate the sharing of information. We have been assured that GPO will continue as a vital partner with the House and Senate through our well-established mission of support of the Congress.

More than 60 percent of Congressional Record files from the Senate are currently submitted electronically. We are working with the Senate Appropriations Committee to provide online dissemination of appropriations hearings as well as hearings of other Senate committees. We operate a print-on-demand system in the Senate Document Room that has reduced the requirement for printing extra copies of legislative products, eliminating the need for storage space and providing for effective future distribution. This system, and two other print-on-demand systems located at our central office facility, are both networked to congressional databases resident at GPO.

Savings from the Use of Technology. Productivity increases resulting from technology have enabled us to make substantial reductions in staffing requirements while continuing to improve services for Congress. In the mid-1970's, on the threshold of our conversion to electronic photocomposition, we employed more than 8,200 persons. As of January 1998, we had 3,512 employees on board, fewer than at any time in this century. In the past 4 years our staffing has been reduced by 25 percent. The reduction was accomplished through attrition while at the same time modernizing and improving our services.

Electronic technologies have significantly reduced the cost, in real economic terms, of congressional publications. In FY 1978, the appropriation for Congressional Printing and Binding was $84.6 million, the equivalent in today's dollars of $209.3 million. By comparison, our approved funding for FY 1998 is $81.7 million (of which $11 million is to be financed from GPO's revolving fund), a reduction of 60 percent in real economic terms. This has yielded a savings to Congress and the taxpayer of well over $100 million per year. The vast majority of the reduction is due to productivity improvements and staffing reductions made possible through the use of improved technology.

On-Demand Production of the Bound Congressional Record. House Report 104-657, accompanying H.R. 3754, the Legislative Branch Appropriations Act for 1997, directed GPO to reduce the distribution of paper copies of the bound Congressional Record beginning with the 105th Congress, and to produce a new CD-ROM format for this publication. A total of $100,000 was earmarked for the FY 1997 Congressional Printing and Binding Appropriation for a more limited number of printed copies of the bound Record to be distributed at the direction of the JCP.

The JCP has directed the distribution of about 200 sets of the bound Record to be funded from GPO appropriations, estimated to cost about $313,000. This includes $179,000 from the Congressional Printing and Binding Appropriation and $134,000 from the Salaries and Expenses Appropriation. In addition, we estimate that about 190 sets will be ordered and paid for by other Federal agencies and the public. Consistent with the direction of House Report 104-657, we plan to produce the sets on demand from an electronic database utilizing a high-speed print-on-demand system recently acquired following the approval of the JCP. This strategy will produce the relatively small number of copies required at a much greater savings. Earlier this month, the House Subcommittee on Legislative Appropriations approved our request to spend additional funds from our FY 1997 Congressional Printing and Binding Appropriation and Salaries and Expenses Appropriation for this purpose.

Congressional Serial Sets. House Report 104-657 also directed us to reduce the production and distribution of bound Congressional Serial Sets beginning with the 105th Congress. The direction was to convert most sets to CD-ROM format and to limit the distribution of bound sets to regional depository libraries, plus one depository in each state without a designated regional depository (including the District of Columbia), and to international exchange libraries.

We formulated a plan for the implementation of this directive that subsequently was approved by the JCP. The bound Serial Set will be distributed to all designated regional depository libraries and one library in each of seven states that do not have a designated regional depository. In addition, the International Exchange Libraries, the Library of Congress, the National Archives Library, the Senate Library, the House Library, and the Public Documents Library Collection (now housed within the National Archive and Records Administration) will continue to receive bound versions of the Serial Set. An estimated 105 copies of each volume of the set will be produced and distributed to these recipients. This quantity is 344 copies less per volume than was distributed prior to the 105th Congress. A total of 128 volumes are estimated for a Serial Set for an entire Congress.

The Superintendent of Documents has surveyed depository libraries to allow them the opportunity to add the initial slip distribution of the documents and reports of the 105th Congress in paper format, since the bound Serial Set will not be an option for most of them. In addition, we have accepted the suggestion of the Government Documents Roundtable of the American Library Association to make available copies of the Serial Set title pages (including the contents listing for each volume) to depository libraries that request them for binding purposes. We are also offering the bound Serial Set for the 105th Congress for sale through the Superintendent of Documents sales program.

At this time, it is not possible to create a complete electronic Serial Set, since many documents and reports are not currently available electronically and are too graphically intense to convert to an electronic format. We will work with the Clerk of the House of Representatives and the Secretary of the Senate, as well as ongoing efforts associated with information systems planning in both Chambers, toward the eventual production of a complete electronic Serial Set.

