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Preliminary assessment of the proposed closure of the National Technical Information Service (NTIS)

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Title:
Preliminary assessment of the proposed closure of the National Technical Information Service (NTIS) a report to the President and the Congress
Creator:
United States -- National Commission on Libraries and Information Science
Place of Publication:
Washington, DC (1110 Vermont Ave., NW, Suite 820, Washington 20005-3522)
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The Commission
Publication Date:
Language:
English
Physical Description:
vi, 60 p. : ; 28 cm.

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Subjects / Keywords:
Technology -- Information services -- United States ( lcsh )
Technology -- Information services ( fast )
United States ( fast )
Genre:
bibliography ( marcgt )
federal government publication ( marcgt )

Notes

Bibliography:
Includes bibliographical references.
Additional Physical Form:
Also available via Internet from the NCLIS web site (PDF file only). Address as of 4/26/00: http://www.nclis.gov/info/ntis/presiden.pdf; current access is available via PURL.
General Note:
Shipping list no.: 2000-0210-P.
General Note:
"March 2000."
Statement of Responsibility:
United States National Commission on Libraries and Information Science.

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Source Institution:
UF Government Documents Collection
Holding Location:
UF Government Documents Collection
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This item is a work of the U.S. federal government and not subject to copyright pursuant to 17 U.S.C. §105.
Resource Identifier:
956702065 ( OCLC )
ocn956702065

Aggregation Information

IUF:
University of Florida
IUFGOV:
Centers of Excellence at UF
NCLIS:
National Commission on Libraries and Information Science

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UNITED STATES NATIONAL COMMISSION ON LIBAIES AND INFORMATION SCIENCEPreliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressDISTRIBUTION $TRTRIRMNTAApproved for Publi RelaseDistribution Unlimited* NCLISU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORlMATION SCIENCE1110 Vermont Avenue, NW, Suite 820, Washington, DC 20W!5-352220070824020

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UNITED STATES NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCEPreliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressMarch 2000SNCLISU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCE1110 Vermont Avenue, NW, Suite 820, Washington, DC 20005-3522

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United States National Commission on Libraries and Information ScienceMarch 16, 2000The PresidentThe White House Washington, DC 20500The Vice PresidentPresident of the Senate United States Senate Washington, DC 20510The Speaker of the HouseUnited States House of RepresentativesWashington, DC 20515Dear Mr. President, Mr. Vice President and Mr. Speaker:The United States National Commission on Libraries and Information Science (NCLIS) is anindependent agency charged by Section 5 of PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, Section 1504(a)(1) of Title20 says that the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate."In fulfillment of that statutory mandate, the Commission has been carefully studying the proposalmade in August 1999 by the Department of Commerce to close the National Technical InformationService (NTIS) and shift its paper, microfiche, digital archives, and bibliographic database to the Library of Congress.Soon after Secretary Daley's announcement, the Commission met with senior Departmental officials,as well as staff members of both the Senate and House committees holding jurisdiction over scienceand technology issues. All recognized the value of an independent examination of the Commerce proposal, and all participated in the Commission's public and working meetings, and other fact andopinion gathering activities during the September 1999 -February 2000 period.I am attaching our report, which documents results of the Commission's research, interviews, publicmeetings, government meetings, and other fact and opinion gathering efforts, and spells out fully ourspecific findings, conclusions, and recommendations. It is called a "preliminary assessment" becausewe plan to undertake an in-depth study of all alternatives later.

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Briefly, the Commission is recommending that:1. NTIS be retained in the Department of Commerce, at least temporarily for the balance of FY2000 and extending into FY 2001, in order to give the Commission, assisted by a broad groupof both public and private sector stakeholders, enough time to study thoroughly the pros andcons, and costs and benefits, of a small number of feasible alternatives, including (but notlimited to) the one formally announced by Secretary Daley last August (i.e. transfer NTIScollections to the Library of Congress);2. The Department of Commerce be allowed to utilize the $4.5M included in its SupplementalFY 2000 budget request (the NTIS Revolving Fund account) to keep NTIS operational for theremainder of FY 2000 at a satisfactory level of staffing and service, instead of using thosefunds to further downsize and close the agency;3. The Congress should authorize an appropriation of $5M (the estimated funding level required for a full fiscal year) for FY 2001 to sustain NTIS operations at a necessary satisfactory levelof service, and allow the Commission to complete its in-depth analysis; and4. Ensure that the final decision on how best to deal with the NTIS situation is not madeexclusively on the narrower, fiscally-driven ground of preventing NTIS from falling into adeficit because of the 1992 PL 102-245 Section 3704(b)-I requirement that operating costsshould be recovered primarily through the collection offees. As important as thatconsideration is, the government must also take into account the larger question of how, inthe Information Age, we can strengthen government information dissemination machinery tothe public, to private industry to enhance U.S. competitiveness, and to the U.S. scientificresearch communities. Inter-related concerns of permanent public accessibility, permanent records retention, preservation of materials, and authentication of official governmentholdings must also be addressed. The government must also consider the magnitude andconsequences of shifting costs from end-users to Federal agencies (and therefore thetaxpayer) as public access to Federal web sites accelerates.The value to the nation's economy that stems from the government's capital investment in thecapture, organization, permanent availability for, access to and dissemination of scientific andtechnical information (which the taxpayer has paid for already) for the public and for private enterprise, and for government agencies at all levels --Federal, State, local, and tribal, is enormousand far-reaching, and cannot be accurately estimated. But there is one inconvertible fact that in the Commission's view is the most compelling justificationfor keeping a strong NTIS, and that is that the $5 million estimated annual appropriation requirement represents less than 1/100'* of one percent of the total annual budget (currentlyestimated for FY 2001 to be about $80 billion dollars) for the Federal Government's research anddevelopment investment, which NTIS is charged with reporting. What a small price to pay for suchan incredibly valuable investment and asset! Moreover, the $5M represents less than 20% of the totalNTIS budget.We commend this report to your careful study, and stand ready to respond should you wish (1)additional amplification or clarification of the process we followed, and/or (2) to ask us to defend andjustify our findings, conclusions and recommendations.

