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Administrative Notes: Newsletter of the FDLP
Table of Contents
Tangible Distribution
~Administrative Notes Resources~ Get the PDF version of this volume Public Printer Bruce James Announces New Appointees To the Depository Library Council;
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SOD 71 (January 2001) |
Proposed Revision to be ID 71 (April 2005) |
2. When a product is only available in tangible format, then LPS will distribute it in a tangible format. |
2. When a product is only available in tangible format, ID will create an electronic version to be substituted for tangible distribution if it is not an essential title and one or more of the following conditions exist: a. The cost of printing and distributing the tangible product is prohibitive due its characteristics. b. Digital conversion results in better functionality of the product. c. The digital copy is an official representation of the original. d. The publishing agency does not fulfill the requirement to provide sufficient copies for tangible distribution. |
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. |
5. When a tangible product is to be distributed, the product will be distributed in the format issued by the publishing agency, except for essential titles that have been identified for conversion to microfiche as a dual distribution option. Electronic dissemination will be utilized for publications that meet the conditions in number 2 above. |
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. |
6. In order to place electronic versions of all in scope documents in the FDLP Electronic Collection for preservation and dissemination, ID will convert from tangible to electronic format, i f an electronic copy cannot be obtained . The costs of the conversion process, suitability of the material, and the official status of the resulting online or tangible electronic version are important factors. |
GPO recently conducted a survey to obtain recommendations from the depository libraries on which titles should be added to the existing Essential Titles list, either for all Federal depository libraries or for specific types of depository libraries. A total of 794, or about 63 percent of the 1,270 libraries in the Federal Depository Library Program responded to the survey. Respondents recommended and ranked up to 10 titles from lists of the 100 titles most selected by their library type as of March 2005. Only titles in tangible format in the List of Classes were included on the lists. Respondents were allowed to “write-in” up to three titles not included on the list for their library type.
GPO now needs to determine how to move from the survey results to decisions on specific titles for tangible distribution to all or specific types of depository libraries. Results for each type of library are included in the registration packets, showing the top items recommended. Complete results are online at: http://www.gpoaccess.gov/essential/statistics.html.
The list of Essential Titles developed in 2000 included primarily items selected by over 1,000 depositories. In contrast, the highest number of recommendations for a single item in the recent survey was 373. This seems to represent less of community consensus on the recommendations than for the existing essential titles. In fact, there are many items not on the essential titles list that have higher selection rate than the level of recommendations, either in aggregate, or by library type. It is surprising that more of the highly selected items were not recommended as essential titles.
The National Collection of U.S. Government Publications ( CLRNational Collection) supports the Federal Depository Library Program (FDLP) in its mission to ensure no-fee permanent public access to the official publications of the United States Government regardless of format.
The National Collection Federal Depository Library Program Collections (FDLP Collections) include s preservation and access copies of digital publications and tangible publications. The CLRNational Collection will consist of geographically-dispersed collections of tangible and digital publications, located at multiple sites, and operated by various partners within and beyond the U.S. Government. This briefing topic is focused on the Collection of Last ResortNational Collection serves three roles in the conceptual overview, serving as the dark archive s for preservation of tangible and digital publications.
Contents |
Nat ional Collection Preservation Sites |
Access Collections for Public Use |
Tangible publications |
Dark archives with preservation copies |
Light archives (minimal use, active preservation), or Depository library collections (normal preservation efforts) with access copies |
Digital publications |
Dark archives with digital preservation masters |
Service archives at GPO or partner sites with access copies or derivatives |
For tangible publications the dark archive(s) include preservation copies which are only used when all other avenues to obtain a copy have been exhausted. Public access is provided from depository library collection access copies, or from light archives, which have minimal use and active preservation.
Preservation copies of digital publications will be maintained in dark archive(s), and used to create access copies or derivatives for delivery from GPO service archives or partner sites.
GPO will provide online public access and other publications and services derived from the digital preservation masters and other items in the CLRNational Collection. Access copies, also referred to as “derivatives,” of the stored digital publications will be available for no-fee online use by the public.
