By GAIL FINEBERG and EDWARD OHNEMUS
Members of the Joint Committee on the Library on May 7 reaffirmed the Library's historic mission of sustaining and preserving "a universal collection" and rejected a recommendation by the General Accounting Office (GAO) that the Library disperse its collections among other institutions and become a "national information/knowledge broker" and "referral agency."
"The Library rejects in the strongest terms this challenge to its historic mission," Dr. Billington said in a written statement prepared for the hearing by the Joint Committee on the Library.
"It seems inconceivable," he said, "that the world's largest and most varied record of human knowledge - in effect, America's strategic information reserve - should be pulled apart and scattered as America is entering the Information Age."
"We do not want to scale back the Library of Congress, which is the library of the nation, the library of the world and the repository for all possible human knowledge," said Sen. Mark O. Hatfield (R-Ore.), chairman of the Joint Committee, at the conclusion of the hearing.
"I think that's a worthy mission and I think it has been affirmed by the Congress year after year," Sen. Hatfield continued, adding that Congress has a "continuing obligation to maintain that mission in light of not only our national interests but in the interests of the world."
He said he was not speaking for every member of the committee but for a majority; most of those present endorsed his statement by nodding or raising their hands.
Committee members present, in addition to Sen. Hatfield, were Rep. William M. Thomas (R-Calif.), vice chairman of the Joint Committee; Sen. Claiborne Pell (D-R.I.), ranking member of the Joint Committee; Sen. Daniel Patrick Moynihan (D-N.Y.); Rep. Vic Fazio (D-Calif.); Rep. Robert W. Ney (R-Ohio); and Rep. Ed Pastor (D-Ariz.). Also present was Rep. Ron Packard (R-Calif.), chairman of the House Legislative Branch Appropriations Subcommittee.
Representing the Library at the congressional hearing were Dr. Billington and Thomas P. Carney, acting Deputy Librarian.
Appearing in the Russell Office Building's Room 301 to present their reports on Library finances and management - and the Library's mission - were two GAO officials, J. William Gadsby, director of Government Business Operations, and Robert W. Gramling, director of Corporate Audits and Standards; Joyce C. Doria, partner, Booz-Allen & Hamilton Inc.; and Paul E. Lohneis, partner, Price Waterhouse LLP.
Mr. Hatfield noted that he and Sen. Connie Mack (R-Fla.), chairman of the Senate Appropriations Subcommittee on the Legislative Branch, in their October 1995 letter to Comptroller General Charles A. Bowsher, had "not raised the question of the mission" but had asked only for a GAO management review in light of questions that had been raised regarding management and finances.
Under questioning, Mr. Gadsby and Ms. Doria both retreated from Booz-Allen's specific recommendation that the Library scale back its international collections and become an information broker for Congress and the nation. That recommendation was featured prominently in a two-volume, 400-page report, Management Review of the Library of Congress, that Booz-Allen & Hamilton of McLean, Va., prepared for GAO at the conclusion of a three-month review, ending in March, of Library management and operations.
Mr. Gadsby and Ms. Doria both said they were putting Booz-Allen's alternative missions on the table to stimulate debate.
Reps. Thomas, Fazio and Packard all said they thought discussion was important. "I think it is better to decide on the mission and then fund it, rather than to let the budget drive the mission," Mr. Packard said. In addition to discussing the Library's mission, committee members focused their questions mainly on results of the Price Waterhouse audit, management problems and Booz-Allen's suggestions that the Library raise revenue by charging publishers for cataloging and recover the full cost of registering copyrights.
Questioned by committee members about Price Waterhouse's financial review, GAO's Mr. Gramling said the Library has done "a good job of cleaning up problems" identified in a 1991 audit with regard to FEDLINK accounts and is making progress in complying with other 1991 recommendations. He said: "Good progress has been made, but the Library still has a way to go."
Based on audits of other federal agencies, problems noted by the 1995 Price Waterhouse audit are "typical of what you would find at this stage," Mr. Gramling said, adding that the Library should be in a stronger position now to earn a "clean report" in 1996. The recent audit occurs between the Library's first-ever 1991 audit, which Dr. Billington requested in 1988 shortly after he became Librarian, and what was to be the next large-scale audit, scheduled for 1996.
Mr. Thomas said the House, which was audited for the first time ever at the beginning of the 104th Congress by Price Waterhouse, "would have loved to have had a 'qualified opinion' for a first audit." Price Waterhouse said in its 1995 report that it had to "qualify" its opinion on the Library's consolidated financial statement because the Library's property and equipment records were not reliable or complete. Dr. Billington told the committee these records would be complete by the end of 1996.