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We are concurrently sending a copy of this report to the Secretary of Commerce, the Director ofNTIS, the Director of OMB, the Director of OSTP, and various members of the House and Senate committees with direct and indirect jurisdictional interest in this matter, and the many public andprivate sector stakeholder groups which have been assisting us. Copies are also being sent to theArchivist of the United States, the Public Printer, and the Librarian of Congress, all of whom have aninterest in the matter since they are all concerned with the collection, handling, and dissemination ofgovernment information to the public. Our Commission has over twenty years of experience in sorting out complex issues relating in someway to the dissemination of government information to the public, including clarifying public andprivate sector roles. The two White House Conferences on Library and Information Services, held in1979 and 1991, and the Public Sector/Private Sector Task Force on Providing Information Servicespublished in 1982, all were Commission-led endeavors that attracted nationwide participation andinterest.We stand ready to meet or assist you in whatever way we can so that this important but at the sametime complex matter can hopefully be resolved to the satisfaction of all concerned parties.Sincerely yours, Martha B. GouldChairperson

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Preliminary Assessment of the Proposed Closure of the NTISTABLE OF CONTENTSACKN OW LEDGEM EN TS .......................................................................................................... VA .T H E R O LE O F N C LIS .................................................................................................................... 1B. THE NCLIS PRELIMINARY ASSESSMENT PROCESS ............................................................. IC .F IN D IN G S ....................................................................................................................................... 2D .C O N C L U SIO N S .............................................................................................................................. 5E. RECOM M EN DATION S ......................................................................................................... 7F .FIN A L W O R D S ............................................................................................................................... 9ATTACHMENT 1. DEPARTMENT OF COMMERCE FACT SHEET AND PRESS RELEASE,AUGUST 12, 1999; AND NCLIS LETTER TO SECRETARY OF COMMERCE WILLIAMD A LEY , A U G U ST 16, 1999 ................................................................................................................ 11FACT SHEET: Providing The American People Information For The 21 st Century: TheCommerce Department Proposes to Close NTIS and Ensure That People Can Receive TechnicalInform ation for Free over the Intem et ............................................................................................. 11Press Release: Commerce Secretary William M. Daley Announces Intention to Close NationalTechnical Inform ation Service ..................................................................................................... 13Letter from NCLIS Chairperson Jeanne Hurley Simon to Secretary of Commerce William M.D aley, A ugust 16, 1999 .................................................................................................................... 14ATTACHMENT 2: NCLIS LETTER TO REPRESENTATIVE CONSTANCE A. MORELLA,SE PT E M B E R 13, 1999 ....................................................................................................................... 15Letter from NCLIS Executive Director Robert S. Willard to Representative Constance A. Morella,S eptem ber 13 , 1999 .......................................................................................................................... 15ATTACHMENT 3: NCLIS TESTIMONY BEFORE THE U.S. SENATE COMMITTEE ONCOMMERCE, SCIENCE, AND TRANSPORTATION, SUBCOMMITTEE ON SCIENCE, TECHN OLOGY AN D SPA CE ....................................................................................................... 17Opening Statement of Commissioner Joan R. Challinor before the Subcommittee on Science,Technology and Space of the Senate Committee on Commerce, Science and Transportation,O cto ber 2 1 , 19 99 .............................................................................................................................. 17Prepared Statement of Commissioner Joan R. Challinor before the Subcommittee on Science,Technology and Space of the Senate Committee on Commerce, Science and Transportation,O ctober 2 1, 1999 .............................................................................................................................. 19Responses to Post Hearing Questions for the Record, November 8, 1999 .................................. 22Letter from NCLIS Executive Director Robert S. Willard to Senator Bill Frist, December 10, 1999.......................................................................................................................................................... 2 6

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U.S. National Commission on Libraries and Information Science ATTACHMENT 4: CHRONOLOGY/BIBLIOGRAPHY OF DOCUMENTS AND EVENTSRELATIVE TO NTIS, JANUARY 26, 2000 ................................................................................. 27Chronology/Bibliography of Documents and Events Relative To NTIS' Position in the Departmentof C om m erce .................................................................................................................................... 27ATTACHMENT 5: SUMMARY OF THE PUBLIC STAKEHOLDER MEETINGS ............... 36Summary of Three NCLIS-Sponsored Public Stakeholder Meetings .......................................... 36Complete List of Public M eeting Participants ............................................................................ 37List of Documents About the NTIS Assessment Posted to or Linked from the NCLIS Website as ofM arch 15, 2000 ................................................................................................................................. 39ATTACHMENT 6: SUMMARIES OF SPECIAL MEETINGS FEDERAL CENTRALINFORMATION SERVICE ORGANIZATIONS, THE OFFICE OF MANAGEMENT ANDBUDGET (OMB) AND THE INFORMATION INDUSTRY ........................................................ 42Summary of Meetings with the Office of Management and Budget, the Software and Information Industry Association, and Selected Private Sector Respondents ................................................. 42Summary of Meetings With the Library of Congress, the National Archives and RecordsAdministration, and the Superintendent of Documents, U.S. Government Printing Office and theHead of the Government Information Technology Services Board ............................................ 43ATTACHMENT 7: NCLIS FEDERAL REGISTER NOTICE SEEKING PUBLIC COMMENT ONTH E N T IS C L O SU R E ......................................................................................................................... 44Federal Register Notice on the Proposed Closure and Transfer of Functions of NTIS, February 14,2 0 0 0 .................................................................................................................................................. 4 4ATTACHMENT 8: NCLIS PRINCIPLES OF PUBLIC INFORMATION ................................ 45Principles of Public Inform ation ................................................................................................. 45ATTACHMENT 9: LOS ANGELES TIMES EDITORIAL, MARCH 1, 2000, ANDSECRETARY DALEY'S LETTER TO THE EDITOR, MARCH 6,2000 .................................... 47Los Angeles Times Editorial, "Science in Peril," March 1, 2000 ................................................. 47Secretary Daley's Letter to the Editor of the Los Angeles Times, March 7, 2000 ........................ 48ATTACHMENT 10: ADDITIONAL TECHNICAL DATA AND SUPPORTINGD O C U M EN T A T IO N ........................................................................................................................... 48Purpose of This A ttachm ent ....................................................................................................... 48Core List of NTIS Activities, Services and Assets, Classified on the Basis of Whether Mandated orN T IS -In itiated ................................................................................................................................... 49NCLIS Guidelines for the Evaluation of Alternatives Considered in This Assessment ............... 51Some Assumptions and Constraints Considered in This Assessment .......................................... 53Key Excerpts from Department of Commerce Inspector General's Report on the NTIS ........... 53Key Excerpts from Internal Department of Commerce Report on the NTIS .............................. 54Key Excerpts from the Arthur Andersen Report to the Department of Commerce on the NTIS ..... 55FY 2001 President's Budget -NTIS Accounts ............................................................................ 56Major Cost Components of the $1.6 Million NTIS Estimate for Expanding Federal DepositoryLibrary A ccess to N TIS Reports ................................................................................................ 57-ii-