Publications in GPO portions of the National Collection will be bibliographically controlled using GPO’s Integrated Library System. The cataloging records will be part of the National Bibliography data base, provided to OCLC, and made available to requesting libraries and vendors. Ultimately, preservation metadata will be included in GPO’s Future Digital System.
1. The National Collection primarily created to supports the FDLP goal of no-fee permanent public access, but also supports other GPO information dissemination and preservation programs.
2. General administration of the National Collection and management of the tangible and digital publication dark archives are inherently governmental functions .
3. Publications in the National Collection will be included in the National Bibliography of U.S. Government Publications.
4. Access copies of digital objects derived from the preservation masters.
5. National Collection assets will be maintained in geographically-dispersed locations. A National Collection segment may be consolidated in a single location or as a distributed collection at multiple sites which together form a single collection.
6. National Collection management will be benchmarked against the criteria for assurance developed by the Center for Research Libraries or successor documentation of best practices . (see Appendix III).
7. National Collection preservation activities for digital resources will be based on the agreement between GPO and the National Archives and Records Administration (NARA) designating GPO as an archives affiliate.
8. The National Collection includes the FDLP Electronic Collection.
9. National Collection assets in the “dark archives” are held for preservation rather than public access.
10. Access copies of the National Collection assets are publicly accessible from light archives (tangible) or service archives (digital).
11. GPO will acquire tangible copies from a variety of sources, including the transfer of portions of the legacy FDLP Collections from depository libraries to GPO.
12. The tangible publications in the CLRNational Collection will be digitized for preservation and access exist as a source and a backup for the digital objects CLR. After digitization the original publication, even if disbound, will be retained and preserved in case the item must be digitized again in the future.
13. Tangible copies of “born digital” publication s will be produced for the dark archive as backups for the digital publications. Tangible copies in the National Collection dark archive will, to the extent practicable, be produced on archival media.
In addition, there have been a number of important acquisitions from depository and Federal libraries, including:
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GPO is developing the National Bibliography of U.S. Government Publications (National Bibliography) that fully meets the statutory requirements of 44 U.S.C. 1710-1711. By law GPO is charged with preparing and publishing a “ comprehensive index of public documents,” including “every document issued or published … not confidential in character.”
GPO’s National Bibliography is a comprehensive catalog containing descriptions and locations of U.S. Government unclassified publications in all formats. The National Bibliography describes any publication, regardless of form or format that any U.S. Government agency publishes, disseminates, or makes available to the public, as well as any publication produced for administrative or operational purposes, that is of public interest or educational value. Publications represented in the National Bibliography are acquired from official sources or sites, and are not subject to official use or security classification restrictions. Initially the National Bibliography database will consist of GPO-produced bibliographic records representing titles cataloged from 1976 to the present. Once the ILS initial implementation is completed in spring 2005, GPO plans to expand the National Bibliography database by adding pre-1976 records, records created by cooperative cataloging partners and other institutions, as well as records converted from other bibliographic or metadata formats. Building the National Bibliography legacy database is a project that will span multiple fiscal years, while adding records for new publications is an ongoing effort. Functionally, the National Bibliography will be a principal output of the Integrated Library System (ILS), Ex Libris’ Aleph 500. GPO will develop one or more relational databases of library cataloging and other metadata records that describe and link to U.S. Government publications in a variety of formats and locations. The National Bibliography will utilize metadata resources created by GPO, by other agencies, and by partner institutions. The ILS’ federated search function will provide the capability to search across a distributed set of metadata resources from other institutions and display a combined result set. The public face of the ILS will be GPO’s Online Public Access Catalog.Planning for the National Bibliography emphasized ways to improve the comprehensiveness of GPO’s cataloging and metadata progra ms , to enhance the usability of GPO’s bibliographic products and services, to operate a standards-based national library quality program, and to enhance the public’s ability to identify and locate U.S. Government publications.
Bibliographic access to all publications in GPO’s portion of the National Collection CLR will be provided through GPO’s National Bibliography and potentially by other metadata services. Cataloging records for online publications will include a persistent link to the publication. GPO’s goal is that digital publications will be accompanied by preservation metadata describing their content, file type, provenance, etc.