New Deputy Public Printer. I have appointed a new Deputy Public Printer, Mr. Robert T. Mansker, who has an extensive background as a congressional staff member, including service with the JCP. Mr. Mansker is central to ensuring we provide the best possible support and customer service to Congress.


GPO AND FEDERAL AGENCIES

GPO's Printing Procurement Program. Approximately 75 percent of the printing and information products requisitioned from GPO are procured from the private sector. GPO historically has retained for inplant production only work which cannot be procured on a controlled, timely, and cost-effective basis. The vast majority of the work procured from the private sector is for Federal agencies in the executive branch. We provide procurement services through our central office facility and through a network of 20 regional and satellite procurement offices nationwide. All work for Federal agencies is paid for by the agencies themselves. The payments are processed through GPO's revolving fund.

Our printing procurement program saves a significant amount of money for the taxpayers. The program operates on a highly competitive basis, driving prices down. Approximately 10,000 firms--or about a quarter of the nationwide printing industry, representing nearly 200,000 employees--are registered on GPO's Master Bid List according to their equipment, staffing, and production capabilities. About 3,500 of these firms do business with us on a regular basis, ensuring intense competition for Government printing and information product contracts.

By consolidating the Government's specialized printing procurement skills and resources in GPO, agencies save money in their printing programs. Moreover, agencies achieve savings without giving up essential controls when they work through us. Most of our printing procurements are conducted through direct deal term contracts, permitting agencies to place their printing orders directly with the contractor. Quality is assured through GPO's Quality Attributes Through Testing Program, which assigns standardized quantifiable quality measures to printing jobs. Our centralized program utilizes a service infrastructure that allows agencies to directly control the vast majority of their printing needs from the point of origination. Electronic versions of printing procurement bid solicitations are now accessible from the Internet via GPO's World Wide Web home page.

CD-ROM Services. Since 1988 we have been a leading Government producer of CD-ROM technology, providing agencies with a complete range of CD-ROM production services. We have received the annual CD-ROM Award from the Special Interest Group for CD-ROM Applications and Technology (SIGCAT), the largest CD-ROM user group in the world, in recognition of the CD-ROM services we provide. The General Accounting Office has cited our CD-ROM program as one of the most cost-effective in the Government, specifically noting that GPO's CD-ROM products are among the least expensive for users.

World Wide Web Services. For the World Wide Web, we provide database development services, mounting on our servers, database maintenance, access based on agency needs, promotion of the service, training, and user support. GPO Access features a unique service in making most databases available not only in ASCII format but in Portable Document Format (PDF), which provides a searchable database that exactly replicates the printed product.

Commerce Business Daily. Last year we entered into an alliance with the Department of Commerce in the development of a new Commerce Business Daily (CBD). The new CBD has made it easier and more timely for agencies to electronically submit notices for inclusion in CBD, significantly reduced the cost per notice for these submissions (from $18.00 to $5.00), allowed for the continuation of a billing and reporting process for these charges, provided support to both agencies and users of the CBD, reduced the time necessary to typeset and compose the printed version, and enhanced the delivery of the final copy to the printing contractor for the production of the daily printed issues. It has also enabled commercial value-added providers who offer CBD products to receive the daily CBD information much faster, in an enhanced format, and at a 20 percent reduction in cost. In April 1997, our CBD partnership with the Commerce Department was the recipient of a "Hammer Award" from the National Performance Review.

Inplant Services. In addition to procuring printing for Federal agencies, GPO produces work in our central office plant and regional printing plant in Denver. A significant portion of the agency work produced inplant is associated with the Federal Register, and includes the List of Sections Affected and the Code of Federal Regulations. Other work includes U.S. passports, postal cards, the U.S. Budget, and other jobs that are performed by GPO due to concerns for cost, timeliness, and control over classified or sensitive Government information.

The continued need for GPO's regional printing plants has declined. In response, we have closed plants in Chicago, Seattle, San Francisco, and New York, and previously a separate printing and reproduction facility at the Washington, DC, Navy Yard was consolidated with GPOís central office facility. A facility in Alaska, transferred from the GSA, was also closed as soon as the same work could be obtained from local contracts at reduced cost. The remaining plant in Denver continues to satisfy regional production and security printing needs.

Marketing GPO Services to Agencies. In this period of increasing competition within the Federal Government, our commitment to marketing GPO's services will be increasingly crucial. Our objective is to increase the visibility of GPO's services to agencies, promote and expand service options and choices, and ensure the best possible combination of cost, quality, and performance for customer agencies.

