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New Library Inspector Appointed: Walter Zoller

Walter Zoller has recently joined the Library Programs Service as a depository library inspector. Mr. Zoller came to LPS from East Carolina University's Joyner Library, where he was a documents librarian for the past three years. Prior to this, he had brief employment stints with the Small Business Administration and the School of Information and Library Sciences at SUNY-Buffalo, from where he received his MLS. His prior work experience also includes 19+ years in the banking industry, where he worked in all aspects of the commercial lending field. His undergraduate degree is from St. Bonaventure University in mathematics.

Revised Edition of Preparing for a Library Inspection
Now on GPO Access

An updated version of Preparing for a Library Inspection has been added to the FDLP Desktop Web site at <http://www.access.gpo.gov/fdlpdesktop>. This updates a print version that had been sent to depositories prior to an inspection visit. Libraries scheduled for an inspection should review the online document prior to the visit.

Keep Your Library’s Directory Entry Up to Date

Does your library have a new director or depository librarian? Have there been any changes in phone numbers, fax numbers, e-mail addresses, or the depository’s URL? Now would be a good time to review your library’s entry in the online database at <www.access.gpo.gov/su_docs/fdlp/tools/ldirect.html> and make any necessary corrections.

Any changes input by February 9 will be reflected in the February 2001 edition of the Federal Depository Library Directory.

Please note that in the online directory, the URL should be for a site that has a direct link to specific government information page(s) or a significant mention of the library’s depository status.

New Dissemination/Distribution Policy Implemented

The new Superintendent of Documents’ "Dissemination/Distribution Policy for the FDLP" (SOD 71) and the related list of "Essential Titles for Public Use in Paper Format," printed below, have been approved and were put into effect on January 2, 2001. The policy statement and the list are important working documents for LPS staff to use in acquiring publications for the Federal Depository Library Program, and should result in a more predictable decision-making process.

At the fall 2000 Depository Library Council meeting, the "Dissemination/Distribution Policy for the FDLP," which at that point included the list of titles, was presented in draft form. The discussions at the meeting resulted in several suggestions for clarifying the draft. Council recommended that GPO proceed with the policy (See Recommendation no. 5, Administrative Notes, v. 21, #16, 12/15/00). LPS staff incorporated the substance and spirit of the Council discussions into the final policy, as well as the input received as a result of posting the draft to GOVDOC-L.

The expanded list of "Essential Titles for Public Use in Paper Format" contains titles of 42 publications that GPO is committed to keeping available for selection in paper format as long as those titles continue to be issued in paper by the publishing agency. In October and November LPS received comments and suggestions from the depository library community for the list. LPS received suggestions from 55 persons, recommending 207 specific titles as essential for distribution in paper. Only 105 of the 207 titles were recommended by more than one person. Of the 207 specific titles recommended, we added 22 to the "Essential Titles" list, including the open-ended category for decennial census publications.

All of the other suggestions were also considered, with the following results:

1. Many of the remaining suggested titles and categories of publications meet the special conditions or needs categories identified in the policy statement, which states that publications in such categories will be distributed in paper. For example, military history titles are included in the "titles of historical significance" clause in policy statement part 4.(b).
2. Other recommended titles, such as the Survey of Current Business, are not specifically cited on the list because they are considered to be of "significant reference value to most types of FDLP libraries."
3. Some suggested titles did not address the choice between dissemination in paper or online. For example, there were suggestions to include titles that are currently distributed in microfiche.
4. The remaining suggested titles not addressed above will not necessarily be migrated to online dissemination only. They are, however, subject to being migrated to online format as funding or other circumstances change.

SUPERINTENDENT OF DOCUMENTS
POLICY STATEMENT

EFFECTIVE DATE January 2, 2001

NO. SOD 71

Subject: Dissemination/Distribution Policy for the Federal Depository Library Program

Overview.

Information content remains the primary selection criteria for inclusion of U.S. Government information products in the Federal Depository Library Program (FDLP). Regardless of format, publications must conform to the definition in 44 U.S.C. Sec. 1901.