Bibliographic control will be provided to the individual publication level for all access copies of publications in the CLR National Collection. Applying metadata at this level will enhance the performance of federated search tools and OpenURL linking technologies. GPO bibliographic records will conform to the practices and standards established for the National Bibliography. Digital publications intended for print-on-demand reproduction and sales will also have book industry standard metadata. The metadata for digital publications should indicate the permitted access to that item if any restrictions apply. Other or additional metadata syste ms or elements may be applied to other portions of the CLR National Collection.
To improve communication about GPO’s cataloging practices and developments, ID has created a National Bibliography News page on GPO Access (FDLP Desktop).
Beginning February 1, 2005 , the OCLC holdings symbols of 30 regional depository libraries have been added to the bibliographic records GPO contributes to OCLC WorldCat. Working with GPO, OCLC has developed an automated batch loading process to set the holdings, which is run daily. This project will bring improved public and library community awareness of resources available in Federal depository library collections through an increased number of bibliographic access points and facilitated interlibrary loan of tangible U.S. Government publications. Adding OCLC symbols to GPO-produced cataloging originated as a suggestion from regional depository librarians. Most recently, the Oklahoma Department of Libraries and the University of Maine joined the project, bringing the total to 32 regionals participating.
At the Midwinter meeting of the American Library Association, GPO announced that the Office of Bibliographic Services would begin creating a unique bibliographic record for each manifestation, or version, of a title, at the same time that the ILS goes live. This issue was first raised in the National Bibliography of U.S. Government Publications: Initial Planning Statement, published in draft June 18, 2004, and was also discussed at the October 2004 meeting of the Depository Library Council . This issue engendered a large number of comments, the majority of which favored creating a unique record for each publication or version. Reasons supporting GPO’s intent to create unique records include:
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Authentication is a critical function of GPO’s planned Future Digital System (FDSys). As outlined in the FDSys Concept of Operations document, the authentication function will verify the authenticity of digital content within the FDSys, and certify this to users accessing the content. In order to move forward with its authentication initiatives, GPO has identified the need to develop concrete policies that address the authentication and certification of electronic Government publications. In order to keep within GPO’s mission to provide permanent public access to official or authentic U.S. Government publications, GPO is currently implementing a Public Key Infrastructure (PKI) initiative to ensure the authenticity of its electronically disseminated content.
GPO recognizes that as more Government information becomes available electronically, data integrity and non-repudiation of information become more critical. The primary objective of GPO’s authentication initiative is to assure users that the information made available by GPO is official and authentic and that trust relationships exist between all participants in electronic transactions. GPO’s authentication initiatives will allow users to determine that the files are unchanged since GPO authenticated them, help establish a clear chain of custody for electronic documents, and provide security for and safeguard Federal Government publications that fall within scope of the National Collection of U.S. Government Publications.
The following key issues pertain to GPO’s authentication initiative.
Levels of Authentication
The provenance and fixity of an electronic publication is directly related to its level of authentication. GPO will inform users about a publication's integrity and chain of custody through the designation of at least two different levels of authentication, "authentic" and "official." GPO defines authentic as content that is verified by GPO to be complete and unaltered when compared to the version received by GPO. Official content is content that falls within the scope of the National Bibliography and is approved by, contributed by, or harvested from an official source in accordance with accepted program specifications.
Integrity Mark
The process of certification will produce an integrity mark that may include an emblem and a certificate. Emblems and certificates will allow users to determine if files have been changed since GPO authenticated them, and help establish a clear chain of custody for electronic documents. Emblems may be presented to users in various ways, such as visible emblems or invisible emblems.
GPO will provide a visible emblem to notify users of the authentication status of a publication in accordance with the required approval, when feasible, of the content originator. The visible emblem should contain the official GPO authentication seal and/or official seal for the publishing agency.
It is recommended that the following information be available in the digital certificate:
Granularity
Feedback from Federal agency publishers, Congress, and users has revealed the need to authenticate granular sections of publications. Therefore, while digital files will be authenticated by GPO at the entire document level, in the future GPO must also provide a means by which subdivisions of documents can be certified in an automated fashion, based upon the certification already applied to the entire document.