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Preliminary Assessment of the Proposed Closure of the NTIS Selected List of Legislation, Rules and Regulations Impacting NTIS Mission and Functions ....... 57Draft Key Provisions of Existing and Proposed Legislative Amendments ................................. 58-iii -

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U.S. National Commission on Libraries and Information Science-iv-

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Preliminary Assessment of the Proposed Closure of the NTISACKNOWLEDGEMENTSThe members and staff of the U.S. National Commission on Libraries and Information Scienceexpress their sincere appreciation to everyone contributing to the success of this assessment. Theircombined advice, guidance, suggestions, support and encouragement in the examination of thisimportant issue are most valuable. The Commission is particularly grateful to the individuals andorganizations that provided written statements and other materials.There are two experts in government information policy and management whose participation contributed greatly to the success of this effort. Forest Woody Horton and Sarah T. Kadec gatheredand evaluated historical documents about the National Technical Information Service, organized andmoderated the Commission's public meetings, meet with numerous stakeholders, compiled commentsand edited this report. The Commission is grateful for their extraordinary effort to make this studycomprehensive and inclusive under very tight time constraints.Finally, the members and staff of the U.S. National Commission on Libraries and InformationScience wish to express their gratitude for the leadership of Jeanne Hurley Simon who was chair ofthe Commission at the beginning of this assessment and who died of cancer on February 20, 2000, before it was completed. Her commitment to public access to government information was unwavering, and she challenged the Commission to confront the difficult and complex issues ofreassessing fundamental government information policies in light of rapid technological changes.

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U.S. National Commission on Libraries and Information Science-vi -

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Preliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressA. THE ROLE OF NCLISThe United States National Commission on Libraries and Information Science (NCLIS) is anindependent agency charged by Section 5 of PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, 20 U.S.C. 1504(a)(1)says that the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate."In fulfillment of that statutory mandate, the Commission has been carefully studying the proposalmade in August 1999 by the Department of Commerce to close the National TechnicalInformation Service (NTIS) and shift its paper, microfiche, digital archives and bibliographicdatabase to the Library of Congress (Attachment 1). An intensive study of this situation wasbegun in September 1999 after consulting with Department of Commerce officials and membersof both the Senate and House Committees holding jurisdiction over science and technologyissues. All recognized the value of an independent examination of the Commerce proposal, andall have participated in the Commission's public and working meetings.The Commerce Department's proposed action provides a timely "window of opportunity" tovastly improve public access to Federal scientific and technical information (STI). The "NTISissue," while an urgent and important challenge that must be resolved quickly because of theagency's precarious financial condition, should not be addressed narrowly, in isolation. Whilethe immediate crisis is primarily a fiscally-driven scientific and technical communicationproblem, this fact should not preclude examination of the larger and longer standing problem ofensuring effective, equitable, and efficient public access to Government information. TheCommission is committed to keeping the larger context in mind as it proceeds with both short andlonger-term actions.B. THE NCLIS PRELIMINARY ASSESSMENT PROCESSOur study contains five major components:I. An examination of nearly three dozen historical assessments that have been made in the lastfifty years or so, as well as the scholarly literature, involving some aspect of NTIS statutoryauthorities, operating functions and its range of services to Federal agencies, the public, andto American industry and business. The study also examined financial considerations,especially the overarching question of to what extent NTIS operations should be self-supporting (Attachment 2);2. Correspondence to the House Science Committee, and informal consultations with the SenateCommerce, Science and Transportation Committee, in connection with their respective

