United States Government Printing Office (GPO) 

Concept of Operations 

(ConOps V1.0) 

for the 

Future Digital System 

Final 

October 1, 2004 
The Future Digital System Concept of Operations (ConOps) 

Office of Innovation and New Technology 

FINAL 

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CONCEPT OF OPERATIONS (CONOPS) 

TRANSMITTAL PAGE

The Honorable Bruce R James 

Public Printer of the United States 

Dear Mr. James: 

The Future Digital System Phase 2 team recommends the approval of the Concept of Operations, v1.0. 

Customer Support Ted Priebe 

 Magan Fleetwood 

Docs/ID Gil Baldwin 

 Matt Landgraf 

 Lisa LaPlant 

IT Mike Mullen 

 Karen Sieger 

 Joel Orlando 

INT Scott Stovall 

 George Barnum 

 Mike Wash 

Accepted, 

__________________________________ _______________________ 

Bruce R. James, Date 

Public Printer of the United States 
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Document Change Control Sheet 

Document Title: Concept of Operations (ConOps) 

Date Filename/version # Author Revision Description 

10/01/04 Future Digital 

System.DC.COP.1.0.DOC 

Future Digital 

System Phase 2 

Team 

Baseline Concept of Operations 

 

 
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PREFACE 

The proposed Future Digital System will ingest, preserve, and provide access to the information produced 

by the U.S. Government--including information produced by all three branches of Government --and to 

the material currently in the custody of the Government Printing Office (GPO). The proposed system is 

envisioned as a comprehensive, systematic, and dynamic means for preserving any kind of content, 

independent of specific hardware and/or software. The system will enable GPO customers to obtain hard 

copy publications and to electronically access the content they want, and it will enable GPO to deliver that 

content in the formats its customers desire. The system should automate many of the content lifecycle 

processes and make it easier to deliver the content in formats suited to the needs of GPO customers. 

This Concept of Operations document provides a conceptual overview of the proposed Future Digital 

System. It is a living document that will be coordinated in a collaborative manner with industry, public, and 

Government stakeholders to ensure the viability of the concepts it presents. 
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 TABLE OF CONTENTS 

 

Paragraph Title Page

 

 

 CONCEPT OF OPERATIONS TRANSMITTAL PAGE ...................................... i 

 

 DOCUMENT CHANGE CONTROL SHEET ....................................................... ii 

 

 PREFACE............................................................................................................ iii 

 

1 SCOPE ................................................................................................................ 1 

 

1.1 IDENTIFICATION............................................................................................... 1 

 

1.2 DOCUMENT OVERVIEW .................................................................................. 1 

1.2.1 Approach...................................................................................................... 1 

1.2.2 IEEE Standard ............................................................................................. 2 

 

1.3 SYSTEM OVERVIEW ........................................................................................ 2 

 

2 REFERENCES .................................................................................................... 3 

 

2.1 STANDARDS AND GUIDELINES...................................................................... 3 

 

2.2 GPO DOCUMENTATION................................................................................... 3 

 

2.3 LAWS AND REGULATIONS.............................................................................. 4 

 

2.4 SYSTEM DOCUMENTATION............................................................................ 4 

 

3 CURRENT GPO SITUTATION............................................................................ 5 

 

3.1 BACKGROUND, OBJECTIVES, AND SCOPE OF THE CURRENT 

SITUATION ........................................................................................................ 3 

3.1.1 Analysis of the Current Systems.................................................................. 5 

3.1.2 Motivation for a New System ....................................................................... 5 

3.1.3 Modes of Operation of the Current System or Situation.............................. 7 

3.1.4 Classes of Users.......................................................................................... 7 

 

3.2 OPERATIONAL POLICIES AND CONSTRAINTS............................................. 7 

 

3.3 DESCRIPTION OF THE CURRENT ENVIRONMENT ...................................... 7 

3.3.1 Descriptions and Capabilities of Existing Systems...................................... 8 

3.3.1.1 Content Ingest .......................................................................................... 8 

3.3.1.2 Content Management ............................................................................... 9 

3.3.1.3 Content Delivery ....................................................................................... 9 

 

3.4 MODES OF OPERATION .................................................................................. 12 

 

3.5 USER CLASSES AND OTHER INVOLVED PERSONNEL............................... 12 
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 TABLE OF CONTENTS 

 

Paragraph Title Page

3.5.1 Organizational Structures ............................................................................ 12 

3.5.2 Profiles of User Classes............................................................................... 12 

3.5.3 Interactions Among User Classes ............................................................... 12 

3.5.4 Other Involved Personnel ............................................................................ 12 

 

3.6 SUPPORT ENVIRONMENT .............................................................................. 12 

 

4 JUSTIFICATION FOR AND NATURE OF CHANGES....................................... 13 

 

4.1 JUSTIFICATION FOR CHANGES ..................................................................... 13 

 

4.2 JUSTIFICATION FOR AND NATURE OF CHANGES....................................... 14 

4.2.1 Description of Desired Changes .................................................................. 14 

4.2.2 Proposed System Attributes ........................................................................ 14 

4.2.3 Proposed System Capabilities..................................................................... 14 

4.2.4 Proposed System Interfaces........................................................................ 15 

 

4.3 PRIORITIES AMONG CHANGES...................................................................... 16 

 

4.4 CHANGES CONSIDERED BUT NOT INCLUDED ............................................ 16 

 

4.5 ASSUMPTIONS AND CONSTRAINTS.............................................................. 16 

4.5.1 Assumptions................................................................................................. 16 

4.5.2 Constraints................................................................................................... 17 

 

4.6 ADVERSE EFFECTS......................................................................................... 17 

 

5 CONCEPTS FOR THE PROPOSED SYSTEM................................................... 18 

 

5.1 BACKGROUND, OBJECTIVES, AND SCOPE OF THE NEW SYSTEM .......... 18 

 

5.2 OPERATIONAL POLICIES AND CONSTRAINTS............................................. 21 

 

5.3 DESCRIPTION OF PROPOSED SYSTEM........................................................ 21 

5.3.1 Digital Standards.......................................................................................... 21 

5.3.1.1 Preservation Digital Master ...................................................................... 21 

5.3.1.2 Metadata................................................................................................... 22 

5.3.1.3 Style Tools ................................................................................................ 25 

5.3.2 Digital Content ............................................................................................. 27 

5.3.2.1 Deposited Content.................................................................................... 27 

5.3.2.2 Harvested Content.................................................................................... 28 

5.3.2.2.1 Automated Discovery Tool ................................................................... 29 

5.3.2.2.2 Assessment Tools ................................................................................ 29 

5.3.2.2.3 Harvesting Tools................................................................................... 29 

5.3.2.3 Converted Content.................................................................................... 30 

5.3.3 Content Management/System Administration ............................................. 31 

5.3.3.1 Workflow ................................................................................................... 32 

5.3.3.2 Authentication........................................................................................... 36 

5.3.3.3 Version Control......................................................................................... 37 
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 TABLE OF CONTENTS 

 

Paragraph Title Page

5.3.3.4 Access Tools ............................................................................................ 38 

5.3.3.4.1 Finding Tools......................................................................................... 39 

5.3.3.4.2 Retrieval Tools....................................................................................... 42 

5.3.3.4.3 Ordering Tools....................................................................................... 42 

5.3.3.4.4 Data Mining Tools.................................................................................. 43 

5.3.3.4.5 User Support ......................................................................................... 44 

5.3.3.5 Permanent Storage - Collection of Last Resort........................................ 45 

5.3.3.6 Access Storage Management .................................................................. 46 

5.3.4 Content Delivery .......................................................................................... 47 

5.3.4.1 Hard Copy Output..................................................................................... 49 

5.3.4.2 Electronic Presentation............................................................................. 49 

5.3.4.3 Digital Media ............................................................................................. 49 

 

5.4 MODES OF OPERATION .................................................................................. 50 

 

5.5 USER CLASSES AND OTHER INVOLVED PERSONNEL............................... 50 

5.5.1 Capabilities................................................................................................... 50 

5.5.2 Profiles of User Classes............................................................................... 50 

5.5.2.1 User Class Capabilities............................................................................ 51 

5.5.3 Interaction Among User Classes ................................................................. 52 

5.5.4 Other Involved Personnel ............................................................................ 53 

 

5.6 SUPPORT ENVIRONMENT .............................................................................. 53 

 

6 OPERATIONAL SCENARIOS ............................................................................ 55 

 

6.1 CONTENT ORIGINATOR SCENARIO .............................................................. 55 

 

6.2 CONTENT EVALUATOR SCENARIO ............................................................... 56 

 

6.3 SERVICE SPECIALIST SCENARIO.................................................................. 57 

 

6.4 SERVICE PROVIDER SCENARIO.................................................................... 58 

 

6.5 BUSINESS MANAGER SCENARIO .................................................................. 58 

 

6.6 ADMINISTRATION/OPERATIONS MANAGER SCENARIO............................. 59 

 

6.7 END USER SCENARIO ..................................................................................... 60 

 

6.8 OTHER ............................................................................................................... 61 

 

7 SUMMARY OF IMPACTS................................................................................... 62 

 

7.1 OPERATIONAL IMPACTS................................................................................. 62 

 

7.2 ORGANIZATIONAL IMPACTS........................................................................... 62 

 

7.3 IMPACTS DURING DEVELOPMENT................................................................ 63 
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 TABLE OF CONTENTS 

 

Paragraph Title Page

 

8 ANALYSIS OF THE PROPOSED SYSTEM....................................................... 64 

 

8.1 SUMMARY OF IMPROVEMENTS..................................................................... 64 

 

8.2 DISADVANTAGES AND LIMITATIONS............................................................. 64 

 

8.3 ALTERNATIVES AND TRADEOFFS................................................................. 64 

 

9 NOTES................................................................................................................. 65 

 

9.1 ACRONYMS....................................................................................................... 65 

 

9.2 GLOSSARY........................................................................................................ 67 

 

LIST OF FIGURES 

 

Figure Title Page

3-1 Simple Reference Model .................................................................................... 7 

 

5-1 Reference Model ................................................................................................ 18 

5-2 OAIS Reference Model....................................................................................... 19 

5-3 Categories of Information ................................................................................... 19 

5-4 Expanded Categories of Information.................................................................. 20 

5-5 Content Package Information............................................................................. 20 

5-6 System Metadata Model..................................................................................... 23 

5-7 Harvested Content Components........................................................................ 30 

5-8 System Administration/Content Management Component ................................ 32 

5-9 System Administration/Content Management in the system.............................. 33 

5-10 Content Management Component ..................................................................... 34 

5-11 Finding Functions ............................................................................................... 39 

5-12 Retrieval Function Within Access....................................................................... 42 

5-13 User Support ...................................................................................................... 44 

5-14 Storage Management in the system................................................................... 47 

5-15 Content Delivery................................................................................................. 48 

5-16 System Use Classes .......................................................................................... 54 

 

LIST OF TABLES 

 

Table Title Page

 

5-1 Functional Overview of the System and Preservation CLR Content Access..... 36 

 

 

 
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LIST OF APPENDICES 

 

Appendix Title Page

A DESCRIPTIONS AND CAPABILITIES OF EXISTING SYSTEMS .................... A-1 
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CONCEPT OF OPERATIONS (CONOPS) 

1 SCOPE 

This document describes the desired characteristics of the Future Digital System from the user’s 

viewpoint. The sections below identify the proposed system, provide a document overview and describe 

the approach used to generate the document, and provide a brief overview of the system. 

1.1 IDENTIFICATION 

The proposed Future Digital System will encompass all of the associated equipment, facilities, material, 

software, hardware, policy, technical documentation, services, and personnel required for its operations 

and support at the United States Government Printing Office (GPO). 

1.2 DOCUMENT OVERVIEW 

The Future Digital System ConOps serves as a vehicle to communicate the high-level system 

characteristics of the envisioned system to the user, buyer, developer, and other stakeholders. The ideas 

expressed herein have resulted from a thorough analysis of the challenges involved in providing content, 

which have been addressed through the use of the OAIS model. The Future Digital System ConOps will 

be used to generate high level system specification that will be captured in an Future Digital System

Requirements Document (RD) that is yet to be developed. The Future Digital System ConOps should be 

reviewed together with the Future Digital System RD upon its completion, as the Future Digital System 

RD may contain additional information that has not been presented herein. 

This document contains the following sections; 

• Section 1, Scope, describes the approach used to develop the Future Digital System ConOps. 

• Section 2, References, lists the reference documentation that was used as a basis to create the 

document. 

• Section 3, Current GPO Situation, describes the current GPO systems. 

• Section 4, Justification For and Nature of Changes, discusses the justification for and the nature 

of changes based on the most current information available. 

• Section 5, Concepts for the Proposed System, discusses proposed system concepts. 

• Section 6, Operational Scenarios, describes various operational scenarios. 

• Section 7, Summary of Impacts, summarizes operational, organizational, and other impacts that 

could be expected to occur during development. 

• Section 8, Analysis of the Proposed System, analyzes the proposed system. 

• Section 9, Notes, provides additional information, including an acronym list and glossary. 

1.2.1 Approach. This document was developed using the concept analysis approach, which is a 

process of analyzing a problem domain and an operational environment for the purpose of specifying the 

characteristics of a proposed system from the user’s perspective. This approach is useful for clarifying, 

resolving, and reconciling vague and conflicting needs, wants, and opinions that often conflict. It also 

minimizes the potential for designing a system in which each individual function meets its specifications 

but that fails to meet the users’ needs as a whole, was minimized. 
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Information was obtained from analyses of the “As-Is,” or legacy systems to identify the shortcomings of 

these systems. Through this analysis, the capabilities required of a “To-Be” system were captured and 

subsequently characterized in a number of collaborative concept papers, from which a vision for the 

future GPO system – the Future Digital System – emerged. The information gathered in this process 

enabled the refinement of user classes and the creation of operational scenarios that document the 

actions of the to-be system users. 

In order to devise an integrated approach to development of the Future Digital System, it then became 

necessary to reexamine GPO’s current business processes used to confront the challenges of collecting, 

gathering, and disseminating information, as well as its approach to preserving this content, including the 

lifecycle management of that content. This effort must continue into the future in order to realize the vision 

of GPO and to ensure the right of the citizenry to access Federal Government information. 

1.2.2 IEEE Standard. The Future Digital System ConOps document was generated using guidance 

provided by the IEEE Std. 1362-1998, IEEE Guide for Information Technology-System Definition-Concept 

of Operations (ConOps) Document. 

1.3 SYSTEM OVERVIEW 

The Future Digital System will be composed of the policies, procedures, practices, and the necessary 

technology that will enable GPO to build the Future Digital System to ingest, manage, preserve, and 

provide access to content that is disseminated in hard copy and to content that is electronically stored. 

GPO believes that content management (for both electronic and non-electronic content) should be an 

integrated process that provides maximum efficiency and value for users. GPO has taken a lifecycle 

management approach to this data that promotes more effective and efficient processes by sharing 

relevant data and that promotes seamless transition from one phase to another. The proposed system 

should support GPO’s end-to-end lifecycle management processes, including processes for the creation 

of content and for the transfer, ingest, management, and access of all electronic and non-electronic data. 

The Future Digital System will ingest, preserve, and provide access to the information produced by the 

U.S. Government--including information produced by all three branches of Government --and to the 

material currently in the custody of GPO and Federal depository libraries. The proposed system is 

envisioned as a comprehensive, systematic, and dynamic means for preserving any kind of content 

independently of specific hardware and/or software. When it becomes operational, The Future Digital 

System will enable GPO customers to obtain hard copy publications and to electronically access the 

content they want, and it will enable GPO to deliver that content in the formats its customers desire. The 

system should automate many of the content lifecycle processes and make it easier to deliver the content 

in formats suited to the needs of GPO customers. 

The Future Digital System tools and content must be accessible. Accessibility is making tools and content 

available and usable for all users including those with disabilities. The Future Digital System will follow 

established best practices and regulations for accessibility (e.g. Section 508, W3C, etc.) 
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2 REFERENCES 

The standards, guidelines, and GPO and the Future Digital System documentation used to support the

The Future Digital System ConOps are described in the following sections. 

2.1 STANDARDS AND GUIDELINES 

• American Library Association, et. al. Anglo-American cataloging rules, second edition. Chicago: 

American Library Association, 1978. 

• Digital Library Federation Benchmark Working Group 2001-2002. Benchmark for faithful digital 

reproductions of monographs and serials version 1, December 2002. Washington, D.C.: Digital 

Library Federation, 2002. Available at http://www.diglib.org/standards/bmarkfin.htm 

• Digital Library Forum. A framework of guidance for building good digital collections. Washington, 

D.C.: Institute for Museum and Library Services, 2001. Available at 

http://www.imls.gov/pubs/forumframework.htm 

• IEEE guide for information technology-system definition-concept of operations (ConOps) 

document. IEEE Std. 1362-1998 New York: Institute of Electrical and Electronics Engineers, 

1998. 

• Interagency Committee on Government Information. Recommended policies and guidelines for 

federal public websites. Washington, D.C.: Office of Management and Budget, 2004. Available 

at http:www.cio.gov/documents/ICGI/ICGI-June9report.pdf 

• Interagency Committee on Government Information. Requirements for enabling the identification, 

categorization and consistent retrieval of government information. Washington D. C.: Office of 

Management and Budget, 2004. Available at http:www.cio.gov/documents/ICGI/ICGIJune9report.pdf 

• Koyanl, Sanjay J., Robert W. Bailey, Janice R. Nall, Susan Allison, et al. Research-based web 

design & usability guidelines. Washington, D.C. [?]: U.S. Department of Health and Human 

Services, 2003. Available at http://usability.gov/pdfs/guidelines.html 

• United States General Accounting Office. Government Printing Office: Actions to strengthen and 

sustain GPO's transformation. GAO-04-830 Washington: U.S. General Accounting Office, 2004 

• W3C. Web content accessibility guidelines 1.0 Cambridge, MA [?]: W3C, 1999. Available at 

http://www.w3.org/TR/WCAG10/ 

2.2 GPO DOCUMENTATION 

• Collection of Last Resort - Revised June 18, 2004*

• Contract Terms. GPO Publication 310.2, 2001 

• Contract terms, quality assurance through attributes (QATAP). GPO Publication 310.1, 2002

• Federal document repositories: decision framework by tangible repository type (discussion draft)

prepared by the Center for Research Libraries, September 18, 2004* 
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• GPO agency procedural handbook. GPO Publication 305.1, 1998 

• Guide to Federal printing and publishing: what every Federal publisher should know about the 

publishing process., [2002?] 

• The Guidelines: best practices for preparing & submitting electronic design & prepress file.s GPO 

Publication 300.6, 2001 

• Managing the FDLP Electronic Collection, Second Edition , June 18, 2004 * 

• The National Bibliography of U.S. Government Publications: Initial Planning Statement, June 18, 

2004*

• Printing Procurement Regulations. GPO Publication 305.3, 1999

• Report from the Meeting of Experts on Digital Preservation , March 12, 2004* 

• Style manual. Washington: U.S. Government Printing Office, 2000 

• U.S. Government Online Bookstore Replacement Proposal, January 2003 [unpublished]

• U.S. Government Printing Office PKI Business Plan, October 28, 2003. [unpublished] 

*Reports available from http://www.gpoaccess.gov/about/reports/index.html 

2.3 Laws and Regulations 

• "Access to Federal Electronic Information" Title 44 U.S. Code, Chapter 41, 2000 edition 

• "Depository Library Program" Title 44 U.S. Code, Chapter 19, 2000 edition 

• "Distribution and Sale of Public Documents" Title 44 U.S. Code, Chapter 17 2000 edition 

• "Production and Procurement of Printing and Binding" Title 44 U.S. Code, Chapter 5, 2000 edition 

• "Vocational Rehabilitation and Other Rehabilitation Services--Rights and Advocacy"" Title 29 U.S. 

Code Chapter 16, Subchapter V", 2000 edition 

2.4 System DOCUMENTATION 

Numerous working papers were generated from the working group composed of GPO and Governmental 

agency representatives. This pool of information is reflected in this the Future Digital System ConOps

document. 
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3 CURRENT GPO SITUATION 

This section describes the background, objectives, and scope of the current situation at GPO and the 

systems in use; operational policies or constraints; modes of operation; user classes and other involved 

personnel; and the support environment. 

3.1 BACKGROUND, OBJECTIVES, AND SCOPE OF THE CURRENT SITUATION 

GPO systems currently in place have been developed primarily to support dissemination of printed 

publications. In general, GPO dedicates its in-house printing equipment to congressional printing and 

contracts out most printing for the executive branch. Contracting is accomplished through an acquisition 

program that relies on the commercial sector and passes the contractors’ costs on to its Government 

customers. Pre-qualified businesses, small to large in size, compete for printing jobs that GPO printing 

experts oversee to ensure that the contractors meet all customer requirements for quality. 

In addition, GPO provides a range of services to Government agencies, including, for example, CD-ROM 

development and production, archiving/storage, conversion of products to electronic format, Web hosting, 

and Web page design and development. However, GPO’s capability to provide these products and 

services is not well known among its Government agency customers. As a result, the agencies are 

developing these products and services on their own, which further complicates the issue of “fugitive 

documents.” 

In the past, GPO’s implementation of new products and services has been conducted in an ad-hoc 

manner, which has resulted in the development of disparate systems. Additionally, GPO has failed to 

update its technological abilities to keep pace with changes in the information dissemination environment, 

and as a result it must update its technology to address the needs of today’s customers and information 

users and stay alert to future trends and changing needs. 

3.1.1 Analysis of the Current Systems. GPO’s current environment consists of legacy systems and 

manual operations. These are incapable of providing the breadth and depth of functionality that the 

proposed system will provide. Currently no single system or group of systems exists that will provide the 

capabilities envisioned for the proposed system. 

3.1.2 Motivation for a New System. Many factors taken together comprise the motivation for 

developing a system that will adequately preserve content for as long as that content is needed while also 

providing the citizenry and Federal agencies access to it. These factors include the introduction of new 

technologies that support new and different types of content with enhanced formats; a lack of automated 

capability, which imposes narrow limits on access to that content; and the fact that numerous Federal 

agencies, without GPO’s knowledge, independently contract with commercial entities to produce their 

content and in some cases host it on the World Wide Web. The only viable solution that will enable GPO 

to meet its vision and mission is to design, develop, and implement a new system. 

Current printing industry trends show that the total volume of printed material has been declining for the 

past few years, which is primarily due to the use of electronic media options, and this trend is expected to 

continue. The move to electronic dissemination is the latest phase in the electronic publishing revolution 

that has transformed the printing industry in recent decades. This revolution was driven by the 

development of increasingly sophisticated electronic publishing (“desktop publishing”) software, run on 

personal computers, that allows users to design documents, including both images and text; and by the 

parallel development of electronic laser printer/copier technology with capabilities that approach those of 

high-end presses. These tools allow users to produce documents that formerly would have required 

professional printing expertise and large printing systems. 
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These technologies have brought major economic and industrial changes to the printing industry. As 

electronic publishing software becomes increasingly sophisticated, user-friendly, and reliable, it 

approaches an ideal situation, at least from the perspective of the print customer, who can now develop 

software files that can be reproduced with little or no intervention by printing professionals. As the printing 

process is simplified, the customer can take responsibility for more of the work. Thus, the technologies 

diminish the value that printing organizations such as GPO add to the printing process, particularly for 

simpler printing jobs. Nonetheless, professional expertise remains critical for many aspects of printing, 

and for many print jobs it is still not possible to bypass the printing professional altogether. 

The advent of the Internet permits the instantaneous distribution of the electronic documents produced by 

the new publishing processes, breaking the link between printing and dissemination. With the increasing 

use of the Web, the electronic dissemination of information not only becomes practical, it also becomes 

more economical than dissemination on paper. 

As a result, many organizations are changing from a print to an electronic focus. In the early stages of the 

electronic publishing revolution, organizations tended to prepare a document for printing and then convert 

the print layout to electronic form—in other words, focusing on printing rather than dissemination. 

Increasingly, however, organizations are changing their focus to providing information—not necessarily 

on paper. 

Today an organization may employ computers to generate both plates used for printing as well as 

electronic files for dissemination. Tomorrow, the organization may create only an electronic 

representation of the information, which can be disseminated through various media, such as Web sites.

A printed version would be produced only upon request. 

As in private industry, printing and dissemination in the Federal Government are significantly affected by 

a changing technological environment which presents both financial and management challenges to 

GPO. Just as the volume of material provided to private firms for printing has decreased over the past few 

years, so has the volume of material that Federal agencies provide to GPO. In addition, Federal agencies 

are publishing more items directly to the Web—without creating paper documents at all—and they are 

able to print and disseminate information without using GPO services. Similarly, individuals are 

downloading documents from Government Web sites, such as GPO Access, rather than purchasing 

paper copies of Government documents, thus reducing document sales. 

These changes in Federal printing and dissemination are also creating challenges for GPO’s longstanding structure for centralized printing and dissemination. Agencies are currently required to notify 

GPO of published documents (if they used other printing sources), which allows GPO to review them to 

determine whether they should be disseminated to the depository libraries. If so, GPO can then add a 

rider to the agency’s print contract to obtain the number of copies that it needs for dissemination.

However, if agencies do not notify GPO of their intent to print, these documents become “fugitive 

documents” and may not be available to the public through the depository library program. 

These current GPO technical systems and strategies for the transfer, ingest, preservation, and sustained 

access of content are inadequate and inefficient. GPO can expect to digitize volumes of legacy data and 

continue to receive content in a variety of formats that GPO must be able to ingest, manage (including 

preservation), disseminate, and provide access to in the future. 

In order to meet GPO’s strategic goals, the Future Digital System should be able to accomplish the 

following goals: 

• Support GPO’s content, content management, and content delivery processes and continuing 

improvements with the efficiency, quality, effectiveness, and timeliness required by those 

processes; 
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• Provide access to descriptions of all types of content preserved by GPO; 

• Accept/ingest content in a variety of complex formats; 

• Accommodate future digital formats; 

• Ensure the authenticity of the content that GPO preserves; 

• Provide access to the content; and 

• Support flexible services for content that GPO will manage on behalf of other Federal agencies. 

3.1.3 Modes of Operation of the Current System or Situation. Modes of operation for the current 

legacy systems are provided in Section 3.4, Modes of Operation for the Current System or Situation. 

3.1.4 Classes of Users. Classes of users for the current legacy systems are identified in Section 3.5, 

User Classes and Other Involved Personnel. 

3.2 OPERATIONAL POLICIES AND CONSTRAINTS 

There are no other constraints beyond those mentioned in previous sections and in Section 4, 

Justification for and Nature of Changes. Limitations of a number of the systems that comprise the current 

environment are discussed in the subsections of Section 3.3, Description of the Current Environment. 

3.3 DESCRIPTION OF THE CURRENT ENVIRONMENT 

The detailed Current-State documentation is based on a simple reference model, as depicted in Figure 3-

1, Simple Reference Model. In addition to supporting the description of the current state of GPO, this 

model will also be used to develop the functional requirements for the Proposed System. 

Figure 3-1. Simple Reference Model 

GPO’s mission is to make the content of the Government publicly available – forever. To do this, GPO 

assists Federal agencies with their printing and publishing needs and subsequently ingests, manages, 

preserves, and delivers this content in order to meet its mission. For GPO and its customers, the printing 

and publishing process begins with agency customers submitting orders or information to GPO. 

Orders requiring GPO services are submitted to GPO’s Customer Services area, specifically through 

GPO’s Departmental Account Representative (DARD) or Regional Printing Procurement Office (RPPO). 

Information-only content is submitted to, or harvested by, the Superintendent of Documents (SuDocs) 

through Information Dissemination acquisitions and discovery specialists. The specialists who make up 

these three groups are the primary points of contact between Federal agencies and GPO. 

• DARD and RPPO staff have expertise in GPO products, services, and applicable technologies. 

They can provide reports on work in progress or technical advice on such matters as commercial 

term contracts and electronic photocomposition. These specialists can determine the appropriate 

method of production (e.g., in-plant or procured printing). 

• ID staff ensures that electronic-only information products are included in the various GPO 

dissemination programs. These programs include the FDLP and Sales Program. Federal 

agencies can also take advantage of GPO’s experience and expertise in electronic information 

production and dissemination through GPO Access. 

Queries

Results

Content Ingest

• Hard Copy

• Digitized legacy 

documents

• Born Digital documents

Content Management

• Authentication

• Versioning

• Access

• Preservation

Content Delivery

• Hard Copy

• Soft Copy

• Media

• Reporting

Ingest
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For more detailed information please refer to GPO’s Guide to Federal Printing and Publishing and GPO 

Agency Procedural Handbook. 

A description of each of the independent systems is provided in Section 3.3.1. These systems alone or 

grouped together are incapable of addressing or satisfying the mission needs of GPO. The information in 

the subsections below is provided for completeness; however, to reiterate, based on the conclusions of 

the analyses that have been performed on the current systems, they do not meet the operational needs 

that are required to achieve GPO mission goals and objectives. As such, information regarding the 

following components of the current systems has not been provided. 

• Cost of system operations 

• Operational risk factors 

• Performance characteristics 

• Quality attributes 

• Provisions for safety, security, privacy, integrity, and continuity of operations in emergencies 

3.3.1 Descriptions and Capabilities of Existing Systems. The following subsections provide highlevel functional description of the existing situation. For a detailed explanation of the descriptions and 

capabilities of the existing system, please refer to Appendix A. 