Library Programs Service (LPS) will determine the best method for making government information products available to the depository libraries. When more than one format exists for a product, LPS will determine how to best provide the information by assessing: how the product will be used, the specific characteristics of the online and/or tangible product, issues relating to permanent public access, and the cost of providing the material.

As directed by Congress, the primary method of making publications available to the FDLP is online dissemination. Specific product characteristics may dictate that an alternate method needs to be used. LPS will use the following guidelines to determine the most appropriate method.

Guidelines.

Determination of the best method for making a product available to depository libraries is made at the time of notification and product selection. If additional information becomes available, modifications to the original dissemination decision may be made if feasible.

1. When a product is only available online, it will be disseminated in online format.
2. When a product is only available in tangible format, then LPS will distribute it in a tangible format.
3. When the product is available both online and in a tangible format the standard practice will be to disseminate the online version to depository libraries. A tangible product will be distributed only if the online version is:
1. incomplete. For example:
1. online products that contain only selected or abstracted portions of the content provided in its entirety in the tangible product, or
2. kits comprised of mixed media tangible products where only a portion of the title is online.

2. not recognized as official by the publishing agency. For example, this can occur when the electronic version is on a non-verifiable or unofficial Web site.
3. located in an online site where products are known to be changed randomly. For example, this would occur when the product content may be overwritten by different content.
4. very difficult to use, thus impeding access to data or content. For example, this can occur when the product design imposes technological barriers to usage.
5. not cost-effective. The costs associated with disseminating the online product exceed those for the tangible product. For example, this situation may arise with fee-based online services.
6. fee-based, and created, all or in part, through the use of non-appropriated funds. For example, this can occur when the publishing agency designates the product as cooperative. 44 U.S.C. Sec. 1903.
4. If a product is disseminated to depository libraries online and a tangible format is available, the tangible product will also be distributed if the tangible product meets special conditions or needs, i.e., when:
1. there is a legal requirement to distribute the product in tangible format.
2. the tangible product is of significant reference value to most types of FDLP libraries, as may be the case with certain compilations, legal resources, permanent legal records or products of historical importance.
3. the tangible product is intended to serve a special needs population. For example, this could occur when the publication is in Braille or large print.
4. the commonly-accepted medium of the user community is tangible format. For example, this could apply to maps and/or charts.
5. the product is essential to the conduct of Government. GPO has identified a list of "Essential Titles for Public Use in Paper Format." When those titles are published in paper format they will be made available in paper for selection by depository libraries.

5. When a tangible product is to be distributed, the product will be distributed in the format issued by the publishing agency, except that a paper product will be reviewed for suitability for conversion to microfiche. If suitable, it will be converted; if not, it will be distributed in paper.
6. LPS will not convert products that are issued solely in tangible print format to electronic format. This approach may be reevaluated as circumstances warrant. The costs of the conversion process and the official status of the resulting online or tangible electronic version are important factors.

Scope.

This policy pertains to all U.S. Government information products subject to dissemination/distribution to depository libraries. 44 U.S.C. Sec. 1901-1903.

Application.

The Director, Library Programs Service, is responsible for ensuring that all publications are disseminated and/or distributed to depository libraries in the most effective manner.

Related Documents.

This policy relates to and augments the policy established in SOD 13, Format of Publications Distributed to Depository Libraries, issued on August 22, 1983. It should also be used in conjunction with the January 2001 document entitled "Essential Titles for Public Use in Paper Format," published by the Library Programs Service.

Document Terminology.

References:

"Depository Library Program," Title 44 U.S. Code, Sec. 1901-1916, 1994 ed.

"Format of Publications Distributed to Depository Libraries," Superintendent of Documents Policy Statement No. SOD 13, August 22, 1983.

MacGilvray, Marian W. and John M. Walters. Electronic Capabilities of Federal Depository Libraries, Summer 1994. Washington: Government Printing Office, 1995.

"Priorities for Disseminating Electronic Products and Services from the U.S. Government Printing Office." Documents to the People, 20, no. 2 (June 1992): 78-79.

U.S. Government Printing Office. Report to the Congress: Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program, as required by Legislative Branch Appropriations Act, 1996, Public Law 104-53. Washington: Government Printing Office, 1996.