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U.S. National Commission on Libraries and Information Sciencehearings held in late 1999, and the appearance of NCLIS Commissioner Joan Challinor todeliver testimony at Chairman Frist's hearing held by the Science, Technology and SpaceSubcommittee of the Senate parent committee (Attachment 3); 3. The convocation of three public meetings, one on January 19, 2000 at the Benton Foundation,the second on February 4, 2000 in the Rayburn House Office Building, and the third onFebruary 29, 2000 in the Russell Senate Office Building, to which over 75 major stakeholders were invited, representing both users and policy officials from many different Federalagencies, private companies, professional societies of librarians and scientists, not-for-profitorganizations, and other groups, in both the public and private sectors, all of which aredirectly concerned with this matter (Attachment 4);4. Special consultations between the NCLIS Executive Director and top officials from three ofthe largest and most important Federal information organizations which house major central public information collections, and provide a wide range of major access and disseminationservices to the public. These are the Government Printing Office, the National Archives andRecords Administration, and the Library of Congress. Special meetings were also held withthe Office of Management and Budget (OMB) as well as the Software and InformationIndustry Association (SIIA) and other private industry representatives (Attachment 5); and5. Solicitation of the general public's views on the Commission's investigations into this matter,using the vehicle of an announcement in the Federal Register, and a final public meeting heldon February 29, 2000, as well as posting the draft report on the Commission web site andoutreach through several listservs (Attachment 6); hundreds of letters and e-mail messages were received from across the country.C. FINDINGSAfter considering all of the facts and opinions collected to date, the Commission finds that:1. First, the Commission reaffirms that the mandated NTIS mission is fundamentally sound and has very high strategic value to the US. economy. However the current NTIS business model is flawed and needs to be changed and updated. The requirement to self-fund activities mandated by Section 3704b-1 of 1992 PL 102-245 for activities that are inherentlygovernmental and therefore should be directly financed through appropriations is the basicflaw in the business model. Scientific and technical information is a critical national asset,and greatly enhances the ability of American private enterprise to (a) compete in foreign anddomestic markets, (b) increase productivity, (c) promote employment and real wage growth,and (d) enhance the standard of living. Such enhancements will depend to a large extent onthe rapid and efficient diffusion of R&D results (STI).2. Second, there is no single, clearly superior, straightforward, and speedy course of action thatthe President and the Congress can take to strengthen the current NTIS business model andcorrect long-standing problems without first effecting basic statutory remedies. Theseproblems include the current system for collecting, cataloging and indexing, storing, anddisseminating or providing access to STI via sales and public access programs. The rootproblem that precipitated the Department of Commerce's proposed action in the first place,namely, forcing NTIS to sustain the full range of its services on a self-sufficiency basisbecause of the afore-mentioned statutory obligations, mustfirst be corrected.-2-

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Preliminary Assessment of the Proposed Closure of the NTIS3. Third, the Congress should correct the basic statutory flaw in the NTIS business model by:" Either eliminating the 1992 PL 102-245, Section 3704b-1 statutory requirement that"operating costs for the NTIS associated with the acquisition, storage, bibliographiccontrol and archiving of information and data shall be recovered primarily through thecollection of fees "(underlining supplied); or"* Modifying the statute's language, or its interpretation by the Congress, so as to makeclear that operating costs can also be defrayed by appropriated funds.A broad consensus among the majority of the stakeholders and experts whose views theCommission has solicited, strongly supports this recommendation. There are also otherelements of the business model that will require changing an updating in the Internet Age.4. Fourth, the Commission believes that the collection, organization, making available, andproviding access to government information by the public is fundamentally a governmentalobligation. Therefore, in regard to NTIS:" The government should annually appropriate sufficient funds to finance those "commongood" or "public good" functions at projected workload levels (estimated to beapproximately $5M* for a full fiscal year, but perhaps somewhat less for the current yearFY 2000 because the year is already half over); and" If some NTIS functions and specialized Agency-specific publishing activities arereturned to the individual Federal agencies, a significant reduction of services to the public would undoubtedly result, and additional costs, such as start-up expenses, as wellas an increase in operating costs because of the loss of economies of scale currently beingrealized, would be incurred by those agencies. Moreover, those agencies would have toassume for themselves, or have replicated elsewhere, those publishing and disseminationservices NTIS currently provides if NTIS no longer offered them;5. Fifth, most of the reasons that have caused NTIS to go "into the red" in recent years areunintended consequences of the agency being pressured to comply with the statutory constraint to be self-supporting. In addition, in the opinion of the Department of Commerce Inspector General, this pressure has led NTIS to expand services to agencies and developproducts that are beyond its mission. If direct appropriation financing was forthcoming,NTIS would be expected to discontinue any such alleged "expansionary" activities.Moreover, when considering the desirability of creating value-added products and services,NTIS should not create such products and services where public-private partnerships orindependent private products and services can efficiently provide the desired added valueresult for users; and6. Sixth, more time is needed to investigate carefully the pros and cons, and the benefits andcosts of the Department of Commerce's announced plan to transfer the NTIS collections andsome operations to the Library of Congress, as well as the other alternatives the Commissionhas identified during the course of its fact-finding. Alternatives being considered can be sub-divided into categories. The first category of alternatives are those which do not require thecreation of a brand new, major institutional entity, and/or the substantial modification ofexisting statutory authorities, policies, or lines of business in order to accommodate transfer-3-

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U.S. National Commission on Libraries and Information Scienceof NTIS operations. As a consequence, these alternatives could be implemented in the 18-month timeframe April 1, 2000 -September 30, 2001. These options include, for example:"* Retaining NTIS in the Department of Commerce;"* Transferring collections and service responsibilities to the Library of Congress;"* Transferring collections and service responsibilities to the Government PrintingOffice; and"* Transferring collections and service responsibilities to the National Archives andRecords Administration.The second category of alternatives, on the other hand, would require the creation of a new,major institutional entity, and/or the substantial modification of statutory authorities, policies,and lines of business, or transferring the mission and roles to the private sector. In the case ofthe public sector, these alternatives may also require major adjustments in traditionalmissions, roles, and organizational cultures. Planning, negotiating, and overseeing the fullrange of legislative, structural, personnel, financial, and other infrastructure requirements thatwould inevitably be associated with such a major undertaking could not be accomplishedefficiently and effectively in the 18-month timeframe so as to ensure the option is fully inplace by September 30, 2001. These latter alternatives include the possibility of:"* Establishing a new national library of science, engineering, and technology;"* Transferring some or all of the NTIS collections and services to the NationalAcademy of Sciences, the National Science Foundation, or the SmithsonianInstitution;"* Creating a new independent agency as a service bureau to consolidate publicinformation dissemination functions now dispersed; and"* Privatizing some NTIS activities. None of the above-mentioned Federal (or private sector) entities, whether the first set of fourorganizations listed, or the second set of alternatives, could assume responsibility for all ofthe NTIS mission and programs without additional funding, including the option of allowingNTIS to remain in the Department of Commerce. Other alternatives that have also beenconsidered already, but rejected by the participating stakeholders, including:"* The establishment of NTIS as a quasi-governmental corporation;"* Transferring NTIS collections and services to a "lead host scientific and technical information intensive agency" (such as NASA, DOE, or DoD); or"* Transferring NTIS collections and services to GSA.NCLIS believes that a clear consensus to continue studying the above-mentioned three options simply does not exist, at least among the experts and concerned individuals with whom theCommission has thus far consulted. NCLIS is also aware that many of these alternatives have-4-