3.3.1.1 Content Ingest. In the context of GPO's function and authority, content is the informational 

matter, received through a chain of responsibility and authority from Federal agencies, that GPO 

processes to the agency's specifications into publications in various formats, with the intention of 

disseminating it to the public; or informational matter that is discovered and harvested from the Web for 

preservation of access. A content object is formed by combining content with Representation Information 

(RI) that maps or organizes the data into a useful, meaningful presentation. Thus a page of a 

Congressional bill is composed of data (in this case text) and the RI that arranges that text into columns 

with line numbers on the printed page or screen. In the case of a printed bill, the RI arranges the content 

meaningfully on the page and is fixed in time by the printing process, after which the RI is discarded. The 

bill presented online depends on its RI being preserved alongside the content to generate a meaningful 

rendering each time it is invoked. 

GPO receives content from agencies in a variety of formats, intended for a variety of output products. 

This diversity influences the treatment content receives in the course of processing by GPO. 

Content may be received by GPO in digital form, structured for hard- or soft-copy output, or in analog 

form from which digital files for printing are created by GPO staff. Digital inputs may range from structured 

files intended for producing hardcopy output or web presentations, to minimally structured ASCII text to 

be loaded into a searchable database. GPO's practice has been to accommodate agency requirements 

and processes by not limiting input forms. 

Content in the current environment is managed on two largely unconnected levels. In the short term, 

content management consists of the management of jobs in the production process, the organizing 

principle of which is GPO jacket, literally a jacket or folder onto or into which specifications and other 

information are recorded. Most of this metadata is acquired or created by GPO and is of limited value, 

with a short lifespan, ending with the delivery of the completed work or service. 

In the longer term, management of content is focused on distribution of publications through several 

channels: sale, deposit of publications in libraries, and delivery of online publications through GPO 

Access alongside searching and locator services. Metadata supporting these longer-term activities is 

created by GPO and maintained and augmented over time. 
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3.3.1.2 Content Management. GPO’s current Content Management System (CMS) consists of four 

independent areas (Customer Services, In Plant Production Services, Information Dissemination, and 

Information Technology). Once information is processed from the customer, it is subsequently stored and 

accessible from multiple areas within GPO. 

Customer Services and In Plant Production Services work in tandem via a mainframe system to process 

customer orders and deliver products, as specified, in tangible or intangible formats. A limited portion of 

these orders are transferred to Information Technology (IT) or Information Dissemination (ID) for 

additional processing and archiving. 

IT maintains GPO’s servers and Web services (e.g., GPO Access and agency Web hosting) in a nonautomated fashion. 

Recognizing the need for an enterprise-wide solution, GPO, which currently has multiple individual 

systems that do not integrate, has investigated possible enterprise-wide CMSs. 

Information needs to be located and accessed by the public. Historically, GPO has created descriptive 

metadata files in the form of cataloging and bibliographic information. However, due to fugitive documents 

as well as limited financial and human resources, the comprehensive nature of this program has eroded 

into cataloging the documents in the FDLP. This descriptive information is integrated into reference and 

search tools such as The Monthly Catalog of Government Publications (MOCAT), a suite of tools called 

Locator Tools and Services, and the Catalog of U.S. Government Publications (CGP) application on GPO 

Access. 

GPO gets information for reports from a database called the Procurement Information and Control 

System (PICS). Information is manually keyed into PICS from forms or transferred from other software. 

Once the public locates a publication they assume that it is official and authentic. GPO has begun 

implementing a Public Key Infrastructure (PKI) in order to make sure documents are not changed without 

GPO knowing about it. Unfortunately, the public also expects to have the most recent version of a 

document, which might not be possible since GPO requires no formal verification for documents that are 

processed. The approval process is one way to establish the version of a document, but a better way 

might be to use a CMS. However, GPO does not currently have the financial resources to implement a 

CMS. 

3.3.1.3 Content Delivery. Under legal authority of Title 44, Chapters 17, 19, and 41 of the United States 

Code, GPO’s Office of Information Dissemination (Superintendent of Documents) administers various 

dissemination programs with the mission of providing permanent public access to official Federal 

Government information. These include the Federal Depository Library Program (FDLP), GPO Sales 

Program, and GPO Access public Web site. The FDLP distributes electronic and tangible publications to 

a network of Federal Depository libraries across the country. Select publications are also available for 

sale to the public via GPO Sales Program, including the U.S. Government Online Bookstore. GPO 

Access, the primary vehicle for the dissemination of electronic publications via the FDLP, provides public 

access to full-text databases of official Federal publications at no fee. 

Due to decreased demand and high expenses, the Sales Program has not been able to recover costs 

during the last several fiscal years. Additional analysis of inventory data has shown the Sales Program is 

only selling 35% of the inventory ordered. As a result, GPO is developing a plan to reduce costs by 

making a substantial portion of its products available through Print on Demand (POD). When a request is 

made for a printed copy of a document, an SF1 is manually generated and a jacket number is created for 

billing purposes. Production then locates the file on the repository and outputs to a digital press. 
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The ability to produce a publication on demand via digital printing hinges upon the availability of a pressoptimized digital file for that publication. GPO’s POD Committee (including representatives of ID, 

Customer Services, and Plant Operations), is actively obtaining press optimized (Portable Document 

Format) PDF files through various methods. If a press optimized PDF file does not exist for a given 

publication, hard copies of that publication are obtained and scanned. Due to budget constraints of the 

project (the concept being to spend as little as possible digitizing titles that do not sell in high-volumes in 

the first place), approval has not been granted to procure a formal CMS to manage these files. As an 

interim solution until a CMS can be implemented, the files are currently being stored in a content 

repository, which grants authorized users full access to the files, allowing them to create, change, move, 

and delete all files on the server. 

Agency customers regularly request conventional printed hard copy jobs through GPO. These customers 

currently have two options: Printing Procurement and Production. If they do not specify which is preferred, 

GPO chooses the procurement method. In all cases the agency must complete and submit an order form. 

The majority of forms must be submitted manually, with the exceptions of the pilot program GPODirect 

(http://gpodirect.gpo.gov, formerly known as the OMB Compact) and the Web-enabled mainframe 

application PICSWEB (http://govprint.access.gpo.gov), which allows registered users to electronically 

submit Direct Deal term contract order forms (2511). No other online processes for submitting printing 

requirements are currently in operation. 

Customers submitting order forms to Printing Procurement have multiple contracting vehicles available to 

them. The Simplified Purchase Agreement (SPA) and AgencyDirect both allow agencies to procure their 

own printing. If an agency chooses to go through GPO’s procurement process, a specification is written 

and bids are solicited. The lowest responsible, responsive bidder as determined by the Contracting 

Officer within the guidelines of the Printing Procurement Regulation (PPR) is awarded the job. Term 

contracts may be written if the requirement will be repeated throughout a specific time period (usually a 

year). Direct Deal contracts are managed by the agency, with GPO handling only administrative duties. 

GPO-placed term contracts are available to all agencies, with all contracting and administration handled 

through GPO. Any work submitted through Printing Procurement will be completed by commercial printing 

vendors. 

Many agency customers are also requesting from GPO, and GPO’s affiliated contractors, digital files that 

they can place on line for viewing and/or download. Agencies requiring digital files may go through 

Production or Printing Procurement. Both will accept hard copy and digital input for digital file creation. 

These files may replace the printed documents. However, the vast majority are created as supplements 

to the printed pieces. The current system is very printing-centric. Digital layout files are usually created in 

professional design programs following guidelines for a printed end result (CMYK color, high resolution 

images, etc.). Once the printed product is completed the files are repurposed for screen usage. Few files 

are currently created for strictly digital output. 

Production has the capability of creating digital files from both hard copy and digital input. If hard copy is 

provided, Production can scan into a digital format. Optical Character Recognition (OCR) scanning and 

subsequent search features are available upon request by the agency. While some hard copy is sent to 

production for scanning, the current system is inadequate to handle a large influx of agency documents. 

Personnel, training, and equipment issues must be addressed if this area of revenue is to grow. 

Typesetting from hard copy into a digital format is also available. Once a digital file has been created from 

the scanned hard copy or the digital input, additional features such as bookmarks, links, and indexing 

may be added to certain digital file types (PDF, etc.). A choice of file formats including PDF, JPG, ASCII, 

etc., may be provided back to the customer, with PDF being the most commonly requested format. Fillable PDF files for online use may be created from both hard copy and existing digital files. The agency 

may also choose from a variety of media, with CD-ROM being the most widely used. 
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When a digital file is requested in addition to the printed product, the file type and media to be returned to 

the customer are identified on the order form, along with any additional requirements. Once the printed 

publication is completed, the specified digital file should be created from the production files and should 

be an exact representation of the printed product (format, structure, etc.). The file will be supplied to the 

agency in the format and on the media requested on the order form. This process should be followed by 

GPO’s in-house production facilities and outside contractors. 

Many customers also request Web page capabilities in the form of digital files, typically HTML. Printing 

Procurement can request digital files such as HTML from outside vendors. Various areas of Production 

can also produce digital files and, in addition, can create and/or maintain Web sites for agency 

customers.

Agencies requiring digital file creation may submit an order form to Printing Procurement for bidding by 

contractors. The written specifications include information on the hard copy or file type and media 

submitted to the contractor, as well as the file type and media to be returned to the customer. Additional 

requirements for deliverables include searching capabilities, metadata creation, etc. Additional 

requirements for digital files with Web page capabilities (such as HTML) include coding, version 

compatibility, etc. Repurposed Deliverables Specification Language is available for inclusion into 

specifications. This language includes specific requirements for PDF and HTML deliverables. Once 

specifications are complete, bids are solicited and accepted in the same way they would be for a hard 

copy job described above. 

In addition to customer agencies, GPO’s ID section also utilizes digital files for soft copy display. Files 

submitted to ID (from both In Plant Production and outside contractors) are evaluated to determine if they 

fall within the scope of ID programs. When a file is determined to be within scope, it is further processed 

for display on GPO Access. Additional derivatives may be created for different purposes from the existing 

digital file. Examples of processing options include WAIS database indexing and optimizing for placement 

on a web server. Additional requirements such as OCR scanning, bookmarks, breaking large files into 

smaller more easily downloaded components, etc., are available to the ID department. 

The primary digital media type currently used at GPO is the compact disk (CD). CDs may be formatted for 

both Macintosh and Windows computers. Virtually all computer systems are able to read CDs, making 

them the most widely accepted form of hard media available today. GPO accepts, outputs, duplicates, 

and replicates CDs. 

GPO is working on expanding its in-house Digital Video Disk (DVD) capabilities. Some areas of 

Production currently have the ability to read and/or write DVDs while others do not. The section that 

handles CD replicating has DVD equipment in place and is conducing testing on DVD replication. Until 

testing is completed, a contract with an outside vendor is in place to handle DVD replication work from 

customers. 

Many outdated types of media, such as floppy disks, ZIP drives, etc., are no longer typical at GPO. 

However, customers with older media may be able to submit their digital files to GPO’s Production section 

for hard copy output and in addition have the files returned to them on a CD. 

Jobs that do not go through GPO’s in-house facilities are submitted to Printing Procurement. 

Specifications can be written for any type of digital media provided by the agency customer and will be 

procured from an outside contractor. While the most common form of media accepted by contractors is 

the CD, some contractors have the capability of utilizing other media. 
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3.4 MODES OF OPERATION 

The current modes of operation provide limited automation of processing and preserving content requiring 

human intervention at many steps in the process. GPO’s current systems environment is unable to meet 

the operational needs of GPO; therefore, this section has been tailored out. 

3.5 USER CLASSES AND OTHER INVOLVED PERSONNEL 

3.5.1 Organizational Structure. Reference GPO Notice 105-123, organizational structure. 

3.5.2 Profiles of User Classes. User classes are characterized in the subsections 3.3.1.1, 3.3.1.2, and 

3.3.1.3. For a detailed explanation of the descriptions, please refer to Appendix A. 

 

3.5.3 Interactions Among User Classes. Interaction among user classes are characterized in the 

subsections 3.3.1.1, 3.3.1.2, and 3.3.1.3. 

3.5.4 Other Involved Personnel. Other involved personnel are referenced in the subsections 3.3.1.1, 

3.3.1.2, and 3.3.1.3. 

3.6 SUPPORT ENVIRONMENT 

The limited number of existing systems is individually supported by in-house Government support from 

developers of the systems. Each system has its own unique support environment. Current systems do not 

meet GPO needs and it would be cost prohibitive to upgrade or modify. For these reasons, the following 

information is omitted from this document: 

• Identification of the support concepts; and 

• Identification of the support environment for the current system, including: 

- Support agency or agencies, 

- Facilities, 

- Equipment, 

- Support software, 

- Repair or replacement criteria, 

- Maintenance levels and cycles, 

- Storage, 

- Distribution, and 

- Supply Levels. 
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4 JUSTIFICATION FOR AND NATURE OF CHANGES 

The following subsections describe the proposed system in terms of justification for changes, the nature 

of the desired changes, priorities among changes, changes considered but not included, and 

assumptions and constraints associated with building the Future Digital System. 

4.1 JUSTIFICATION FOR CHANGES 

GPO systems have been developed primarily to support the dissemination of printed publications. The 

majority of the printing is currently performed for the United States Congress, while most of the executive 

branch printing is contracted out. Through the use of an acquisition program, contracts are passed onto 

the commercial sector, with costs being passed to Government customers. In addition to the 

dissemination of printed publications, GPO provides a wide range of services to agencies that range from 

CD-ROM development and production to Web hosting. One of the problems facing the agency is that 

these and other services are not well known, with the result that fugitive documents are created. Lastly, 

GPO has been unable to keep pace with current technologies. 

Current printing industry trends show that the total volume of printed material has been declining for the 

past few years, and this trend is expected to continue. A major factor in this declining volume is the use of 

electronic media options. The move to electronic dissemination is the latest phase in the electronic 

publishing revolution that has transformed the printing industry in recent decades. This revolution was 

driven by the development of increasingly sophisticated electronic publishing (“desktop publishing”) 

software, run on personal computers, that allows users to design documents including both images and 

text, and the parallel development of electronic laser printer/copier technology with capabilities that 

approach those of high-end presses. These tools allow users to produce documents that formerly would 

have required professional printing expertise and large printing systems. 

These technologies have brought major economic and industrial changes to the printing industry. As 

electronic publishing software becomes increasingly sophisticated, user-friendly, and reliable, it 

approaches the ideal of the print customer being able to produce files that can be reproduced on the 

press with little or no intervention by printing professionals. As the printing process is simplified, the 

customer can take responsibility for more of the work. Thus, the technologies diminish the value that 

printing organizations such as GPO add to the printing process, particularly for simpler printing jobs. 

Nonetheless, professional expertise remains critical for many aspects of printing, and for many print jobs 

it is still not possible to bypass the printing professional altogether. 

The advent of the Internet permits the instantaneous distribution of the electronic documents produced by 

the new publishing processes, breaking the link between printing and dissemination. With the increasing 

use of the Web, the electronic dissemination of information becomes not only practical but also more 

economical than dissemination on paper. 

GPO will need to document user requirements for the future system. Two significant weaknesses 

repeatedly mentioned in the General Accounting Office (GAO) report to Congressional Addressees of 

June 2004 are “presentation of new products and services” and “responsiveness to customer needs,” 

indicating that many current and future requirements are not being satisfied by GPO. Users are either 

doing without or fulfilling those needs elsewhere. Documentation of user wants and needs for both the 

present and the future is critical to ensure the success of the system. 
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4.2 JUSTIFICATION FOR AND NATURE OF CHANGES 

The following subsections describe the proposed system in terms of justification for changes, the nature 

of the desired changes, priorities among changes, changes considered but not included, and 

assumptions and constraints associated with building the system. 

4.2.1 Description of Desired Changes. As previously indicated, there is no existing single system or 

group of systems that adequately meets the needs and mission of GPO; therefore, there is no existing 

system on which to base the changes. For this reason, the following items are omitted from discussion: 

• System process changes; 

• Interface changes; 

• Personnel changes; 

• Environment changes; 

• Operational changes; 

• Support changes; and 

• Any other changes not previously identified. 

4.2.2 Proposed System Attributes. From an overall system perspective, the system should possess 

the following attributes. 

• Infrastructure independence: An architecture that allows preservation of content independent of 

any specific hardware and software that was used to produce them; 

• Modularity: Ability to use plug-in components that can be replaced with minimal impact to 

remaining components as workload and technology change; 

• Scalability: Capable of accommodating growth and managing differing sizes of repositories and 

ever increasing volumes of content; 

• Extensibility: Be able to handle additional kinds of content over time, not limited to specific types 

that exist today; 

• Comprehensiveness: Provide support for content management lifecycle processes for all types of 

records; and 

• Flexibility: Enable GPO to tailor content-based services to suit its customers’ needs and enable 

GPO to implement progressive improvements in its business process over time. 

4.2.3 Proposed System Capabilities. To meet strategic objectives, GPO must integrate its solution for 

preservation and long-term access to content with the lifecycle management of that content throughout 

the Federal Government. To meet the challenges of today and the future, the system should be able to:

• Accept the transfer of content in a wide variety of formats as they were created or stored by their 

creators and the flexibility to easily adapt to future file formats; 

• Ingest, preserve, and provide access to that content; 

• Store content in a manner that is independent of any particular hardware and software 

component over long periods of time; 

• Scale in order to store and preserve content based on the predicted digitizing of existing hard 

copy publications and the discovery and harvest of in scope Federal content from Web sites; 

• Provide access to the content in electronic form for all users based on established user rights and 

privileges, thus ensuring that the system users are able to access all of the content that they are 

entitled to see; 

• Provide access to the content in a manner that is consistent with current technology and the 

changing expectations of its diverse user communities; 
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• Adapt to changing technology in order to continue to provide access to and delivery of content 

desired by the user community; and 

• Identify the essential characteristics of the content that is being preserved for the purposes of 

authentication and certification. 

The proposed GPO system should provide the following capabilities in support of GPO content 

management lifecycle processes. 

• Provide end-to-end automated work processes that streamline the content management lifecycle 

processes for all content; 

• Manage the creation, review, and approval of content; 

• Support the transfer process of all content (electronic and non-electronic) to GPO, FDLP, and 

other repositories; 

• Support the Collection of Last Resort (CLR); 

• Ensure that content contained as part of service orders/requests, sales contracts, and/or other 

agreements that identify content that is to be transferred to GPO, specify the terms and 

conditions of such transfers that conform to GPO and other Federal standards and requirements 

as required; 

• Support end-to-end tracking of all content during the process of transfer, maintenance in FDLP, 

processing, preservation, and continuing use; 

• Accept transfers of content, check that the content conforms to terms and conditions of the 

service order specified transfer, and store them in the system; 

• Ensure that the content transferred to GPO remains free from corruption and is accessible as 

GPO undergoes changes in IT; 

• Support the description of content held by GPO so that it is clearly identified, discoverable, and 

retrievable;

• An automated tool must exist for any internal and external user to inform GPO of publications 

they become aware of in the future; 

• Dispose of certain content (e.g., content out of scope for permanent preservation, or in-process 

work files) as stipulated by the service order or other agreement; 

• Enforce restrictions on access and release of content; 

• Provide access to electronic content; 

• Output authentic and certified copies of the content; 

• Output copies of the content as specified by customers; 

• Monitor system performance; 

• Maintain system security; and 

• Provide audit trails of system activity. 

4.2.4 Proposed System Interfaces. The proposed GPO system will be Government-wide and will 

operate within the context of the Federal Enterprise Architecture. The system will be capable of 

interfacing with other applications throughout the Federal Government for transfer of content to GPO, for 

retrieval of content by their creators, and for content management lifecycle processes in which GPO 

interacts with other entities in all three branches of the Government. The volume and diversity of content 

that is ingested and disseminated, and the potential for expected heavy use of the system, will have 

considerable impact on GPO computing environment. 

Interfaces to other GPO systems as well as to other Government agency systems will be accommodated 

by the system. Specific interfaces are yet to be determined and will be described in a future ISSD when 

identified. 
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4.3 PRIORITIES AMONG CHANGES 

The initial and final operating capabilities of the proposed system have yet to be determined; however, 

the system must have the capability to accept digital content from Government agencies, must be able to 

accept digitized existing hard copy content, must be able to locate and harvest content that has been 

placed on Web sites, manage and preserve the content, and provide access to that content. As the vision 

for the system comes into focus, an incremental implementation approach will be utilized. Using an 

incremental approach, the functionality required by each increment to be satisfied by the proposed 

system can be determined and prioritized based on perceived GPO need. 

4.4 CHANGES CONSIDERED BUT NOT INCLUDED 

There are no changes to the proposed system that were considered in the proposed list of attributes, 

capabilities, or system interfaces identified in Section 4.2.1 through and including Section 4.2.3. Changes 

to the items provided in those sections will not be known until the completion of Phase 3 of the Future 

Digital System project, the systems analysis and design phase; however, discussions in preparation of 

this the Future Digital System ConOps led GPO to conclude that system will not handle billing operations, 

instead the system will interface with GPO financial system. 

4.5 ASSUMPTIONS AND CONSTRAINTS 

4.5.1 Assumptions. The following form the assumptions as currently known for the Future Digital 

System. 

1. GPO will evolve into a Content Originator (a publisher) in addition to its historic role as a Service 

Provider. 

a. GPO will repurpose and repackage content to create new versions for its dissemination 

and access programs. 

2. The Deposited or born digital content will be the primary method of ingest. Conversion of 

documents is expected to be a transitional activity. Furthermore, Harvesting will continue to be 

available, but the need to perform this activity is expected to be much reduced when agency 

customers see the value in working with GPO on depositing content. 

3. Agency customers will have more direct control over buying and publishing information products 

and services. For example, direct electronic ordering for any good or service.

4. GPO will be responsible for collecting and preserving the content of the Government for public 

access. 

a. GPO will amass a comprehensive collection of Government publications from all three 

branches of Government. 

b. GPO will provide access to that content in a variety of forms and formats. 

c. GPO will preserve that content for access over time. 

d. GPO will receive that content in a variety of forms and formats. 

5. The information that flows through GPO can be systematically evaluated and determinations 

about inclusion can be made by the system. If process and scope are properly identified and 

defined, a system can be built to make the inclusion/no inclusion determination. 
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6. Repurposing content for specific user groups (e.g., small business) or markets is a potential new 

revenue opportunity for GPO. Content granularity will be a key component of repurposing 

content. 

7. Capturing content is essential to the success of the system. 

a. Incomplete content (known as fugitive documents for hard copy output) can be 

eliminated, or minimized, if GPO provides toolsets that aid in capturing content. 

b. Capturing all content will give GPO the richest collection possible and ensure that it 

meets its mission. 

8. The system will process all GPO work, including work that has no preservation or access value. 

a. “Job” type work (e.g., letterheads, envelopes, menus, etc.) having no inherent 

preservation or access value; however, the production of these types of jobs will be 

critical in capturing more relevant content. 

9. System concept should not be constrained by statutory limitations. 

10. The volume of print will continue to decline. 

11. Digital Media will still be required as an output vehicle for delivering content. 

12. .The system will address usability and accessibility requirements and best practices.

13. Storage Management will adhere to best practices for data management. 

14. The system must be flexible, extensible, and adaptable. 

15. Tools and processes may include human interactions into the foreseeable future. 

4.5.2 Constraints. Constraints that may impact the system architecture or specific components of the 

proposed system are provided in Section 5.2, Operational Policies and Constraints. 

4.6 ADVERSE EFFECTS 

The risks of not proceeding with development include the following: 

• GPO will not be able to effectively achieve its mission and meet user needs if it does not build the 

system; 

• Content will be lost without an effective system for ensuring both the preservation of and access 

to that content; and 

• GPO will not be positioned to provide adequate guidance, assistance, or services to customers to 

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5 CONCEPTS FOR THE PROPOSED SYSTEM 

The following subsections describe the concepts of the proposed system with respect to its background, 

objectives, and scope; describe applicable operational policies and constraints; describe the proposed 

system; describe user classes and other involved personnel; and describe the support environment. 

5.1 BACKGROUND, OBJECTIVES, AND SCOPE OF THE NEW SYSTEM 

A high level system overview has been provided in Section 1.3, System Overview. Goals and motivation 

for the new system are discussed in Section 3.1.2, Motivation for a New System. 

• GPO has adopted the use of the OAIS reference model for an archival system that is dedicated to 

preserving and maintaining access to digital information. See Figure 5-1, Reference Model. 

Figure 5-1. Reference Model 

The Open Archival Information System (OAIS) reference model was developed by Consultative 

Committee on Space Data Systems (CCSDS) with broad input from other communities. It was issued by 

International Standards Organization (ISO) in 2003 as standard ISO 14721:2003: Space data and 

information transfer systems -- Open archival information system -- Reference model. OAIS is a domain 

neutral reference model with characteristics broadly applicable to the management of any information 

over time. The OAIS model has been adapted and used in other research collaborations and provides the 

scalability, extensibility, and interoperability required for a system of this magnitude. This model does not 

prescribe an implementation. Using the OAIS as a reference model begins the process of defining what is 

necessary to achieve GPO’s strategic objectives for improving the content management lifecycle 

processes for the management of content of all types and the preservation of thereof. It is recommended 

that the system be an integrated system that provides OAIS foundation services (see Figure 5-1) such as 

ingestion of content, storage of that content in the form of electronic records for as long as needed, 

content management, and the ability to provide access to the content from anywhere on demand. Figure 

5-2, OAIS Reference Model, shows the OAIS Reference Model. 

Content Management

Authentication Version

Control Access

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Delivery

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• Converted Objects

• Harvested Objects

• Deposited Objects

Content Management

• Authentication

• Version Control

• Access

• Preservation

• Content Processing

System Administration

Content Delivery

• Hard Copy

• Electronic 

Presentation

• Digital Media

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• Preservation

• Content Processing

System Administration

Content Delivery

• Hard Copy

• Electronic 

Presentation

• Digital Media

• Reporting

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Results

Digital Content

• Converted Objects

• Harvested Objects

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System Administration

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Presentation

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• Reporting

Ingest
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Figure 5-2. OAIS Reference Model 

To meet System User expectations, the architecture for the the Future Digital System should be able to: 

• Ingest digital content from Federal publications. 

• Manage content via an enterprise class CMS. 

• Support an effective content delivery capability. 

The Information managed by the system has two characteristics divided into categories: Content Package 

Information (CPI) and Business Process Information (BPI) (as shown in Figure 5-3, Categories of 

Information).

Figure 5-3. Categories of Information

These information categories are further defined in a manner that is consistent with the OAIS and the 

definitions developed for GPO Future System (shown in Figure 5-4, Expanded Categories of 

Information).

Content Package Information (CPI)

The information that directly relates to the content and is ultimately used in the 

dissemination and preservation of the content to the End Users

Business Process Information (BPI)

Administrative Information (AI), non-Content specific information that is used within 

the business process and Package Description (PD) used to support Access aids. 

Content Package Information (CPI)

The information that directly relates to the content and is ultimately used in the 

dissemination and preservation of the content to the End Users

Business Process Information (BPI)

Administrative Information (AI), non-Content specific information that is used within 

the business process and Package Description (PD) used to support Access aids. 
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Figure 5-4. Expanded Categories of Information 

The RI will include original metadata and any other information, objects, or applications that are required 

to render the publication at a specific level of accuracy. The RI should also include enough metadata for 

certification, version control, access, and preservation to take place. For example, a Harvested Content 

Package may contain an electronic journal, information about how the journal is structured and formatted, 

and metadata that contains information about the author, publication date, and version. Figure 5-5

illustrates Content Package Information. 

Figure 5-5. Content Package Information 

Key definitions for this the Future Digital System ConOps: 

• Publication – content approved by its Content Originator for release to an audience. 

• Version – unique manifestation of a publication. 

• Authentic – a version that GPO or its agent verifies to be as the Content Originator 

approved or published it. 

• Official – a version that has been approved by someone with authority. 

• Certified – providing proof of verification that a publication is authentic and/or official. 

Scope Definitions: 

Content within scope of the Future Digital System – 

Package Description (PD)

Information about the Content Package 

Information that is used by Access Aids. 

Includes Select External Information (SEI)

Administrative Information (AI)

Customer Profiles, Statistics, Security Policy, etc.

Digital Object (DO)

An Object composed of a set of bit 

sequences 

Representation 

Information (RI)

Metadata that maps Digital Object 

into more meaningful concepts

Packaging 

Information (PI)

Information used to bind and 

identify components of the AIP

Preservation Description 

Information (PDI)

Metadata for adequate preservation of the 

Content Package

Package Description (PD)

Information about the Content Package 

Information that is used by Access Aids. 

Includes Select External Information (SEI)

Administrative Information (AI)

Customer Profiles, Statistics, Security Policy, etc.

Digital Object (DO)

An Object composed of a set of bit 

sequences 

Representation 

Information (RI)

Metadata that maps Digital Object 

into more meaningful concepts

Packaging 

Information (PI)

Information used to bind and 

identify components of the AIP

Preservation Description 

Information (PDI)

Metadata for adequate preservation of the 

Content Package

Content Package

• Converted Content Package

• Harvested Content Package

• Deposited Content Package

Digital Object (DO)

An Object composed of a set of bit 

sequences 

Representation 

Information (RI)

Metadata that maps Digital Object 

into more meaningful concepts

Packaging 

Information (PI)

Information used to bind and 

identify components of the AIP

Preservation Description 

Information (PDI)

Metadata for adequate preservation of the 

Content Package

Archival Information Package (AIP)

Extended Content Package
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Content within the scope of system is any information product originated by a U.S. Federal 

Government entity or its legal agent. 

Content within scope of GPO dissemination programs – 

Content that is in scope for GPO’s dissemination and access programs is defined as being authentic 

and/or as official publications, i.e., final published versions. 

In the current state, GPO dissemination and access programs, and printing and binding authority are 

codified in statute. See Section 2, References. It is possible that legal or statutory mandates could 

change the scope of publications that are considered within scope. GPO’s definition of a publication that 

falls within scope must therefore be flexible and allow for modifications and changes to be made to it as 

external elements change in the future. 