GPO has nearly completed the installation of digital signing tools using PKI. The purpose is to enable the application of digital signatures to authenticate GPO Access files. The first digitally signed documents are expected in May, starting with Congressional Bills of the 109 th Congress. Simultaneously, steps are being taken to complete the cross-certification of GPO's PKI operations with the Federal Bridge Certification Authority (FBCA) to ensure that business, administrative, and technical processes related to GPO's PKI match those of the Federal Bridge.
The FBCA is a fundamental element of the trust infrastructure that provides the basis for intergovernmental and cross-governmental secure communications.
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Digital content may change on a very frequent basis, and it is easy to transform content without identification or notification to users. Users want to be certain that they are using the version of information that meets their needs and to be able to track the history of changes that may have occurred. In the case of Federal information, multiple versions of Government publications are often publicly available on Web sites, which can be confusing and potentially damaging to users who are not aware of the version status of the document. Version tracking is a necessary operation in the management and dissemination of Government information to ensure that citizens are accessing the appropriate documents. The following facts are presented to assist in the scheduled discussion.
Version Control is a critical function of GPO’s planned Future Digital System (FDSys). As outlined in the FDSys Concept of Operations document, the Version Control function will establish the version of a piece of content and subsequently track it through its entire life cycle, based on best practices.
Currently at GPO, version control is combined with GPO’s bibliographic control processes. GPO provides bibliographic control by observing a set of rules, standards, and local practices to create and maintain bibliographic records. The standards, rules, terminology, and definitions were originally formulated to address “book format” terminology and the traditional relationships within the book industry with publishers, distributors, and libraries. GPO’s current functional requirements for bibliographic control are derived from the Machine-Readable Cataloging (MARC) 21 standard.
Electronic document standards and rules have only recently begun to deal with the nuances of the electronic publications. Currently, GPO applies the Cooperative Program for Serial Cataloging (CONSER) “single record option” as needed for cataloging purposes. GPO has investigated the implications of creating a unique bibliographic record for each manifestation or version of a publication and will begin implementing separate bibliographic records for titles available in multiple formats in conjunction with the implementation of the ILS.
It is easier to control versions in the print environment, because a new version is generated when an agency sends an updated publication to GPO to be printed. GPO has the responsibility to preserve information for permanent public access in the digital environment, but agencies are constantly changing information without officially issuing new versions. In many cases, documents are changed and re-posted with the same file name on Web sites, and users do not know that they are looking at a different version. GPO’s commitment to version control will ensure that users have permanent public access to the appropriate versions of official Government publications.
In order to move forward with a comprehensive version control policy, GPO will need to fully define what constitutes a “unique manifestation of a publication” across all publication formats (e.g., monograph, serial). GPO will follow established best practices and standards when developing this policy.
GPO envisions that the future process of version control will include acquiring, cataloging, storing, preserving, and retrieving different versions of publications. This process may be accomplished by a ssessing various document attributes (e.g., structure, content, and format), creating metadata about these attributes, monitoring changes to the attributes, updating the metadata to indicate changes to the attributes, and creating links to related documents. In order to improve internal efficiencies and streamline workflows, the future version control process will be automated whenever possible, but subjective evaluation and interpretation may be required at various points through the process.
Version triggers are changes to a publication that progress beyond an agreed upon threshold or tolerance. In other words, version triggers should be the main indicators by which new versions of publications are detected. GPO will need to develop a comprehensive list of version triggers for all types of electronic publications that are made available through the FDLP.
The issue of identifying and detecting various versions of electronic publications represents a highly complex situation for version and bibliographic control. GPO’s future version control process must deal with ambiguities routinely encountered for various kinds of documents and publications. These ambiguities make it difficult to detect and determine if a publication is a version of an existing publication or a completely new publication for which a new record must be created.
Version identifiers distinguish between versions and are stored in the metadata for a given publication. Version identifiers should be created when a new version is detected. GPO will provide public access points to current and historical versions so that users may access any version for needed information. Version crosswalks will be stored in the metadata about a given publication, providing links to other versions and corresponding metadata of that publication. These links will be permanently available and persistent, to ensure users have access regardless of where they reside. Version crosswalks should also provide persistent and permanent links to other in-scope resources that may relate to the publication in question.