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Preliminary Assessment of the Proposed Closure of the NTISbeen addressed in Congressional hearings on, and private studies of, NTIS in the past. ThePresident and the Congress always reserve the option of revisiting these, or offering still otheralternatives for consideration.All alternatives will be considered by NCLIS during the suggested 18-month study period. Themere fact that the first category of alternatives could be accomplished within an 18-monthtimeframe, while an obvious advantage because minimal mission and role adjustments anddisruptions would be required does not necessarily make these alternatives the best ones. TheCommission's analysis must also consider the ultimate goal of modernizing and updating theFederal Government's overall public information policies, programs, and infrastructures. On theother hand, if the Commission found that one of the first category of alternatives is clearly superior in most key respects, it may not be necessary to look exhaustively at the remainder of theoptions although they would be considered.D. CONCLUSIONSAfter reflecting carefully on all of its findings, the Commission reached the following conclusionswith respect to the significance, implications, and consequences of the findings:1. The value to the nation's economy that stems from the government's capital investment in thecapture, preservation, permanent availability, and dissemination of scientific and technicalinformation for small entrepreneurs, students, faculty researchers, private enterprise, andgovernment agencies at all levels --Federal, State, local, and tribal --is enormous and far-reaching, and cannot be accurately estimated. However, the $5M* estimated annualappropriation requirement for NTIS operations represents less than 1/1 00'h of one percent ofthe total annual governmental research and development investment which NTIS ischarged with reporting. Currently this investment is estimated to be about $80 billiondollars for FY2001. Moreover, the $5M* represents less than 20% of the total current NTISbudget.2. All of the alternatives considered, including the proposal of the Secretary of Commerce, willrequire an appropriation of $5M per year to cover the basic public good acquisition andprocessing costs of NTIS. The availability of these funds, whether they come from theappropriation of one agency or another, should therefore not be a factor in the evaluation ofalternatives. By approving these funds for at least the balance of FY 2000 and FY 2001, theCongress would insure the proper continuation of NTIS at satisfactory service levels during the evaluation period, and an objective evaluation free of the funding issue which resulted inthe current proposal of the Secretary of Commerce.3. In the Commission's view, the key objective in the analysis of alternatives should be to findways to enhance the legislatively mandated functions and operations currently performed byNTIS. Priority should be given, roughly in order, to:Ensuring that the mechanisms needed to locate, capture, identify, organize,preserve, and make permanently publicly available and readily and fairlyaccessible the results of Federally-funded R&D, are sustained and strengthened,regardless of organizational location;-5-

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U.S. National Commission on Libraries and Information Science"* Creating a new vision of how NTIS should operate in the Information Age(which virtually everyone agrees we are now well into), including using the Webto a far greater degree, and in more creative ways; and"* Improving the NTIS "business model" by modernizing and updating its visionand mission, and recasting its lines of business so that its mission and goals canbe efficiently, effectively, and economically realized.4. Having the capability to download a report free on the Web, instead of paying for a hardcopy report of the same information, while undeniably of importance, is only one of manyconsiderations that must be taken into account in reconfiguring NTIS. The broader goal ofstrengthening the distribution channels for government information to many general andspecialized user publics must be considered. Criteria which must be considered include:"* Fairness and equity, especially as regards the special needs of disadvantaged, disabled and rural populations, which may neither have access to a home, office,or other computer, nor ready access to a depository or other library;"* A multiplicity and diversity of access and dissemination mechanisms, both publicand private;"* A multiplicity and diversity of information formats and mediums;"* A multiplicity and diversity of distribution channels, using both the Web,depository libraries, and other libraries and information centers, as well as moreconventional pre-electronic modes of delivery; and"* Greater use of on-demand modes and correspondingly less on "100% standingdistribution."The involvement of both public and private sectors in joint partnerships is essential to servingthe specialized and unique needs of all segments of society, often through specialized accessand dissemination products and services, whether for STI or for other kinds of governmentinformation. For example, in the context of cooperation between NTIS and the private sector, to offer butthree examples:"* The products in the NTIS Trade and Business Bookstore are from both sectors,and include organizations such as Jane's Information Group and McGraw-Hill;"* In the context of Federal agency efforts to improve web access to STI, theEnvironmental Protection Agency since 1997 has offered one-stop shopping formore than 6,000 full-text, online EPA documents; and"* The Defense Technical Information Center has developed a system called "STINET" which includes all unclassified, unlimited citations since 1985 fromthe Center's technical report collection.-6-