5.2 OPERATIONAL POLICIES AND CONSTRAINTS 

The proposed system is required to be policy neutral so that it can support not only GPO’s current 

operational policies but also changes that are expected to emerge. 

Constraints as currently known that may impact system architecture or major system components are: 

• The system design and implementation is flexible and adaptable to changes in hardware, 

software, communication technology, processes, policy, personnel, locations, etc.; 

• The system design is a balance of Commercial Off The Shelf and developed software; and 

• The system implementation is within the specified budget and timeframe. 

Digital Content constraints are: 

• User requirements regarding specific needs for content ingest are not identified. GPO must be 

able to interface with various agency level CMSs, manual processing of orders, etc.; 

• No current system or best practices document. GPO must create best practices for Content 

Ingest into the system and update GPO Style Manual; and, 

• Customer confidence with GPO administering and managing the agencies content. The system 

must demonstrate leadership in accepting and managing content to build customer confidence. 

5.3 DESCRIPTION OF PROPOSED SYSTEM 

In order to describe the changes to current methods of operation at GPO, it was necessary to review the 

current functional environment and model its major components to individual capabilities that will be 

required of the system. Future Digital System components are described in Section 5.3, Description of 

Proposed System. 

5.3.1 Digital Standards. The following subsections describe the components of the system that make 

up digital standards. 

5.3.1.1 Preservation Digital Master. Digital Preservation Masters are entities composed of content 

and RI on which preservation activities are performed as well as accompanying technical, descriptive, 

and administrative metadata of value to the preservation function. They also provide the foundation for 

creating derivatives for access. Preservation masters will be either: 

• Faithful digital replications of printed publications, created in a controlled environment that 

employs conversion standards and methodologies intended to optimize persistence and quality 
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and preserved with metadata that relates representation, reference, context, provenance, and 

fixity; or 

• Faithful digital versions of born digital files, preserved with metadata that relates representation, 

reference, context, provenance, and fixity, and in a preservable state that is fully faithful to the 

intended use and impact of the publication while as independent as possible of proprietary 

formats. 

Operational Environment and Characteristics. In order for the system to effectively preserve 

information and ensure access, it must ensure that official content created by Government agencies 

and information about that content (either acquired or created) is managed in an environment and 

stored in a form that facilitates preservation actions and processes over time. The goal of that 

preservation is a meaningful, fully functional, and contextual rendering of the content that can be 

certified as official and faithful to the original issue. This goal is achieved by performing preservation 

actions and processes on the digital content and capturing and storing information on essential 

attributes and significant properties of the files. This information, encoded as metadata, will assist in 

the choice and execution of preservation processes, and will provide a data for measuring the 

success of processes. 

Capabilities, Functions and Features of the Future Digital System. In order for the preservation 

activity to preserve content, structure, context, and essential behaviors of the original, processes and 

actions will be performed on preservation master objects, which will represent the fullest possible 

manifestation of the original issue, free of barriers of proprietary formats. It is assumed that 

preservation masters will be stored and maintained in an environment related to but separate from 

the use or access collection. 

Master objects will typically capture the highest quality possible within the constraints of the 

production technique or acquisition methodology. The benchmarks governing their acquisition and 

management will derive from the needs and demands of the publishing authority, standards and best 

practices developed in the scholarly and information access communities, as well as the 

requirements for permanent public access. 

Use or access objects are derivatives created within the constraints of the preserved object to satisfy 

specific user demands, scenarios, or agency customer needs. 

The Digital Library Federation's Benchmark for Faithful Reproductions of Monographs and Serials 

(Ver. 1, December 2002) provides the necessary basis for specifications for digital reformatting. The 

IMLS has also published a Framework of Guidance for Building Good Digital Collections (2001), 

which should inform the setting of specifications for digital master copies. 

5.3.1.2 Metadata. Actions or processes will require and/or create information about the target 

content in order to be carried out. This information will be recorded, stored, and subsequently used as 

metadata. Metadata is a structured representation of information that facilitates interpretation, 

management, and location by describing essential attributes and significant properties. Fundamentally, 

metadata describes how, when, and by whom a particular set of data was collected, what the data is, 

where it resides, and how it is formatted. 

Operational Environment and Characteristics. Metadata creates a systematic approach to 

expressing information derived or discerned from the content itself or from processes associated with 

the content. It encompasses static properties (i.e., those related to the specific instance or version of 

the content being processed, queried, or preserved) as well as the temporal aspects of the lifecycle of 

the object, a continuum extending from creation through system ingest, preservation, content 
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management, access, and use. Metadata is generally classified in several broad categories, 

according to its function: 

• Descriptive - such as bibliographic information describing, classifying, and characterizing the 

identity and context of the content. 

• Technical - describing file format, computer environment, functionality, etc., in which the content 

was created or acquired and the attributes of the technical environment necessary to render the 

content meaningfully. 

• Structural - describing interrelationships and hierarchies of files and content. 

• Administrative - describing rights, ownership, conditions of use, business rules, etc. 

An additional category, preservation metadata, is increasingly posited although it is actually made up 

of elements of the other four. Preservation metadata is information necessary to maintain viability (the 

bit stream is intact and readable), renderability (translation of the bit stream into a form useable by 

humans or machines), and understandability (the rendered content can be interpreted and 

understood by the intended user). Metadata within the proposed system must record information on 

identity, location, technical environment, relationship between the target content and other content, 

history, integrity, business rules and processes, ownership, responsibility, access rights, outputs for 

access, and system processes. These and other essential properties and attributes can be mapped 

to the four major elements in the the system metadata model, which is broadly adapted from the 

OAIS metadata model. 

Major System Components and High Level Interconnection. Figure 5-6, the Future Digital 

System Metadata Model, illustrates the major system components and high level interconnection. 

Figure 5-6. the Future Digital System Metadata Model 

Metadata describes, characterizes, or supports processes related to digital objects that comprise 

content within the system. Metadata will also describe and support business processes within the 

system that are not related directly to specific content (e.g., system operation and traffic, user profiles, 

administrative data, or ordering information). 

Throughout the lifecycle of digital objects within the system, additional information in the form of 

metadata is captured, collected, or discerned and recorded either in support of particular processes 

or to document their outcome. These actions relate to the OAIS model, in which an information 

package is formed by adding successive layers of metadata to the content information. 

Context

Reference

Packaging 

Information Descriptive Information

Fixity

Provenance

Representation 

Information

Preservation Description 

Information

Package 

Description

Business 

Process 

Description

Digital

Object

Context

Reference

Packaging 

Information Descriptive Information

Fixity

Provenance

Representation 

Information

Preservation Description 

Information

Package 

Description

Business 

Process 

Description

Digital

Object
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The metadata required for these information packages can be categorized into the four major areas 

above: 

• RI allows content to be rendered and understood. Without it, the digital object is merely an 

undifferentiated bit stream. Although it is not necessarily expressed as metadata for use in 

rendering, it must be in order for information to be passed to other functions in the system. 

• Preservation Description Information (PDI) is necessary to maintain viability (the bit stream is 

intact and readable), renderability (translation of the bit stream into a form useable by humans or 

machines), and understandability (the rendered content can be interpreted and understood by the 

intended user). 

• Packaging Information is used to bind and identify the components of the information package 

into a unit. 

• Descriptive Information facilitates access to and management of the content by serving as an 

input to the access component and other aspects of the CMS. 

Two of these categories are composed of multiple subcategories of significant properties, which the 

metadata must consistently capture. 

PDI is composed of: 

• Reference Information, which describes the identity and location of the content. Provides 

identifiers that allow unambiguous reference to the content, either inside or outside the system. 

• Context Information, which documents the relationships of the content information to its 

environment, including reasons for creation and how it relates to other content existing 

elsewhere. 

• Provenance Information, which documents the history of the content information, including 

source, changes, and chain of custody. Preservation actions are also recorded as part of 

provenance. 

• Fixity Information, which documents authentication mechanisms used to ensure that the content 

information has not been altered in an undocumented manner. 

Descriptive Information is composed of: 

• Package Description, which provides additional information specifically for the use of access aids. 

• Business Process Description, which provides additional information for and about system rules, 

commerce activities, access controls, and user relationships, and which may or may not be 

directly related to specific content. 

In general, metadata will express information that is essential to the processes and products of the 

Future Digital System. That information will be accumulated by capture from processes, by 

discernment or assignment by processes or specialists, or by acquisition from an external source. For 

example, a single digital object, the product of a conversion made by GPO from a printed book, will 

have metadata captured from the scanning process with which it will be ingested into the system, and 

this product will subsequently acquire bibliographic information (which is descriptive and structural 

metadata) as part of cataloging; PDI as a result of the preparation of the Archival Information 

Package (AIP); and BPI that will assist in its being available for ordering. Metadata will accumulate 

according to needs within the system and will be retained for varying periods also depending on 

applicable system needs. Metadata will drive processes and will record processes for the purpose of 

facilitating subsequent processes and actions. 

Interfaces to Systems and Procedures. In order for metadata to be usefully employed, it must be 

organized into meaningful, agreed-upon structures that can be interpreted by the system. No single 
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overarching schema exists to express all the data elements necessary for a highly complex system of 

interconnected processes such as the system, and thus it will be necessary to employ multiple 

schema and ensure that inputs can be shared and utilized throughout. 

Ideally, a metadata scheme will define specific data elements and provide a structured presentation 

of qualifiers and standards, with consistent forms of entry. It is common for particular communities of 

users or custodians of information to define standards for metadata. Three existing examples are 

illustrative: 

1. Bibliographic information used by libraries for the creation of catalogs and indexes is created 

according to rigid, internationally vetted standards and is expressed in a scheme known as the 

MARC (Machine Readable Cataloging) Standard, which is nearly universally used in the library 

community that comprises a significant user class for GPO. 

2. The METS (Metadata Encoding and Transmission Standard) schema has been developed by the 

Library of Congress and provides a standard framework for encoding all types of metadata and 

for expressing complex relationships between the types. Although it is a comparatively recent 

development, it has gained wide acceptance. 

3. In 2003-04, GPO has participated in an international effort to define a core scheme for 

preservation metadata, led by the Research Libraries Group and Online Computer Library Center 

(OCLC), Inc. (both broad-based membership organizations that offer various services and utilities 

to member libraries, most of which are standards-based). The PREMIS working group is 

scheduled to release a detailed scheme with accompanying implementations scenarios in early 

2005. 

Capabilities, Functions and Features of the Future Digital System. The system must effectively 

recognize and interact with a wide variety of established practices and standards for metadata in 

multiple schema that are in common use for differing functions. Implementation of the system must 

define methodology for selecting and integrating appropriate schema based on requirements of use 

and users. 

The system should effectively recognize and interact with established practices and standards for 

metadata in multiple schema and provide a capability for mapping or so-called "crosswalks" between 

schema in use for differing functions.

5.3.1.3 Style Tools. The ability to acquire relevant content is a critical component of the system. 

Ingest is the service and/or function that accepts the Content Package from the Content Originator, 

converts the Content Package into a Submission Information Package (SIP), and prepares the SIP for 

ingest into the Content Management layer of the system. The system must allow for the seamless 

creation, submission, validation, management, and access to the content, and it must provide a simple, 

easy-to-use method to encourage Content Originators to provide content. 

Operational Environment and Characteristics. The system will contain a Style toolset that allows 

customers to prepare content prior to ingest by GPO. This toolset must allow for ease of content 

generation and creation, including auto content tracking, auto layout (if required at this phase), 

collaboration, and management toolsets. 

GPO will create, maintain, and establish a set of best practices for the creation and submission of 

Content Packages. This guideline will also be used to validate SIP material. This set of best practices 

will be loosely modeled on the traditional GPO Style Manual and GPO publication 300.6; however, 

both must be significantly updated to reflect modern information lifecycle creation, collaboration, and 
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management. In addition, the system must contain multiple dynamic toolsets that allow agency 

customers to provide content and for GPO to ingest that content. 

Major System Components and High Level Interconnection. 

Content Creation: 

• Accepts and validates raw or structured information. 

• Content is digitally identified. 

Creative Services: 

• The system will compose submitted content into appropriate layouts based on user requirements. 

• Templates may also be provided to format content based on customized layouts. 

• System must allow for a “best view,” i.e., creates the best possible layout for the content. 

Content Management – Originator’s View: 

• Provenance is documented. 

• Edits and checks are performed in real time as content is managed. 

• Content Originator will be allowed to authorize access (i.e., selected users at proof stage, 

controlled items limit user access, etc.).

Content Validation: 

• Content and structure are validated against GPO business rules (best practices and the Style 

Manual). 

Interfaces to Systems and Procedures. the Future Digital System’s Style tools will work 

independently or in concert with existing publishing processes to enable workflow. Style tools may 

include collaboration, auto-composition, internal agency chain of responsibility, and version control 

Style tools will be optimized to provide content to GPO which conforms to best practices. 

The Future Digital System will allow for a variety of customer interfaces. Examples include: 

1) Acceptance of common desktop publishing native files (e.g., Quark XPress, Adobe InDesign, 

Adobe Illustrator, Adobe Photoshop, etc.); 

2) A custom software application that exists on a Content Originator’s desktop and performs similar 

layout functions; and, 

3) An interface for audio content that would include speech recognition and conversion. 

Interfaces will be extended to the entire content originating sphere of influence and include 

collaboration tools, approval tools, and other features that would aid customers in creating content. 

These interfaces must allow customers to easily submit, create, and manage content and to provide 

the necessary descriptive information for GPO’s business and dissemination needs. These interfaces 

must not hinder agency work and must serve as an incentive. 

Capabilities, Functions and Features of the Future Digital System. Style tools and ingest 

capabilities for the system will promote use among the Content Originators of the Federal 

Government. This requirement encompasses both short-term needs (e.g., accepting non-structured 

files such as professional publishing files and/or legacy material) and long-term needs such as 

creating a structured, flexible and extensible standard for content submission. The goal of the ingest 
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capability is to move GPO upstream in the content origination process. All Style tools must conform to 

GPO’s best practices guide for content submission. The Style tools must allow for: 

1) Ease of use, as this is a critical factor if GPO is to fulfill its mission. The interface for Style tools 

must allow a novice user to begin using the system easily and quickly with little or no training. 

2) Advanced user interface. 

5.3.2 Digital Content. Digital content is born digital documents, converted legacy documents, and 

harvested material. The focus of the Future Digital System will be on born digital content. The system will 

also support converted legacy content and harvested material. However, there will be a move away from 

legacy conversion and harvesting once the system is fully implemented and successful. 

Digital Content also includes all content that has been created and managed within GPO to date. 

5.3.2.1 Deposited Content. Deposited content is content received from Content Originators in digital 

form. Ingest requirements will include the Deposited Package received from the Content Originator as 

well as corresponding customer processing requirements and additional metadata. GPO must establish 

best practices, templates, and standards for content received during the Ingest process, including 

metadata to capture all the customers’ requirements. The system must accept common formats used in 

the industry. Automatic composition tools may be applied to the digital content upon receipt to create a 

compliant format for the system. 

With standardized content requirements, agencies will have an effective way to meet laws and 

regulations for repurposed deliverables, hard copy, electronic presentation, and digital media. 

Operational Environment and Characteristics. The Future Digital System will require the 

establishment of standards/best practices for orders placed by Content Originators. Moreover, the 

system must be able to accept Digital Content with corresponding requirements that are furnished in 

various proprietary formats. For example, Content Originators may interface the system via customer 

agency level CMSs. Additional Content Originators will rely on GPO to process orders from manually 

furnished paperwork. 

The Digital Content Component must capture all agency processing information (e.g., billing 

information, jacket number, agency reference information, etc.). Required metadata will include 

technical contact (GPO 952 information) information that relates to the agency customer 

requirements relative to rendering formats, quantity, and size (for paper versions), etc. 

The system must be able to accept Deposited Packages that are furnished in a wide variety of 

formats and media, with GPO being responsible for converting the content into a format that is 

compliant with the best practices referenced above and that is suitable for various rendering and 

repurposing usages. 

GPO will require the Content Originator to provide information about dissemination and preservation 

needs for the Deposited Content Package. Metadata supporting long-term preservation and access 

will be created by GPO. The system will be required to maintain and augment this information over 

time. 

Major System Components and High Level Interconnection. Deposited Packages must have the 

ability to be rendered in multiple ways and must also be made available to End Users via Access 

functions. The system must be able to interface with various CMSs that are utilized by Content 

Originators. 
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Interfaces to Systems and Procedures. Content Originators will use an interface that includes a 

validation process to input requirements into the Future Digital System. The validation process will 

contain GPO best practices and templates for content structure and required metadata that will assist 

the Content Evaluators. Metadata must also be transferred with the content. 

Procedures will consist of the customers inputting requirements with corresponding metadata, with 

PDI and metadata added as required to create the Information Package. The Deposited Package will 

be processed with appropriate automated tools and validated within the Digital Content Component. 

Capabilities, Functions, and Features of the Future Digital System. 

Digital Content: 

• Agencies to directly interface with GPO. 

• Capability to utilize GPO furnished templates, automatic composition tools, and expert services, 

including pre-flight of digital content (confirming that requirements are complete). 

• Ingest process must capture all agency processing requirements (e.g., the system must capture 

all relevant metadata the Content Originator supplies). 

• The system must accept automated input requirements from customer agency CMSs in addition 

to manually furnished ordering requirements. 

• Content Packages may be pushed or pulled from GPO servers, agency servers, storage devices, 

(File Transfer Protocol) FTP, etc. 

• Electronically accept, store, and transfer content in a wide variety of formats as they were 

created, with the flexibility to easily adapt to future formats. 

• Identify the essential characteristics and structure of the content being processed along with RI. 

• The Digital Content Component must provide automated tools to process the SIP. Once 

validated, the compliant Content Package is transferred to the Content Management Component. 

• The system must have the capability to automatically make created or deposited content Section 

508 compliant. 

The future system must be able to handle additional types of digital content (e.g., audio, video, etc.) 

and not be limited to the formats that exist today. The Content Originator must be provided with endto-end automated work processes that streamline the ingest process. 

5.3.2.2 Harvested Content. Harvested Content is content within the scope of dissemination 

programs that is gathered from Federal agency Web sites. Discovery, assessment, and harvesting tools 

will be used to create a Harvested Content Package. 

The discovery tools will locate electronic content from Federal agency Web sites and provide information 

to the assessment tool. The assessment tool determines if the discovered content is within the scope of 

GPO dissemination programs and whether other versions of the content already exist in the system and 

establishes appropriate relationships between versions. The harvesting tool gathers the content and 

available metadata. 

Operational Environment and Characteristics. The new system must provide automated tools to 

locate and discover publications that are in scope, many of which may be directly published to the 

Web by agencies. 

The result of the locating, assessment, and harvesting functions is the ingest of a selected Harvested 

Content Package. This includes the actual content that was located and any associated metadata.

Major System Components and High Level Interconnection and Functionality. The future 

process of locating publications within scope will be based on the definition of a publication that falls 
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within the scope of GPO’s dissemination programs. This definition will consist of the criteria that will 

describe the content, dissemination medium, file formats, structure, etc. External forces such as 

technology advancements may change the means and formats by which Federal agencies 

disseminate information. 

5.3.2.2.1 Automated Discovery Tool. The tool must discover content based on rules and instructions 

derived from criteria which define a publication within scope. 

• The flexibility and ability to define and revise discovery rules and instructions. 

• The ability to recognize all file types. 

• The ability to discover, capture, express, and interpret all metadata associated with a given 

electronic publication. 

• Must discover, identify, and characterize information on Federal agency Web sites, including: 

o Information within agency CMSs.

o Information contained in query access-based databases and/or data warehouses. 

o Information on dynamically generated or customized web pages.

5.3.2.2.2 Assessment Tools. Tools must exist within the system that address the assessment 

decision that must be completed during the locating and harvesting process. This set of tools must 

interface with discovery and harvesting tools. Specialists may be required to assist in determining if the 

Harvested Package is in scope. The specific requirements for assessment tools include: 

• The ability to filter out information or resources that do not fall within scope. 

• The ability to discern whether a particular publication has already been cataloged by GPO, 

both in print and electronic formats. 

• If a publication has been cataloged in another format or version, the assessment tools must 

be able to associate the Harvested Content Package with the existing content. 

• The assessment tools should prepare the harvested content for ingest into the CMS. 

• Provide quality control functions to test accuracy/precision of rule application and to cycle 

results into rule creation/refinement. 

5.3.2.2.3 Harvesting Tools. The harvesting tool must be able to systematically capture Digital Objects 

(DO) and RI. Upon capture, the Harvested Package will be passed to the assessment tools, where it will 

be evaluated against a set of rules that define a publication that is within scope. 

The harvesting tool must also have the ability to derive harvesting rules from the discovery tools. The 

rules will include the location and structure of the publication along with any other information that is 

pertinent to the act of harvesting. The harvester will then use the rules to capture the DO and RI and the 

Harvested Package will be transferred to the assessment tool, where it will be packaged for ingest into 

the CMS. 

The following lists capabilities, functions, and features the harvesting tool must possess in the future 

state: 
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• The harvesting tool must be able to harvest, store, and add metadata to multiple records 

simultaneously. The metadata should include when and where the Harvested Package was 

captured. It should also include the date and time of capture. 

• The harvesting cycle, or how often harvesting takes place, should be configurable. 

• The harvesting tool will have the ability to derive harvesting rules and metadata about 

publications from the assessment tool. The harvesting rules are created from information 

gathered by the locating tools. 

• It will be necessary to create and implement harvesting rules that contain information about what 

to harvest, where it should be harvested from, what metadata should be added, and how the 

Harvested Package should be stored. 

• The harvesting tool will be able to physically capture a copy of the DO and RI, including original 

metadata and any other information, objects, or applications that are required to render the 

content at a specific level of accuracy. 

• It will be necessary to define a level of accuracy for rendering Harvested Content Packages and 

verify the integrity of the Harvested Content Package against the original content within a defined 

threshold. 

• The harvesting tool will be able to capture all file types. 

• The harvesting tool will be able to harvest publications contained in systems such as CMSs and 

query-based databases, on FTP servers, and behind proxy servers and firewalls. 

• The harvesting tool will have the ability to capture and interpret all metadata associated with a 

given electronic publication. 

• The harvesting tool will have the ability to generate a detailed report of all harvest activities 

including, the location of publications not harvested. 

Figure 5-7, Harvested Content Components, is a graphical representation of the various components 

and processes the future system will employ related to capturing harvested content. 

Figure 5-7. Harvested Content Components 

5.3.2.3 Converted Content. Converted Content is the digital content created from a tangible 

product. GPO will continue to work with various user communities on digitizing a comprehensive 

collection of legacy materials. This digital collection will be made available in the public domain for 

permanent public access through GPO’s dissemination programs. 

Operational Environment and Characteristics. The tangible resources held in Federal depository 

libraries are the legacy materials currently being considered for digitization. Much of this material is in 

need of preservation and curatorial care. 

Content 

Management 

System

Discovery Tool

Assessment 

Tool

Adaptive

Rules

Harvested 

Content 

Package

Harvesting Tool 

Web

Universe

Location

Information

Content 

Management 

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Discovery Tool

Assessment 

Tool

Adaptive

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Harvested 

Content 

Package

Harvesting Tool 

Web

Universe

Location

Information
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While scanning may be one method of conversion, there may be other means by which content is 

converted (e.g., manual text encoding). 

The end product of conversion is a Converted Content Package. 

Other forms of digitization exist currently and could possibly evolve in the future. There may be 

instances in which a successful conversion and/or OCR for a given tangible legacy document 

becomes improbable or impossible due its physical condition and/or characteristics. In these cases, it 

may be most practical to manually recreate these documents (e.g. using manual text encoding). 

Other formats exist within the legacy collection that are not text based (not in “book” format). These 

file types include analog audio and video. Specifications will be developed on a case-by-case basis 

for the creation of these files. 

Conversion may require a mechanism by which the work performed by the various conversion 

partners can be tracked and managed in order to avoid duplication of efforts. This effort may 

necessitate the creation of and/or interface with a registry of conversion projects. 

Major System Components and High Level Interconnection. The major entities providing a 

converted object to GPO are: 

• GPO staff; and, 

• External Service Providers including contractors, library partners, and Federal agencies. 

Conversion must be performed by the various entities described above at a level of quality that is 

adequate to support preservation as well as future iterations of derivative products through which 

GPO will provide public access. As a result, converted files must be compatible with standards and 

best practices (e.g., resolution, compression, and searchable text creation) put forth by independent 

organizations, libraries, other Federal agencies, or a combination of these entities, and adopted by 

GPO. 

Capabilities, Functions and Features of the Future Digital System. Conversion projects will 

produce digital facsimiles and necessary metadata for the system. 

5.3.3 Content Management/System Administration. Content Management processes content in a 

centralized fashion within the system. Rules for Authentication, Version Control, Access and Preservation 

are executed within Content Management. Centralizing this processing functionality supports a structured 

Storage Management System (SMS) and streamlines the required processing. 

Content Management accepts, processes, manages and delivers content. AIPs are the key content 

elements that serve as the “master” packages for use in developing Rendered Content Packages for 

Content Delivery as well as the basis for the package that is supplied to the Preservation Component for 

archiving. 

Content Management includes the rule-processing elements for Authentication, Version Control, and 

Access as well as Content Processing and Preservation. 

System Administration is the link to the Content Originators, the End Users, GPO Business Management 

functions, and GPO Operations Manager, and it provides the necessary support for processing the 

content to meet the Content Originator and End User needs as well as the business process needs. 
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As shown in Figure 5-8, System Administration/Content Management Component, the proposed 

system can be drawn to illustrate the overarching responsibility of System Administration and Content 

Management. System Administration ultimately coordinates the Ingest of Digital Content and the Content 

Delivery. In doing so, it also coordinates the processing of Content in Content Management, utilizing 

processing rules that are established in the requirements for Authentication, Version Control, Access and 

Preservation. 

Figure 5-8. System Administration/Content Management Component 

5.3.3.1 Workflow. Workflow Controller, working with System Administration, provides instructions to 

the other functional elements in the system to process the content in accordance with the Content 

Originator and End User requirements and in accordance with GPO process and business requirements. 

BPI, the Administrative Information that is non-content specific, information that is used within the 

business process, is managed by the System Administration component. 

Operational Environment and Characteristics. The System Administration Component works 

across the system, coordinating the functional interactions between the system elements to deliver on 

the Content Originator and End User requirements. 

Since the system is an information management system, a majority of the processing will take place 

in the centralized Content Management Component. The Content Management Component 

processes the Content Packages in accordance with the instructions provided by the System 

Administration Component. 

Major System Components and High Level Interconnection. Figure 5-9, System 

Administration/Content Management in the Future Digital System, provides an overview of where 

System Administration and Content Management fit within the overall system. 

Content Management

Authentication Version

Control Access

Digital

Content

Content

Delivery

System Administration

OAIS Compliant Archive

Content Processing

Archival

Storage

Archival Data

Management

Preservation
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Figure 5-9. System Administration/Content Management in the Future Digital System 

Interfaces to Systems and Procedures. 

Systems Administration: 

System Administration is the link to the Content Originators, End Users, GPO Business Management 

functions, and GPO Operations Manager and provides the necessary support for processing the 

content to meet the Content Originator and End User needs as well as the business process needs. 

In addition, this is the Workflow Controller for the system. In this role, System Administration provides 

instructions to the other functional components in the system to process the content. 

BPI, the Administrative Information that is non-content specific and used within the business process, 

is managed by the System Administration Component.

Content Management: 

Figure 5-10, Content Management, illustrates the Content Management Component. 

Content Management

Authentication Version

Control Access

Preservation

Digital

Content

Content

Delivery

System Administration E

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Content Processing

GPO Business Manager

Develops business expectations to meet customer and consumer expectations

GPO Administration / Operations Manager

Establishes external System Access rights. 

Interfaces with GPO users to develop and optimize workflow processes

Content Management

Authentication Version

Control Access

Preservation

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Delivery

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Develops business expectations to meet customer and consumer expectations

GPO Administration / Operations Manager

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Interfaces with GPO users to develop and optimize workflow processes
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Figure 5-10. Content Management Component 

Content Management processes Content in a centralized fashion within the system. It accepts, 

processes, manages, and delivers Content, AIPs, and the key content elements that serve as the 

“master” packages for Content Delivery as well as the basis for the package that is supplied to 

Preservation for archiving. 

Content Management includes the rule-processing elements for Authentication, Version Control, and 

Access as well as the Content Processing and Preservation. 

Authentication – 

Authentication will be called upon to analyze the Content Packages and assign the 

appropriate Authentication attributes, consistent with the requirements defined in the 

Authentication section. 

Version Control – 

Version Control will be called upon to analyze the Content Packages and assign the 

appropriate Version, consistent with the requirements defined in the Version section, 

which includes Version Triggers and Chain of Custody. 

Access – 

Access will be called upon to locate and analyze the Content Packages and develop 

Catalog and Index entries for the Content Packages as required. Access also delivers the 

Access functions, consistent with the requirements defined in the Access sections, which 

include Finding, Retrieval, Ordering, Data Mining, and User Support. 

Authentication Version

Control Access

AIP AIP

Content Processing

Access

Processor

(AP)

Content

Processor

(CP) Storage

Management

System

(SMS)

Archival

Storage

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Management

Preservation

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Package

Rendered 

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Package

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Control Access

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(AP)

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Package
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Content Processing – 

Content Processing includes the Processing engines that execute instructions based on 

Content Management rules (i.e., Authentication, Version Control, Access and 

Preservation). Additional detail about the functions and interfaces is provided below. 