Mr. Gadsby said some other Library problems, such as the need for strategic planning, are "not unique" for federal agencies.
As for the suggestion that the Library recover copyright registration costs by increasing registration fees, Dr. Billington said it probably would cost almost as much to "go after" deposits of materials not made voluntarily as the Library would receive in increased revenue.
At the hearing's end, Mr. Hatfield told Dr. Billington that before the next hearing, either before appropriations committees or the Joint Committee, the Library should submit specific management recommendations, specific goals, specific dates for accomplishing the goals and their budgetary impact.
New Mission Suggested
GAO contracted with Booz-Allen to conduct the management review and with Price Waterhouse to audit the Library's fiscal year 1995 financial statements. The Library's share of the cost of the Price Waterhouse audit is $699,500. The Library has not been asked to pay for the Booz-Allen study.
In its report, Booz-Allen recommended a new role for the Library - that of "information/knowledge broker," in which "the Library's principal role would change from being a custodian of collections with an independent operational role to that of a comprehensive broker or referral agency," according to GAO's testimony.
"The Library would initiate collaborative relationships with other libraries and consortia. It would use information technology to tell inquirers which library in the nation or the world has the specific information. Under this scenario, the Library's collections would be selectively retained or transferred to other institutions with arrangements for appropriate preservation, or both. Other institutions would need to demonstrate their willingness and capability to participate in such a system," according to GAO's prepared statement.
Dr. Billington disagreed: "Such a step would irreversibly cripple and eventually destroy the Library of Congress's ability to continue providing its most distinctive services to Congress and the nation," he said. "Slowly but inexorably there would be literally nothing left of the present Library but a constantly changing information switchboard service and vestigial collections of miscellaneous materials."
Booz-Allen laid out three possible scenarios: (1) The Library would abandon its ad hoc role as a national library and focus its mission only on Congress and the federal government, with information provided by the Congressional Research Service - requiring significantly fewer staff and financial resources.
(2) The Library would strengthen its national role and "deemphasize" activities of a global nature. One variation would be to continue congressional service but to create a separate National Library. In this scenario, the Library would have to operate within its current resource base.
(3) The Library would continue to serve Congress and the nation and expand its international collections and activities "to serve the worldwide communities of libraries, publishers, and scholars" - an alternative that would require increased staff and financial resources.
Booz-Allen acknowledged in its "Executive Summary" that the "mission of the Library of Congress has been the topic of intermittent debate for nearly 200 years."
Dr. Billington said: "Even if there were not . . . historically proven value in the Library's existing mission, it is doubtful that the suggested alternative mission would be able to provide anything like the Library's quality of service - let alone achieve the potentially much greater future quantity and quality of service that we foresee emerging under its present mission and procedures."
Dr. Billington said Congress and a central federal government could not depend on shifting collections, acquisitions and access policies of institutions governed by private boards and local legislatures. The Library's foreign-language acquisitions not only meet congressional and other government needs but also support all major research institutions in the country in a cost-effective manner, he said.
With a story, Mr. Moynihan illustrated the richness of the Library's knowledge of international matters, not only in the holdings but also in the expertise of the staff. He said John Haynes, 20th century manuscripts specialist in the Manuscript Division, guided him to archives in Moscow for information about the Communist Party of the United States. "The Library is the place if you want information," said Mr. Moynihan, citing the Library's dual role as both knowledge collector and broker through electronic networks.
Management and Operations
Dr. Billington said the Library already is taking steps to improve many of the systems and support operations identified by Booz-Allen in its examination of general management and operations and concurs with several recommendations to improve infrastructure - information technology, security, human resources and facilities management.
The consultants said they based their findings, conclusions and recommendations on analyses of more than 300 Library-related studies and documents, including legislation and congressional testimony; interviews with more than 170 individuals; observations and opinions of 27 "focus groups" with Library officials, congressional staff and external groups; reviews of processes that create products and services; benchmark visits to other federal agencies, university libraries, public libraries and commercial clearinghouses; and an examination of arrearage reduction efforts, the competitive selection process, collections security, the Fort Meade Storage Facility and the National Digital Library.
Dr. Billington said the results of GAO's congressionally mandated management review and an internal assessment of Library operations conducted by Mr. Carney last winter "are remarkably similar."