U.S. Government Printing Office. Library Programs Service. Managing the FDLP Electronic Collection: A Policy and Planning Document. Washington: Government Printing Office, 1998.

U.S. House. Making Appropriations for the Legislative Branch for the Fiscal Year Ending September 30, 2001, and for Other Purposes. Conference Report (H. Rpt. 106-796). Washington: Government Printing Office, 2000.

U. S. National Commission on Libraries and Information Science. Report on the Assessment of Electronic Government Information Products, prepared by Westat, Rockville, Md. Washington: Government Printing Office, March 30, 1999.

Approved ___________________________
(Superintendent of Documents)

The dissemination of information products through the Federal Depository Library Program (FDLP) includes a variety of formats. As directed by Congress, the primary method of making publications available to the FDLP is in online format. There are, however, specific titles that are to remain available for selection in paper format, so long as they are published in paper by the originating agency. These titles contain critical information about the activities of the U.S. Government or are important reference publications for libraries and the public. Maintaining the availability of these titles for selection in paper format has been deemed essential to the purposes of the FDLP.

This list was developed using input provided by the depository library community. Discussions concerning what titles were essential to the public and to FDLP libraries in paper format were held in conjunction with the development of the "Dissemination/Distribution Policy for the FDLP" in October 2000. An initial list, published in the 1996 "Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program," served as a foundation for this document.

Titles may be added or removed from this list. Titles recommended by the library community will be considered for inclusion in this list. Titles will be removed when it has been determined that the agency has ceased publication in paper. Major changes in the operations or funding of the FDLP may cause this list to be modified at any time.

In addition, publications not available in electronic format, as well those determined to be appropriate for distribution in tangible format under the Superintendent of Documents’ "Dissemination/Distribution Policy for the Federal Depository Library Program" (SOD 71, dated January 2, 2001), will be distributed in tangible format.

The following list of specific titles, when published in paper format, will be made available for selection by depository libraries:

Library Programs Service Update
American Library Association Midwinter Conference
January 2001
[Handout]

The Library Programs Service (LPS) has experienced some recent changes in work assignments among the managerial personnel. Vicki Barber, Chief of the Depository Distribution Division, has been detailed to the Superintendent of Documents’ staff to assist in implementing the Integrated Processing System (IPS) in the Documents Sales Service. This detail is expected to last up to one year. Consequently, Colleen Davis has been detailed to the position of Chief of the Depository Distribution Division.

Sheila McGarr has left LPS to become the director of the National Library of Education. As Chief of the Library Division, Sheila had management responsibility for the Cataloging Branch (CB), the Depository Administration Branch (DAB), and the Depository Services Staff (DSS). DSS includes the library inspection team, the responsibility for LPS publishing, and event planning for the annual Federal Depository Library Conference, the semi-annual Depository Library Council meetings, and annual Interagency Seminar. In order to cover these critical activities, Robin Haun-Mohamed has been named the Chief of DSS.

The transition of the Federal Depository Library Program (FDLP) to a program that emphasizes the discovery, cataloging, and management of online publications has brought about many operational adjustments in LPS’ work. During the past year LPS has experimented with an Electronic Collection Team. More recently, we have conducted two analyses of the impact of processing online publications on our operations. These efforts strongly suggest that operating effectiveness and service to the public can be improved through a closer coordination between CB and DAB staff. Therefore, Thomas A. Downing, Chief of the Cataloging Branch, has been named the acting Chief of the Depository Administration Branch. He will also continue as Chief of the Cataloging Branch.

Finally, LPS is pleased to announce the addition of two librarians to our staff. In October, Martin Bokow joined LPS as a serial cataloger. From 1996 until joining GPO Marty was employed as a contract serials and monographs cataloger working at the National Oceanic and Atmospheric Administration Library. This month, Walter Zoller from East Carolina University became a Library Inspector. There is still one inspector vacancy yet to be filled in order to return to the summer 2000 staffing level in DSS.

LPS has completed two items that were discussed at the fall 2000 meeting of the Depository Library Council to the Public Printer (Council). These are the Superintendent of Documents’ "Dissemination/Distribution Policy for the FDLP" (SOD 71, dated 1/2/01) and the related list of "Essential Titles for Public Use in Paper Format." These will be published in Administrative Notes and posted on the FDLP Desktop, GOVDOC-L and DocTech-L.