Content Processor (CP) – 

• Receives and Processes Content Packages 

• Creates AIP by collecting the PDI by:

• Applying Authentication Rules

• Applying Version control Rules

• Applying National Bibliographic metadata supplied from the Access Processor 

(AP)

• Processes Replica AIP to create Extended Content Packages consistent with Access 

requests

• Interacts with GPO Evaluator and Service Specialist through the System 

Administration Component

• Renders Extended Content Package to meet Access requests 

• Provides Rendered Extended Content Package to AP for Delivery 

• Ongoing Processing of Content Management to maintain format integrity for assured 

access

• Applies Format Processing rules to the Content that passes through the CP

Storage Management System (SMS) – 

• Receives AIP from the CP 

• Executes Storage Processing

• Preserves the integrity of the AIP (the master) 

• Executes Hierarchical Storage Management on AIP 

• Near Line Storage for Objects that need fast access 

• Provides AIP to the Preservation function 

• Receives Access instructions from the AP 

• Retrieves identified AIP using Locator Information 

• Creates Replica AIP to be Rendered 

• Provides Replica AIP along with AP instructions to the CP to create the Extended 

Content Package 

• Supports the CP with AIP as required to perform ongoing Content Management 

Access Processor (AP) 

• Receives requests for Content Delivery via an Access Query from the System 

Administration Component 

• Initial Content Ingest Delivery request 

• Subsequent Delivery requests (e.g. utilizing Access tools) 

• Provides request to SMS for retrieval of AIP to be used to create Rendered Content 

Package 

• Receives Rendered Content Package from CP for delivery 

• Delivers Rendered Content

Preservation – 

Preservation will be called upon to execute the digital preservation processes according 

to the rules and policies established and maintained within the System Administration 

Component and consistent with the CLR. Table 5-1 provides a functional overview of 

preservation and the CLR. 
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Access 

Sequence Digital Content Tangible Content (View) 

Tangible Content 

(Purchase) 

First Attempt 

If unavailable, then: 

The Future Digital 

System storage within 

content management 

Selective depository 

library GPO Sales outlet 

Second Attempt 

If unavailable, then: 

The Future Digital 

System storage within 

content management 

Regional depository 

library 

The system will 

provide content to 

Service Provider to 

produce copy 

Last Resort 

CLR digital collection 

will provide faithful 

copy to content 

management 

CLR tangible 

collection will provide 

copy to regional 

depository 

CLR will provide 

content to content 

management 

Table 5-1. Functional Overview of the the Future Digital System and Preservation CLR Content 

Access

Capabilities, Functions and Features of the Future Digital System. System Administration will 

provide the overarching coordination of the principal functions within the proposed system to deliver 

the expected Content Originator and End User requirements. Furthermore, it also provides the 

interfaces to business operation functions (e.g., Financial Management). 

The Content Management processes content in a centralized fashion within the system. Rules for 

Authentication, Version Control, Access and Preservation are executed within Content Management. 

The following sections provide the details of the sub-components. 

5.3.3.2 Authentication. The Authentication function within the system will verify that the digital 

object is authentic and/or official. It will also have the capability to certify the content as authentic or 

official. 

Authentication and certification are an integral part of the data and content management portions of the 

system. These functions affect all parts of the system, from the ingest of a Content Package through 

Content Delivery of an access product via dissemination techniques. This section also addresses 

granularity issues as they relate to the certification process. 

Operational Environment and Characteristics. According to the definition, a document could be 

considered authentic but not official, but a document could not be considered official if not authentic. 

GPO verifies that the information disseminated through GPO is official and/or authentic and, when 

requested, certifies this status to End Users. 

The system must utilize some technology in order to ensure these relationships. An example would 

be the implementation of a PKI. Implementing digital signatures would allow customers to determine 

that the files are unchanged since they were “authenticated” by GPO and help establish a clear chain 

of custody for electronic documents. GPO’s PKI implementation would provide security for and 

safeguard official Federal Government publications. 

Major System Components and High Level Interconnection. 

Requirements for Authentication

• Requirements for the Authentication Function of Deposited Content Packages: 
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the Future Digital System must have the capability to verify the authenticity of the content, 

determine its status as an official document, and certify this to End Users. 

• Requirements for the Authentication Function of Harvested and Converted Content 

Packages: 

The original Harvested or Converted Content Packages ingested by GPO will be verified as 

authentic but not official. To make the Harvested or Converted Content Package official, 

there must be action from the Content Originator. 

The system must have the capability to verify the authenticity of the content, collaborate with 

the Content Originator to establish its status as an official document, and certify this to End 

Users. 

Certification Requirements for Dissemination

• The system must be able to represent to the End User that all content disseminated by GPO 

is certified. 

All content that is disseminated to End Users (via GPO Access or any other dissemination 

program) will be certified as authentic and/or official. All files certified by GPO and/or the 

Content Originator (whether stored and preserved in the CMS or disseminated via GPO 

Access or other dissemination program) will be certified at the industry standard for 

encryption. When encryption standards change, GPO must have the capability to re-certify 

content at the higher, industry standard encryption levels in order to keep the digital 

signatures valid and secure. 

• The system must provide an automated validating mechanism/process by which the End 

User would be able to view digital certification information without requiring the use of an 

associated application (e.g., plug-in). 

The system must provide a means by which digital certification information can be accessed 

and viewed by the End User without the need for an external plug-in application. The 

certification information must provide all of the expected certification information desired by 

the End User, including a representation of content certified as official and/or authentic, 

information on whether changes were made, what the actual changes were, who made the 

changes, and when they were made. If the nature of the changes made has compromised 

the authenticity of the document, the system must provide a means by which the authenticity 

can be restored and the End User is notified of the change. 

• The system must support the digital certification of files in all formats, static and dynamic. 

Granularity Requirements: 

• The system must provide a means by which sections of a document could be digitally 

certified and/or authenticated. 

Digital files ingested by GPO will be authenticated by GPO and/or the publishing agency at 

the entire document level, meaning that the content as a whole will be certified in its complete 

state. In the future state, the system must 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. 
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5.3.3.3 Version Control. A version is a unique manifestation of a publication. Changes beyond an 

agreed upon threshold or tolerance constitute a new version. That threshold is a version trigger, and the 

activity of inspecting for changes and activating the trigger is called version detection. Version triggers 

and information about content versions should be expressed in metadata that is associated with that 

content object. 

Version Control within the system will be a process of evaluating digital content throughout its entire life 

cycle. The chain of responsibility will be reflected in the metadata. 

The purpose of Version Control is to analyze Content Packages and assign appropriate version 

designation to all Content Packages in the system. 

Operational Environment and Characteristics. GPO must determine, either from information 

provided by the Content Originator or discerned from the content itself, whether the content is a 

unique manifestation. GPO will be responsible for managing and preserving all versions throughout 

their lifecycles within the system. 

GPO must develop policies and procedures to define versions and version triggers for all Content 

Packages, including all types of content. Best practices will be applied at all stages of the the system 

process from ingest to delivery (for example: International Cataloging Rules). 

Major System Components and High Level Interconnection. Version Control will be performed 

within the CMS as Content Packages are processed. 

Content Submission: Ideally, version information is included in the metadata by the Content 

Originator. This includes reference to other content versions, including hard copy versions. 

Content Processing and Content Management: Apply version control rules to assess the Content 

Package and determine content version within the system. Version control tools should be in place to 

inspect new Content Packages and monitor existing Content Packages within the system. 

Access: This function will provide information about versions to the user, including version 

designations, relationships between versions, and chain of responsibility information. 

Ordering and Content Delivery: The selected version must be delivered to the user with appropriate 

version information attached to indicate that the correct version was delivered. 

Administrative Function: the system will allow authorized users to view version information and have 

responsibility for managing and preserving all versions and application of best practices. 

Storage Management: The Storage Management Processor (SMP) will preserve all versions of 

Content Packages using hierarchal storage management and will provide the final version of the 

Extended Content Package to the OAIS compliant archive. The SMP will retrieve the various versions 

from storage. 

Capabilities, Functions and Features of the Future Digital System. The capabilities, functions, 

and features of the proposed system are delineated below. 

• Perform version control by detecting if the supplied Digital Content is identical to existing Content 

Packages within the system; 

• Apply version triggers for groups of related content; 

• Manage all versions of content within the system; 
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5.3.3.4 Access Tools. Tools and processes associated with finding, analyzing, ordering, and 

retrieving CPI or BPI. 

Access will be the primary interface between End Users and the system. As a sub-component of the 

Content Management component, Access will be called upon to locate and analyze CPI; develop 

bibliographic information for the Content Packages as required; mine BPI; and provide access to nontangible products provided by GPO, such as training and user services. This sub-component also delivers 

the Access functions, consistent with the requirements defined in the Access sections that include Finding 

(Search, Reference, and National Bibliography of U.S. Government Publications (NB)), Retrieval, 

Ordering, Data Mining, and User Support. 

All user classes will be able to interact with the system through Access. Access will provide information to 

users on Content Package granularity and version, and manage levels of user access. The system may 

store queries and user preferences to support access, and the system may provide customized access 

options. 

5.3.3.4.1 Finding Tools. Finding tools locate, describe, and classify CPI and select external 

information through the use of queries, locators, and highly structured classification tools. The purpose of 

finding tools is to provide a description and location of content to retrieval tools and users. Search, 

Reference, and NB are components of Finding. Figure 5-11, Finding Functions, places the finding 

functions in context. 

Figure 5-11. Finding Functions 

5.3.3.4.1.1 Search Tools. Search tools execute queries on CPI and select external information. The 

process of searching involves creating a query and refining that query until satisfactory results are 

returned. Query refinement may include combining input queries with stored queries and preferences. 

The the system enterprise Search tools must handle user searches of metadata and content both 

simultaneously and separately across multiple storage levels and devices. Search tools should produce a 

highly relevant, usable, and detailed results list that includes the location and description of meaningful 

information. 

Operational Environment and Characteristics. The Search function should return what the user 

expects to receive and provide ways to access related information. The search tools should be 

designed to meet the needs of all User Classes who will be searching the system. 

Input

Manual or 

System Entry and Security Protocols

Stored Preferences and Queries

Stored Preferences and Queries

System Exist and Security Protocols

Output

Location and 

Input

Manual or 

automated 

query 

System Entry and Security Protocols

Stored Preferences and Queries

Search

Reference

Cataloging 

& Indexing

Search

Reference

National 

Bibliography

Stored Preferences and Queries

System Exist and Security Protocols

Output

Location and 

description of 

Content 

Package 

Information or, 

Select External 

Information 

Input

Manual or 

System Entry and Security Protocols

Stored Preferences and Queries

Stored Preferences and Queries

System Exist and Security Protocols

Output

Location and 

Input

Manual or 

automated 

query 

System Entry and Security Protocols

Stored Preferences and Queries

Search

Reference

Cataloging 

& Indexing

Search

Reference

National 

Bibliography

Stored Preferences and Queries

System Exist and Security Protocols

Output

Location and 

description of 

Content 

Package 

Information or, 

Select External 

Information 
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Users should have the ability to perform a search on content as well as the metadata that describes 

that content. The Search tools should return a meaningful and useful results-set that contains the 

location and description of content. Users may require the ability to rank and filter items in a resultsset to further meet their needs. 

It will be necessary for the Search tools and associated functions to conform to international 

standards that promote interoperability among networked systems. The the system Search should 

meet or exceed industry standards for search and retrieval technology. 

Major System Components and High Level Interconnection. Search tools includes a highly 

accessible and usable interface that allows users to submit and refine queries and view and export 

results sets. 

Search will interact with the other Finding and Access tools. 

Capabilities, Functions and Features of the Future Digital System. 

• Performance and Interoperability: Search tools must perform at or beyond industry standards 

for search and retrieval technologies. In addition, the Search function should conform to search 

interoperability standards. For example, ISO 23950 (formerly NISO Z39.50) compatibility provides 

for interoperable search across locators for information and collections of information. 

• Standards Compatibility: Search tools will supports the library standard for catalog records, 

MARC, the Book Industry Study Group standard for Online Information Exchange (ONIX), and 

other relevant standards.

• External Interoperability: This includes Internet search engines, federated search utilities, etc. 

• Reporting Functions: Search tools must be able to interact with other elements in the system, 

including the System Administration and Data Mining functions, to log all searches for use in 

reporting usage statistics. Please refer to the Data Mining section for more information. 

• Search Multiple Formats and Levels of Granularity: the system must have the ability to search 

multiple formats (e.g., audio formats, video formats, PDF, ASCII, HTML, XML, and other future 

formats) and levels of granularity,. 

5.3.3.4.1.2 Reference Tools. Reference tools present information locators to End Users, and add value 

to the End User experience by assisting in the discovery and access process. Reference tools will contain 

metadata, references to metadata, and references to content. Reference tools will assist users in locating 

CPI and selecting external information. 

Major System Components and High Level Interconnection. Reference tools will include lists and 

resources that assist users in locating and accessing content. Reference tools will have the ability to 

create, acquire and store metadata (e.g., MARC), references to metadata (e.g. Subject 

Bibliographies), and references to content (e.g., Federal Agency Internet Sites, Browse Topics, etc.). 

Capabilities, Functions and Features of the Future Digital System. 

• Reference tools should be applications or lists that assist users in locating and accessing 

segments of related content and/or metadata within or outside the system. 

• The interface to the tools will be published such that external tools will be able to function with the 

Reference tools. For example, in order to enhance the visibility of Government publications, the 
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Reference tools should be interoperable with other industry standard third party reference tools, 

such as Internet search engines and publication distributors. 

• Reference tools will interact with Search tools. 

• Reference tools will create additional value for the user experience. 

• Reference tools may be available in a variety of formats, including electronic and tangible 

formats. 

• Reference tools will be created based on internal and external user needs. 

• Reference tools will have the ability to manage and interpret metadata. 

5.3.3.4.1.3 National Bibliography Tools. These tools create descriptive metadata that form the NB, 

conform to accepted library standards, and support access. 

Operational Environment and Characteristics. GPO has a legal mandate under 44 U.S.C. 1710-11 

to prepare and publish a “comprehensive index of public documents,” including “every document 

issued or published...not confidential in character.” GPO’s library customers expect that this mandate 

will be fulfilled through the creation of descriptive (access) metadata, i.e., cataloging or bibliographic 

records, that conform to accepted national library standards and practices. 

What historically was called the “Cataloging and Indexing Program” will be referred to as the NB 

Program. Content in the scope for the NB are the final published versions of authentic U.S. 

Government publications. 

Major System Components and High Level Interconnection. Interoperability with the Integrated 

Library System (ILS) and the Online Computer Library Center, Inc. (OCLC) system for creating 

bibliographic records and storage capabilities for structured data is required. 

National Bibliography Database. The NB database contains library standard bibliographic records that 

are linked to related metadata in the system that contain information about the described content. The 

NB database is a subset of the system metadata. For example, an agency print order for envelopes 

will result in metadata in the system, but the envelopes will not meet the scope criteria to qualify for 

cataloging in the NB. 

Links to Other Sites/Systems. NB records will include links to content maintained on various sites 

managed by or completely external to GPO, including publications in the CLR, in the OCLC Digital 

Archive, on various agency and library sites, etc. These links will be capable of resolving to multiple 

versions, either individually selectable by the user, or conforming to a pre-established user profile. 

Record Ingest. The NB database must share applicable metadata elements with other functions in the 

system, including metadata created by the Content Originator that is harvested along with the digital 

object to which it is related. GPO’s cataloging database will acquire bibliographic records from 

external Service Providers (e.g., library and agency partners, OCLC). 

Record Output. GPO provides metadata records to various users (e.g., individual libraries, valueadded resellers, the Library of Congress, etc.) in a variety of standard formats (e.g., MARC or ONIX). 

Record Linking. By using the linked the system metadata, users will be able to determine which 

libraries requested copies of the product, a function equivalent to the present state “Locate Libraries” 

function in the CGP on GPO Access. 
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5.3.3.4.2 Retrieval Tools. Retrieval is defined as the tools and processes that provide storage retrieval 

instructions to Content Processing. Finding tools locate the content, user identifies desired content, and 

Retrieval tools provide storage location to the CP. 

Operational Environment and Characteristics. The Retrieval tools interpret encoded location 

information to tell the CMS where the content can be obtained. 

Major System Components and High-Level Interconnections. Provides the bridge between 

Access and Content Processing by creating a Unique Identifier and mapping to a storage location for 

Content Processing. 

Interfaces to Systems and Procedures. Figure 5-12, Retrieval Function Within Access, provides 

a graphical view of the interfaces with respect to Access and Retrieval. 

Figure 5-12. Retrieval Function Within Access 

Content Management delivers Content consistent with Retrieval Instructions. 

Capabilities, Functions, and Features of the Future Digital System. 

• Adopt interoperable schema of Unique Identifiers that uniquely identify content, support 

persistent access to that content, and support access to information about the content (e.g., 

Persistent Uniform Resource Locators (PURL), Digital Object Identifiers (DOI), Archival 

Resource Keys (ARK), ISSN, ISBN, etc.). 

• The Unique Identifiers should be machine and human readable. 

5.3.3.4.3 Ordering Tools. Ordering is defined as the tools and processes that assist users in 

discovering the cost associated with the delivery of CPI. User will place orders and submit payments via 

the Ordering tools. 

Operational Environment and Characteristics. Ordering tools should accommodate all expected 

user requirements (e.g., allow users to discover the cost of a publication, choose delivery options, 

submit payment for delivery, etc.). Furthermore, Ordering should allow Users to order and submit 

payment for services delivered by GPO or its agents. Variable fee schedules will be applied based on 

User Class. These services may include but will not be limited to training, creative, consultation, and Content Management Retrieval Finding Instructions Query Cost and Order Information Ordering Location and Descri

ption 

Retrieving 
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legal services. Examples include training requests via the Institute for Federal Printing and Electronic 

Publishing and training requests from the Federal depository libraries. Based on User Class, some 

users will not be charged for GPO services. 

Major System Components and High Level Interconnections. Ordering tools must work in 

conjunction with Access (Search, Reference, and NB) and the Retrieval tools. Ordering tools will 

provide the cost of delivering content that has been located by Finding tools, request delivery of 

content, and accept payment. The ordering information with the corresponding location and 

description of the content will then be sent to the Retrieval tools, and the Retrieval tools will request 

content from Content Processing. Ordering must also integrate with other Business Processes such 

as inventory control, order tracking, financial, etc. 

Interfaces to Systems and Procedures. End User orders for content and services will be sent from 

Ordering to Retrieval. 

Capabilities, Functions, and Features of the Future Digital System. 

• Interoperable. Ordering will have the ability to interact with GPO’s IT infrastructure for a variety 

of services, including financial, inventory, etc. In addition, the Ordering function must be designed 

so that it is accessible to third party systems. 

• Security of Customer Transactions. Ordering must ensure that customer transactions can be 

conducted in a secure environment. 

• Order Content and Services. Users should have the ability to order both content and services. 

• Stored User Preferences and Order History. Ordering function must enable customers to store 

and access user preferences and order histories in a secure environment. The user preferences 

may contain order status, delivery preferences, preferred payment methods, order tracking, and 

other customer information. Customers who have purchased products from GPO must be able to 

review details of all current and prior orders. 

• Unique Identifier. Ordering will have the ability to generate a unique identifier for each order. 

5.3.3.4.4 Data Mining Tools. Tools and processes for finding, aggregating, and associating BPI to 

enhance internal and external business efficiencies. 

Operational Environment and Characteristics. GPO will provide intuitive data mining capabilities 

using BPI, including selected access to external data repositories. The system will be able to capture 

the use history of various dissemination tools (e.g., access and downloads from Web sites and 

databases, the path users took through the site, etc.), subject to privacy and legal restrictions. The 

ability to track purchases (e.g., through GPO Sales Program, capturing all data from orders received 

via the system Ordering Tools, etc.) will also be required. 

GPO must provide users with tools to notify them about the latest data posted on Web sites that is 

relevant. The system will allow for various data mining capabilities. 

Major System Components and High Level Interconnection. The major system components of 

the Data Mining function include an interface that allows users to submit and refine queries and view 

and export results sets. 
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Interfaces to Systems and Procedures. Data Mining is a sub-component of Access within the 

Content Management Component, with interfaces to the System Administration Component and the 

Content Processing Component. 

User queries will be submitted against the system’s BPI and external data repositories using various 

automated data mining tools. 

Capabilities, Functions and Features of the Future Digital System. 

• Ability to data mine BPI within the system at multiple levels of aggregation and granularity (e.g., 

contract Service Provider performance history, customer agency billing information, ordering 

habits, preferences of customers and users, etc). 

• Present data in a format that is understandable to the End User. 

• Capture use statistics. 

• Store and execute preferences for automated and customizable data mining. 

5.3.3.4.5 User Support. User Support will assist in delivering services to Users (e.g., interactive user 

assistance, real-time alert services, training requests, and relational databases that track user queries 

and preferences). These services may or may not be delivered in conjunction with Content Delivery. 

Operational Environment and Characteristics. User Support enhances GPO’s ability to provide 

service to users, such as answering questions, training, etc. User Support receives and processes 

requests to be executed within and outside the system. 

Major System Components and High-Level Interconnections. Major system components will 

include relational databases, customer relationship management tools, and other tools that are visible 

through Access. Figure 5-13 shows the flow of information through User Support. 

Figure 5-13. User Support 

Query or 

Request 

User 

Support Answer or 

Service 
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Capabilities, Functions, and Features of the Future Digital System. 

• Ability for Users and authorized GPO staff, to input, store, and manage user preferences and 

queries. 

• Support knowledge bases. 

• Facilitate training requests. 

• Enable alert services (RSS feeds, blogs, listservs, etc.). 

• Provide helpdesk and chat functions. 

• Support e-collaboration. 

5.3.3.5 Permanent Storage – Collection of Last Resort. The CLR is a permanent collection that is 

intended to provide comprehensive, timely, permanent public access to the final published, official 

version(s) of U.S. Government publications in all formats. 

Operational Environment and Characteristics. Users expect GPO to provide permanent public 

access to official U.S. Government publications. The mandates of 44 U.S.C. Chapters 19 and 41 

establish GPO's responsibility for providing permanent public access to tangible and digital U.S. 

Government publications. 

Several levels of public access to authentic and official publications are provided. Tangible products 

are accessible in Federal depository libraries. Digital content is accessible at or through Federal 

depository libraries, from the content originating agencies’ Internet sites, from the system information 

storage, or from GPO permanent public access partners. Only when all of these avenues of access 

are exhausted does the official content in the CLR come into use, and in those circumstances 

derivatives or access copies are produced to support public access. There is no direct public access 

or use of content in the CLR. 

The CLR will consist of multiple collections of tangible and digital publications with identical content 

located at multiple sites. This redundancy ensures continuity of access and guaranteed permanence 

in the event of a disaster or significant discontinuation of service at a single site. 

Under 44 U.S.C. Chapter 31, Records Management by Federal Agencies, and Chapter 33, Disposal 

of Records, agencies are responsible for transferring Federal records created during their conduct of 

public business to the National Archives and Records Administration (NARA). Content defined as 

Federal records (44 U.S.C. 3301) includes official publications in scope for the FDLP, the NB, and the 

CLR. Therefore, content originating agencies have affirmative responsibilities to provide copies of 

official publications to both GPO and to NARA, although the required actions occur at widely 

separated points in the information life cycle. 

GPO was recognized by NARA as an affiliated archive in 2003 for the electronic records constituting 

the core content on GPO Access. Building on the affiliate status, GPO may offer agencies a service 

that allows Content Originators to take a single set of actions that will satisfy the legal requirements to 

provide official publications to both GPO and NARA. 

Major System Components and High-Level Interconnection. 

Digital CLR. The digital CLR preserves the content of official U.S. Government publications in digital 

format. 

Tangible CLR. Tangible products in the CLR are copies of the official, as-published final versions. 

Tangible products in the CLR include the format(s) in which the official publication was published or 
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distributed, including microfiche, maps, posters, hard electronic products, such as CD-ROM and 

DVD-ROM, and other publication formats. 

The tangible CLR collections will be managed to the highest practicable level of assurance as defined 

by NARA best practices or the Center for Research Libraries Collection of Last Resort: Tangible 

Repository: Decision Framework, or successor documentation. 

Interfaces to Systems and Procedures. CLR will interface with Content Processing to receive 

Content Packages for preservation and to provide preserved content for the creation of derivative 

products. The CLR will interface with the Preservation sub-component of System 

Administration/Content Management to enable the execution of digital preservation processes on 

content in the CLR. 

The preservation needs for content will be defined in the Preservation and Dissemination Plan. The 

system will provide tools to create such plans and will allow collaboration with Content Originators to 

ensure that their preservation needs are met. 

Capabilities, Functions and Features of the Future Digital System. 

• Content is passed between Content Processing and CLR. 

• Content is stored in the CLR. 

• The CLR facilitates preservation processes. 

GPO’s digital archiving and preservation objectives are achieved by developing and/or following best 

practices that comply with an adequate, coherent, and widely understood framework for reliable, 

accountable, and manageable digital archives. See Table 5-1, Functional Overview of the system and 

Preservation CLR Content Access, for more specific information. 

5.3.3.6 Access Storage Management. This section covers the access storage management for the 

system. 

Operational Environment and Characteristics. Storage Management is a key component of 

Content Management that must provide and coordinate access, backup, and archiving of authentic 

and official Government information as well as ensure data reliability. 

Storage Management will consist of facilities that are scalable and support increasing and changing 

storage requirements. 

Major System Components and High Level Interconnection. 

• Storage System Management: This component handles the actual management of the hardware 

storage devices. 

• Storage Media Management: This component handles various media of the system for 

performance optimization. 

• Back-up Management: This component is responsible for maintaining the system back-up and 

recovery. 

Interfaces to Systems and Procedures

Figure 5-14, Storage Management in the Future Digital System, places storage management in 

the system context. 
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Figure 5-14. Storage Management in the Future Digital System 

The SMS interfaces with the CP and the AP within content processing, the preservation functions, 

and system administration function. 

Capabilities, Functions and Features of the Future Digital System. 

• Storage must be accessible from multiple sites. 

• The Storage Management functionality must support rules/policies for retrieval. 

• Storage facilities must ensure uninterrupted availability to authentic and official Government 

information. 

• Receives AIP from the CP 

• Executes Storage Processing 

• Preserves the integrity of the AIP (the master). 

• Executes Hierarchical Storage Management on AIP 

• Near Line Storage for Objects that need fast access 

• Provides AIP to the Preservation function. 

• Receives Access instructions from the AP 

• Retrieves identified AIP using Locator Information 

• Creates Replica AIP to be Rendered 

• Provides Replica AIP along with AP instructions to the CP to create the Extended 

Content Package. 

• Supports the CP with AIP as required to perform ongoing Content Management. 

5.3.4 Content Delivery. Content delivery refers to mechanisms for delivering content in a method or 

manner that fits the requirements of the content provider or End User. The delivery methods include hard 

copy, POD, electronic presentation, and digital media. Figure 5-15 illustrates Content Delivery. 

Authentication Version

Control

AIP

Evaluator and 

Service 

Specialist 

Instructions

Authentication

Processing

Version

Processing

Content 

Package

Access Queries

Access

Retrieval and

Processing

Instructions

Replica AIP

For Rendering 

with AP 

Instructions

Rendered 

Content

Package

Access

Retrieval

Information

Ongoing

Content

Management

Content 

Management 

Instructions

Cataloging &

Indexing

Workflow 

Communication

Workflow 

Communication

Workflow 

Communication

Content

Processor

(CP)

Access

Processor

(AP)

Storage

Management

System

(SMS)

AIP AIP

AIP AIP’

Rendered 

Content

Package

Authentication Version

Control

AIP

Evaluator and 

Service 

Specialist 

Instructions

Authentication

Processing

Version

Processing

Content 

Package

Access Queries

Access

Retrieval and

Processing

Instructions

Replica AIP

For Rendering 

with AP 

Instructions

Rendered 

Content

Package

Access

Retrieval

Information

Ongoing

Content

Management

Content 

Management 

Instructions

Cataloging &

Indexing

Workflow 

Communication

Workflow 

Communication

Workflow 

Communication

Content

Processor

(CP)

Access

Processor

(AP)

Storage

Management

System

(SMS)

AIP AIP

AIP AIP’

Rendered 

Content

Package
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Figure 5-15. Content Delivery 

The reference to content delivery is a reflection of the expansion of electronic presentation as the 

primary dissemination method for authentic and/or official content of the Government. 

In the content delivery environment, there are two user class distinctions: 1) Content Originators who 

are End Users and 2) End Users. 

• End Users are the end consumers who are not involved in the ingest process. They do not submit 

anything into the system; however, they take content out in various presentations. 

• Content Originators who are End Users are the agency and congressional customers who are the 

creators of content. In a future state, they will likely be subcategorized as follows: 

 

1. Customers who will submit content in and not take delivery of content. 

2. Customers who will submit content in and take delivery of content on a piece-by-piece or ondemand basis. 

3. Customers who will submit content in and expect large quantities of deliverables (e.g., press 

runs of printed material.) 

Major System Components and High-Level Interconnection. The major system component is the 

presentation tool that allows the End User to customize, compile, and proof for the delivery of content. 

Interface With Content Management To Obtain Content For Desired Output. An electronic 

interface will be developed between the system and Service Providers that will allow electronic 

content and all information necessary for producing the required end product to be accessed 

electronically by Service Providers. Users requiring content delivery will be able to request it via 

Access tools. 