In the online environment, where new versions of online publications supersede older online versions, Federal depository libraries should continue to consider “FDLP Guidelines for Determining Superseded Materials.” However, depositories may apply their local best practices regarding identification of new and older versions of publications. They may also choose to remove bibliographic records representing older versions from their catalogs if they determine that this practice best suits the Federal Government information needs of their community. GPO will retain all bibliographic records as a part of the National Bibliography of U.S. Government Publications. GPO intends to maintain and periodically update the Superseded List to assist depositories with version identification. GPO will continue to provide public notes regarding supersession where appropriate in its online catalog.
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This educational program focuses upon the myths and monsters which have developed in the depository library program. The program dispels some of those pesky myths; it also sheds light on some of the issues that have become monsters.
Myths
• Myth: You have to isolate government documents from the rest of the library collection and organize the collection using the Superintendent of Documents Classification system.
Reality: There is no requirement to isolate government documents from the rest of the library collection. Each depository library is free to decide how best to manage their government documents collection.
• Myth: Government document collections must be housed in the basement.
Reality: GPO has no requirement mandating the physical location of the collection within a library beyond situating the collection in a location that allows access to the material.
• Myth: Government documents don't get used.
Reality: Government documents are utilized more and more, particularly as they are added to the library's OPAC. Outreach programs and training sessions with reference and other librarians can help increase comfort levels with government information.
• Myth: All government information is available on the Web.
Reality: While a great deal of U.S. Government information is available on the web, there is still a fair amount that is only available in tangible form and does not lend itself to electronic access, such as maps. Also, the vast majority of the legacy collection has not been digitized.
• Myth: Federal Depository Libraries aren't needed anymore because the public accesses government information online.
Reality: According to a study by the Urban Libraries Council, 75.2% of Internet users also continue to use the services of libraries. Use of the library and the Internet is directly related to educational attainment, and libraries received high ratings for ease of use, low cost, and helpfulness of librarians. The study is available online at http://www.urbanlibraries.org.
• Myth: Depository libraries must provide anybody access at anytime.
Reality: GPO recognizes the legitimate need for institutions to balance the security concerns of depository libraries with public access. GPO permits various methods of access by administrators to ensure security of their facility and personnel. Permissible actions include asking patrons for identification, asking users to sign a guest register, asking questions that screen users to make sure that the library has what they need and even escorting users to the depository library.
• Myth: The Instructions to Depository Libraries and the Federal Depository Library Manual are written in stone.
Reality: The Instructions and the Manual are being revised to allow greater flexibility for depository libraries.
• Myth: A library, once it selects an item, can never get rid of it.
Reality: Material listed in the Superseded List may be discarded. Selectives may discard material 5 years after receipt with the permission of their Regional. All libraries may also apply the Substitution Policy which permits librarians to withdraw materials prior to 5 years by substituting online versions. Guidance is available at http://www.access.gpo.gov/su_docs/fdlp/coll-dev/subguide.html
• Myth: A depository library has to maintain a certain Item Selection Rate to remain a depository.
Reality: As long as they are not a Regional, a depository can select as little or as much as meets the needs of their community.
• Myth: The Shearer Measure (one hour of clerical staff time per percentage of item selection) is the standard measure for determining the staffing needs for a depository collection.
Reality: Both professional and paraprofessional staffing levels must be sufficient, in terms of hours allocated to the depository and in staff expertise, to meet depository responsibilities. Professional and technical support staff should be added depending on the size and scope of the library and methods of organization of the collection.
• Myth: The new economic model for GPO will eliminate free public access to government information.
Reality: GPO has an abiding commitment to provide free permanent public access to official federal government information and the Public Printer has upheld this commitment. In the Strategic Vision, he states one of the three essential missions of GPO is “to provide, in partnership with the Federal Depository libraries, for nationwide community facilities for the perpetual, free, and ready public access to the printed and electronic documents and other information products of the Federal government.”[ Top ]
Presentation by Michael L. Wash
Chief Technical Officer, Innovation and New Technology, GPO
Background
GPO's Future Digital System will be a world-class system for managing official Government content. The system will verify and track versions, assure authenticity, preserve content, and provide permanent public access.
The system will be:
• Rules based
• Policy neutral
• Modular and adaptable
Recap from last review
The Concept of Operations was published in October of 2004. This work serves as the basis for subsequent activities to be completed in future phases.