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Preliminary Assessment of the Proposed Closure of the NTIS5. If NTIS receives the recommended approximate $5M* annual appropriation to defray thecosts of the data acquisition, indexing, processing, and permanent public access, then thecurrent pilot project begun in 1998 to investigate the feasibility of providing electronic imagetechnical reports from the NTIS collection to Federal depository libraries should berestructured to include all depository libraries as quickly as practicable. This would entail anadditional one-time appropriation for NTIS for required technical infrastructure upgrades andspecific depository services. Recurring costs could be defrayed from the annual $5M*appropriation. However, no sales, marketing, or order processing expenses should bedefrayed by these appropriations.6. Finally, it should be remembered that while downloading information on the Internet by usersmay be free from the user standpoint, costs are implicitly shifted to the taxpayer becausegovernment agencies must enhance their information and telecommunications infrastructures--hardware, software, networks, systems, databases, and so forth --in order to compensatefor the increased demand and cope with heightened public expectations for both enhanced quality and quantity of web services. Moreover, retaining materials on the web for only three years as suggested by the Department of Commerce is woefully inadequate to meet the needsfor permanent public availability and accessibility. We already know from experience thattwo thirds of all requests from NTIS users are for materials that are over three years old, andone third of the total is for materials that are over ten years old!E. RECOMMENDATIONSFrom the beginning of our study, the Commission has been consistently reminded that time iscritical in this matter because:1. The service capabilities of NTIS are deteriorating continuously as NTIS employees resign, retire, or transfer to other units, often with very serious impacts on their pay, careers, families, and morale;2. Private enterprise, students, faculty researchers, government, and foreign customers of NTIS products and services are increasingly worried as to whether, and how (if at all) they will have access to the results of Federally-funded R&D in the future;3. The President's FY 2001 Budget has already been presented to the Congress, agencies havealready begun the FY 2002 budget planning process, the Department of Commerce's plansfor dealing with the NTIS situation remain directed to closing the agency by the end of FY2000, and there is a hiring freeze in place at NTIS; and4. Congressional authorization and appropriation committees with jurisdiction over theCommerce Department's budget are moving swiftly with their plans to deal with the NTIS matter. There appear to be three reasons:"* Resolving the residual FY 2000 budget issues as quickly as possible so that theCongress can take up the President's FY 2001 budget;"* The press of the election year; and-7-

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U.S. National Commission on Libraries and Information Science* The fear that unless a satisfactory resolution is reached rapidly, the STI accessand dissemination flows from NTIS to private industry, academic researchinstitutions, and Federal agencies would be seriously interrupted. Therefore, the Commission recommends that:1. The President direct the Secretary of Commerce to retain NTIS within the Department ofCommerce for at least the balance of FY 2000, and through the end of FY 2001, in order togive the Commission, and other institutions such as the General Accounting Office, enoughtime to ensure that the pros and cons, and benefits and costs, of the above-listed alternativesare thoroughly considered, including the option of allowing NTIS to remain in theDepartment of Commerce;2. The Congress annually appropriate sufficient funds, beginning in FY 2000, to finance thatportion of legislatively mandated NTIS activities and services which are inherentlygovernmental in nature. Currently this amount has been estimated by NTIS to be $5M* but itmay change depending on workload and other factors. These activities and services includethe orderly collection, organization, preservation of and permanent public access to scientificand technical information of potential use to future generations of researchers;3. Once the inherently governmental NTIS functions are financed by appropriated funds, NTISmay continue to operate a sales program but must abide by existing Federal informationresources management policies and principles such as the Paperwork Reduction Reauthorization Act of 1995 and OMB Circular A-130:* NTIS should set user charges at levels sufficient to recover, but not exceed, the total costof the sales program, excluding all costs financed by appropriations.* NTIS should cease improperly restrictive practices such as charging fees or royalties onthe reuse, resale, or redissemination ofproducts and services such as the NTISbibliographic database; and* NTIS should ensure that decisions to introduce new products or services are made onlyafter careful consideration of the capabilities of the private sector to create commercialproducts by adding value to government information either through public private partnerships or through independent efforts.4. A one-time appropriation, estimated by NTIS to be $1.6M,* should be approved to defray thecosts to set up an appropriate mechanism to provide free and permanent public access tocurrent materials and future acquisitions, primarily by electronic means, through the FederalDepository Library Program and to ensure that, as retrospective materials are capturedelectronically, they are also made available for permanent public access, again primarily via the Internet and other electronic mediums (no open-ended authorization for the unlimitedavailability of print or fiche materials in this context is either implicitly or explicitlyintended); and5. The Secretary of Commerce take such internal policy, financial, personnel, and other actionsas appropriate to the circumstances, to ensure that:-8-

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Preliminary Assessment of the Proposed Closure of the NTIS"* NTIS staffing and budget are maintained at a satisfactory threshold level of support topreclude any further erosion of services to NTIS clients, both in and out of government;"* NTISplant capacity, staffing, and service levels are restored if and where they may havealready dropped below that satisfactory level;"* NTIS clients, both in and out of government, are notified of actions taken to restore NTIS services, and reassured that materials over three years old are not being discarded; and" Periodic reports are submitted to the Congressional oversight and appropriationcommittees, and OMB, covering steps that have been taken or are being taken toimplement this recommended course of action. The Secretary should forward copies ofthe reports to NCLIS as well. The broader issue of strengthened NTIS governance should be addressed in the Commission's in-depth study of alternatives.All five of the above recommendations are interdependent, and therefore should not beconsidered as unrelated recommendations. Also, the close working interdependencies ofindividual agencies on the one hand, and the central information servicing agencies such as NTIS, GPO, NARA and the Library of Congress, on the other hand, need to be addressed as anintegrated whole.F. FINAL WORDSOne of the most important stakeholder groups which has assisted the Commission in itsdeliberations is CENDI, an informal consortium of 10 Federal agencies that are heavily STI-intensive (Commerce, Energy, EPA, NASA, NLM Education, Agriculture, Defense TechnicalInformation Center, National Air Intelligence Center, and Interior). In their report to theCommission they say:"NTIS is part of an information dissemination system for the general public that hasevolved over 50 years. The key functions of public access, which include cross-discipline, cross-agency, dissemination and archiving, as well as the proactiveidentification and collection of agency R&D results, continue to be necessary in whatever paradigm that emerges for the future of Federal scientific and technical informationsystem. To suddenly remove a component of such a system without a full analysis of theimpacts (including second and third order impacts) would now have many unknownconsequences. At a minimum the burden of costs will be shifted to the general taxpayerfrom the user who directly benefits from the services in the current NTIS cost recoveryoperation. At worst, in the short term, access would simply be lost at whatever cost."The Commission will continue to assist the Department of Commerce, NTIS, and the standing authorization and appropriation committees of the Congress holding jurisdiction, as well as othercommittees with an interest in this matter, to achieve the foregoing recommendations in anexpeditious and satisfactory manner. The in-depth assessment of the alternatives will begin byApril 1, 2000.Finally, the Commission will keep foremost in mind the larger question of how to strengthen Government information dissemination to the public in the Information Age, including finding mechanisms to ensure agency compliance with public dissemination and permanent preservationefforts.-9-