Payment Issues. We have been experiencing payment problems with one of our largest customer agencies, the Defense Department (DOD). At the end of FY 1992, GPO's accounts receivable from DOD were about $32 million. Unpaid DOD invoices over 60 days old amounted to about $9 million, or 28 percent of the total. Since 1993, total receivables and delinquencies from DOD have been increasing (while workload from DOD has fallen). As of December 31, 1997, total DOD receivables reached $52.7 million with unpaid invoices over 60 days amounting to $24.3 million, or 46 percent. Although we have made several changes to our accounting system to assist DOD in improving their payment record, none of these initiatives has been fully implemented by DOD. DOD's payment record is directly impacting our cash flow and creating the prospect of a cash shortage in our revolving fund.


GPO AND INFORMATION DISSEMINATION

The Printing Act of 1895, which is the basis for the public printing and documents statutes of Title 44 of the U.S. Code, relocated the Superintendent of Documents function from the Interior Department to GPO. By linking the authority for the distribution of documents with GPO's printing operations, Congress created an effective system for ensuring comprehensive public access to the publications produced by the Government. As the success of GPO Access demonstrates, this linkage continues to be an effective means for the development and dissemination of electronic databases in the Information Age. The various Superintendent of Documents programs distribute millions of copies of Government publications each year (not including information made available online).

The information dissemination programs of GPO's Superintendent of Documents include the distribution of publications to 1,365 Federal depository libraries nationwide, cataloging and indexing, distribution to recipients designated by law, and distribution to foreign libraries designated by the Library of Congress which in turn agree to send copies of their official publications to the Library pursuant to international treaty. These programs are funded by the annual Salaries and Expenses Appropriation of the Superintendent of Documents.

The Superintendent of Documents also operates a nationwide sales program. This program, the Government's single largest information dissemination network, operates 24 bookstores in major metropolitan areas around the U.S. as well as an order service equipped to receive mail, phone, fax, and Internet-based orders for publications nationwide and worldwide. It operates entirely on revenues from the sale of Government publications. In addition, the Superintendent of Documents distributes publications on behalf of Federal agencies. The agencies in turn reimburse GPO for warehousing and dissemination services.

Sales Management Policy Changes. In the wake of the 1996 disposal of excess sales publications, which resulted in the destruction of sales titles without prior notification to the publishing agencies as required by internal policy, several changes were made to Superintendent of Documents sales management policy and procedures. The GAO audit report on this matter, "Government Printing Office: Information on September 1996 Major Inventory Reduction," GAO/GGD-97-177 (September 1997), contained a number of recommendations for changes to sales program policy. As cited in the report of the conferees on H.R. 2209, the Legislative Branch Appropriations Act for 1998, these recommendations included:

The Superintendent of Documents' policy on "Excess, Obsolete, Damaged, and Destroyed Information Products" was revised on November 17, 1997, to provide that certain publications will be held in inventory indefinitely based on criteria to be developed by the Superintendent of Documents, and that such documents will be identified in the appropriate inventory system; that the requirement to notify issuing agencies before disposing of excess inventory cannot be waived; and that excess stock need not be physically removed from the inventory in order to be recorded in the financial statements as surplus publications expense. Earlier, in July and August 1997, notations for "indefinite" hold were made on the inventory records for congressional publications of historical significance. These records were physically separated from other sales inventory records to ensure the publications would not be discarded as excess.

In addition, the Superintendent of Documents has initiated the development of a collection plan for the sales program to include appropriate policies and procedures for the inclusion of materials in the sales program, particularly those considered to be historically significant; the length of forecasted life cycles for different types of publications; and GPO's pricing structure and inventory cost accounting for stock held long term. We also will be implementing our new automated Integrated Processing System this Spring, which will support the recommendations set forth in the GAO audit report and the report of the conferees.

Congress, Federal agencies, and the American public have every right to expect that GPO will never permit the destruction of any Government publications in disregard of established policy. We have taken a number of actions to ensure that this does not happen again, and ongoing improvements to the sales program and its policies will enhance GPO's stewardship of Government publications.

New Superintendent of Documents. I have appointed a new Superintendent of Documents, Mr. Francis J. Buckley, Jr., of Shaker Heights, Ohio, who has an extensive library background and is well known throughout the Government information community. Along taking responsibility for Superintendent of Documents programs, I have charged him with being a spokesman for public access to Government information.

Joint Marketing Plan. GPO and the National Technical Information Service (NTIS) of the Department of Commerce recently agreed on a pilot project for the joint marketing of publications. Under this agreement, the specifics of which are still under development, GPO and NTIS each will initially market approximately 20 publications from the otherís sales inventory. Each entity will receive a fee for marketing and processing publication orders, while the income from the sale will go to the entity that fulfills the order. This arrangement could potentially expand the availability of Government publications within the statutory requirements of Title 44.