The Library will draw on the findings and recommendations of Booz-Allen and Price Waterhouse to implement the Library's Management Improvement Plan-1996, which Mr. Carney presented to the Library's Executive Committee in February, Dr. Billington said.
In their prepared statement, GAO and Booz-Allen summed up Booz-Allen's conclusions that the Library should:
- "Institute a more comprehensive planning and program execution process that provides for better integration of key management elements, such as strategic and operational planning, budget development, program execution, performance measurement and evaluation."
- "Improve the capability to make decisions and solve problems that cut across organizational lines primarily by clarifying roles, responsibilities and accountability."
- "Reengineer its support services, particularly in the areas of information resource management, facilities, security and human resources, to improve the capability of its infrastructure to support the mission."
The report did not note that the Library has hired a training director and launched an "Internal University" to retrain its work force.
Dr. Billington said the Library concurs that customer service should be improved, as should collections and facilities management, but that Booz-Allen overlooked a number of successful process-management projects, such as whole book cataloging.
GAO said Booz-Allen emphasized that three of its organization recommendations "are key to the Library's overall success in improving its management and operations." Booz-Allen said the Library should:
- "Clarify the role of the Deputy Librarian to serve as the Library's chief operating officer and vest the individual occupying that position with Library-wide operational decision- making authority";
- "Elevate the chief financial officer's position to focus greater attention on improving the Library's financial systems and controls"; and
- "Establish a chief information officer position to provide leadership in technology across the organization, which should help the Library function more effectively in the electronic Information Age."
Dr. Billington responded that the Library has advertised the position of Deputy Librarian as the Library's chief operating officer and a search is under way. "The report's other recommendations with regard to organizational structure will be considered as the Library seeks to improve management accountability at all levels," Dr. Billington said.
Booz-Allen analyzed prospects for severing the Copyright Office and Congressional Research Service from the Library but concluded they should remain part of the Library. The Library welcomed these conclusions.
Improving Infrastructure
The Library concurred with Booz-Allen recommendations that the Library strategically link its human, information and facilities resources in order to fulfill mission objectives.
Following the new Management Improvement Plan for 1996, drawing upon Booz-Allen recommendations, the Library will "build an organization-wide technology infrastructure to address our needs for the next decade, develop a strategic technology plan [by which] we will codify and execute goals and objectives and be responsive to the technology needs of our staff," Dr. Billington said.
He said the Booz-Allen report did not recognize the Library's "cutting edge efforts" such as the National Digital Library, THOMAS and the Copyright Office Electronic Registration, Recordation and Deposit System (CORDS).
Booz-Allen concluded that the lack of strategic planning is "most severe" in technology. "Although ITS has a strategic plan (last revised in September 1995), it does not include a vision for the future that includes IT [information technology] as an enabler of the Library's mission, an integrated IRM [information resources management] architecture, or performance improvement objectives that are measurable and linked to mission performance. The Library lacks a clear technology vision to support processes within the Library and the creation of networks of institutions that enable the world's knowledge resources to be shared," Booz-Allen said.
Human Resources: GAO and Booz-Allen officials summed up Booz-Allen findings that the "human resource function at the Library has some significant problems that may hamper the Library's ability to maintain its intellectual capital.
"First, the Library does not have a coordinated training program.
"Second, human resources personnel and processes are not equipped to handle changes in recruitment, training or selection requirements that may result from technology, changes to the Library's mission or staff turnover.
"Third, the human resources services unit is not able to strategically plan for workload and staffing requirements because of its poor coordination among the Library service units.
"Fourth, ongoing problems in communications between managers and unions inhibit their ability to plan together for future directions of the Library.
"Finally, the personnel management operations, particularly competitive selection and training, inhibit the Library's ability to bring on new staff members and get them trained quickly. Currently, it takes about six months to recruit and hire new employees."
In its report, Booz-Allen concluded that although a lengthy competitive selection process inhibits the Library's ability to recruit efficiently, improvements of the process are impeded by measures taken in response to the Cook class action suit charging racial discrimination in hiring. The suit originated as an EEO complaint in 1975.
Booz-Allen found that the Library's hiring process takes a median of 177 calendar days, compared to 42-56 days for the U.S. Government Printing Office, 30-60 days for the National Archives and Records Administration and 60-120 days for the National Aeronautics and Space Administration. Their report said the Library had expended roughly $2 million in payments to outside consultants and other contractors in 1993-95 to work on the hiring process and related matters.
Booz-Allen did find that the Library is in compliance with the requirements of the 1995 Cook settlement agreement and that its competitive selection written policy is consistent with the Federal Uniform Guidelines.