Concept of Operations: http://www.gpo.gov/projects/pdfs/ConOps_1004.pdf
October Presentation to the Depository Library Council: http://www.gpo.gov/projects/pdfs/presentation101704.pdf
Program Management – Phases and Gates
GPO has implemented a phases and gates approach for managing the program. Work is performed in phases. Deliverables are reviewed at Gates.
System Requirements
• A requirement is a structured collection of information that embodies the requirements of a complex system.
• Requirements serve to reflect back to the customer and users by communicating what the system will do.
• Requirements also serve to communicate to the development community regarding what needs to be developed for the system.
• Preliminary requirements developed under Phase 3 represent the core capabilities GPO intends to deploy.
• These requirements will serve as the benchmark for system development.
• Requirements will be updated as necessary to reflect customer needs and technology trends during Phases 4 and 5.
• Preliminary Requirements have been completed (~1,100 requirements).
• Final documentation (IEEE-1233) is being completed to support these requirements.
• System Design
• DVT Results
• Final Requirements
• Risk Identification and Mitigation
• Updated Project Plan
• Updated Cost Plan
• Beta Test Plan
Phase 6 work consists of rolling out the system capability.
• Beta Test Results
• Final Cost
• Sustainment Plan
GPO's Future Digital System will be a world-class system for managing official Government content, which will verify and track versions, assure authenticity, preserve content, and provide permanent public access.
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Janet M. Scheitle
Director, Office of Library Program Planning
April 20, 2005
Purpose of Session
• Report on our efforts to update the manual
• Explain what we envision as content
• Incorporate feedback from the community
• Outline steps for revision
Reasons for Revisions
• Nature of program is changing
• Nature of our efforts is changing
• Consolidate several previous documents
• Refresh contents
• Document good practices, lessons learned
Process for Revising
• Review and consolidate existing documents
• Advice of DLC and Depository community
• Cross-walk new to old
• Develop a draft framework
• Work with community
• Initial release by Fall conference
Chapter 1: ID Organization and Contacts
ID Organizational Structure
Contact Center as main Point of Contact
• Mon-Fri, 8-5
• (202) 512-1800 / Toll Free (866) 512-1800
ContactCenter@gpo.gov
Chapter 2: Legal Requirements, Minimum Standards, Policies
Title 44, Chapter 19, Sec 1909
Minimum Standards
Policies
Chapter 3: Federal Depository Status
Define FDLP
Purpose of the FDLP
Designation
Withdrawal
Chapter 4: Public Service
Define Public Service
Public Service Functions
Access
Reference and Research Services to Users
Referrals
Circulation of Materials
Marketing to Users
Chapter 5: Depository Collections
Purpose
Scope
Collection Development
National Collection
Collection Management
Chapter 6: Bibliographic Control
ILS and its Impact
Pushing Records
Future of Cataloging at GPO
Link to NC and NB
Chapter 7: Authentication, and Version Control
Authentication
Version Control
Definition
Process
Tangible Products
Electronic Products
Dark and Light Archives
Chapter 9: Housing Tangible collections
• Current
• Historical Electronic collections
Shared Housing Agreements (also Chapter 11)
Chapter 10: Staffing
Responsible Officials
Staffing Levels
Training
Chapter 11: Partnerships
Content Partnerships
Service Partnerships
Hybrid Partnerships
Chapter 12: Regional Services
Designation
Responsibilities of a Regional
Minimum Service/Performance for Regionals
Chapter 13: Virtual Depository Define an “almost” virtual depository
• Characteristics
• Requirements
• Functions
• Services
• Support levels
Chapter 14: Resources
Resources
• Tab A - Electronic Shipping List
• Tab B - Essential Title Shipping List
• Tab C - Administrative Notes
• Tab D - Selective Housing Agreement
• Tab E - Essential Titles Survey
• Tab F - Digitization Ranking Survey
• Tab G - Minimum Standards to be revised
• Tab H - Glossary
• Tab I - Core Legacy Collection by Library Type
Work with DLC
Work with Depository community
Incorporate feedback
Target date for initial release Fall conference
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~ For past postings, see the Archives ~
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