At the fall 2000 Council meeting, the "Dissemination/Distribution Policy for the FDLP," was presented in draft form. Following the discussion at the meeting, and the suggestions that Council made for the policy’s clarification, LPS staff has revised the draft, incorporating both Council’s comments and input received as a result of posting the draft to GOVDOC-L. The new policy statement incorporates the substance and spirit of the discussions at Council.

The related "Essential Titles" list contains titles of publications that GPO is committed to keeping available for selection in paper format as long as those titles continued to be issued in paper by the publishing agency. This list was initially derived from a title list included in the draft "Dissemination/Distribution Policy for the FDLP." During the process of working with the many suggestions for the list, LPS decided to separate the list from the policy statement. The rationale for this action is the expectation that the list of titles will be more dynamic than the policy statement, which should remain relatively fixed over a long period of time.

LPS took suggestions from the depository library community for the new "Essential Titles" list, considering all suggestions received through November 15. Fifty-five persons sent suggestions, recommending 207 specific titles as essential for distribution in paper. Based on this input, LPS has expanded the "Essential Titles" list to 42 titles, including decennial census publications.

The 14^th annual Interagency Depository Seminar will be held from May 30 - June 6, 2001 at the U.S. Government Printing Office. The preliminary agenda and registration form appeared in the October 15, 2000 issue of Administrative Notes at <www.access.gpo.gov/su_docs/fdlp/pubs/adnotes/ad101500.html#6>. There are still slots available in the seminar. The registration deadline is March 13, 2001.

The spring 2001 Depository Library Council meeting will be held April 1-4, at the Four Points Hotel Riverwalk North in San Antonio. The preliminary agenda and registration form will appear in the January 15, 2001 issue of Administrative Notes.

Documents staff should review and correct their directory entry at <www.access.gpo.gov/su_docs/fdlp/tools/ldirect.html> as soon as possible. Entries in this database are used to produce the Federal Depository Library Directory. The next edition will be published in March and will be supplied to each Member of Congress and staff in the local congressional offices, as well as to all depositories.

Correct library addresses are also necessary to prevent delivery problems and additional expense. FedEx Ground charges LPS an additional $5.00 per shipment box if there are any delivery problems resulting from incorrect library addresses. Recently LPS has been assessed numerous surcharges that were traced back to incorrect library zip codes. When your library’s delivery address changes for any reason, such as temporary delivery locations due to a strike, library renovations, severe weather, zip code changes, etc., it is imperative to notify LPS immediately.

Buy a Safer Car 2001: Valuable Information on: Crash Tests, Safety Features and Buying Tips. TD 8.2:2001002120, Item 0982-D-01 (Online)

Crime in the United States. J 1.14/7:999, Item 0722 (Paper and Online)

Healthy People 2010, Understanding and Improving Health, November 2000.

HE 20.2:P39/4/2010, Item 0485 (Paper and Online)

ID Theft, When Bad Things Happen to Your Good Name, Revised August 2000.

FT 1.2:2000023276, Item No. 0535 (Online)

Policy and Supporting Positions (Plum Book), November 8, 2000.

Y 4.G 74/9:S.PRT.106-54, Item 1037-B (Paper & Online)

106-1 S. Doc., Proceedings of the United States Senate in the Impeachment Trial of President William Jefferson Clinton. Y 1.1/3:106-4/V.1-4, Item 1004-E (Paper)

Report of the FDA Retail Food Program Database of Foodborne Illness Risk Factors.

HE 20.4502:2001001417, Item 0495-B-01 (Online)

Standard Occupational Classification Manual, 2000. PREX 2.6/3:2000, Item 0854-A-04 (Paper)

Tiger/Census Tract Street Index, Version 4. C 3.279/2:DVD-TGR 2000-CTSI-V 4, Item 0154-E-01 (DVD)

Shipping Lists, beginning with lists for FY2001, are now available on GPO Access in PDF (Adobe Portable Document Format). PDF files for paper, electronic and separates shipments are available at <http://www.access.gpo.gov/su_docs/fdlp/tools/sl/slister.html>. Since PDF documents can be printed as exact facsimiles of the original shipping lists that accompany depository shipments, these copies may be used to claim missing items following established claiming procedures.