Under the old system (May 1991-November 1992), Booz-Allen said, 20 percent of 169 new hires were African Americans and 72 percent were whites. Under the new system (November 1993-May 1995), 31 percent of 77 hires were blacks and 60 percent were whites.
However, the report recommended that the Library obtain the services of two experts, one in employee selection to take an oversight role of the competitive selection process and the other with the appropriate statistical expertise to determine if there is an adverse impact on the Library's employment decisions.
Dr. Billington noted that the Library is pursuing the report's suggestion for a labor relations pilot to improve employee-management relations.
In response to several recommendations for training, Dr. Billington said the Library's Internal University, "barely mentioned in the report," will "significantly address the Library's work force issues as well as the need to improve training throughout the Library."
Booz-Allen gave the Library a clean bill of health with regard to its previous use of fitness- for-duty examinations.
Noting that unions and employees had made allegations about misuse of the examinations to handle problem employees, Booz-Allen concluded: "Based on our discussion with the medical officer and our review of the data provided, there do not appear to be any trends indicating potential misuse of bias in the use of the referral process. Allegations that certain supervisors abused the use of FFDs are not substantiated."
Price Waterhouse Review
Price Waterhouse reviewed four areas in its financial audit of the Library and found four weakness in "internal control practices" and seven "reportable conditions." The four areas that the Price Waterhouse auditors gave opinions on were the FY 1995 financial statement, the effectiveness of Library controls over financial reporting, compliance with selected laws and regulations and the security of the collections.
Regarding the Library's fiscal 1995 consolidated statement of financial position, Price Waterhouse said that except for records regarding "property and equipment balances, the Consolidated Statement of Financial Position presents fairly, in all material respects, the Library's financial position as of Sept. 30, 1995."
Price Waterhouse said the new financial management system had not yet been configured to generate the detailed trial balances necessary for an audit. The auditors also noted that the Library had traditionally worked with budgetary accounting models and suggested that proprietary and management accounting models would better serve the institution.
The Library, in its response, said it had "not planned on having an audit performed until FY 1996" and did not yet have all the procedures or systems in place to perform one during this fiscal year. Regarding the accounting models, the Library pointed out that the new financial management system will provide more program- and asset-level information to support new accounting models.
Regarding the Library's compliance with selected laws and regulations, Price Waterhouse said that "the Library's internal controls in place on Sept. 30, 1995, were effective in ensuring material compliance with relevant laws and regulations." However, the firm noted, the Library continued "to accumulate surpluses in certain gift funds" without statutory authority to do so.
In its audit, Price Waterhouse also examined how the Library had complied with the findings and recommendations of the 1991 GAO audit of fiscal year 1988 financial records. Of the 19 GAO findings, Price Waterhouse stated that the Library had completed action on 13, was working on three and needed further action on two. On one of the findings "they were unable to determine the status." the Library had stated that 16 findings were completed and three more were in progress.
Security: In response to findings and recommendations of Price Waterhouse and Booz- Allen, the Librarian agreed that the Library's security plan is incomplete. After the Computer Sciences Corporation (CSC) submits a June 7 report with critical data and analysis, the Library will proceed with a risk assessment plan and "recruit a library security officer with appropriate credentials," Dr. Billington said. "Computer security will, however, for the present remain the responsibility of ITS."
Booz-Allen said that from 1991 through 1995, the Library expended $8.3 million for added security equipment and staff involved in collections security. Neither Booz-Allen nor Price Waterhouse supported the much-publicized allegations last year of continuing massive theft and mutilation, even as they criticized some aspects of the Library's collections security management.
Facilities Management: In accordance with Booz-Allen recommendations and the Library's Management Improvement Plan for 1996, the Library will analyze space needs against mission priorities and construct a strategic space plan; centralize priorities and decisions about space needs; and develop comprehensive, uniform, qualitative, and quantitative space standards for all Library facilities and for each type of functional space, the Librarian said.
The Library will need to obtain the necessary financial resources to create an integrated, consolidated shared data-base on its facilities, the Librarian said. He added that the Library disagrees with a report assumption that the Architect of the Capitol should handle all electronic and other critical collections security measures.
Booz-Allen predicted that the Library will again run out of space for its collections, which at the rate they are growing, "will exceed the predicted storage capacity of the only construction project currently approved by Congress, the Fort Meade Storage Facility, before it is completed in 1999."
Gail Fineberg and Edward Ohnemus are editor and assistant editor of The Gazette, the Library's staff newspaper.