GPO Access. GPO Access (www.access.gpo.gov) provides free access to more than 70 Federal databases, including the Congressional Record, the Federal Register, the Commerce Business Daily, Supreme Court opinions, congressional bills and reports, and other publications, as well as Government Information Locator Service (GILS) records for a growing number of Federal agencies. The first online service of its kind established by Congress, GPO Access allows users to locate a wide variety of electronic products available via the Internet and to order Government publications online. GPO Access is the only Government online service providing access to a wide range of information from all three branches of the Federal Government, and the only service providing official access to this important Government information. In October 1997, monthly document retrievals topped 8 million.

A recent example of the growing use of GPO Access is the extent it is being used by the public to gain access to the President's budget. A year ago, the budget documents, including the Budget, the Budget Appendix, Historical Tables, Analytical Perspectives, Citizen's Guide, and Budget System and Concepts, were released online via GPO Access on the same day that paper copies went on sale from GPO. At that time, first day sales were 7,918 copies while GPO Access hits for the budget documents were 10,149. On February 2, 1998, the budget documents and the online version were again released the same day. This time, 7,390 paper copies were sold, a decrease of about 7 percent, while GPO Access hits for budget documents jumped to 64,428, an increase of 535 per cent. Clearly, electronic availability of the budget information has not ended the demand for the printed budget documents, but it has expanded the availability of this information to more persons than ever before.

GPO Access has drawn praise from a variety of sources, including the library community (which gave GPO Access the 1995 James Madison Award), the Federal technology community, the legal community, and others. The Congressional Accountability Project and the Heritage Foundation together have called GPO Access "an enormous success." In January 1997, OMB Watch released a report on Government Information Locator Services which noted that "GPO Access has become the largest single location for GILS services and records in the Federal Government," and that "GPO should be seen as an example to agencies that are struggling with their GILS implementation."

We recently released the second Biennial Report on the Status of GPO Access, as required by P.L. 103-40. Copies are available from GPO, and it is also available on GPO Access.


THE FEDERAL DEPOSITORY LIBRARY PROGRAM

Principles. The dissemination of Government information to libraries for the use of the public began in 1813, making the FDLP America's oldest "freedom of information" program. From its beginning, the FDLP has been built on several underlying principles:

Statutory Requirements. Libraries are designated as depositories by Senators and Representatives as well as by law. Under the law, we send the libraries copies of all Government publications of public interest and educational value and that are not purely of an administrative nature, cooperatively sponsored, or classified for reasons of national security. These copies are paid for by the annual Salaries and Expenses Appropriation of the Superintendent of Documents. If Federal agencies themselves produce publications that belong in the FDLP, they are required by law to pay for the production of those copies sent to the depositories. In return for receiving Government information products at no cost, the libraries must make them available to the public without charge and provide appropriate assistance to users.

The majority of the depository libraries are selective depositories which tailor their Government publications acquisitions to local needs, choosing from among 7,000 organizational and series categories. On average, each item is selected by about 450 depository libraries. Fifty-three libraries, or roughly one per State (depending on size and resources, some States have no regionals while others have more than one), are regional depositories that receive every publication distributed by the FDLP. They are required to retain permanently every Government publication they receive.

Users. Based on 1995 data, we estimate that 750,000 to 950,000 persons use FDLP information each month, not counting online users via GPO Access. A 1989 study estimated a minimum of 670,000 depository users per month in academic and public libraries.

Workload. In FY 1997, nearly 13.4 million copies of about 44,800 titles were distributed to depository libraries in paper and microfiche. (This is a decline of approximately 11,700 titles from FY 1996, virtually all of which resulted from the Department of Energy terminating the sending of microfiche formats for its titles to the FDLP. However, we now have an interagency agreement with DOE to provide the public with access to electronic image files of these titles via the DOE Information Bridge and GPO Access). In addition, last year we distributed about 341,100 copies of 741 titles in tangible electronic formats, mostly CD-ROM. All GPO Access databases and services are available to depository users. Our locator services point to an additional 2,351 agency titles, and there are approximately 3,000 Monthly Catalog records hot-linked to agency Internet sites.

Library Participation. There are now 1,365 depository libraries, including the 53 regionals. Of these, 55 percent are academic libraries, making the FDLP a major component of the Nation's education and research programs. Another 20 percent are public libraries, 11 percent are law school libraries, 6 percent are State libraries, 5 percent are Federal agency libraries, and the remaining 3 percent are special libraries. According to our 1997 biennial survey, approximately 89 percent of all Federal depositories now offer public users access to computer work stations with CD-ROM capability, Internet connections, and the ability to access Government information via the World Wide Web. Many of the remaining libraries offer mediated access to electronic information. Only 2 percent of the depositories cannot fully handle all electronic Government information offerings.