PDF files for microfiche shipping lists will be available in the future. Until then, the FY 2001 microfiche shipping lists will continue to be available on U.S. FaxWatch. The paper, separates, and electronic shipping lists are no longer available from U.S. Fax Watch. Only the new FY 2001 shipping lists are being converted to PDF--no retrospective conversions are planned.

Paper shipping lists will continue to be sent to libraries in shipment boxes. The information on the shipping lists will continue to be available in dBase format from the Federal Bulletin Board located at <http://fedbbs.access.gpo.gov/fdlp01.htm>. The Enhanced Shipping List Label Service, a partnership project between the State University of New York at Buffalo and the Federal Depository Library Program, will also continue to be available from <http://ublib.buffalo.edu/libraries/units/cts/acq/gpo/>.

The first paper issue of the Serials Supplement is expected to be published in early 2001. The Serials Supplement, which replaces the Periodicals Supplement, will consist of more than 1,000 bibliographic records representing serials currently published by U.S. Government agencies. Many of these records will contain URL/PURLs for online access to serial issues. The Depository Library Council concurred with a re-definition of serials to include resources issued once or more a year. This change has prompted a title change from Periodicals Supplement to Serials Supplement. Use of this more inclusive definition means the Serials Supplement contains several hundred more records than were included in the Periodicals Supplement, which had represented only serials issued three or more times a year.

Internet publishing by U.S. Government agencies has significantly influenced the development of national cataloging policies. In recent years GPO has established policies associated with computer files, linking fields, and collection level records for the use of GPO catalogers. These specific guidelines are accessible via the FDLP Desktop application at the GPO Web site.

These and other changes to cataloging policies during recent years have prompted efforts to publish a revised edition of the GPO Cataloging Guidelines. Edits are now being made to approximately 200 pages of text. When completed, this edition of the Guidelines will be published online on the FDLP Desktop during the early part of 2001.

The Cataloging Directorate of the Library of Congress (LC) recently sponsored an international conference entitled "Bicentennial Conference on Bibliographic Control for the New Millennium: Confronting the Challenges of Networked Resources and the Web." This conference included participants from the U.S. national libraries, several major university libraries, the British Library, the National Library of Canada, National Library of Australia, major commercial vendors, and distinguished faculty of graduate schools of library and information science. Thomas A. Downing, Chief, Cataloging Branch, was invited to participate and contributed a conference paper entitled, "An Initial Survey and Description of How Selected United States Government Libraries, Information Centers, and Information Services Provide Public Access to Information via the Internet." This paper is available at <http://lcweb.loc.gov/catdir/bibcontrol/downing_paper.html>. This and other papers published at the conference site provide readers with insights into the challenges, policies, options, and methods used to identify and provide access to online resources.

George Barnum represented the FDLP at "Preservation 2000: An International Conference on the Preservation and Long Term Accessibility of Digital Materials" held in York, England, December 6-8, 2000. The conference, sponsored by the British consortium Cedars, the Research Libraries Group, OCLC, Inc., and the Joint Information Systems Committee (UK), was preceded by a workshop on developments in the creation and use of metadata for digital preservation. George presented a paper, written in collaboration with former LPS Transition Specialist Steve Kerchoff, titled "The FDLP Electronic Collection: Preserving a Tradition of Access to United States Government Information." He was one of 17 speakers from around the world addressing all aspects of digital preservation. His paper focused on the unique challenges of preserving and delivering free and open access to official information. He shared the podium with speakers from the National Library of Australia, the British Library, the Koninklijke Bibliotheek (Netherlands), and the Government of Canada, among others. He will share the paper and his impressions of the conference in articles in Administrative Notes.