Content Management

Results from query

Service 

Provider 

Service Provider 

Database

•Equipment/ 

capabilities

•Pricing

•Locations

Content 

Output for 

Delivery

User

Customize 

Tool

Compiling 

Tool

Rendering 

Tool

Proofing 

Tool

Presentation 

Tool

Query- service provider information

Content Management

Results from query

Service 

Provider 

Service Provider 

Database

•Equipment/ 

capabilities

•Pricing

•Locations

Content 

Output for 

Delivery

User

Content Management

Results from query

Service 

Provider 

Service Provider 

Database

•Equipment/ 

capabilities

•Pricing

•Locations

Content 

Output for 

Delivery

User

Content Management

Results from query

Service 

Provider 

Service Provider 

Database

•Equipment/ 

capabilities

•Pricing

•Locations

Content 

Output for 

Delivery

User

Customize 

Tool

Compiling 

Tool

Rendering 

Tool

Proofing 

Tool

Customize 

Tool

Compiling 

Tool

Rendering 

Tool

Proofing 

Tool

Presentation 

Tool

Query- service provider information
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Capabilities, Functions and Features. 

• Comprehensive content delivery toolsets (e.g. end user interface, presentation aid, output aid, 

etc.) 

• Conform to GPO’s best practices guide for content delivery 

5.3.4.1 Hard Copy Output. Hard copy is tangible printed content. POD is hard copy produced in a 

short production cycle time and typically in small quantities. 

Operational Environment and Characteristics. Hard copy output may be requested either at the 

time of content submission or as an access order. 

Content Originators submitting Content Packages will include information on the desired output such 

as color attributes, trim sizes, binding preferences, etc. 

External Service Providers will supply general business and workflow information, update their 

equipment and capabilities, provide unit pricing, and request modifications through the system. 

Capabilities, Functions, and Features. 

• Comply with quality assurance standards supported by the System Administration function (e.g. 

GPO Publication 310.1). 

• Provide methods of authenticating hard copy output (e.g., watermarks, etc.). 

• Meet delivery requirements of users. 

• Determine most cost-effective method for hard copy output. 

• Support and deliver customized Content Packages. 

5.3.4.2 Electronic Presentation. Electronic presentation output is the delivery mechanism of the 

dynamic and temporary representation of content in digital format. 

Operational Environment and Characteristics. Electronic presentation will be a method of 

disseminating content. The primary goal will shift from making the digital format match the printed product 

to presenting the electronic content in the most useable format. 

Capabilities, Functions, and Features. 

• Compliance with standards. 

• Assuring integrity of delivered content (e.g. virus-free, not corrupt, etc.). 

• Provide capabilities based on user requirements (e.g. watermarking, bookmarking, links, 

indexing, security features, etc.). 

5.3.4.3 Digital Media. Digital media is a content delivery mechanism consisting of data storage 

devices. Digital media includes: 

• Data storage devices (e.g., CD, DVD, etc.). 

• Wireless handheld devices (e.g., PDA, MP3 players, e-books, etc.). 

• Future media (e.g., flexible electronic displays, etc.). 

• Storage at user sites (e.g. subscription services, etc.). 

Operational Environment and Characteristics. Creation and replication of digital media must be 

available through Service Providers. The system will determine how to deliver content on the selected 

media.
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Interfaces to Systems and Procedures. Digital media will be generated on-demand by a Service 

Provider. Data may be pushed to the user’s device, or requested and pulled from the proposed 

system. 

5.4 MODES OF OPERATION 

The modes of operation for the proposed system as currently known are: 

• Nominal 

• Degraded 

• Maintenance 

− Remedial Maintenance 

− Preventive Maintenance 

− Code Upgrades 

• Alternate Site. 

Nominal mode of operation describes the system when working at the optimum, i.e., the system is 

operational and working as intended. 

Degraded mode and maintenance mode of operation describe operations in time when the system is 

working using a reduced string of operations. For example, the system is placed in a maintenance mode 

in order to perform a software upgrade. Once the software has been loaded, tested, and verified to work, 

the system is placed back in the nominal mode. 

Alternate site mode of operation can be described as occurring when one site has a failure that requires a 

user to access records from an alternate site. 

5.5 USER CLASSES AND OTHER INVOLVED PERSONNEL 

The following subsections describe the organizational structure and the class of users, including user 

capabilities, which are associated with the system. 

5.5.1 Capabilities. The capabilities for the primary function within the user classes of the system are 

described in the subsections of Section 5.3 above. 

5.5.2 Profiles of User Classes. A user can be defined as anyone who will interact with the system. A 

user class is determined by the ways in which the user interacts with the system. The major user classes 

identified for the system include: 

• Content Originator – Develops information and content and generates requests for GPO services. 

The Content Originator works with the Content Evaluator to define the parameters of the 

Preservation and Dissemination Plan. Content Originator provides the content that will be 

transferred to the system for subsequent certification and preservation. 

• Content Evaluator – Collaborates with the Content Originator to determine the content and if the 

content is in scope or not. The Content Evaluator establishes/defines the Preservation and 

Dissemination Plan and determines/makes decisions on what processing will occur, whether to 

use internal production or external contracting, and whether to include information in the Sales 

Program and/or FDLP. 

• Service Specialist – Supports the customer and is expected to deliver the products and services 

as determined. The Service Specialist performs contracting, administrative, and preservation 
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functions (e.g., creative services, contract writing and awarding, billing, quality control, 

cataloguing and indexing, preservation management, and dispute resolution.) The Service 

Specialist helps to describe the content and is involved with the creation of metadata and uses 

the system to preserve the content as required. 

• Service Provider – The Service Provider delivers the expected services and products after 

receiving notifications. The Service Provider accepts print orders as an example and also certifies 

vendors as GPO vendors. 

• Business Manager – Develop business expectations to meet Content Originator and End User 

expectations. Also works with GPO Sales Group to repurpose data in order to provide value 

added services. 

• Systems Administration/Operations Manager – Systems Administration directly supports the 

overall operations and integrity of the system and its use and conducts such system activities as 

managing user access rights, monitoring system performance, and scheduling reports. The 

Operations Manager interfaces with GPO personnel and makes decisions, including approval of 

workflow processes. The Operations Manager reviews system recommendations and makes 

decisions on when and how lifecycle activities related to specific records occur and who will 

perform the work. The Operations Manager has ultimate responsibility for the completion of tasks 

and the quality of the products. 

• End User – Uses the system to search for and access records, to submit data requests, request 

assistance via mediated searches, communicate with GPO, and invoke system services. 

5.5.2.1 User Class Capabilities. High-level Future Digital System capabilities correspond to specific 

GPO tasks and the users’ needs and desires for the proposed system. These capabilities are organized 

according to user class, but some capabilities cross user class boundaries and might be employed by 

users in more than one user class. User classes do not correspond to the system position titles, nor does 

a user class correspond to a single individual user. Rather, each user class describes a role that a user 

assumes in interacting with the system. An individual user may assume different roles to accomplish 

different purposes. 

Content Originator 

These are the capabilities of the Content Originator (in some cases an agent for the actual Content 

Originator may act in the role of the Content Originator): 

• Creates content 

• Generates and submits order requesting GPO services 

• Requests GPO assistance with content development or other services (such as training or hosting), 

as needed 

• Makes content available to GPO 

• Collaborates with GPO on the requirements for services on the preprocessing of content (creating the 

Preservation and Dissemination plan) 

Content Evaluator 

These are the capabilities of the Content Evaluator: 

• Determines if document is in scope (GPO scope and GPO Dissemination Program scope) 

• Works with Content Originator to determine what processing is needed, and to provide ingest aids 

• Determines the content version 

• Pushes certified content to Service Specialist 

• Develops Preservation and Dissemination Plan 

• Coordinates harvesting and format conversion 
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• Creates service orders for content 

• Reports back to Business Manager on content flow for possible sales opportunities 

Service Specialist 

These are the capabilities of the Service Specialist: 

• Provides special services 

• Metadata development 

• Cataloging and indexing 

• Creates copy for CLR 

• Preserves content as required 

• Certifies and/or authenticates 

• Quality services on content delivered including Service Provider Quality monitoring 

Service Provider 

These are the capabilities of the Service Provider: 

• Notifies the system with capability, status and completion of service 

• Receives notification of service orders 

• Accepts service orders 

• Provides services 

Business Manager 

These are the capabilities of the Business Manager:

• Works with Content Originator to establish requirement and guidelines including pricing, dispute 

resolution process, etc. 

• Works with Service Specialists/sales program to repurpose content for value added services 

• Sets pricing levels for GPO services 

Administration/Operations Manager 

These are the capabilities of the Administration/Operations Manager: 

• Establish and maintain user accounts 

• Schedules reports as needed 

• Uses tools to monitor the system 

• Uses the system tools to develop workflows 

• Modifies workflow when bottlenecks in the system occur 

• Quality function administration 

End User 

These are the capabilities of the End User: 

• Uses the system access tools to locate content 

• Uses the system tools to retrieve content 

• Uses the system tools to customize content 

• Uses the system tools to order content 

• Uses the system to access selective BPI (e.g., profile information, order status) 

• Works with GPO when needed to locate and order content 

5.5.3 Interaction Among User Classes. The proposed system described herein is an overall 

conceptual workflow model that depicts where user classes should interact within the system and with 

each other. Figure 5-16, The Future Digital System User Classes, illustrates this conceptual model. 
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The Administration/Operations Manager User and relevant capabilities are embedded in all components 

of the proposed system. 

5.5.4 Other Involved Personnel. GPO will be developing an organizational structure for overseeing 

the the Future Digital System program. When this information becomes available it will be included in a 

future update to the the Future Digital System ConOps. 

5.6 SUPPORT ENVIRONMENT 

The support environment will not be determined until the conclusion of the systems analysis and design 

phase of the the Future Digital System program. However, if an update to the the Future Digital System

ConOps is determined to be of value at that time, the required information will be provided. 
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Figure 5-16. The Future Digital System User Classes 

Process Manage A

GPO Business Manager

Develops business expectations to meet customer and consumer expectations

Service 

Specialist

Supports the customer to 

deliver expected products and services.

Supports both GPO and 

external Contracted Service Providers

Service 

Provider

Delivers expected 

products and services. 

• GPO Service 

Provider 

• Contracted Service 

Providers

Content 

Evaluator

Makes processing 

decisions on the content

Content 

Originators

Provides the information 

or content that will be preserved and certified. 

Include:• Government Agencies• U.S. Congress

GPO Administration / Operations Manager

Establishes external System Access rights. 

Interfaces with GPO users to develop and optimize workflow processes

Process Manage A

GPO Business Manager

Develops business expectations to meet customer and consumer expectations

Service 

Specialist

Supports the customer to 

deliver expected products and services.

Supports both GPO and 

external Contracted Service Providers

Service 

Provider

Delivers expected 

products and services. 

• GPO Service 

Provider 

• Contracted Service 

Providers

Content 

Evaluator

Makes processing 

decisions on the content

Content 

Originators

Provides the information 

or content that will be preserved and certified. 

Include:• Government Agencies• U.S. Congress

GPO Administration / Operations Manager

Establishes external System Access rights. 

Interfaces with GPO users to develop and optimize workflow processes
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6 OPERATIONAL SCENARIOS 

The the Future Digital System ConOps document expresses what users want and envision in the 

proposed system. Scenarios convey these needs in simple non-technical language. Overlap occurs 

between different scenarios as a result of interaction between different users or due to similarity between 

different activities. All of the scenarios represented in the following sections describe one example of how 

users may interact with the system. Scenarios have purposely been made to be far reaching in an 

attempt to include all possible actors within a designated class (of users), but the scenarios are not 

intended to identify all possible situations for any given user class. Additionally, the steps in the scenarios 

should not be interpreted as a fixed sequence of events; instead they should be interpreted as an 

illustration of capabilities the system will offer (any user class). 

A scenario is a step-by-step description of how the system should operate and interact with both its users 

and external interfaces under a given set of circumstances. Scenarios are described in a manner that 

enables readers to walk through them and gain an understanding of how all the principal parts of the 

system function and interact. The scenarios tie together all parts of the system, the users, and other 

entities by describing how they interact. Scenarios cover the user’s concept of all the operational modes 

and all classes of users identified for the proposed system and illustrate all the business processes that 

the system will support. 

6.1 CONTENT ORIGINATOR SCENARIO 

Content originators are comprised of executive or judicial employees primarily consisting of authors, 

editors, and/or publication creators (Agency Customer), and legislative or congressional employees who 

manage the information assets of the Congress (Congressional Customer). Content Originators are 

responsible for making content available to GPO for certification, preservation and dissemination. In some 

cases, content is created without using the Future Digital System, and/or without the knowledge of GPO, 

in those cases, the Content Evaluator may make the decision to use harvesting tools to begin the ingest 

of that content. 

Content Creation 

• Content Originator develops/creates content. 

• Content Originator generates and submits order requesting GPO services. 

• The system provides ingest aides for content creation, creative services, content management, and 

content validation, as applicable. 

• Content Originator develops content and initiates workflow through an the system ingest aid that 

includes best practices guidelines for the creation and submission of the Content Package. 

• Content Originator collaborates with GPO through the system to provide preprocessing information 

and specifications. 

• Content Originator coordinates with Content Evaluator on the content service orders and the 

Preservation and Dissemination Plan and makes them available to Service Specialists and Service 

Providers. 

• When GPO content creation services are fee-bearing, the system interfaces with the fee 

management system to determine fees and charge the Content Originator. 

Content Validation and Ingest 

• For deposited content ingest, text and/or other information is captured, managed, provided creative 

services as appropriate, and validated before the ingest toolset creates the SIP according to GPOestablished best practices. 
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• For converted content ingest, converted content is made available, then is captured, managed, and 

validated before the ingest toolset creates the SIP according to GPO-established best practices. 

• For harvested content ingest, content is harvested, then is then is captured, managed, and validated 

before the ingest toolset creates the SIP according to GPO-established best practices. 

6.2 CONTENT EVALUATOR SCENARIO 

The Content Evaluator may work with the Content Originator to assist in content development and 

determines what processing occurs. Once the content is made available to GPO, the Content Evaluator 

makes decisions regarding scope and preservation of content. The Content Evaluator may also use tools 

to coordinate harvesting and format conversion of content. Service orders are pushed to Service 

Providers by the Content Evaluator. 

Preprocessing of Content 

• When requested, uses the system and the system tools to work with Content Originators to develop 

content that conforms to GPO standards. 

Version, Scope, and Certification 

• Determines if content is within the scope of GPO. 

• The Content Evaluator then determines if the document is in scope for GPO Dissemination Program. 

Working with a Business Manager determines if the document is in scope for the sales program. An 

example of GPO dissemination program is the FDLP. 

• The Content Evaluator uses the system to request certified content from the Service Specialist. 

• The Content Evaluator determines if the content is new or a version of previously delivered content 

and confirms this with the Content Originator as appropriate. 

• The system applies storage management rules as appropriate for the content. 

• The system maintains audit trails that document the location of the material. 

• Based on scope and input from Content Originators, the Content Evaluator uses the system to 

develop the Preservation and Dissemination Plan. 

Harvesting and Format conversion 

• The Content Evaluator uses the system locating tools to locate content that is within scope. 

• When content is located, coordinates the harvesting by either using harvesting tools or creating a 

service order for Service Providers to use the harvesting tools to gather the content and its related 

metadata. 

• Content is packaged for ingest into the system. 

• As required by an Operations Manager or by business rules, the Content Evaluator sends service 

orders to Service Providers to use the system tools to digitize existing tangible content. When 

digitization is complete the Content Evaluator packages that content for ingest. 

Service Ordering 

• The Content Evaluator determines if the service should be done by GPO or by an external Service 

Provider.

• Service orders are sent to the Service Provider.
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6.3 SERVICE SPECIALIST SCENARIO 

After content arrives in the system and the Content Evaluator has determined its preservation status, the 

Service Specialist performs the following actions as needed to perform preservation tasks on content for 

as long as necessary. 

Provides Special Services 

• Uses the system to work with Content Originators to track and resolve disputes with Service 

Providers. 

• Works with Content Originators to assist in content creation by providing expert advice. 

• Works with Business Managers to repurpose content. This includes repackaging of content for new 

business needs, such as determining what digital content should be made available in hardcopy. For 

those documents that should be made available in hardcopy, a service order is sent to the Service 

Provider. 

Metadata development 

• The system populates initial metadata information package (e.g., bibliographic record) for the content. 

The Service Specialist confirms or updates that catalogue and index entry. 

• If this is a version of existing content, the system documents the necessary relationships between this 

version and previous ones. 

• The Service Specialist reviews that metadata and updates it appropriately. 

• The system performs conformity checking to ensure that metadata has been recorded, and meets 

appropriate standards. 

Preservation Processing 

• When content arrives in the system, and after a preservation and dissemination plan has been 

established, the system executes any preservation processing required by that plan. 

• The Service Specialist uses the system to review the original content and the processing applied to 

them to determine if preservation objectives are being achieved effectively and consistently. 

• When problems occur in executing a preservation and service plan, the Service Specialist determines 

whether the exceptions should be accepted and documented “as is.” Alternatively, the Service 

Specialist works with the Content Evaluator or Content Originator to determine appropriate corrective 

action or to modify the Preservation and Dissemination Plan. The system maintains an audit trail of 

activity. 

• The Service Specialist ensures that the system captures and retains information about the digital 

content necessary to ensure its preservation, accessibility, and to certify whether it’s authentic and/or 

official. The system will provide appropriate tools, techniques, and methods to enable faithful 

reproduction of all digital content in the system. 

• When new content has been preserved, electronic versions will be available to the depository libraries 

through the system . 

Content Maintenance 

• The Service Specialist uses the system to examine samples of digital content being preserved to 

ensure that nothing is lost or corrupted in storage. In the event of corrupted content (e.g. either due to 
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media degradation or media migration problems), the Service Specialist uses the system tools to 

assist in the recovery of the content. 

• The Service Specialist works with administrative users to ensure that necessary changes, such as 

media migration, are implemented in the storage system. The Service Specialist reviews plans for, 

monitors, and evaluates updates or modifications of the storage system, including migration of digital 

content to new digital media. 

Creation of the Collection of Last Resort 

The system directs content to the appropriate storage location. 

6.4 SERVICE PROVIDER SCENARIO 

Service providers provide the system with their capabilities and pricing information, receive notification of 

service orders, accept service orders, and provide services. 

Service Capability Update 

• The Service Provider updates the system with their capabilities. 

• The Service Provider updates the system with pricing information. 

Providing Service 

• For each service order, the Service Provider receives notification that an order is coming. 

• External providers use the system to accept or deny orders and to provide quotations. When 

possible, the system provides quotations automatically to the service requestor based on capability 

and pricing information already available within the system. 

• The system notifies Service Providers when jobs are ready for initiation. 

• The system tracks the progress of orders and their completion.

• The Service Provider performs the service and notifies the system of status and completion.

6.5 BUSINESS MANAGER SCENARIO 

The Business Manager is responsible for determining what content might be made available for sale and 

setting pricing levels for GPO services. 

Repurposing Content 

• Based on knowledge of content, the system provided data on content usage, and other business 

information, the Business Manager decides what content should be made available for sale. This may 

involve repurposing various content into documents or publications that will be made available for 

sale. It may also involve making non-tangible content into tangible publications. 

• When a decision is made to make new content available, the Business Manager collaborates with the 

Service Specialist (via the system) to determine how to repurpose the content. 

Set Pricing Levels 

• Based on business knowledge and the system data, the Business Manager uses the system tools to 

set pricing levels for GPO services and products. 
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6.6 ADMINISTRATION/OPERATIONS MANAGER SCENARIO 

Administration/Operations Manager users handle such activities as assigning user rights and privileges, 

scheduling reports, monitoring the system, modifying workflow, and ensuring system availability. This 

scenario is included to demonstrate some of the capabilities that would be included in the system for the 

administrative user of the system as well as the Operations Manager of the system. Not all capabilities 

are described in the scenario and many of the system functions will be done without user involvement. 

Assign user rights and privileges 

• Using GPO predefined roles (which includes information regarding permissions granted and job 

roles), the administrative user creates the user account establishing requested access rights and 

privileges in the system (i.e., user profile is created). The user is granted appropriate access rights 

(e.g., access to data that may be restricted by certain access privileges or administrative access) and 

systems capabilities (e.g., ability to edit, input data, check security, produce user reports). Note that 

not all users will require accounts. 

Schedule Reports 

• This user logs on to the system and uses any data available in the system to create new reports or 

modify existing reports. The request for reports could be based on a specific requirement from GPO 

or from a system monitoring need. The reports could provide metric data for such activities as system 

usage, system capacity, performance, and workflow statistics. 

• The reports are scheduled for regular distribution to the appropriate people or are created on as 

needed basis. 

Monitor System 

• The system provides this user with the ability to monitor system performance and security using 

system tools. These tools provide for monitoring storage, performance, space, load, security-related 

indicators, etc. 

• This user, with help from support staff, diagnoses and troubleshoots problems implementing intrusion 

detection systems and virus control procedures. In parallel, the system is recording these events in 

system logs and establishing an audit trail. 

• Once the problem has been corrected the user ensures that the system’s operations are secure from 

intrusion, viruses, unauthorized access, etc. 

Modify Workflow 

• In some instances this user will be able to modify workflow. The user will be able to modify work 

flowing through the system at a point in time when problems within the system arise. 

• When this user is alerted to a potential problem within the system (e.g., a problem with a server has 

occurred), the user notifies the appropriate support staff who diagnoses and troubleshoots the 

problem, and temporarily modifies system workflow(s) to ensure continued service. 

• This user notifies the appropriate operation of the temporary modification to workflow. The user tracks 

the resolution of the problem for audit trail purposes and the modified system workflow(s) will exist in 

the system until the problem can be corrected. 

• When notified by the system that identified steps are not occurring as scheduled, this user has the 

capability to examine the system in an attempt to understand and/or determine the nature of the 

problem. Possible problems could be related to bottlenecks in the system or due to inability of the 

Content Evaluator, Service Specialist or Service Providers to complete tasks. 
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• This user may recommend possible solutions (if due to a bottleneck in the system) or interface with 

GPO staff to determine the nature of the problem and recommend solutions. 

• This user has the authority to implement an agreed upon solution in order for the tasks to continue. 

Job Pending 

• This user logs onto the system and receives a notification from the system that a specific task is 

ready to be performed. The system, using predefined GPO business process rules is able to 

determine what activities need to occur. Based on these rules, the system can decide to create a 

task, assign tasks to staff, assign due dates, and provide relevant information about the task. 

Review System Assignments 

• This user reviews the assignments identified by the system and selects from the options that are 

presented: 

• Confirm Assignments 

− Upon confirmation the system notifies staff of their assignments including milestones and 

begins to track the task, which includes capturing performance statistics. 

− As the task proceeds, the system is able to send notifications, collect approvals, detect 

when processing has been suspended, make additional assignments, or notify this user 

that the job is complete. 

• Modify Assignments 

− Upon inspection of the task, the manager has the capability to modify the steps, adding 

or removing steps, or changing the order of the steps to be performed to process the job 

as a candidate workflow. 

− The system will either confirm the modification or may determine that additional steps are 

necessary requiring this user to make additional modifications. 

− Upon approval, notifications are sent to staff alerting them of their assignments. 

Approval and Closure of Tasks 

• As the task progresses through the system, there are various junctures when approval may be 

required by this user. The manager will inspect tasks on a periodic basis and provide approval as 

appropriate, including final approval that the job has successfully been completed. 

• Upon final approval, the system captures this information and stops tracking the job. 

6.7 END USER SCENARIO 

The End User will undertake the following steps in using the system to obtain content. (The steps listed 

below should not necessarily be interpreted as a sequence of events.) 

Search 

• All End Users will have the ability to search for and access content within the system. Access to 

content may be dependent on End User rights and privileges. 

• The End User searches descriptive metadata and/or content within documents. Within the End User’s 

given access rights and privileges, the End User may use available functions and features. The 

system provides the capability for the End User to view and/or sort the results of the search, modify 

the search, and refine or save search results. If needed the user may interact with GPO to receive 

help. 
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Retrieve/Receive Content 

• From search results that identify relevant content, the system allows the End User to view and access 

available content. The End User may request the system to deliver content to an available medium. 

• If content is located that is not available electronically, the system provides the End User with 

bibliographic and location information, and options for accessing the tangible content. 

Assisted Access 

• The End User may request help from GPO while using the system. Assisted access may include 

such activities as answering questions, conducting and handling searches, processing special 

requests, expediting requests, and similar issues. This may also include online help tools or referrals 

to libraries, etc. the system tracks the communication and information about the Assisted Access. 

Some of these services may involve fees. 

Fee for Service 

• End users may request products or services that require them to pay a fee. If a fee must be collected, 

the system tracks, reports upon, and routes any required financial transaction information to all 

appropriate billing/accounting systems, and provides the requested product or service on 

authorization by the billing/accounting system. 

6.8 OTHER 

There are no additional user scenarios at present. If additional users are identified, their interaction with 

the system will be provided in a future update of the the Future Digital System ConOps. 
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7 SUMMARY OF IMPACTS 

Implementation of the Future Digital System may have wide ranging impacts on both GPO and its 

customers. The subsections below identify potential operational impacts, organizational impacts, and 

impacts during development that should be considered as GPO develops its plans. 

7.1 OPERATIONAL IMPACTS 

Until the Future Digital System undergoes systems analysis and design, operational impacts of the 

proposed system are not known; therefore, impacts to the following have been omitted. 

• Interfaces with primary or alternate computer operating centers 

• Changes in procedures 

• Use of new data sources 

• Changes in quantity, type, and timing of data to be input into the system 

• Changes in data retention requirements 

• New modes of operation based on emergency, disaster, or accident conditions 

• New methods for providing input data if the required data are not readily available 

• Changes in operational budget 

• Changes in operational risks 

However, it is anticipated that GPO as an organization will have to implement changes to the way it 

conducts business in order to achieve the agency’s mission, goals, and objectives. The system will 

facilitate this endeavor. When implemented, the system will be able to handle vastly different content in a 

variety of formats that GPO has been incapable of addressing in the past. 

The system should provide decision support for GPO management processes for the content 

management lifecycle processing of all content. This additional capability includes supporting processes 

for such activities as evaluating, creating descriptions of and metadata for, and preserving content of all 

types. Additional operational impacts may include the following items: 

• Data architecture modeling; 

• Disaster or catastrophic recovery; 

• Advances in technology; and 

• Changes to operational procedures. 

7.2 ORGANIZATIONAL IMPACTS 

GPO is examining current policies and business practices and may have to develop and/or modify 

policies and business practices as necessary. The depth and breadth of the organizational impact is 

unknown at this time. Information with respect to the following has not been provided for this reason and 

includes such items as the number of personnel, skill levels, position identifiers, and locations of 

personnel. Additionally, the interaction of personnel with the system may necessitate revising position 

descriptions to reflect the anticipated changes in GPO’s business practices. 

With this in mind, GPO has identified a number of possible organizational impacts, as described below: 

• An assessment of how the system will fit organizationally within GPO and how the system will 

relate to other GPO components and/or the agencies they interact with; 

• The commitment of resources (e.g., funding, time, staff) by GPO to establish working 

relationships with other Government agencies as the system is rolled out; 
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• The need for cross-functional, inter-disciplinary staff teams; 

• The development of education and increased training for both GPO staff and End Users; 

• The need for additional personnel for the creation and maintenance of a help desk facility for 

GPO staff and End Users; and 

• Improved opportunities for career development for GPO staff. 

7.3 IMPACTS DURING DEVELOPMENT 

The full extent of impacts during development will not be known until completion of the systems analysis 

and design phase, and, as such, this information has not been provided; however, impacts considered 

thus far include: 

• Articulation of business rules and other controls needed for operational implementation; 

• Development of training for requirements to be implemented in an increment; and 

• Training necessary for rollout of the increment. 

 

When known, information on impacts such as the following will be provided as required: 

• Involvement in studies, meetings, and discussions prior to award of the contract; 

• User support and involvement in reviews and demonstrations, evaluation of initial operating 

capabilities and evolving versions of the system, development or modification of databases, and 

required training; 

• Parallel operation of the new and existing systems; and 

• Operational impacts during system testing of the proposed system. 
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8 ANALYSIS OF THE PROPOSED SYSTEM 

Various improvements, disadvantages and limitations, and alternatives and trade-offs considered are 

covered in this section. 

8.1 SUMMARY OF IMPROVEMENTS 

The system, when implemented, will subsume and enhance the existing functionality provided by the 

legacy systems identified in Section 3.3.1; however, the proposed system will provide a completely new 

set of capabilities as described in Section 4.2.2. The full extent of the capabilities will not be known until 

the completion of the systems analysis and design phase of the program and will be addressed at that 

time as required. It is anticipated, however, that the proposed system will offer numerous benefits to GPO 

and End Users and may include the following items: 

• The harvesting, locating and subsequent preservation of fugitive documents that would otherwise 

be lost; 

• A wider variety of available content in GPO assets; 

• Consolidated content management lifecycle administration and streamlined internal workflow; 

• More involvement with transferring customer entities in the early phases of the lifecycle; 

• New tools to support processing and evaluation of content: 

- Tools to aid in the ingest process, 

- Tools for preservation and access, and 

- Tools for the creation of descriptions and metadata; 

• Faster access to content; 

• The ability to service additional end users; 

• Increased responsiveness to end users 

• Remote access to content; and 

• Enhanced capabilities for searching content. 

8.2 DISADVANTAGES AND LIMITATIONS 

Disadvantages and limitations related to developing the Future Digital System include: 

• High development costs; 

• High costs associated with security; 

• Staff anxiety brought about by new responsibilities; 

• Poor GPO staff morale without proactive change management; and 

• Impact on transferring customer agencies (resources required to prepare for transfer of materials 

to GPO, greater content management responsibilities). 

8.3 ALTERNATIVES AND TRADEOFFS 

Alternatives to the Future Digital System are TBD. 
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9 NOTES 

The following sections provide acronyms and definitions of terms used herein. 