Continuing Justification for the FDLP. The FDLP will continue to be needed even as Federal agencies put more information on the Internet. The FDLP, funded out of legislative branch appropriations, is the means by which Congress asserts its historical role in keeping the American public informed about the activities of the Government.

Depository libraries have developed skills and collections based on the needs of their local constituents. This affords the public a local setting in which they can use Government information at no charge, regardless of whether they own or can operate a computer, and be assisted by trained Government information professionals.

As authorized by P.L. 103-40, GPO creates a variety of electronic locator services, which enable users to identify and connect to agency electronic resources. Since these activities are funded by the FDLP appropriation, the locator services sponsored by the FDLP may be used at no cost by the public. Within our suite of locator services, the Monthly Catalog on the Web is unique in how it locates both physical items in depository libraries and agency products on the Internet.

The FDLP is the vehicle which provides permanent public access to Government information. Copies of physical items are permanently held for public use in the regional depository libraries. GPO, acting in partnership with other Program stakeholders, has begun efforts to ensure that agency Internet products are permanently retained and made accessible to the public.

It will be many years, if ever, before all Government information is available electronically. In the meantime, it is essential to have a single program which is charged with acquiring and distributing the vast array of information products that the Government produces. Neither libraries nor the public would be well served by having to contact scores of individual agencies for the information they need.

Fugitive Documents. Many publications produced by the Government fail to be included in the FDLP. Documents that belong in the Program, but which are excluded, are known as fugitive documents. Their absence from depository library collections impairs effective public access to Government information. While many studies of the fugitive document problem have been conducted, the exact number of publications that are not in the FDLP has been difficult to isolate. Traditionally, documents have become fugitives from the Program due to their production outside GPO, such as in agency printing plants. Today, however, there is a growing number of fugitive documents due to increased agency use of electronic systems to produce and disseminate their own documents.

Although no study has resulted in a definitive answer, we have estimated that more than 50 percent of all tangible Government information products are not being made available to the FDLP. Of these, about 55,000 scientific and technical documents and reports which are neither printed through GPO nor furnished by the issuing agencies to the FDLP as required by law. In addition, there is an unknown number of fugitives which are primarily general, public interest materials produced by agencies other than through GPO. It is extremely difficult to estimate the total number of these titles, but they include such publications as decisions of the Federal district courts and courts of appeals and Federal Election Commission financial disclosure statements.

Four major factors have contributed to losses of key general interest publications for the FDLP: (1) electronic information dissemination via agency web sites without notification to the FDLP; (2) decreasing compliance with statutory requirements for agencies to print through GPO or to provide copies of publications not printed through GPO to the FDLP; (3) the increasing trend for agencies to establish exclusive arrangements with private sector entities that place copyright or copyright-like restrictions on the products involved in such agreements; and (4) increasing use by agencies of language in 44 U.S.C. 1903 that permits publications to be excluded from the FDLP if they are "so-called cooperative publications which must necessarily be sold in order to be self-sustaining."

Fugitive documents defeat the purpose of the FDLP and undermine the public's ability to access information critical to their lives. Historically, the FDLP has relied heavily on the ability of the Program to automatically obtain material as it is produced or procured through GPO. With the growing emphasis on electronic dissemination, and decreasing compliance with statutory requirements for agencies to use GPO, identifying and obtaining information for the FDLP is becoming increasingly difficult.

FDLP Compliance Issues. When an agency uses GPO for production or procurement of a publication (defined in section 1901 of Title 44 as "informational matter which is published as an individual document at Government expense, or as required by law"), GPO ensures that distribution to the libraries is made. If a publication is produced elsewhere than GPO, the publishing agency is required by section 1903 to supply the requisite number of copies to GPO, at its own expense, for dissemination to depositories.

GPO is confronted with two kinds of compliance issues today. First, a number of Federal agencies are seeking new methods of printing information gathered at public expense. These methods do not involve GPO and, as a result, they impede or prevent effective public access to critical Government information. GPO has reported previously to Congress, including this Committee, on several such instances, including such publications as Big Emerging Markets, U.S. Export Administration Regulations, and U.S. Industrial Outlook.

Other efforts are ongoing by agencies that often involve allowing third parties to copyright the information or impose copyright-like restrictions on it. The result is that the information does not get produced or procured through GPO, the agencies do not provide copies to GPO for distribution to depositories, and the information cannot be made available through GPO's sales program. One such instance involved the Journal of the National Cancer Institute, which has also been reported to this Committee.