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U.S. National Commission on Libraries and Information ScienceThe Commission has selected various key documents that are useful to illuminate various pointsin the text and included them as attachments to this report. Additionally, a great deal of material,including many position papers and public comments, has been posted to the Commission's web site and readers are referred to these materials as well at: http://www.nclis.gov/info/ntis/ntis.html.ENDNOTE:*These estimates by NTIS for the required annual and one-time appropriation amounts arepreliminary. The specific purposes for which they are to be utilized, along with the exact amounts, must be verified before final numbers are presented to the House and SenateAppropriations Committees.-10-

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Preliminary Assessment of the Proposed Closure of the NTISATTACHMENT 1. DEPARTMENT OF COMMERCE FACT SHEET ANDPRESS RELEASE, AUGUST 12, 1999; AND NCLIS LETTERTO SECRETARY OF COMMERCE WILLIAM DALEY,AUGUST 16, 1999[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]FACT SHEET: Providing The American People Information For The 21stCentury: The Commerce Department Proposes to Close NTIS and Ensure ThatPeople Can Receive Technical Information for Free over the InternetSource: http://204.193.246.62/public.nsf/docs/ea7bd28117eef74d852567cbOO6b7d20The Department of Commerce proposes to close the National Technical Information Service(NTIS), transfer its archives to the Library of Congress, and ensure that Government agenciesprovide technical and business reports to the public for free via the Internet. The Departmentbelieves strongly that the American people can continue to receive the same information theyhave today if we close down NTIS and ensure that Government agencies post all technical reportson the Internet and send the documents electronically to the Library of Congress. This way, theAmerican people can find the documents they want via search engines that currently exist -andthe more powerful ones being created -and download them for free. We will propose legislationto Congress next month to achieve these ends.In the New Economy, the NTIS Business Model Is Fundamentally Flawed. NTIS was createdin 1950 to operate as a clearinghouse within the U.S. Government for the collection anddissemination of technical, scientific, and engineering information of all kinds. However, therapid growth of the Internet has fundamentally changed the way NTIS' customers acquire and useinformation. As the Department's Inspector General noted in March 1999, "Federal agencies are increasingly bypassing NTIS as a distribution channel, instead offering their publications directlyto the public over the Internet." On the Department of Commerce's own web page, the American people can get technical and business reports for free that they are forced to pay for to obtain them from NTIS. For example," In June 1999, the Commerce Department released the Emerging Digital Economy IIreport. This report can be downloaded from the Department's web page for free.Alternatively, a taxpayer can go to the NTIS web page and obtain the report for $27 percopy." In November 1998, the Administration released the first annual report of the U.S.Government working group on electronic commerce. This report can be downloadedfrom the Department's web page for free. NTIS sells this same document for $25.50. As aresult,"* Sales of publications from the NTIS clearinghouse declined from almost 2.3 million unitsin FY1993 to 1.3 million units in FY1998." NTIS has used a majority of its retained earnings over the past several years to coverlosses in business; in fact, the core clearinghouse business has not operated at a profitsince 1993. The Department has asked Congress to provide a $2 million appropriation forFY2000 to fill the gap between costs and revenues. However, neither the House nor the-II -

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U.S. National Commission on Libraries and Information ScienceSenate appropriations bill provides this funding. Without it, NTIS is in danger of beingdeficient in FY2000."* NTIS' financial situation continues to worsen. For example, at the end of FY1998, NTISforecasted revenues of $46.8 million for FY 1999; ten months later, it forecast revenues ofapproximately $33 million -a nearly 30-percent difference." To offset losses, NTIS has ventured into other businesses. But, as the Department's IGstated, "We are also concerned that in order to replace lost sales, NTIS is seekingbusiness opportunities on the perimeter of its statutory mission, where it risks competingagainst private businesses."The Department's Proposed Plan Will Ensure that the American People Continue to HaveAccess to Scientific Information. In the 21 st century, the Administration envisions anenvironment where all citizens have free access to Government information over the Internet. Improvements in technology are enabling all Federal Government agencies to post their technicalreports and business information on their web sites and allow them to maintain that informationfor long periods of time. Thus, the Department proposes the following two actions:1. Transfer NTIS Archives to the Library of Congress. The Library of Congress alreadyincludes a designated scientific and technical section, and the NTIS collection of threemillion titles is nearly the size of Library holdings in the science and technology area. Ifapproved by Congress, NTIS' paper, microfiche, and digital archives, and bibliographic database would be transferred to the Library of Congress in order to maintain them andensure they remain available to the public. The Department's IG recognized that NTISmay need to be transferred to another agency and suggested consideration of the Libraryof Congress. In addition, current and future Government technical reports would beelectronically transmitted to the Library of Congress, where they would be catalogued,indexed, and electronically archived. The Department has recently contacted the Libraryof Congress with our proposal, and intends to work closely with the Library in the weeks ahead to refine it.2. Ensure that Agencies Maintain Technical Reports and Business Information on their websites for Long Periods of Time. The Department is also working to ensure that Government agencies post their technical and business reports on the Internet for longperiods of time. Since the marginal cost of producing a paper copy of a technical reportcan be high and the marginal cost of an additional digital copy of the report is essentiallyzero, the Government will be able to provide the American people technical reports forfree, instead of charging a fee. Moreover, a number of search engines of Governmentweb sites already exist (within Government entities [e.g., the Library of Congress],universities, and private sector firms). And more powerful search engines -an electronicclearinghouse -continue to be developed within the Government so that the Americanpeople can more easily find reports they want.Minimizing the Impact on NTIS' Employees. If Congress approves the Secretary's proposal,the Department will take every available action to help NTIS' employees move into other jobswithin the Government.First, the Secretary has "committed the Department of Commerce to making everyreasonable effort to place [the NTIS employees in other jobs within the Department]." Hehas sent a memorandum to all of the Department's bureaus instructing them that, ifCongress approves the Department's proposal, they are to work with the Department'sHuman Resources office to place employees in jobs consistent with their abilities, andwhen necessary, restructure open positions in order to place as many of the NTIS staff as-12-