9.1 ACRONYMS 

The technical terms used in this document are defined in IEEE Std 610.12-1990, IEEE Standard Glossary 

of Software Engineering Terminology. Table 9-1, Acronyms, provides a list of acronyms used herein. 

ACRONYM DEFINITION 

ABLS Automated Bid List System 

ACES Access Certificates for Electronic Services 

ACSIS Acquisition, Classification, and Shipment Information System 

AIP Archival Information Package 

AP Access Processor 

ARK Archival Resource Key 

ASCII American Standard Code for Information Interchange 

BAC Billing Address Code 

BPI Business Process Information 

CA Certification Authority 

CCSDS Consultative Committee for Space Data Systems 

CD Compact Disk 

CD-ROM Compact Disk Read Only Memory 

CE Content Evaluator 

CFR Code of Federal Regulations 

CGP Catalog of U.S. Government Publications 

CLR Collection of Last Resort 

CMS Content Management System 

CP Content Processor 

CPI Content Packet Information 

CSV Comma Separated Variable 

DARD Departmental Account Representative 

DIP Disposition Information Package 

DO Digital Objects 

DOI Digital Object Identifier 

DoS Denial of Service 

DPI Dots Per Inch 

DVD Digital Versatile Disc 

ePub Electronic Publishing Section 

FAQ Frequently Asked Question 

FBCA Federal Bridge Certificate Authority 

FDLP Federal Depository Library Program 

FIFO First In First Out 

FOIA Freedom of Information Act 

FTP File Transfer Protocol 

GAO General Accounting Office 

GILS Government Information Locator System 

GPEA Government Paperwork Elimination Act 

GPO Government Printing Office 
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ACRONYM DEFINITION 

HTML Hypertext Markup Language 

Hz Hertz 

ID Information Dissemination 

IEEE Institute of Electronics and Electrical Engineers 

ILS Integrated Library System 

ISO International Organization for Standardization 

IT Information Technology 

JDF Job Definition format 

LOC List of Classes 

LPI Lines Per Inch 

MARC Machine Readable Cataloging 

MOCAT Monthly Catalog of Government Publications 

MPCF Marginally Punched Continuous Forms 

NARA National Archives and Records Administration 

NB National Bibliography 

NET New Electronic Titles 

NFC National Finance Center 

NIST National Institutes of Standards and Technology 

NLM National Library of Medicine 

OAIS Open Archival Information Systems 

OCLC Online Computer Library Center 

OCR Optical Character Recognition 

PCCS Printing Cost Calculating System 

PDA Personal Data Assistant 

PDF Portable Data Format 

PDI Preservation Description Information 

PICS Procurement Information and Control System 

PKI Public Key Infrastructure 

POD Print On Demand 

PPR Printing Procurement Regulation 

PURL Persistent URL 

RI Representation Information 

ROI Return on Investment 

RPPO Regional Printing Procurement Office 

SF Standard Form 

SIP Submission Information Package 

SGML Markup Language 

SMP Storage Management Processor 

SMS Storage Management System 

SPA Simplified Purchase Agreement 

SuDocs Superintendent of Documents 

URL Uniform Resource Locator 

U.S.C. United States Code 

USGPO United States Government Printing Office 

WAIS Wide Area Information Servers 

WAP Wireless Application Protocol 

WML Wireless Markup Language 

XML eXtensible Markup Language 
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9.2 GLOSSARY 

Terms used herein are defined to promote readability of the document. 

access - Tools and processes associated with finding, analyzing, ordering, and retrieving CPI or BPI. 

accessibility – Making tools and content available and usable for all users including those with 

disabilities. 

access aids: Tools and processes associated with finding, analyzing, retrieving, and ordering CPI or BPI. 

archival information package (OAIS) - Content information and its associated PDI needed to preserve 

the content over the long term, bound together by packaging information. 

archive - A collection with related systems and services, organized to emphasize the long-term 

preservation of information. 

archive management - See preservation. 

authentic - A version that is verified by GPO to be as the Content Originator approved or published it. 

authentication - In the broadest sense, validation of a user, a computer, or some digital object to ensure 

that it is what it claims to be. In the specific context of the Future Digital System, the assurance that an 

object is as the author or issuer intended it. See also Certification. 

availability - The degree to which information is obtainable through an intentional or unintentional 

provision of information and services. 

born digital - In the the Future Digital System context, digital objects, created in a digital environment, 

with the intention of multiple eventual output products, potentially including hard copy, electronic 

presentation, and digital media. Born digital object will exist in an entirely digital lifecycle. 

browse - To explore a body of information on the basis of the organization of the collections or by 

scanning lists, rather than by direct searching. 

cataloging and indexing - Cataloging is comprised of the processes involved in constructing a catalog: 

describing information or documents to identify or characterize them, providing "entry points" (terms) 

peculiar to the information or document, e.g., author , title, subject, and format information, by which the 

information can be located and retrieved. The immediate product of cataloging is bibliographic records, 

which are then compiled into catalogs. Indexing is the process of compiling a set of identifiers that 

characterize a document or other piece of information by analyzing the content of the item and expressing 

it in the terms of a particular system of indexing. In GPO context, cataloging and indexing is the statutory 

term for the processes that produce the Catalog of U.S. Government Publications and its indexes. 

certified - Providing proof of verification of authenticity or official.

certification - Proof of verification or authority. Process associated with ensuring that a digital object is 

authentically the content issued by the author or issuer. The "certificate" is a token of veracity which is in 

some way joined to the object itself. 
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collection of last resort - At the macro level, a complete depository collection managed by the 

Government. The CLR will consist of multiple collections of tangible and digital publications, located at 

multiple sites, and operated by various partners within and beyond the U.S. Government. The primary 

purpose of the CLR is to support the FDLP in its mission to ensure no-fee permanent public access to the 

official publications of the United States Government. 

content information (OAIS) - The set of information that is the primary target for preservation, 

composed of the data object and its RI. 

data mining - Discovery method applied to large collections of data, which proceeds by classifying and 

clustering data (by automated means) often from a variety of different databases, then looking for 

associations. Specifically applied to the analysis of use and user data for GPO systems. Tools and 

processes for finding, aggregating, and associating BPI to enhance internal and external business 

efficiencies. 

digital media – Digital media is a content delivery mechanism consisting of data storage devices. 

digital object - An item stored in a digital library or other digital collection of information, consisting of 

data, metadata, and an identifier. 

digital signature - A cryptographic code consisting of a hash, to indicate that data has not changed, 

encrypted with the public key of the creator or the signature. 

dissemination - The transfer from the stored form of a digital object in a repository to the client or user. 

dissemination information package (OAIS) - An information package that contains parts or all or one or 

more archival information packages, to be distributed to the user or consumer as requested. 

document - A digital object that in the analog of a physical document, especially in terms of logical 

arrangement and use. 

electronic presentation - Delivery mechanism of the dynamic and temporary representation of content in 

digital format. 

emulation - Replication of a computing system to process programs and data from an earlier system that 

is no longer is available. 

existing digital - In the current situation, publications or digital objects which are produced solely for 

digital dissemination, such as documents on agency web sites for which there is no printed equivalent. 

format - In a general sense, the manner is which data, documents, or literature are organized, structured, 

named, classified, and arranged. Specifically, the organization of information for storage, printing, or 

display. The format of floppy disks and hard disks is the magnetic pattern laid down by the formatting 

utility. In a document, the format include margins, font, and alignment used for text, headers, etc. In a 

database, the format comprises the arrangement of data fields and field names. 

format management -See preservation. 

hard copy - Tangible printed content. 

harvest - The capture and processing of Web-based documents or publications preparatory to ingest into 

an archive. 
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information granularity - The degree or level of detail available in an information system. With reference 

to authentication, the level of detail or specificity (e.g., page, chapter, paragraph, line) to which veracity 

can be certified. 

ingest (OAIS) - The OAIS entity that contains the services and functions that accept SIPs from 

Producers, prepare Archival Information packages for storage, and ensure that information packages and 

their supporting descriptive information packages are established within OAIS. 

interoperability - The task of building coherent services for users from components that are technically 

different and independently managed. 

item - A specific piece of material in a digital library or collection; a single instance, copy, or 

manifestation. 

locate (discover) - The organized process of finding Web-based documents or publications that are within 

scope for a particular collection. 

manifestation - Form given to an expression of a work, e.g., by representing it in digital form. 

metadata - Data that describes the content, quality, condition, or other characteristics of other data. 

Metadata describes how, when, and by whom information was collected, where it resides, and how it is 

formatted. Metadata helps locate, interpret, or manage. In current usage several types of metadata are 

defined: descriptive, which aids in locating information (what's it called? what's it about?); 

structural/technical, which records structures, formats, and relationships (what software does it require? 

how do the parts relate to one another?); administrative, which records responsibility, rights, and other 

information for managing the information (who owns it? who has rights to use it?); and preservation,

which incorporates elements of the other types specific to preserving the information for the long term. 

migration - Preservation of digital content where the underlying information is retained but older formats 

and internal structures are replaced by newer. 

OAIS - Open Archival Information System Reference Model (ISO 14721:2003) - A reference model for an 

archive, consisting of an organization of people and systems that has accepted the responsibility to 

preserve information and make it available for a designate community. The model defines functions, 

activities, responsibilities, and relationships within this archive, sets forth common terms and concepts, 

and defined component functions which serve as the basis for planning implementation. 

official - A version that has been approved by someone with authority. 

preservation - The activities associated with maintaining information products for use either in their 

original form or in some other verifiable, usable form. Preservation may also include creation of a 

surrogate for the original by a conversion process, wherein the intellectual content and other essential 

attributes of the original are retained. For digital materials, preservation includes the management of 

formats of information (including possible migration to newer versions), the storage environment, and the 

archival arrangement of information to facilitate preservation. 

preservation description information (OAIS) - Information necessary for adequate preservation of 

content information, including information on provenance, reference, fixity, and context. 

preservation master requirement - A set of attributes for a digital object of sufficient quality to be 

preserved and used as the basis for derivative products and subsequent editions, copies, or 

manifestations. Requirements for use, users, and state/condition/format of the source of the original 

object need to be noted. 
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print on demand - Hard copy produced in a short production cycle time and typically in small quantities. 

provenance - The chain of ownership and custody which reflects the entities that accumulated, created , 

used, or published information. In a traditional archival sense, provenance is an essential factor in 

establishing authenticity and integrity. 

publication - Content approved by its Content Originator for release to an audience. 

reference tools - Finding aids, bibliographies, and other services to assist in the locating and use of 

information, often less formally organized than catalogs and indexes. 

render - To transform digital information in the form received from a repository into a display on a 

computer screen or other presentation to a user. 

replication - Make copies of digital material for backup, performance, reliability, or preservation. 

repository - Specifically, a computer system used to store digital collections and disseminate them to 

users. 

requirements - In system planning, a requirement describes what users want and expect according to 

their various needs. Requirements draw a comprehensible picture to facilitate communications between 

all stakeholders in the development of a system, and outline the opportunities for development of 

successful products to satisfy user needs. 

search - Process or activity of locating specific information in a database or on the World Wide Web. A 

search involves making a statement of search terms and refining the terms until satisfactory result is 

returned. Searching is distinct from browsing, which facilitates locating information by presenting 

references to information in topical collections or other logical groupings or lists. 

storage management - see preservation. 

submission information package (OAIS)- The information package identified by the producer for ingest 

into an OAIS system. 

system - An organized collection of components that have been optimized to work together in s 

functional whole. 

user - The person who uses a program, system, or collection of information to perform tasks and produce 

results. 

version – Unique manifestation of a publication. 

version control - Relating to a specific manifestation, revision, issuance, or edition of a previously 

published or issued document or publication. Changes beyond an agreed upon threshold or tolerance 

constitute a new version. That threshold is a version trigger, and the activity of scanning for changes and 

activating the trigger is "version control." 
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APPENDIX A 

DESCRIPTIONS AND CAPABILITIES OF EXISTING SYSTEMS 
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A.1.1 Descriptions and Capabilities of Existing Systems. The following subsections provide a 

functional description, including any known limitations, of each legacy system. The high level functionality 

of these systems is also summarized. 

A.1.1.1 Content Ingest. In the context of GPO's function and authority, content is the informational 

matter, received through a chain of responsibility and authority from Federal agencies, that GPO 

processes to the agency's specifications into publications in various formats, with the intention of 

disseminating it to the public; or informational matter that is discovered and harvested from the Web for 

preservation of access. A content object is formed by combining content with RI that maps or organizes 

the data into a useful, meaningful presentation. Thus a page of a Congressional bill is composed of data 

(in this case text) and the RI that arranges that text into columns with line numbers on the printed page or 

screen. In the case of a printed bill, the RI arranges the content meaningfully on the page and is fixed in 

time by the printing process, after which the RI is discarded. The bill presented online depends on its RI 

being preserved alongside the content to generate a meaningful rendering each time it is invoked. 

GPO receives content from agencies in a variety of formats, intended for a variety of output products. 

This diversity influences the treatment content receives in the course of processing by GPO. 

Content may be received by GPO in digital form, structured for hard- or soft-copy output, or in analog 

form from which digital files for printing are created by GPO staff. Digital inputs may range from structured 

files intended for producing hardcopy output or web presentations, to minimally structured ASCII text to 

be loaded into a searchable database. GPO's practice has been to accommodate agency requirements 

and processes by not limiting input forms. 

Content in the current environment is managed on two largely unconnected levels. In the short term, 

content management consists of the management of jobs in the production process, the organizing 

principle of which is GPO jacket, literally a jacket or folder onto or into which specifications and other 

information are recorded. Most of this metadata is acquired or created by GPO and is of limited value, 

with a short lifespan, ending with the delivery of the completed work or service. 

In the longer term, management of content is focused on distribution of publications through several 

channels: sale, deposit of publications in libraries, and delivery of online publications through GPO 

Access alongside searching and locator services. Metadata supporting these longer term activities is 

created by GPO and maintained and augmented over time. 

A.1.1.1.1 Hard Copy Content. The process of hard copy content ingest is described through the 

exploration of functions, capabilities, and limitations. 

A.1.1.1.1.1 Capabilities, Functions, and Features of the Current System. The current Production and 

Printing Procurement systems are very flexible regarding the receipt of Hard Copy content (i.e., GPO 

accepts everything). However, GPO’s in-plant Production spends an unnecessary amount of extra effort 

in order to generate output due to a lack of uniformity in what is provided as hard copy. Contracts 

established with contractors through Printing Procurement frequently incur additional lost time and costs 

because of the lack of guidance for submitting hard copy. 

A.1.1.1.1.2 Operational Environment & Characteristics. Contracting vehicles available to agency 

customers include: 

• The SPA and AgencyDirect: both allow agencies to procure their own printing. 

• GPO’s procurement process (Small Purchase and One-Time Bids): a specification is written and 

bids are solicited. 

• Term Contracts: for requirements that will be repeated throughout a specific time period. 
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• Direct Deal Term Contracts: are term contracts established by GPO but managed by the ordering 

agency. GPO handles the back-end administrative duties (e.g., billing, quality control, legal). 

In-house Production capabilities: 

• Whenever Congress is in session, GPO produces the Congressional Record and Congress’s 

daily business (bills, etc.). 

• In-house production capabilities are also available to agencies. 

• Services are available at GPO for customers who submit hard copy and would like digital files 

returned to them. 

• A POD initiative has been created and implemented with the SuDocs in coordination with 

Production. 

 

Hard copy input is allowed for all of these production and procurement methods. When it comes to 

Production, any and all types of hard copy are accepted. GPO does not place any restrictions or 

requirements on what can be submitted for output. GPO also does not provide any guidelines for 

submitting hard copy. 

In regard to Printing Procurement, the only guidelines provided that indicate how hard copy should be 

submitted are found in GPO Publication 300.6, “Best Practices for Preparing & Submitting Electronic 

Design & Prepress Files”: 

Camera Copy: Customers who submit camera copy in lieu of electronic files should follow the 

following guidelines: 

• Output at a minimum of 600 dots per inch (DPI). 1000 DPI or higher is preferred. 

• If the document contains photographs, tint screen areas or copy with fine detail, output with a 

minimum line per inch (LPI) screen of 75 and a maximum line per inch screen of 100 LPI. 

• For better results with tints and/or photographs, simply fill the area with 100% black (called a 

window) and indicate the percentage desired, or the appropriate photograph. A vendor can 

underlay the appropriate screen tint, or use the window to “drop” in a photograph.

Use of publication 300.6 (rev. August 2001) is not mandatory, only recommended. The publication is 

available on line but is not widely utilized. In addition, the most recent revision does not include 

information about Hard Copy submission. (The document was created for customers submitting only 

electronic formats; therefore the reference to Hard Copy was eliminated.) Therefore, GPO will accept any 

type of hard copy and does not provide any guidelines to, or place any requirements upon, the customer 

agency. 

A.1.1.1.1.3 Major System Components and High Level Interconnection. The major components 

involved with hard copy input are: 

• Agency customers, who supply hard copy; 

• Production, which accepts hard copy; 

• Printing Procurement, which writes contracts specifying hard copy input; and 

• The contractors affiliated with GPO who accept hard copy. 

Within each of these areas are groupings of personnel with different job functions and levels of expertise 

who have access to different types of hardware and software. In addition, the Production and contractor 

components possess equipment with varying capabilities. 

A.1.1.1.1.4 Interfaces to Systems and Procedures. The current information systems do not make 

appreciable distinctions between the types of copy submitted (i.e., Camera Copy or Electronic), either for 
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in-plant production or contracted work. Consequently, there is no way to break down work by types of 

copy submission. (The limited exception is for work contracted on Small Purchase and One-Time 

procurements in the central office. For each of these procurement methods, a limited amount of data is 

captured specific to furnished electronic files.) 

A.1.1.1.2 Legacy Scanning. The tangible resources, held in depository libraries since the early days of 

the FDLP, are the legacy materials that are currently being considered for scanning. This material is in a 

variety of manifestations, including books, loose-leaf pages, posters, maps, etc., and microfiche, primarily 

2nd generation diazo duplicates. Since many libraries have incorporated into their Government 

documents collections material that was acquired through channels other than the FDLP, there are 

“fugitive” products being scanned that have no corresponding metadata in GPO’s Cataloging and 

Indexing Program database. 

Much of the older material in the tangible collections is in need of preservation and curatorial care. 

Scanning of the material in the collections will allow wider access to resources and will at the same time 

provide libraries with the opportunity to reduce the physical volume of their collection. 

GPO is working with the library community on a national digitization plan, with the goal of digitizing a 

complete collection of legacy materials. The initial size of the paper product collection is approximately 2 

million documents, estimated at over 60 million pages. The objective is to ensure that the digital collection 

is available, in the public domain, for no-fee permanent public access through the FDLP. The project will 

ensure that the collection is digitally reformatted for preservation purposes. The digital preservation 

masters and the associated metadata will be preserved in GPO electronic archive (in addition to any 

other places that the materials might be held), and there will be no-fee public access to the content 

through derivative files on GPO Access. 

Because the files created by scanning existing printed documents will likely be created in a collaborative 

environment, and because their preservation and the generation of derivative products for access will 

also be a shared effort, there is a need for documented specifications for the digitization process and for 

metadata to be used to record digitization processes and events. A published specification will allow not 

only for internal quality control but for wide interoperability and the development of best practices for 

preservation of digital versions. 

A meeting was held in March 2004 at GPO that brought together practicing experts in the field of digital 

format conversion and digital project development to discuss the current standards and specifications for 

the creation of digital objects for preservation and to propose a set of minimum requirements for digitizing 

documents for this project. A report from the meeting was produced, which included a set of requirements 

for the scanning of Federal Government documents to produce digital preservation masters. This report is 

located at www.gpoaccess.gov/about/reports/preservation.html. 

An additional meeting was held in June 2004 at GPO that brought together practicing experts on 

metadata for digital library collections to discuss the current standards and specifications for the creation 

of metadata for digital objects. While the summary report of the meeting has not yet been completed, 

there was a perceived need for metadata outside the existing MARC records, including descriptive, 

administrative, technical, and preservation metadata. Further interchange with the library community is 

needed before a listing of recommended metadata requirements can be established. 

A.1.1.1.2.1 Digitization and Metadata. The following subsections describe the digitization and metadata 

processes in the context of capabilities, functions, and features that currently exist, major system 

components, and interfaces. 

A.1.1.1.2.1.1 Capabilities, Functions and Features of the Current System. Although planning has 

begun for the project of scanning legacy materials in the depository libraries, no system is currently in 
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place at this time. There are no capabilities, functions, or features of a current system to describe. 

However, when the project begins, most digital scanning projects will produce files of the documents and 

additional information to help establish bibliographic control over the scanned material, including MARC 

records with URLs and other links. 

A.1.1.1.2.1.2 Major System Components and High Level Interconnection. Although planning has 

begun for a project of scanning legacy materials in depository libraries, no system is currently in place. 

When the project begins, cooperating institutions that undertake digital scanning projects will produce 

images, derived textual files, technical and structural metadata, and descriptive metadata, including 

MARC records, to establish bibliographic control over the scanned material. 

In addition to the CMS, the following will be the major components for a system for legacy scanning: 

• Scanning in GPO Plant; 

• Scanning by outside contractors; 

• Workflow management; 

• Metadata creation; and 

• Storage of the scanned images. 

A.1.1.1.2.1.3 Interfaces to Systems and Procedures. Currently there are only limited systems in 

place to do the scanning, and therefore no interfaces to systems and procedures currently exist. 

A.1.1.1.3 Existing Digital. In the current environment, approximately 75% of the content that GPO 

makes available to depository libraries is in digital format on line. Most of these products are pushed to 

GPO and its dissemination programs and do not have to be located. 

The largest subset of GPO online universe consists of files from core legislative and regulatory products 

on GPO Access; most of these are available to GPO as ancillary outputs of the traditional printing 

process. In these cases there is no metadata created at the individual product level, although in some 

cases library-style descriptive metadata, as described in section 3.3.1.2.2, is created by ID staff and 

included in the CGP and the cataloging record distribution scheme. 

Another significant portion of the titles available from GPO online are executive branch information that 

GPO either hosts or links to, such as the reports on the Department of Energy’s Information Bridge site. 

Again, these require no locating or harvesting activity on GPO’s part. Also, the supplying agency 

generally applies a descriptive metadata scheme and a search engine for product retrieval. These are 

consolidated with, or replicated in, GPO’s cataloging operation. 

There is a significant online resource location activity that takes place in GPO’s ID operation. Agency 

online resources that are located and harvested by GPO’s ID staff have descriptive metadata created for 

them. 

A.1.1.1.3.1 Locating. The following sections describe the process of locating data in the context of 

capabilities, functions, and features that currently exist, major system components, and interfaces 

A.1.1.1.3.1.1 Locating Capabilities, Functions and Features of the Current System. Over the past 

few years, GPO has become increasingly aware that many publications being published by Federal 

agencies are not being included in the FDLP; these documents have come to be known as “fugitive 

publications.” With increasing frequency, agencies are publishing information only in electronic formats 

and, when this occurs, they frequently fail to inform GPO of these new publications for inclusion in the 

FDLP. In addition, agencies sometimes procure their printing directly from private sector companies or 

use in-house facilities rather than coming to GPO, and they then fail to inform GPO of these publications, 
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although there may be electronic counterparts on the publishing agency Web sites that could and should 

be included in the FDLP. 

In attempt to partly alleviate this problem, a significant online resource location activity takes place in 

GPO’s ID operation. The current system relies almost entirely on manual intervention and other parties 

pushing content or notifications about content to GPO. Individual online products are located by ID staff 

using: 

• Cues from print products, which may refer to an online version; 

• Cues from news media; 

• Routine mining or visits to agency Web sites, resulting in the location and identification of new 

online products; 

• Cues provided by the library community, typically through the “LostDocs” reporting channel; and 

• Teleport Pro commercial, off-the-shelf software. 

A.1.1.1.3.1.2 Major System Components and High Level Interconnection. Currently, the locating 

function carried out by ID staff is predominantly a manual process that merely requires a standard Web 

browser and an e-mail connection. 

In light of the large number of publications that have become fugitive, GPO is in the process of identifying 

and eventually obtaining Web crawler and data mining tools that can provide an automated solution for 

the identification and harvesting of fugitive documents and publications from agency Web sites. GPO is 

actively seeking these technologies as a future means of locating and harvesting publications on agency 

Web sites that fall within the scope of the FDLP and other dissemination programs but that have not been 

cataloged by GPO. 

A.1.1.1.3.1.3 Interfaces to Systems and Procedures. Once the online resources are located, they 

are harvested and assigned access metadata as outlined in section 3.3.1.1.4. Resources on GPO 

Access, or from agency Web sites, are typically accessed by the interface specific to that Web site but 

may not receive additional processing from ID staff. 

A.1.1.1.3.2 Harvesting. The following subsections describe the process of harvesting data in the context 

of capabilities, functions, and features that currently exist, major system components, and interfaces. 

A.1.1.1.3.2.1 Capabilities, Functions and Features of the Current System. Two systems are 

currently in place to harvest documents from Federal Government Web sites, the Teleport Pro System 

and the OCLC Digital Archive. The current system enables users to search the CGP, online library 

catalogs that use GPO cataloging records with active links, or the OCLC Digital Archive to connect to the 

harvested resources. 

A.1.1.1.3.2.2 Major System Components and High Level Interconnection. GPO uses two methods 

to harvest data, the Teleport Pro System and the OCLC Digital Archive. The Teleport Pro is an allpurpose high-speed tool for harvesting data from the Internet to capture a copy of the target digital 

resource, which resides dormant on an “archive server” until such time as the original version on the 

publishing agency Web site is no longer available. Then the PURL resolver table is adjusted to resolve 

the original version to GPO “archive server” copy. 

GPO has only recently begun to use the OCLC Digital Archive to harvest files. The OCLC Digital Archive 

is a suite of tools to prepare and add objects to a secure offsite storage facility. The major system 

components include tools for record creation, bibliographic records, and preservation metadata records 

that are linked to the bibliographic records. 
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A.1.1.1.3.2.3 Interfaces to Systems and Procedures. Using the Teleport Pro System, the harvested 

copy is downloaded onto a PC and then sent by FTP to an “archive server’ in GPO designated 

permanent.access.gpo.gov. A PURL is assigned by ID staff to the harvested resource. A PURL is an 

HTTP link employing a resolver application which routes the user to the correct location of the resource. 

Once the online resources have been uploaded to the “archive server,” which is not OAIS-conforming, 

access is maintained through a link from the bibliographic record. 

The OCLC Digital Archive works with known HTML and PDF objects and creates XML-encoded 

preservation metadata that is packaged with the object for ingest into the offsite archive. The tool also 

facilitates archive management. GPO maintains full control of the content and metadata in the archive 

and controls access privileges and mechanisms. 

A.1.1.1.4 Born Digital. GPO accepts and processes electronic files in a full spectrum of formats. 

The files are normally furnished manually, with much of the internal processing being done by transferring 

hard copy and storage media by hand. Agencies currently process work through GPO based on Title 44 

U.S. Code. 

Although suggestions for desktop publishing software applications are provided to customers via GPO

Publication 300.6, there are no mandatory requirements regarding file submissions. Adobe Acrobat is 

currently the suggested file format for customers creating documents in Office Graphics that require hard 

copy production, digital media production, or Web-based access. The Electronic Publishing Section 

(ePUB) provides suggested practices, file format settings, and processes to create acceptable 

documents. 

GPO Agency Direct (formerly the “OMB Compact”) procurements specify that vendors create a Print 

Optimized PDF file from the furnished production files. PDF files are delivered manually via hard storage 

media; no automated method for submitting PDF files is in effect. ID then uses these PDF files or PrintOn-Demand production and the files are archived. SPAs and one-time purchases are occasionally 

requiring contractors to return digital deliverable final production files, but only at the agency’s request. 

Many term contracts with vendors now require PDF files to be created from the native production files and 

returned on all orders. 

Customers often demand that GPO find a way to make the files work based on the end product they 

require, or they will procure the products on their own. 

 

However, many commercial print vendors avoid bidding on procurements that contain office graphics, due 

to re-flow, color shift, and general file integrity issues. The industry is beginning to adapt to processing 

non-standard desktop publishing files, but production delays and additional costs are common due to 

quality and consistency issues. 

Various documents provided to GPO have statutory requirements for producing hard copy, digital media, 

and Web access/soft display capabilities. 

GPO requests that customers furnish GPO Desktop Publishing Form 952 to provide basic information 

regarding layout software, version, points of contact, and any system work that is required to the 

furnished layout files. GPO Standard Form 1 (SF1) is normally provided, with specific requirements 

regarding production specifications. GPO Form 3868, “Notification of Intent to Publish,” is also utilized to 

gather information about the document. These three forms provide information such as operating 

environment; printing specifications; and creator. This information is not stored electronically and is 

generally kept in hard copy format with no relative database references. GPO creates the procurement 

specifications based on this gathered information. Contractors utilize the bid specifications as the 

standard for what is required and what is being supplied. 
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Although customers are encouraged to provide a completed GPO Form 952, it is not mandatory. 

Agencies have sometimes resisted the excess work required to provide GPO with metadata. Many orders 

are currently processed with no supporting documentation regarding the originator, production 

specifications, or operating environment. Short production schedule requirements have created situations 

where files are not pre-flighted at GPO, and contractors are forced to delay production due to file format 

incompatibilities. 

Metadata is collected from the SF1 and Form 3868 relative to one-time usage to create the printing 

specifications. The main information used relates to the data transferred to PICS (i.e., agency Billing 

Address Code (BAC), Requisition Number, Product Code, Quantity, Date Received, etc.). The majority of 

information is discarded beyond a single use function. Portions of the data used to create the 

specifications are searchable in the databases on local levels (i.e., MS Access - ability to search by title, 

etc.) within GPO. Metadata from PICS is also used to create initial records in ID’s ACSIS (Acquisition, 

Classification, and Shipment Information System), which maintains metadata on FDLP publications at the 

piece level. Metadata from the Form 952 is used to describe the characteristics of the layout files in 

procurement specifications, and it is then discarded. ePUB and various offices track layout software and 

computer platform information from this data. 