January 4, 2001

The Honorable Martha B. Gould
Chairperson
U.S. National Commission on Libraries and Information Science
1110 Vermont Avenue, NW
Suite 820
Washington, DC 20005-3552

Dear Ms. Gould:

The National Commission on Libraries and Information Science (NCLIS), under your leadership, is to be commended for taking on the ambitious and difficult task of assessing Federal information policy and recommending changes for the future. However, I am unable to support the proposals in the draft NCLIS report, "A Comprehensive Assessment of Public Information Dissemination," or the draft legislation that has resulted from this effort, "The Public Information Resources Reform Act of 2001."

The NCLIS study characterizes public information resources as a "strategic national asset." I agree that this level of importance should be assigned to Government information (although I am concerned that treating these resources as a commodity, rather than as mainstays of our civic culture, may have some unforeseen consequences). I also agree that Federal information policy faces a number of challenges from electronic information technology. These challenges, however, do not lead me to believe that a wholly new Federal agency, accompanied by a new and highly complex set of interagency roles and responsibilities, is necessary, feasible, or even desirable.

There already exists in the Federal Depository Library Program (supplemented by the electronic authority provided by chapter 41 of Title 44, U.S.C.) an effective statutory mechanism for providing comprehensive, equitable public access to Government information. With sufficient funding, this system is capable of meeting the challenges of the electronic information age: guaranteeing permanent public access, ensuring authenticity, providing finding aids, supporting users of electronic products and services, and meeting the continuing demand for information in printed formats (which is still considerable). The FDLP has already made demonstrable progress in these areas, a fact to which the NCLIS draft report regrettably pays little attention. The FDLP has articulated and embraced a new vision of a primarily electronic FDLP in the Internet era through its 1996 Study to Identify Measures Necessary for a Successful Transition to a More Electronic Federal Depository Library Program and its 1998 report, Managing the FDLP Electronic Collection: A Policy and Planning Document. Last year, more than half the new titles included in the FDLP were in electronic format. We have convened the Government’s primary interagency working group on permanent public access, and taken a variety of other steps toward improving and expanding public access to electronic Government information holdings. In view of this progress, I do not believe Congress would establish and fund an alternative agency—at an unknown cost—to perform substantially the same function.

I have strong reservations about the executive branch function proposed by NCLIS because it would remove information dissemination from the direct control of the people’s elected representatives, where it most appropriately belongs in our form of government. I do not agree that information dissemination is an "inherently executive function." It is Article I of the Constitution that requires Congress to inform the public of its activities—and so the activities of the Government—not Article II, and it is from within the legislative branch that the Government’s information has been disseminated for most of this Nation’s history. I am not aware of any comparable information dissemination capability—nor statutory responsibility nor record of commitment to comprehensive and equitable public access—in the executive branch that would lead me to believe that it would be the superlative location for that function.

I am concerned by the Commission’s proposal to separate printing procurement authority from GPO. This was a central tenet of the "reinventing Government" proposals regarding GPO that were advanced in 1993-94, and it was not accepted by Congress. Separating the printing procurement program from GPO will subject those procurements to the Federal Acquisition Regulation (FAR), rather than GPO’s Printing Procurement Regulations. The FAR’s treatment of small purchases will end open, competitive procurements of most print orders flowing through the program, significantly raising costs to the taxpayer. Other major issues regarding Government printing are left unaddressed by the draft report and legislation. Would agencies be permitted to expand their own in-plant printing operations? Would they be permitted to conduct their own printing procurements through waivers? How would the cost of printing left with GPO be addressed? The brief attention given to the future of the Government’s printing capability in the draft report and legislation is problematic, and I urge the Commission’s staff to review GPO’s testimony on the "reinventing Government" printing proposals delivered before the Senate Committee on Rules and Administration in February 1994.

I had hoped that the NCLIS study would examine in depth the feasibility of combining the National Technical Information Service with GPO, as I proposed before the 106^th Congress in 1999, and perhaps discuss the ramifications of combining the FDLP with the Library of

Congress, as is being reviewed now by the General Accounting Office at the direction of the conferees on the Legislative Branch Appropriations Act of FY 2001. These are specific issues that could impact public access to Government information significantly. I urge the Commission to address these issues in revising the draft report.

Sincerely,

MICHAEL F. DiMARIO
Public Printer

Library Programs Service Contacts
January 2001