The second compliance issue involves publications in electronic formats. Several agencies have taken the position that Title 44 does not apply to Government information in electronic formats. OMB's Circular No. A-130, "Management of Federal Information Resources," requires agencies to cooperate with GPO for print publications, but only "encourages" cooperation for publications in electronic formats and provides agencies with a rationale for exempting electronic information products from the FDLP based on cost.

We believe that the spirit and intent of the law since the FDLP's founding in 1813 has been to make information produced at taxpayer expense available to the public through depository libraries regardless of format. In a 1990 opinion, GPO's General Counsel stated, "[i]t is our opinion that Congress did not intend to carve a distinction based upon the technology employed to disseminate the Government publication and that Title 44 U.S.C. Sec. 1903 governs regardless of whether the publication is in the traditional ink-on-paper format or some new medium." Congress itself created GPO Access in large part to provide for online dissemination of Government information to depositories. While we make every effort to work closely with agencies to ensure the inclusion of their information products in the FDLP in all formats, the continuing agency practice of not providing electronic products to the FDLP is creating gaps in information availability to the public and creating potential problems for permanent public access to that Government information in the future.

Transitioning the FDLP to a More Electronic Basis. In spite of the contention that electronic information products are not required to be included in the FDLP, Congress has encouraged us to transition the Program to a more electronic basis. The Legislative Branch Appropriations Act for FY 1996 required GPO to conduct a study to identify measures necessary for a successful transition to a more electronic FDLP. In response to direction from Congress for broad consultation, GPO formed a group comprising representatives from GPO, the JCP, the Senate and House Appropriations Committees, the Senate Rules and Administration Committee, the House Oversight Committee, the House Government Reform and Oversight Committee, OMB, the Congressional Research Service of the Library of Congress, the National Archives and Records Administration, Federal publishing agencies, the Administrative Office of the U.S. Courts, the depository library community, and others. The final report, titled Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program, was submitted to Congress in June 1996.

Study Conclusions. Two major conclusions emerged from the study. The first was strong support for retaining the authority for a broad-based public information program in the legislative branch. High value was placed on the presence of the FDLP in every congressional district to directly serve the public in local library settings.

There was also strong support for having a single entity in the Superintendent of Documents to coordinate library-related information dissemination activities. The depository library community has consistently affirmed the utility and cost-effectiveness of a "one stop shopping" approach to acquiring Government information. The study participants agreed that it is not only possible but desirable to increase the dissemination of electronic information to depository libraries within the overall structure of current law and program operations, and that having a central entity to assist libraries and the public in accessing electronic Government information in a distributed environment is more vital now than ever.

Strategic Plan. The Strategic Plan included in the final Study Report proposes a gradual transition during the period FY 1996-FY 2001. Under the plan, the FDLP will provide official Government information products in a variety of formats to depository libraries. Incorporating electronic Government information into the FDLP will augment the traditional distribution of tangible products with connections to Government electronic information services such as Internet sites. Electronic information will be accessible to the public directly or through depository libraries from a system of Government electronic information services administered by GPO, other Government agencies, or institutions acting as agents for the Government. The FDLP will identify and connect users to electronic information services of other agencies or, when appropriate, obtain electronic source files from agencies for mounting on GPO Access. Tangible Government information products will be distributed to libraries, including CD-ROMs, diskettes, paper, or microfiche, as appropriate to the needs of users and intended usage.

The FDLP will ensure that electronic Government information products are maintained for permanent public access, in the same spirit in which regional depositories provide permanent access to print products. Effective public use of Government information, especially in the less-structured environment of the Internet, also depends on the ability of users to identify and locate the desired information. Through continuation of its cataloging services, and the development of "Pathway" information locator services, the FDLP will meet this need.

Current Status of Transition. A key highlight of the transition process in 1997 was the development of the "collection management" concept for GPO Access, which establishes that we will manage the various electronic Government information products made permanently accessible via GPO Access as a library-like collection. When the FDLP only managed printed products, the responsibility for ensuring permanent public access was shared by GPO and the regional depository libraries. In a more electronic FDLP, the permanent collection consists of remotely accessible electronic Government information products (including core legislative and regulatory GPO Access products) that will reside permanently on GPO servers or at our remote site, and other products either maintained by GPO or other institutions, operating in a distributed networked environment, with which we have established formal agreements.

In 1997, we established the first partnerships under the collection concept with the University of Illinois-Chicago, the University of North Texas, and the Online Computer Library Center (OCLC) Inc., to handle permanent public access to databases originating with the State Department, the now-defunct Office of Technology Assessment, and the Education Department, respectively. We have also developed a partnership with the Department of Energy for the electronic dissemination of its reports in image format.