Often the originator of the electronic files has no specific instructions on what information GPO or 

contractors require. Formal documentation is lacking regarding cataloging, indexing, and minimum 

requirements for file submission. 

A.1.1.1.4.1 Content. The following sections describe born digital data in the context of capabilities, 

functions, and features that currently exist, major system components, and interfaces. 

A.1.1.1.4.1.1 Capabilities, Functions, and Features of the Current System. Born digital files 

currently allow processing and production of virtually any method. When requirements dictate hard copy 

or Digital Media production, layout and formatting issues are addressed. 

The files are normally transferred throughout GPO manually via hard storage media. Once the order is 

received, it is manually carried to in-house production, or it is procured commercially. Contracts are 

awarded to commercial vendors via competitive purchases, existing term contracts, or direct buys via the 

agency utilizing the SPA or GPO Direct. The electronic media is manually picked up by the vendor or sent 

via overnight courier service. Once received at the vendor’s plant, the files are copied to the vendor’s 

system and pre-flighted. Pre-flight refers to the operation of evaluating an electronic format to determine if 

all of the elements necessary for producing the desired output are included and correctly created. Preflighting can be done manually by a computer operator who evaluates the native application format and 

each element within it, or automatically by utilizing a computer program that evaluates the native 

application format and advises of possible problems. Production generally takes place after proofs are 

approved. 

Once the vendor completes production, the electronic files are returned to the originating agency. 

Occasionally, digital deliverables or PDF files are returned by the vendor. The agency will post the PDF 

on the Web and use the final production files on future re-procurements. SuDocs collects the file for POD 

usage and provides online access in a variety of derivative formats. 

GPO in Washington, DC, has limited storage capabilities for a portion of the data submitted through 

Printing Procurement (only small purchase and one time bid jobs are reviewed) on their server, and ePub 

and various sections access the data. It is active for a minimum of three months and than backed up to 

tape. Some RPPOs store copies of the data that is forwarded to contractors for short-term access. 

A.1.1.1.4.1.2 Major System Components and High Level Interconnection. The agency creates the 

digital file and provides the file to GPO. Files are occasionally transferred via FTP, email, etc., but more 
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commonly files are received on on CD-ROM, zip disks, or floppy disks. Upon receipt, GPO reviews the 

customer requirements and either sends the job to in-house production or procurement. Production 

normally consists of hard copy, digital media, or Web access soft display. Figure A-1, Born Digital 

Process Flow, depicts the born digital process from file creation to output. 

Figure A-1. Born Digital Process Flow 

A.1.1.1.4.1.3 Interfaces to Systems and Procedures. Currently, GPO has in-house capabilities to 

convert files into multi-purpose documents (print-on-demand, CD-ROM, PDF, XML, etc.). Print-ondemand is a major initiative being developed as a flexible and cost-effective way for customers to 

produce only the minimum required quantity of hard copies. The majority of electronic files are currently 

processed from conventional storage media (CD-ROM, zip disk, or floppy). GPO reviews the electronic 

files and makes suggestions regarding changes to file formats or alternate production methods. 

A.1.1.1.4.2 Metadata. The following subsections describe the process of gathering metadata in terms of 

current system capabilities, functions, and features, major system components, and interfaces. 

A.1.1.1.4.2.1 Capabilities, Functions, and Features of the Current System. Metadata, primarily 

administrative in nature, covering output specifications, responsibility, and billing, is gathered or created 

to support the management of the job on several paper forms, including SF1, GPO Form 868, and GPO 

Form 952. The information is summarized for the particular job on GPO Jacket, which carries a control 

number. This metadata survives only for the life of the job -- until a product is delivered or a service is 

completed. 

File Creation

GPO 

Production Procurement 

 

 Print Digital Media Soft Display 

Pre-Flighting 
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Automated methods of gathering metadata are lacking in the current system. With limited required 

documentation, the metadata received on current orders is gathered manually, with data management 

focused mainly on processing the orders based on the end product requested. 

A.1.1.1.4.2.2 Major System Components and High Level Interconnection. Information about the 

electronic files is gathered from GPO Form 952, SF1, GPO Form 3868, and basic file information direct 

from the files. The printing specifications are then drafted for procurement. Born digital metadata 

requirements are depicted in Figure A-2, Born Digital Data Requirements. 

The current environment for capturing metadata is a reactive workflow, gathering most information after 

the data has been created and received by GPO. With the exception of the data transferred to PICS (i.e., 

BAC, Requisition Number, Product Code, etc.), all information gathered from the hard copy is utilized to 

perform a single use function. Standards and required formatting information are not documented for 

agency reference. 

Figure A-2. Born Digital Metadata Requirements 

A.1.1.1.4.2.3 Interfaces to Systems and Procedures. Although some data elements (e.g., title, 

dates, author) are common with other metadata created and used in other processes (e.g., cataloging 

and indexing), information from the forms or the jacket may be adapted manually. No automated 

exchange capability exists. 

A.1.1.2 Content Management. GPO’s current CMS consists of four independent areas (Customer 

Services, In Plant Production Services, ID, and IT). Once information is processed from the customer, it is 

subsequently stored and accessible from multiple areas within GPO. 

Customer Services and In Plant Production Services work in tandem via a mainframe system to process 

customer orders and deliver products, as specified, in tangible or intangible formats. A limited portion of 

these orders are transferred to IT or ID for additional processing and archiving. 

IT maintains GPO’s servers and Web services (e.g., GPO Access and agency Web hosting) in a nonautomated fashion. ID shares tangible and intangible documents to the FDLP and the Sales Program. 

Data File

SF 1 GPO 952 GPO 3868

Procurement / Production

Specifications

Data File

SF 1 GPO 952 GPO 3868

Procurement / Production

Specifications
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Recognizing the need for an enterprise-wide solution, GPO, which currently has multiple individual 

systems that do not integrate, has investigated possible enterprise-wide CMSs. 

Information needs to be located and accessed by the public. Historically, GPO has created descriptive 

metadata files in the form of cataloging and bibliographic information. However, due to fugitive documents 

as well as limited financial and human resources, the comprehensive nature of this program has eroded 

into cataloging the documents in the FDLP. This descriptive information is integrated into reference and 

search tools such as the MOCAT, a suite of tools called Locator Tools and Services, OpenText, and the 

CGP application on GPO Access. 

GPO gets information for reports from a database called the PICS. Information is manually keyed into 

PICS from forms or transferred from other software. 

Once the public locates a publication they assume that it is official and authentic. GPO has begun 

implementing a PKI in order to make sure documents are not changed without GPO knowing about it. 

Unfortunately, the public also expects to have the most recent version of a document, which might not be 

possible since GPO requires no formal verification for documents that are processed. The approval 

process is one way to establish the version of a document, but a better way might be to use a CMS. 

However, GPO does not currently have the financial resources to implement a CMS. 

A.1.1.2.1 Authentication. Customers expect that information made available from the Federal 

Government over the Internet is official and authentic. Additionally, legislative mandates such as the 

Government Paperwork Elimination Act (GPEA) and others have requirements that include the need to 

maintain confidentiality, authentication, data integrity, and non-repudiation of information made available 

online. In response, GPO has recently taken steps to implement a PKI; one of the business processes 

associated with the completion of this project is to ensure customers that the information made available 

through GPO Access is official and authentic through the implementation of digital signatures. 

Implementing digital signatures on GPO Access documents will enable customers to determine that the 

files are unchanged since they were authenticated by GPO. GPO has already completed work on the 

infrastructure. The CIO staff is currently testing digital signatures in order to apply them internally to GPO 

files and externally to GPO Access files. This effort is being performed in parallel with work to cross-certify 

GPO’s PKI with the Federal Bridge Certificate Authority (FBCA). Once certification is completed, live 

signatures will be made available on GPO Access files. It is expected that this granularity of 

authentication will be applied to PDF documents in the beginning, to commence with Congressional Bills 

at the full document/file level. Granularity refers to the level of specificity to which the document is 

authenticated. Granularity ranges from authentication of an entire file to authentication of each page in 

the document. 

A.1.1.2.1.1 Chain of Command. The following subsections describe the chain of command in the 

context of capabilities, functions, and features that currently exist, major system components, and 

interfaces 

A.1.1.2.1.1.1 Capabilities, Functions and Features of the Current System. The planned PKI will 

provide the means for the following authentication/certification practices: 

• Proving the authenticity and integrity of electronic Government information; 

• Providing the means to recognize and trust the participants in an electronic transaction; 

• Providing the means to track and record that the intended person received accurate information; 

• Providing the means to keep business transactions confidential when using a public 

communications channel (such as the Internet); and 

• Providing the means to reduce paperwork processing and archival storage of physical media by 

replacing physically signed documents with electronically signed documents. 
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A.1.1.2.1.1.2 Major System Components and High Level Interconnection. GPO’s PKI will operate 

in an environment that supports the transmission, delivery, and receipt of digital communications over the 

Internet, using digital key pairs that encrypt and decrypt information. GPO will act as its own Certification 

Authority (CA) for implementing digital signatures on documents available via GPO Access and will act as 

a trusted third party that creates, signs, and issues public key certificates to subscribers (potentially other 

Federal agencies). The signature of the CA ensures that the contents of the certificate cannot be altered 

without detection. Additionally, GPO will perform the role of a Registration Authority (RA), collecting and 

verifying an identity and information entered into a public key certificate. The digital identity for end users 

is known as a digital certificate and is digitally signed by the CA. The certificate itself is a public structure 

containing public information such as the identity of the subscriber and an assertion that the CA has 

properly identified the subscriber’s identity according to a published set of management controls; and it 

binds the identity in an inalterable manner to the subscriber’s public key. This public key is published in 

the certificate and can be used by anyone in the process of validating an identity. The presence of the 

signature on the certificate from GPO as an authorizing source will enable the certificate user (relying 

party) to establish trust in the certificate owner’s (subscriber’s) identity. In addition, the presence of the 

public key in the certificate signed by the CA enables verification that the certificate owner possesses the 

corresponding private key. 

A.1.1.2.1.1.3 Interfaces to Systems and Procedures. Confidential Diagrams at Present Not Available 

for this Report –Cannot Release this Information due to Cross-Bridge Certification Process GPO is going 

through. Access to Information is only available to Trusted Role PKI Staff in accordance with 

management control documentation and audit compliance. The infrastructure will include the CAs, 

Directories, and RA Workstations in a PKI facility that physically houses CAs, Directories, Registration, 

Roaming, Verification and GetAccess Servers. 

A.1.1.2.2 Versioning. Customers expect to have the most recent version of a document or at least to 

know what version they are viewing. Processes associated with versioning/version triggers for 

electronically available files are currently manually based and require subjective human intervention 

because GPO does not have a CMS. Version control is limited to the extent that files and Web pages can 

be overwritten on servers, and it is impossible to tell who made the changes or when they were made. In 

the print environment, manual-based paper processes and associated electronic tracking processes for 

dissemination of different versions of documents are available to a very limited extent through mainframebased applications and extensive knowledge of cataloging records. 

Currently, for GPO procurements, the customer is not asked about the document creator or 

authentication of files. No formal verification is provided, or required, by GPO to customers regarding 

documents that are processed. The workflow expects that the customer will be responsible for verification 

of the document being produced (except for ensuring documents are not copyrighted) and abide by Joint 

Committee on Printing regulations. 

By receipt of the customer’s signed SF1 or direct deal print order Form 2511, the form is then used as a 

means of certifying or authenticating the document. Commercial procurements also normally require that 

proofs be submitted for approval. Once the proof has been signed off, this approval process is one of the 

ways to establish the chain of responsibility and the version of the product. After a contractor has 

delivered the final product, and it has been accepted by the agency, they have established the version of 

the product in printed form. 

Many Federal Government documents are produced in hard copy and are available electronically on 

multiple Web sites. The public must have confidence that the electronic file that it accesses from a 

Government Web site is the most current version available. The ease of making changes to posted files 

by unidentified GPO personnel has created a need for certification of the integrity of the files. For 

example, changes to electronic files for uploads to GPO’s web services lack an integrated method for 
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developers to coordinate changes. Consequently, content developers can overwrite the changes of other 

developers without notification. 

Agency procedures range from no formalized provenance or lifecycle management to structured archiving 

and authenticating of data. Many procurement divisions within agencies expect the local level (originator) 

of a document to ensure integrity and to interface with forms managers. Directives exist within most 

groups, but procedures are lacking to validate these requirements. 

The motivation for establishing certified versioning is to ensure the public can have a method to confirm 

format integrity of the files. 

A.1.1.2.2.1 Chain of Responsibility. The following sections describe the chain of responsibility in the 

context of capabilities, functions, and features that currently exist, major system components, and 

interfaces. 

A.1.1.2.2.1.1 Capabilities, Functions, and Features of the Current System. Automation for 

authentication and versioning does not exist in the current procurement system. Customers are 

responsible for data management and for working with the majority of documents they produce. 

The Government has a requirement that GPO needs to fill regarding authentication and storing of 

documents. The public would then have a consistent location or method to search for Government 

information and research materials. Data management would take place on a single level, as opposed to 

the current system, which creates multiple versions of documents across the entire spectrum. 

Functions are required to establish thresholds for current documents that will create version triggers in the 

data management cycle. Figure A-3, Potential Trigger Points for Versioning, depicts the version 

triggers in the data management cycle. 

Figure A-3. Potential Trigger Points for Versioning 

Document 

Creation 

Receipt at GPO 

In-house 

production Procurement 

Proof 

Accepted 

Product 

.... Authentication / Versioning 

.... Authentication / Versioning 

-- SF1 / GPO 2511 Print Order 

......... Authentication / Versioning 
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A.1.1.2.2.1.2 Major System Components and High Level Interconnection. Currently, no 

documentation or standards exist for requiring certification of customer documents that are procured by 

GPO. The SuDocs division creates extensive metadata records such as creator, dates, classification 

information, etc. Fugitive documents have created a void in public access because they are not available 

to GPO FDLP. 

A.1.1.2.2.1.3 Interfaces to Systems and Procedures. Currently, no verification of versioning for 

agency-submitted documents occurs for procured work. The chain of responsibility is resident at the 

agency level only. One of the current methods used to establish the version of a document occurs when 

an agency places a signed SF1 or direct deal Print Order. Approved proofs, or the final delivered 

approved product, constitute another method of ensuring that the version/responsibility for authentication 

have been established. 

A.1.1.2.3 Access. GPO has a legal mandate under 44 U.S.C. 1710-11 to prepare and publish a 

“comprehensive index of public documents,” including “every document issued or published...not 

confidential in character.” Historically this mandate has been fulfilled by creating descriptive metadata, 

specifically cataloging, or bibliographic records that conform to accepted national library standards and 

practices. 

Over time GPO’s Cataloging and Indexing Program has become a catalog of the publications distributed 

in the FDLP. This erosion of comprehensiveness has resulted from several factors, including fugitive 

documents not available to GPO, the advent of and increase in digital publishing, and ongoing constraints 

on program fiscal, IT, and human resources. 

GPO cataloging records include: 

• A description of the publication, such as the author, publisher, dates, etc., following the AngloAmerican Cataloging Rules, 2nd edition. 

• Subject terms derived from the Library of Congress Subject Headings and other thesauri, which 

characterize what the publication is about. 

• A unique identifier. For tangible items this is the SuDocs classification number that provides a 

library shelf location. For online resources, GPO includes a PURL, which is an HTTP link 

employing a resolver application that routes the user to the correct location of the resource. 

All of this data is encoded in MARC21 format, a standard, structured metadata communications format 

used worldwide. 

In addition, there is a very small and relatively inactive group of Government Information Locator System 

(GILS) records available on GPO Access. Also, there are several search and reference tools available to 

help locate Federal documents. 

Reference tools help library staff and the general user to access the Federal information products 

provided to libraries under the FDLP. The major reference resource, the MOCAT, and the online 

equivalent, CGP, are addressed under Cataloging & Indexing. For many years MOCAT was a tangible 

product, which was initially published in book format and then on CD-ROM before it was converted to a 

Web format. With the move to online electronic resources, additional reference tools were developed to 

meet the specific needs of patrons wishing to access the electronic products. These resources started out 

as a collection of services entitled Pathways Services, but they are now called Locator Tools and 

Services. The resources include the CGP, New Electronic Titles (NET), Browse Topics, U.S. Government 

Online Bookstore, Federal agency Internet sites, GILS, Subject Bibliographies, and reference tools on 

GPO Access Web site. These services are a mixture of GPO resources and partnerships with agencies 

and libraries. 
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A second set of resources includes the List of Classes (LOC) and related files located on the Federal 

Bulletin Board. The files are the LOC, Inactive or Discontinued Items, List of Active Items and Class 

Items, Classes No Longer Active (LOC, Appendix II), and Alphabetical Listing of Government Authors. 

The final resources are the OpenText resources. WebTech Notes includes information about corrections 

and changes to classification numbers and updates on information dissemination products. These 

resources are shared with the depository community through WebTech Notes. The FDLP Directory, which 

is an online application that also utilizes the OpenText product, provides current information about the 

depository libraries participating in the FDLP. 

Search tools available include the databases available on GPO Access, which provides free electronic 

access to a wealth of important information products produced by the Federal Government. GPO Access

is comprised of about 3,200 databases over 100 applications. These databases include those associated 

with Congressional publications such as the Federal Register, Congressional Record, and the House and 

Senate Reports and Documents, Hearings, Code of Federal Regulations (CFR), Unified Agenda, House 

and Senate Calendars, Public and Private Laws, and the U.S. Code. Hosted databases include the 

Supreme Court Reports, GAO Reports, and Equal Employment Opportunity Commission documents. 

In addition to the resources available via the FDLP and GPO Access, ID also administers GPO Sales 

Program. Through this program, users can locate and order publications (books, maps, serials, videos, 

CD-ROMs, subscriptions) available for sale through GPO. Orders may be placed online in a secure 

environment via the U.S. Government Online Bookstore, and also via mail, fax, phone, teletype, or by 

visiting the main bookstore at the main GPO facility in Washington, DC. 

GPO generates reports via data mining from PICS, which is the primary mainframe database for 

information used by the Printing Procurement Department to provide tracking and control of orders. PICS 

processes two basic types of orders. One type is recurring, i.e., print or work orders placed against term 

contracts or SPAs, respectively, that are in effect for a specific time period. The other type is one-time 

orders that are procured via small purchase or sealed bid/negotiated methods. As each of these types of 

orders has different keys (identifying fields) by which they are accessed, PICS was designed to 

accommodate them. 

Associated mainframe system files are: 

• The Automated Bid List System (ABLS), which is the initial source for GPO’s information on 

contractors’ names, addresses, and printing capabilities. 

• The Printing Cost Calculating System (PCCS), which provides an automated estimating system 

for work to be placed against applicable term contracts. 

• The Marginally Punched Continuous Forms (MPCF), which provides an automated estimating 

system for work placed against the main MPCF term contract, 1026M. This contract is 

administered by the central office, with regional offices utilizing the same contractors. 

Due to the continued reliance on hard copy/manual order origination and processing, PICS is the focal 

point for extracting ordering histories and projections for future business. Information is either manually 

keyed in or uploaded through software interfaces that help eliminate some duplicate key stroking. 

Reports are generated using specific reference data, much of which was manually extracted from the SF1 

or job jacket and keyed into the system. Search capabilities include the ability to use information such as 

billing address codes, product codes, and GPO office codes. A total of 126 different computer generated 

reports have been created to data mine the PICS system, with approximately 22 of these reports no 

longer being used. The results of these hard copy reports are used to document trends in purchasing, 
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volume and cycle of orders processed, dollar values, etc. This information can then be used to develop 

new business opportunities and help project future staffing requirements. 

Many agencies come to GPO managers with reports based on their workflow history that are more 

detailed and specific in relation to order history than GPO is currently able to provide due to hard 

copy/manual workflow limitations. 

From the ID perspective, various data mining capabilities exist that help to track the success of various 

dissemination components, including GPO Access, the U.S. Government Online Bookstore, and the 

FDLP. ID uses a web monitoring service to track average transaction times on GPO Access, error rates, 

and availability rates. ID is also able to track sales through GPO Sales Program in various ways. 

Furthermore, ID mines information relating to depository distribution of titles in electronic only and 

tangible formats. 

A.1.1.2.3.1 Cataloging and Indexing. The following subsections describe the cataloging and indexing 

processes in the context of capabilities, functions, and features that currently exist, major system 

components, and interfaces. 

A.1.1.2.3.1.1 Capabilities, Functions and Features of the Current System. The current Cataloging 

& Indexing System provides the means to: 

• Create library-standard bibliographic records; 

• Distribute those records to library customers at minimal cost; 

• Provide a searchable public access tool on GPO Access; 

• Compile and publish hard copy output; and 

• Enable users to connect directly to online content or locate tangible products in depository 

libraries. 

A.1.1.2.3.1.2 Major System Components and High Level Interconnection. Since 1976, all GPO 

cataloging data has been entered into the OCLC (Online Computer Library Center, Dublin, OH) WorldCat 

database, a comprehensive MARC database of some 50 million library cataloging records, which was 

created by and has received contributions from over 20,000 member libraries worldwide. GPO is by far 

the single largest contributor of cataloging records for U.S. Government documents, having created some 

510,000 records in WorldCat. 

OCLC provides the shared database and the Web-based tools for creating structured bibliographic 

records in MARC. Records created on OCLC via the Web are batched and returned to GPO by daily FTP 

transmission. These records are batched and processed by the Office of Chief Information Officer to 

produce printing files in GPO markup language. 

These print files are used to produce two principal outputs of the C&I program: the printed MOCAT and its 

online counterpart, the CGP, a Wide Area Information Servers (WAIS) application on GPO Access. 

Monthly batches of records in MARC format are made available for download from the Federal Bulletin 

Board application on GPO Access. These batches, each equivalent to a Monthly Catalog issue, are 

acquired by individual libraries, value-added resellers, and the Library of Congress. This redistribution 

enables users to search GPO cataloging records through online catalogs at an untold number of local 

libraries. In the current environment the use of GPO cataloging records in local library catalogs is far more 

important to users than the CGP. 

GPO has already begun the implementation of ILS software, the Aleph 500 and Metalib/SFX products 

from Ex Libris, USA. Once implemented, these applications will replace most of the Web-based input 
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tools and will provide all new public catalog capabilities, linked through GPO Access and all current 

system outputs. 

A.1.1.2.3.1.3 Interfaces to Systems and Procedures. Figure A-4, Access System Interfaces, 

depicts the interfaces to the core GPO system for access. 

SAMANTHA* -

MOCAT PUBLISHING

SYSTEM

OCLC

(record storage -

OCLC MARC format)

GPO Catalogers

(record creation)

Online CGP

PAMALA*

(library address information)

DDIS*

(item selection profiles)

Printed Products:

MoCat and

Congressional Serial

Set Catalog

MARC records to LC, FDLP

libraries and commercial

vendors via FBB

ACSIS System*

Locate Libraries

application

= Systems

= Products

* GPO System

= Core GPO System

Figure A-4. Access System Interfaces 

A.1.1.2.3.2 Reference Tools. The following subsections describe reference tools in the context of 

capabilities, functions, and features that currently exist, major system components, and interfaces. 

A.1.1.2.3.2.1 Capabilities, Functions and Features of the Current System. Reference tools are 

comprised of bibliographies and other Web tools that assist users in locating Government information that 

is within the scope of the FDLP. Reference tools include metadata, references to metadata, and/or 

references to content. Some of the reference tools are HTML based, while other tools employ search 

technologies such as WAIS or OpenText. The tools in WAIS format have limited future growth 

capabilities, as that format is no longer being supported outside of GPO. This is also the case for the 

OpenText software. Plans are proceeding to obtain replacement service for all the WAIS applications and 

the OpenText resources. Some of these will fit under the architecture-wide Oracle applications. The ILS, 

currently being procured by GPO, will replace resources currently created from legacy databases: the 

CGP, NET, WebTech Notes, and the LOC. 

A.1.1.2.3.2.2 Major System Components and High Level Interconnection. The major system 

components for the reference tools include GPO WAIS servers for the CGP, NET, U.S. Government 

Online Bookstore, Subject Bibliographies, GILS, and reference tools for GPO Access Web site. 
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Partnership sites are responsible for many reference tools, including Federal agency Internet sites, 

Browse Topics, and the Cybercemetery. 

The major system component for the LOC files is the Federal Bulletin Board, which is an NT server with 

FTP capability. 

The major system components for the WebTech Notes and FDLP Directory are the OpenText 

applications and the databases located on GPO servers. Note that these are not WAIS applications. 

A.1.1.2.3.2.3 Interfaces to Systems and Procedures. The CGP and NET utilize flat text files indexed 

by WAIS and output from the mainframe legacy system, SAMANTHA. 

The U.S. Government Online Bookstore interfaces with STAIRS, PRF, and ROPS. The Subject 

Bibliographies are produced with information from the STAIRS mainframe system. The information is 

loaded into a work file from the mainframe, and updates/changes are performed and loaded onto a floppy 

for loading onto the U.S. Government Online Bookstore. 

The databases for the WebTech Notes and FDLP Directory are developed on workstations in the ID 

organization and then updated on a regular basis from information loaded onto floppy diskettes. 

A.1.1.2.3.3 Search. In 1993, Congress passed Public Law 103-40, which amended GPO’s duties to 

include provisions for the dissemination of information in electronic format. According to Title 44, GPO is 

required to: 

• Maintain an electronic directory of Federal Government electronic information; 

• Provide a system of online access to the Congressional Record, the Federal Register, and, as 

determined by the SuDocs, other appropriate publications distributed by the SuDocs; and 

• Operate an electronic storage facility for Federal Government electronic information. 

As its programs evolved into Web technology, GPO needed an online system that would allow Federal 

agencies, library partners, and the general public to access its information resources. Utilizing search and 

browse technologies, GPO’s online resources have evolved and expanded to the point where they offer 

traditional print publications, such as the CFR, as well as new innovations in Government publications, 

such as the dynamic daily update of the CFR, known as the eCFR. The popularity of GPO’s Web services 

has led to the growth of its online services, such as GPO Access, which today consists of over 100 

applications, consisting of more than 2,500 databases, as well as the expansion of GPO’s Federal 

services to include Web hosting and design. 

A.1.1.2.3.3.1 Capabilities, Functions and Features of the Current System. GPO’s online system, 

GPO Access, was launched on June 8, 1994. At the time of launch, the system provided fee-based 

access to three databases. The system became available to the public free of charge on December 1, 

1995. Traditionally, the vast majority of information made available via GPO Access has been derived 

from databases used in the printing of Government publications. The databases are delivered by a 

distributed text searching system called Wide Area Information Servers (WAIS). 

While this text searching system was cutting-edge at the time, the creator of WAIS, Thinking Machines, 

went bankrupt in 1995. Since then, WAIS has been used supported entirely by GPO’s IT staff. The 

system has since been customized to meet the needs of GPO. Ten years later, WAIS is still the primary 

search engine deployed by GPO. Files are posted online directly following the receipt of the information 

from the publishing agency or Congress and they are generally by-products of print products. While GPO 

has been experimenting with providing dynamic content as demanded by today’s user, WAIS cannot 

support dynamic content delivery. In addition, GPO’s Web design and hosting customers as well as 

internal customers have demanded search capabilities that go beyond the abilities of WAIS, such as PDF 
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indexing and search. This situation has led to the use of two other search platforms—OpenText and 

Microsoft. Like WAIS, OpenText is an obsolete search platform. 

A.1.1.2.3.3.2 Major System Components and High Level Interconnection. While all of GPO’s Web 

services utilize search functionality, five major entities have unique search demands: 

• GPO Access disseminates information for all three branches of the Federal Government for 

Federal agency, library partner, and general public use. All of the resources on GPO Access, with 

the exception of one beta application (the eCFR), utilize WAIS technology. 

• The FDLP Desktop provides cataloging and reference records or the Federal information 

resources distributed through the FDLP. One of the primary applications for the FDLP Desktop, 

the CGP, is provided through WAIS. Other applications provided by the FDLP Desktop, however, 

go beyond the capabilities provided by WAIS and have been developed using OpenText. 

Recently, GPO procured an Integrated Library System (ILS) to replace many of the FDLP 

Desktop applications. Work is progressing to implement an ILS at GPO. 

• The U.S. Government Online Bookstore allows users to purchase tangible publications on line. 

The search functionality of the bookstore is solely implemented by WAIS; however, GPO’s Oracle 

implementation is addressing the replacement of WAIS for the Bookstore. 

• GPO’s Web hosting and design services offer a mixture of WAIS and Microsoft search platforms. 

More recently, sites hosted by GPO (such as the U.S. Supreme Court Web site) have been 

utilizing the Microsoft platform. Previously, Web sites (such as the Export Administration 

Regulations Web site) were utilizing the WAIS platform. 

• Customer Services is in constant communication with Federal agencies and vendors to 

disseminate information products. Currently, Customer Services provides an online system called 

PICSWEB that allows customers to track, estimate, and obtain information on any of their printing 

jobs. PICSWEB is provided through GPO’s mainframe. 

A.1.1.2.3.3.3 Interfaces to Systems and Procedures. Plans are proceeding to obtain replacement 

service for all the WAIS applications and the OpenText resources in order to provide GPO with an 

enterprise-wide search capability. GPO is currently implementing a data and search disaster recovery 

program for selected Web services. In the event that GPO’s WAIS engine becomes unavailable, a 

backup search will kick in until service is restored. While this system has not yet been designed or 

developed, initial discussions indicate that the search will run on the FAST platform. In addition, the 

implementation of Oracle and an ILS are progressing. 