In a related effort, we are piloting a project with the National Technical Information Service (NTIS) of the Commerce Department to make available certain NTIS image files to depository libraries. One library is involved in this pilot project and it will soon expand to an additional library in the near future. The long-term objective of this project is to provide depository libraries with access to a large body of scientific and technical information that currently is fugitive from the program. There are a number of technological issues associated with this pilot that are impacting its implementation.


FY 1999 APPROPRIATIONS REQUEST

For FY 1999, we are requesting $114.2 million for those programs that require annual appropriations directly to GPO. The request includes $84 million for the Congressional Printing and Binding Appropriation and $30.2 million for the Salaries and Expenses Appropriation of the Superintendent of Documents. Our total request is an increase of $3.5 million, or 3.1 percent, over the level of funding approved for FY 1998. Our FY 1998 funding includes a one-time transfer of approximately $11 million from our revolving fund to the Congressional Printing and Binding Appropriation.

Congressional Printing and Binding Appropriation. GPO's Congressional Printing and Binding Appropriation is critical to the maintenance and operation of our inplant capacity, which is structured to serve Congress's information product needs. The appropriation covers the costs of congressional printing such as the Congressional Record, bills, reports, hearings, documents, and other products. Each year, a substantial volume of this work is requisitioned. In FY 1997, more than 1.3 billion copy pages of congressional products were produced at an average cost of less than 4 cents per page, inclusive of all prepress work, printing, binding, and delivery. This appropriation also covers database preparation work on congressional publications disseminated online via GPO Access. Our request of $84 million for the Congressional Printing and Binding Appropriation is an increase of $2.3 million, or 2.9 percent, over the total amount approved for FY 1998, which includes the one-time transfer from the revolving fund of $11 million.

Superintendent of Documents Salaries and Expenses Appropriation. The majority of the Superintendent of Documents Salaries and Expenses Appropriation is for the Federal Depository Library Program (FDLP). While some of the funding for this program is for salaries and benefits, most is for printing and distributing publications (including publications in CD-ROM and online formats) to depository libraries. This appropriation also provides the majority of funding for the operation of GPO Access. Our request of $30.2 million for the Salaries and Expenses Appropriation is an increase of $1.1 million, or 3.9 percent, over the amount approved for FY 1998. The increase is due to increases in mandatory pay and related costs, price level changes, and workload changes associated principally with the continuing transition of the FDLP to an electronic basis.


GPO FINANCES

I am pleased to report that GPO generated consolidated net income from continuing operations of $11.6 million for FY 1997, compared with a loss of $16.9 million for FY 1996. This is the first consolidated net income generated by GPO since 1990, and occurred primarily as a result of GPO fully recovering its costs as required by law.

Department of Labor Issues. However, the Department of Labor (DOL) has revised its estimate of GPO's long-term liability for workers' compensation, which could cause an increase of $23.9 million in accrued expenses for FY 1997. We have requested a clarification of this estimate from DOL. In addition, the General Accounting Office (GAO) has stated, in decision B-259508 (April 4, 1996), that GPO, pursuant to section 8147c of Title 5, U.S.C., is not required to pay an additional fee to the DOL's Office of Workers' Compensation Programs (OWCP) to cover its administrative costs. We have been seeking to obtain a refund of the amounts erroneously collected by the OWCP.

GAO Management Audit. We are currently cooperating within the GPO management audit ordered by Congress in House Report 105-254, accompanying H.R. 2209, the Legislative Branch Appropriations Act for 1998. The audit is being conducted by Booz-Allen & Hamilton, Inc., under contract with the GAO. We have also implemented reforms to our sales program to assure that all disposals of excess stock comply with established guidelines.

Year 2000 Issues. We are cooperating with the GAO in its efforts to assess the status of year 2000 readiness in all legislative branch agencies, following the direction of the Chairman of the Senate Subcommittee on Legislative Branch Appropriations dated October 30, 1997. Our proposal to the JCP to bring our mainframe operating system into year 2000 compliance has been approved. We have formed an internal year 2000 program management office to work with the GAO, and have appointed year 2000 coordinators throughout GPO. We are continuing to conduct a review of all GPO computer systems to determine which systems will be converted, replaced, or retired. We are confident that the steps we are taking now will ensure the continuity of product and service provision to Congress, Federal agencies, and the public.