GPO’s WAIS system is currently provided on a mixture of platforms and operating systems. WAIS, in 

particular, runs on Compaq Tru64 servers that are no longer being supported by Hewlett Packard. 

GPO’s search system currently exists within the following server structure: 

• GPO Access: 2 Windows boxes (one primary, one backup), 9 Webgates on UNIX platform (only 7 

are operational) 

• U.S. Government Online Bookstore: 2 UNIX boxes (one primary, one backup) 

• GPO Hosted Sites: 2 Windows boxes (one primary, one backup) 

• GPO.gov/Unmigrated GPO Access pages: 2 UNIX boxes (one primary, one backup). 

Each of these system’s interfaces, in one way or another, interacts with WAIS, but not in an integrated, 

streamlined fashion. Instead, GPO’s WAIS system is currently provided on a mixture of platforms and 

operating systems as mostly independent servers. Serious hardware and security risks persist due to the 
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nature of the outdated WAIS system. For example, WAIS runs on Compaq Tru64 servers that are no 

longer being supported by Hewlett Packard. 

A.1.1.2.4 Data Mining. The following subsections describe the data mining processes in the context of 

capabilities, functions, and features that currently exist, major system components, and interfaces. 

A.1.1.2.4.1 Capabilities, Functions and Features of the Current System. With the current manual 

order processing and the various databases in use within Printing Procurement and In Plant Production, 

automated methods of gathering extensive information about customers are lacking. 

From the ID perspective, various data mining capabilities exist that help to track the success of various 

dissemination components. ID uses analysis and aggregation of log files on GPO Access to track the 

number of document downloads from GPO Access Web pages and databases, the number of referrals to 

GPO Access Web pages from external Web sites, top referring sites overall, top referring sites 

categorized by domain type and/or name, and top referral counts from Federal Depository Library Web 

sites. 

In addition to this activity, ID uses a Web monitoring service to track average transaction times on GPO 

Access (the amount of time it takes to search for and download a document within a GPO Access

database), error rates, and availability rates. The capability also exists to identify exact times in which a 

large amount of errors or low availability rates were experienced. These same metrics can be applied at a 

more granular level, measuring out transaction times, error rates, etc., for specific geographic locations or 

Internet Service Providers. 

ID is also able to track sales through GPO Sales Program in various ways. A mainframe system tied to 

order processing systems can track sales from orders received online and via telephone, mail, and fax. 

For online orders, a daily cumulative file is uploaded that contains all data from orders received from the 

U.S. Government Online Bookstore. 

ID also mines information relating to depository distribution of titles in electronic only and tangible formats. 

A report is compiled monthly and disseminated to the appropriate GPO personnel. The report includes 

listings of classes broken up into the following reports: Lists of Classes in All Formats, Electronic Only 

Classes, Classes Available in Multiple Formats, and Added and Dropped Classes. 

A.1.1.2.4.2 Major System Components and High Level Interconnection. Various databases are 

connected to PICS via interfaces on a local level, but no agency-wide database information is readily 

available, except mainframe data. A high level view of data mining opportunities for GPO is provided in 

Figure A-5, Data Mining Opportunity Map. 

Various Regional Printing Procurement Offices are using MS Access for generation of specifications, print 

orders, and purchase orders. Search capabilities at the local level can provide more specific information 

(Product Titles, Ordering History, Specific Product Descriptions), but other offices cannot readily access 

this information on the network. GPO Central Office is currently working with NEPTUNE Web-based 

specification writing, which should provide easier information processing. 

Currently Regional Printing Procurement Offices have an existing decentralized configuration consisting 

of 40 disparate servers (one primary and one backup in each office). These servers run the same 

databases but are not connected. 

A.1.1.2.4.3 Interfaces to Systems and Procedures. Due to the current workflow, in which orders 

originate and are processed from hard copy into localized databases, large-scale interfacing is not 

possible. 
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GPO has an inventory of approximately 126 computer generated reports (22 of these are no longer used) 

that can be run in conjunction with the PICS system. Examples of these reports include the Billing 

Address Code (BAC), which lists the Requisition #, Jacket, program/print order, actual billing amount for 

each order, and total orders with billed amount. Cumulative Award Stats are another series of reports that 

provide total awards for offices, dollar amount, contractors, and term contract statistics. 

Trends are for GPO to migrate to robust and scaleable software such as NEPTUNE for order processing, 

which will enable electronic order placement with Web-based workflows. This advance will allow for much 

easier access to the large collections of data GPO processes. 

Agencies are requiring GPO to accept and process data directly from there systems, which will eliminate 

redundant key-stroking and improve the efficiency of the workflow. 

Figure A-5. Data Mining Opportunity Map 

A.1.1.2.5 Preservation. The following sections discuss preservation techniques currently used or 

being pursued by GPO. 

A.1.1.2.5.1 Storage Management. The following subsections discuss storage management in terms of 

capabilities, functions, and features, operational environment and characteristics, major system 

components, and interfaces. 

A.1.1.2.5.1.1 Capabilities, Functions, and Features of the Current System. Besides the noted 

Depository Library, GPO currently has no real institutional systematic storage management policy that 

addresses comprehensive archival/preservation storage and retrieval. The capabilities and features are 

limited to content programmatic applications, or local functional needs. However, GPO is pursuing a 

mirror capability for all Internet available data, which will reduce the risk of both data loss and availability. 

PICS “mainframe”

Yearly Purchasing 

History

New Business 

Development

Types of Products 

Purchased

Future Staffing Based 

on orders processed 

Marketing 

Opportunities
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A.1.1.2.5.1.2 Operational Environment and Characteristics. Traditionally, GPO has created and 

disseminated information for the Federal Government in a tangible format. As technology has improved, 

GPO has expanded its role to include the production and dissemination of information in diverse, 

customer-driven digital formats. Today, GPO serves as a clearinghouse for the printing and online 

dissemination needs of the Federal Government and, as such, receives and produces content in a wide 

variety of formats from Federal agencies and private vendors. 

Customer Services, In Plant Production, Office of Chief Information Officer, and the SuDocs each operate 

as separate entities using differing technologies and rules for their content storage. Some are product 

derived, others are simply based on information retention standards, some are archived off-site, and 

others are based on operational backup and recovery needs. 

Tangible and electronic product development and manufacturing formats are retained and archived off 

site for some products, such as Congressional material; however, other product formats often are simply 

removed when the job has been completed and exist only in the context of server backups. 

The FDLP collections include preservation and access copies of digital objects and tangible publications. 

These collection components are geographically dispersed, serve different functions, and are managed 

according to their specific roles in the overall program for public access to Government information. 

Furthermore, the Sales Program executes the retirement of publications and publication metadata on the 

basis of demand; thus, retention of the publication is not based on standard preservation considerations. 

Publications handled through the Reimbursable Distribution program are transient and subject only to the 

instructions provided by the customer agency. 

Facilities at this time are diverse and are driven by organizational and/or operational needs. They include 

UNIX-driven WAIS databases using redundant hard disk systems, which are also replicated to backup 

systems, Microsoft XP supported Intel systems using standard hard disk systems, and mainframe file 

backups. 

A.1.1.2.5.1.3 Major System Components and High Level Interconnection. Customer Services 

receives content from Federal agencies and private vendors for printing or electronic products that can be 

received from any publishing tool and version. Data is temporarily archived and then retired as storage 

becomes available on a First In First Out (FIFO) basis. Otherwise there is no policy for establishing a 

central system of storage, tracking, control, backup or retirement of these files either internally or by 

contractors. 

Meanwhile, information that is disseminated on line (e.g., GPO Access, Regulations.gov, U.S. Supreme 

Court) is stored on two redundant servers in the same physical location. These servers are available on 

UNIX and Microsoft platforms. If the primary fails, the backup is designed to provide 24/7 availability until 

the primary is brought back online. At present, there is no offsite storage of this data for disaster recovery. 

However, redundant, network-attached array storage devices are being installed within GPO and at an 

alternate facility off-site, and Internet storage services are being rolled out for GPO Access data. 

A.1.1.2.5.1.4 Interfaces to Systems and Procedures. Upon receipt of content for publication or by 

prior agreements with the requesting agency, Library Programs and the Sales Program will decide 

whether or not to incorporate the publication in distribution programs. Library Program specialists will 

review the requests and evaluate them by title or series, and the Sales Program will decide if the 

publication warrants inclusion on the basis of its potential sales. 
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In Plant Production develops electronic formats in accordance with the instructions provided, generally 

archiving material based on the classification of the content. In regard to electronic format, instructions for 

further distribution of the content are either based on agency instructions or are established through the 

arrangements of various programs within the SuDocs. Backups or archival copies are made in 

accordance with local administrative instructions. 

Depending on publication format, finished products may become part of the tangible collections of the 

FDLP or GPO Access or included in the Sales Program. Metadata is entered into the appropriate 

administrative control systems or classification systems depending on the program. Preservation for 

Depository Collections is applied by the FDLP and is governed by Title 44 USC Chapter 19. Sales 

Program material is retired based on decisions made by inventory management specialists. 

A.1.1.2.5.2 Collection of Last Resort. GPO’s CLR is still in the planning stage. It is expected to provide 

comprehensive, timely, permanent public access to the official publications of the U.S. Government in all 

formats. The draft plan is available at http://www.gpoaccess.gov/about/reports/clr0604draft.pdf. At the 

macro level, the CLR envisions the Government managing a complete depository collection. 

A.1.1.2.5.2.1 Capabilities, Functions and Features of the Current System. The FDLP collections 

include preservation and access copies of digital objects and tangible publications. These collection 

components are geographically dispersed, serve different functions, and are managed according to their 

specific roles in the overall program for public access to Government information. As shown in Table A-1, 

Conceptual Overview of the FDLP, the CLR serves three roles in the conceptual overview, serving as 

the dark archive for preservation of tangible publications and digital objects as well as providing online 

access. 

Contents Collection of Last Resort Access Collections for Public Use 

Digital Objects Preservation masters in dark 

archive(s) 

Access copies from GPO Access or partner 

sites 

Tangible 

Publications 

Preservation copies in dark 

archive(s) 

Access copies in: 

• Light archives (minimal use, active 

preservation) 

• Depository library collections 

(normal preservation efforts) 

Table A-1. Conceptual Overview of the FDLP 

A.1.1.2.5.2.2 Major System Components and High Level Interconnection. The functional 

component of the CLR is the FDLP Electronic Collection, which is described in Section 3.3.1.1, Content 

Ingest. Tangible publications are currently stored, although with little active preservation, in the distributed 

network of depository libraries and in Record Group 256 at NARA. The relevant GPO records consist of 

copies of publications that have been processed for the Cataloging and Indexing Program described in 

Section A.1.1.2.3.1 Cataloging and Indexing.

A.1.1.2.5.2.3 Interfaces to Systems and Procedures. At this time publications are being acquired to 

form the core of the CLR. Tangible product copies are being set aside as a by-product of the depository 

library acquisition and distribution scheme. In addition, GPO is acquiring copies or sets of selected titles 

that are being removed from depository library collections. Most of these copies are being held in secure 

storage in the main GPO building. 
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A.1.1.3 Content Delivery. Under legal authority of Title 44, Section 1702 of the United States Code, 

GPO’s Office of Information Dissemination (SuDocs) has sold official Federal Government publications 

through its Sales Program. Due to decreased demand and high expenses, the Sales Program has not 

been able to recover costs during the last several fiscal years. Additional analysis of inventory data has 

shown the Sales Program is only selling 35% of the inventory ordered. As a result, GPO is developing a 

plan to reduce costs by making a substantial portion of its products available through POD. When a 

request is made for a printed copy of a document, an SF1 is manually generated and a jacket number is 

created for billing purposes. Production then locates the file on the repository and outputs to a digital 

press. 

The ability to produce a publication on demand via digital printing hinges upon the availability of a pressoptimized digital file for that publication. GPO’s POD Committee (including representatives of ID, 

Customer Services, and Plant Operations), is actively obtaining press optimized PDF files through various 

methods. If a press optimized PDF file does not exist for a given publication, hard copies of that 

publication are obtained and scanned. Due to budget constraints of the project (the concept being to 

spend as little as possible digitizing titles that do not sell in high-volumes in the first place), approval has 

not been granted to procure a formal CMS to manage these files. As an interim solution until a CMS can 

be implemented, the files are currently being stored in a content repository, which grants authorized users 

full access to the files, allowing them to create, change, move, and delete all files on the server. 

Not every document is available as POD and agencies always have new jobs to be completed. Therefore, 

agency customers regularly request conventional printed hard copy jobs through GPO. These customers 

currently have two options: Printing Procurement and Production. If they do not specify which is preferred, 

GPO chooses the procurement method. In all cases the agency must complete and submit an order form. 

The majority of forms must be submitted manually, with the exceptions of the pilot program GPODirect 

(http://gpodirect.gpo.gov, formerly known as the OMB Compact) and the Web-enabled mainframe 

application PICSWEB (http://govprint.access.gpo.gov), which allows registered users to electronically 

submit Direct Deal term contract order forms (2511). No other online processes for submitting printing 

requirements are currently in operation. 

Customers submitting order forms to Printing Procurement have multiple contracting vehicles available to 

them. The SPA and AgencyDirect both allow agencies to procure their own printing. If an agency chooses 

to go through GPO’s procurement process, a specification is written and bids are solicited. The lowest 

responsible, responsive bidder as determined by the Contracting Officer within the guidelines of the PPR 

is awarded the job. Term contracts may be written if the requirement will be repeated throughout a 

specific time period (usually a year). Direct Deal contracts are managed by the agency, with GPO 

handling only administrative duties. GPO-placed term contracts are available to all agencies, with all 

contracting and administration handled through GPO. Any work submitted through Printing Procurement 

will be completed by commercial printing vendors. 

Many agency customers are also requesting from GPO, and GPO’s affiliated contractors, digital files that 

they can place on line for viewing and/or download. Agencies requiring digital files may go through 

Production or Printing Procurement. Both will accept hard copy and digital input for digital file creation. 

These files may replace the printed documents. However, the vast majority are created as supplements 

to the printed pieces. The current system is very printing-centric. Digital layout files are usually created in 

professional design programs following guidelines for a printed end result (CMYK color, high resolution 

images, etc.). Once the printed product is completed the files are repurposed for screen usage. Few files 

are currently created for strictly digital output. 

Production has the capability of creating digital files from both hard copy and digital input. If hard copy is 

provided, Production can scan into a digital format. OCR scanning and subsequent search features are 

available upon request by the agency. While some hard copy is sent to production for scanning, the 
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current system is inadequate to handle a large influx of agency documents. Personnel, training, and 

equipment issues must be addressed if this area of revenue is to grow. 

Typesetting from hard copy into a digital format is also available. Once a digital file has been created from 

the scanned hard copy or the digital input, additional features such as bookmarks, links, and indexing 

may be added to certain digital file types (PDF, etc.). A choice of file formats including PDF, JPG, ASCII, 

etc., may be provided back to the customer, with PDF being the most commonly requested format. Fillable PDF files for online use may be created from both hard copy and existing digital files. The agency 

may also choose from a variety of media, with CD-ROM being the most widely used. 

When a digital file is requested in addition to the printed product, the file type and media to be returned to 

the customer are identified on the order form, along with any additional requirements. Once the printed 

publication is completed, the specified digital file should be created from the production files and should 

be an exact representation of the printed product (format, structure, etc.). The file will be supplied to the 

agency in the format and on the media requested on the order form. This process should be followed by 

GPO’s in-house production facilities and outside contractors. 

Many customers also request Web page capabilities in the form of digital files, typically HTML. Printing 

Procurement can request digital files such as HTML from outside vendors. Various areas of Production 

can also produce digital files and, in addition, can create and/or maintain Web sites for agency 

customers.

Agencies requiring digital file creation may submit an order form to Printing Procurement for bidding by 

contractors. The written specifications include information on the hard copy or file type and media 

submitted to the contractor, as well as the file type and media to be returned to the customer. Additional 

requirements for deliverables include searching capabilities, metadata creation, etc. Additional 

requirements for digital files with Web page capabilities (such as HTML) include coding, version 

compatibility, etc. Repurposed Deliverables Specification Language is available for inclusion into 

specifications. This language includes specific requirements for PDF and HTML deliverables. Once 

specifications are complete, bids are solicited and accepted in the same way they would be for a hard 

copy job described above. 

In addition to customer agencies, GPO’s ID section also utilizes digital files for soft copy display. Files 

submitted to ID (from both In Plant Production and outside contractors) are evaluated to determine if they 

fall within the scope of ID programs. When a file is determined to be within scope, it is further processed 

for display on GPO Access. Additional derivatives may be created for different purposes from the existing 

digital file. Examples of processing options include WAIS database indexing and optimizing for placement 

on a web server. Additional requirements such as OCR scanning, bookmarks, breaking large files into 

smaller more easily downloaded components, etc., are available to the ID department. 

The primary media type currently used at GPO is the CD. CDs may be formatted for both Macintosh and 

Windows computers. Virtually all computer systems are able to read CDs, making them the most widely 

accepted form of hard media available today. GPO accepts, outputs, duplicates, and replicates CDs. 

GPO is working on expanding its in-house DVD capabilities. Some areas of Production currently have the 

ability to read and/or write DVDs while others do not. The section that handles CD replicating has DVD 

equipment in place and is conducing testing on DVD replication. Until testing is completed, a contract with 

an outside vendor is in place to handle DVD replication work from customers. 

Many outdated types of media, such as floppy disks, ZIP drives, etc., are no longer typical at GPO. 

However, customers with older media may be able to submit their digital files to GPO’s Production section 

for hard copy output and in addition have the files returned to them on a CD. 
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Jobs that do not go through GPO’s in-house facilities are submitted to Printing Procurement. 

Specifications can be written for any type of digital media provided by the agency customer and will be 

procured from an outside contractor. While the most common form of media accepted by contractors is 

the CD, some contractors have the capability of utilizing other media. 

A.1.1.3.1 Hard Copy. 

A.1.1.3.1.1 Production. The following sections describe hard copy production in terms of capabilities, 

functions, and features, major system components, and interfaces. 

A.1.1.3.1.1.1 Capabilities, Functions, and Features of the Current System. The Production and 

Printing Procurement sections of GPO provide diversified ways for agency customers to receive printed 

publications, digital files, and materials from multiple sources. However, the current system requires the 

majority of interaction between customers and GPO to be performed by phone, e-mail, and physical 

paper. Interaction between the different departments in GPO, as well as with contractors, is also limited to 

these methods of interaction. Automated methods of dispersing information are lacking in the current 

system. 

A.1.1.3.1.1.2 Major System Components and High Level Interconnection. On a basic level, the 

major components for hard copy production jobs are the agency customer, Production, Printing 

Procurement, and the contractors affiliated with GPO. Within each of those areas are groupings of 

personnel with different job functions and levels of expertise. These groups have access to different types 

of hardware and software. In addition, the Production and contractor components possess equipment 

with varying capabilities. These components are illustrated in Figure A-6, Hard Copy Production 

Components. 

Requirements for printed products are currently processed manually with hard copy documentation in the 

form of various order forms, with the limited exceptions of the pilot program GPODirect and the Webenabled mainframe application PICSWEB, which allows registered users to electronically submit Direct 

Deal term contract order forms (2511). 
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Figure A-6. Hard Copy Production Components 

A.1.1.3.1.1.3 Interfaces to Systems and Procedures. Currently customers interface with GPO using 

various order forms that are filled out manually and submitted to GPO along with the digital files or hard 

copy that will be used to produce the printed product. The limited exceptions are the pilot program 

Agency Direct and the Web-enabled mainframe application PICSWEB, which allows registered users to 

electronically submit Direct Deal term contract order forms (2511). No other automated, online systems 

for submitting printing specifications are currently available. 

The interface between Printing Procurement and outside contractors is the written specification that is 

created based on the order form and the Disk Information Form 952. These specifications should include 

all information necessary for producing a printed product. A hard copy of the specifications is provided to 

the contractor. No automated, online system for submitting printing specifications is currently available. 

Figure A-7, Hard Copy Production – Interfaces and Additional Detail, illustrates the hard copy 

production interfaces. 
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Figure A-7. Hard Copy Production – Interfaces and Additional Detail 

A.1.1.3.1.2 Print on Demand. The following subsections describe POD in terms of capabilities, 

functions, and features, major system components, and interfaces. 

A.1.1.3.1.2.1 Capabilities, Functions and Features of the Current System. The capabilities, 

functions, and features of the repository are currently meeting the basic requirements of storing and 

retrieving POD digital files. However, due to the lack of a formal CMS, the overall capabilities are quite 

limited in the areas of data management and user interface. The files reside on the server and are 

accessed on an as-needed basis. 

A.1.1.3.1.2.2 Major System Components and High Level Interconnection. The repository is located 

in the Datacenter at \\MARS\repository. The files stored on the server are version 1.5 PDFs that contain 

raster data, captured as TIFF and stored in the PDF wrapper. The files in the repository range in size from 

10's of megabytes to 100's of megabytes. The current size of the entire directory (as of 7/28/2004) was 

approximately 18GB, and the overall capacity is 250GB. The file names are the sole identifying factor as 

to the nature of the documents. Through standard naming conventions have been put in place for files 
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within the repository, the processes of ingest, storage, search, and retrieval of documents is simplified. 

The file name is structured so that it identifies the authoring agency, the ISBN/ISSN of the publication, 

and the date of file creation. 

The repository exists according to procedures established by GPO’s IT Organization that address the 

Datacenter. Authorized users access the repository via Windows XP and Mac OS X operating systems. 

These users have full access to the files, allowing them to create, change, move, and delete all files on 

the server. 

A.1.1.3.1.2.3 Interfaces to Systems and Procedures. System interactions and workflows associated 

with creating, naming, storing, and retrieving files on the repository follow very simplistic models at this 

point. As the server resides on the network, authorized users push and pull content as needed. For 

example, when a press optimized PDF file is created and/or acquired as part of the POD program, 

authorized users in Plant Operations, ID, and Customer Services load the file onto a “new files” folder 

within the repository. 

GPO’s ePUB Customer Services then pulls the file and performs any preflight work that needs to be 

done. Once the file is pre-flighted, it is then moved into a “finished files” folder. As the current capabilities 

of the system only lend themselves to simplistic processes, any flowchart that could be developed for the 

current process would be incomplete and therefore has not been created. 

A.1.1.3.2 Soft Display. The following sections describe soft display in terms of capabilities, functions, 

and features, major system components, and interfaces. The capabilities, functions, and features of the 

soft copy display jobs are very similar to those of hard copy jobs, as are the major system components 

and interconnections and the interface to systems and procedures. 

A.1.1.3.2.1 Accessibility. In 1998, President Clinton signed the Workforce Investment Act into law. This 

Act amended Section 508 of the Rehabilitation Act of 1973 to include accessibility requirements for 

electronic and information technology. Section 508 now requires that electronic and information 

technology used by the executive branch of the Federal Government, including their Web sites, be made 

as accessible for people with disabilities as it is for people without disabilities. The Federal Access Board 

outlined 16 specific accessibility standards implementing Section 508 as it applies to Web pages. The 

deadline for meeting these standards was June 21, 2001. Although Section 508 currently only applies to 

executive branch agencies, GPO is committed to ensuring that new and existing GPO Access Web pages 

along with pages on hosted sites meet the 16 accessibility standards outlined in Section 508. Therefore, 

GPO is currently working to ensure that existing pages on GPO Access and hosted sites are Section 508-

compliant, and that future pages will be created specifically with these accessibility standards in mind. 

However, GPO does not currently have a standard policy for approaching 508 compliance. 

While a variety of documents may be created for online purposes, Adobe’s PDF has become the 

standard for online documents and is requested by many customers. There is no standard requirement 

for making online PDF documents created by GPO’s Production facilities compliant. Scanned documents 

may or may not be OCR scanned in order for searching and accessibility to be possible. Whether or not 

accessibility is built into a PDF depends on the customer agency, time restrictions, and the individual 

creating the document. When 508 is incorporated, it is usually limited to Acrobat’s MakeAccessible PlugIn. This tool creates a tagged PDF file that may be read by a screen reader. However, a number of 

limitations exist to the current technology: 

• Font Encodings: The MakeAccessible Plug-In program maps fonts used in the document to a 

Unicode value. In some cases, a font encoding used within a PDF document does not contain 

enough information for the Plug-In to map to a Unicode equivalent. 

• Table Recognition: Simple table recognition is supported; however, complex tables and tables 

that do not include complete rules around each cell may not be recognized as table content. 
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• Complex Graphics: Documents containing complex graphics (especially vector graphics) may 

take a long time to process. 

• Complex Regions: The Plug-In may not be able to ascertain the appropriate logical read order 

from documents containing complex layouts (such as magazines, newspapers, etc.). 

• Layer Order: Layers of objects within a complex PDF may be rearranged in a different stacking 

order, resulting in a tagged PDF that does not look identical to the original. 

When any of the above issues occur, additional work must be done to create a 508-compliant file. 

Alternately, a text file may be created and placed online in addition to the PDF. 

Web sites created by GPO typically are 508-compliant. However, exceptions are made depending on the 

customer agency, time restrictions, and the individual creating the Web site. When specifically requested 

by the agency, Web sites are made 508-compliant. Also, when agency-created files are submitted to 

GPO for placement on a Web site, any current accessibility features are retained. All the Web pages on 

GPO Access are made 508-compliant by following the 16 Web standards outlined by the Access Board. 

Printing Procurement only incorporates language into its contract specifications requiring 508 compliance 

when agencies specifically request it. This language typically requires only that the contractor guarantee 

that all files comply with Section 508 of the Rehabilitation Act. It does not usually specify how compliance 

is to be attained or validated. 

The following subsections describe accessibility in terms of capabilities, functions, and features, major 

system components, and interfaces. 

A.1.1.3.2.1.1 Capabilities, Functions, and Features of the Current System. Section 508 states that 

when an agency claims undue burden and exempts a project from Section 508, the basis for undue 

burden must be documented and an alternative means of access is to be provided to individuals with 

disabilities. GPO leaves the responsibility of creating alternative methods of access to the individual 

agencies. GPO also strongly recommends that agencies not claim undue burden. 

While GPO has standard methods in place for implementing 508 for in-house personnel, no official policy 

is in place. Sometimes documents are not made 508-compliant due to time constraints or the individual 

creating the document. ID has the ability to go back to digital documents that do not incorporate 508 and 

make them accessible (or require that they be made accessible by the contractor or customer agency.) 

A.1.1.3.2.1.2 Major System Components and High Level Interconnection. All sections of 

Production creating web documents and Web sites should incorporate handicap accessibility features. 

Printing Procurement contracts and specifications should have a standard way of indicating 508 

requirements for outside vendors bidding on jobs. The various groups of people in these GPO 

departments, Federal agencies, and outside contractors have varying knowledge of what 508 compliance 

is and how it is implemented. System components are depicted in Figure A-8, Accessibility System 

Components for Soft Copy.
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Figure A-8. Accessibility System Components for Soft Copy

A.1.1.3.2.1.3 Interfaces to Systems and Procedures. The interface to systems and procedures of 

accessible soft copy is similar to that of normal soft and hard copy jobs since 508 compliance information 

is seldom included. 

The interface between Printing Procurement and outside contractors is the written specification that is 

created based on the order form and the Disk Information Form 952. These specifications usually do not 

indicate what accessibility should be incorporated into the returned digital files unless specifically required 

by the agency. System interfaces are depicted in Figure A-9, Accessibility Interfaces to Systems and 

Procedures. 
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Figure A-9. Accessibility Interfaces to Systems and Procedures

A.1.1.3.3 Digital Media. The following sections describe digital media in terms of capabilities, 

functions, and features, major system components, and interfaces. 

A.1.1.3.3.1 Capabilities, Functions, and Features of the Current System. GPO’s use of CDs 

allows for an almost universal way of transmitting data using hard media. However, the CD also has two 

big weaknesses as a preservation format. The long term life of the CD is unknown, but potentially very 

limited. In addition, the data may be encoded using proprietary formats that cannot be migrated to future 

media. Exploration into future types of media is necessary but currently very limited. In addition, DVD 

authoring and dissemination capabilities are currently limited. Other then the occasional files sent via FTP 

or e-mail, an electronic method of sending/receiving files directly to/from agencies and contractors without 

hard media does not currently exist. 

A.1.1.3.3.2 Major System Components and High Level Interconnection. Agency customers, 

GPO, and GPO’s affiliated contractors are the major components currently using various types of hard 

media. Each component contains multiple groupings of people with various equipment and levels of 

expertise. These groups utilize media in various ways for viewing, storing, and sharing information. 

Different groups also have varying levels of access to data stored on hard media. Some are only able to 
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view data contained on hard media while others can copy, alter, and store that information. Major system 

components are presented in Figure A-10, Digital Media Production Components. 

Figure A-10. Digital Media Production Components 

A.1.1.3.3.3 Interfaces to Systems and Procedures. Digital media is typically submitted manually to 

GPO via an overnight delivery service. If the media is to be sent to an outside contractor, it is sent from 

GPO via an overnight delivery service or the contractor can pick up the materials from GPO’s mailroom. 

Customers using Direct Deal term contracts and the pilot program GPODirect submit media directly to the 

contractor. Occasionally Printing Procurement specifications will state that the customer will submit digital 

media directly to the contractor. In addition, digital files are sometimes transferred over FTP or e-mail 

from the agency customer to either GPO or the contractor. Interfaces are depicted in Figure A-11, Digital 

Media Interfaces to Systems and Procedures. 
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Figure A-11. Digital Media Interfaces to Systems and Procedures