Future Capital Expenditure Requirements. Capital expenditures for major building repairs and maintenance, information systems, and production equipment will be a considerable drain on the revolving fund. GPO's buildings are old and require substantial maintenance. These services are not provided by the Architect of the Capitol but are financed by GPO. Over the next two years, necessary capital investments include about $6 million for replacement of air conditioning equipment. Elevator, roof, and electrical systems need repair, which will cost additional millions of dollars over the next few years. Information systems also account for major capital investment requirements. This year we will be implementing an information processing system for the Superintendent of Documents, at a cost of about $10 million. We will replace our mainframe computer with an enterprise server that will be year 2000 compliant, at a cost of about $1.8 million. Other significant expenditures will be required to bring all GPO computers and software into compliance with year 2000 requirements. Production equipment requirements include $1.6 million for computer-to-plate systems and $3.6 million for a passport printing and binding line. These expenditures will have to be funded either through GPO's revolving fund or through an alternative mechanism such as a line item appropriation, which was how GPO's air conditioning improvements during the 1970's were funded.

Removal of FTE Limitation. For FY 1999, we are requesting the House and Senate Appropriations Committees to remove the statutory limitation on our full-time equivalent employment (FTE's). GPO has reduced employment by more than 25 percent since early 1993. This reduction was accomplished through attrition and successfully lowered our costs while preventing interruptions in service to Congress, Federal agencies, and the public. However, some critical GPO areas, including those that serve Congress, are now fully reduced and cannot withstand further reductions without impairing performance and service provision. GPO is now at its lowest employment level in this century. Allowing us to manage our FTE resources within the constraints of our available funding, rather than under a statutory limit, will give us the flexibility necessary to continue providing essential services.


TITLE 44 REVISION

At the hearing on Title 44 before this Committee on April 24, 1997, I offered to provide legislative language to achieve reform of the chapters of Title 44 pertaining to GPO. I conveyed these proposed changes to the Committee on May 29, 1997. The proposed changes can be grouped into three general categories: the transfer of JCP responsibilities to the Public Printer, the modernization of the chapter 19 provisions concerning the FDLP, and miscellaneous changes to provide GPO with greater flexibility in the management of its operations.

Transfer of JCP Responsibilities. As I discussed at the April 1997 hearing, I firmly believe the constitutional issue with respect to Title 44 can be remedied by eliminating any direct JCP control over the Public Printer or agency printing. Accordingly, we suggest amending 44 U.S.C. 103 to limit the responsibility of the JCP to congressional publications. The JCP would retain its responsibilities under chapters 7 and 9 of Title 44, which deal with congressional publications (however, the 44 U.S.C. 902 authority of the JCP to appoint Congressional Record Indexers would be transferred to the Public Printer and the current appointees would be deemed GPO employees).

Throughout Title 44 and the remainder of the U.S. Code, any other reference to the JCP with respect to any activity beyond congressional publications would be replaced with a reference to the Public Printer or the Government Printing Office (or, as in the case of the JCP's authority to resolve wage disputes under 44 U.S.C. 305, with a reference to some other appropriate mechanism). Some provisions that currently mention the JCP would simply be stricken wherever they are obsolete, as in the case of several provisions under chapter 5 dealing with paper contracts.

With the transfer of responsibilities, the Public Printer would be authorized under 44 U.S.C. 301 to "issue regulations, consistent with this title, [that he] considers necessary to carry out [his] duties and powers...and to remedy neglect, delay, duplication, and waste in the public printing and the distribution of Government publications." The Public Printer would exercise these authorities as an appointee of the President subject only to presidential removal, thereby remedying the separation of powers objection to control of the Public Printer by the JCP.

Suggested language is also provided to characterize GPO as "an instrumentality of the United States Government independent of the executive departments." This language is identical to the establishment clause of the GAO contained in the Budget and Accounting Act of 1921, as amended (31 U.S.C. 702). Its addition would clarify GPO's mission to serve all of the Federal Government, as currently provided under 44 U.S.C. 501, independent of executive branch control.

Modernization of Chapter 19. These provisions are substantially the same as those conveyed to the Senate Committee on Rules and Administration by letter dated August 22, 1996. They are based on suggestions for legislative changes considered by the 1996 Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program. These would:

Greater Management Flexibility. We have used this opportunity for statutory reform to supply you with miscellaneous provisions that would improve the management of GPO operations, including our printing procurement and sales programs. Among these are provisions that would:

We also have suggested eliminating certain provisions of Title 44 that are obsolete or unnecessary.

Overall, the draft changes we have submitted are intended to respond to the objectives for Title 44 reform outlined at the April 1997 hearing. In addition, we recently met with the members of the Inter-Association Working Group on Government Information Policy (IAWG) to discuss their proposals for legislative reform of chapter 19. We provided them with comments on their draft bill, and we also sent our comments to all Members of the JCP, who earlier had been provided with copies of the IAWG's proposed legislative language.

* * *

Mr. Chairman and Members of the Committee, this concludes my prepared statement. I would be pleased to answer any questions you may have.



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