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Preliminary Assessment of the Proposed Closure of the NTISpossible. Over the past month, over 40 NTIS employees were successfully moved toother bureaus within the Department in order to keep NTIS from becoming deficient inFY1999. The Department believes that with sufficient time we can place nearly all of theemployees in other jobs within the Department.Second, because the Department may be unable to place all the NTIS employees in jobswithin the Department, the Secretary has sent a letter to OPM Director Janice Lachanceasking for her assistance, if Congress approves closing NTIS, in placing and retraining NTIS employees for other jobs throughout the Government.Press Release: Commerce Secretary William M. Daley Announces Intention toClose National Technical Information ServiceSource: http://204.193.246.62/public.nsf/docs/FFF05791D63331D1852567CB00693643FOR IMMEDIATE RELEASE Contact: Maria TildonThursday, August 12, 1999 Marlene MacDonald202-482-4883Commerce Secretary William M. Daley Announces Intention toClose National Technical Information ServiceWashington, DC -Commerce Secretary William M. Daley today announced his intention to workwith Congress to close the National Technical Information Service (NTIS) at the Department ofCommerce, while preserving public access to scientific and technical reports. After extensivereview and analysis it was determined that the core function of NTIS, providing governmentinformation for a fee, is no longer needed in this day of advanced electronic technology.Established in 1950, NTIS' core business -the sale of government documents in microfiche andon paper -is rapidly becoming less of the necessity it was as agencies and groups have begun topost their reports on the Internet for free. For example, the Commerce Department recentlyreleased a report called, "The Emerging Digital Economy II." This report can be downloadedfrom the Department of Commerce web site for free rather than for a $27 fee through NTIS. These changes in the information marketplace have made obsolete the need for NTIS to serve as aclearinghouse and, thus have in turn made it increasingly difficult for NTIS to maintain itsoperation on a self-sustaining basis, as established by Congress.NTIS' sales have dramatically declined over the last six years with the advent of the personal computer and increased use of the Internet. In fact, NTIS' core clearinghouse business has notoperated at a profit since FY 1993. In its March 1999 Semiannual Report to the Congress,Commerce's Office of Inspector General concluded that "even with significant efforts to improveits profitability, NTIS can no longer generate sufficient revenue to remain self-supporting." If thisproposal is not implemented, NTIS will be in danger of going bankrupt. "This was a tough decision to make, but sound management dictates that we cut our losses andrecognize the technologically advanced environment we live in," said Secretary Daley. "This isthe right thing to do and the best thing for the American taxpayer."The Commerce Department next month will send to Congress proposed legislation closing NTISand shifting its paper, microfiche, digital archives and bibliographic database to the Library ofCongress. In addition, Commerce will work to ensure that government technical and businessinformation provided by government agencies remains available to the public for long periods of--13-

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U.S. National Commission on Libraries and Information Sciencetime. The American people could continue to find these technical reports through search enginesthat currently exist (at, for example, the Library of Congress).If Congress approves this proposal, Secretary Daley has instructed his staff to work closely withthe over 250 employees of NTIS to assist them with job placement within the Department. TheSecretary also has sent a letter to Office of Personnel Director, Janice Lachance, requesting theOffice of Personnel Management's assistance with both the placement and retraining of NTISemployees.Fact sheets with additional information are available on the Commerce Department's web site atwww.doc.gov or for a fax call the press office at 202-482-4883.Letter from NCLIS Chairperson Jeanne Hurley Simon to Secretary of CommerceWilliam M. Daley, August 16, 1999August 16, 1999The Honorable William M. Daley Secretary of CommerceDepartment of Commerce14th Street and Constitution Avenue, NWWashington, DC 20230Dear Bill,I noted with great interest the recent press release announcing your intention to close the NationalTechnical Information Service (NTIS), and transfer the vast holdings now maintained by NTIS tothe Library of Congress. As you indicate, action to accomplish this proposal requires legislation, which you plan to present to Congress for its consideration next month.Certainly I applaud your personal interest, as well as President Clinton's and Vice PresidentGore's impressive list of initiatives undertaken during this Administration, to make more andmore Government information cost-effectively available. Ordinary citizens, students, job seekers,businesses, lower levels of government, and other segments of society will all profit by using thenew electronic mediums such as the World Wide Web to access this information. The NationalCommission on Libraries and Information Science (NCLIS), which I chair, sees the increasingmigration of traditional ink-on-paper and microform public information products to electronicmediums and formats as both inexorable and desirable. However, I want to bring to your attention several very important and relevant findings, whichhave emerged from a just, concluded, nine-month NCLIS study entitled "Assessment ofElectronic Government Information Products." This study was commissioned by the Congress,with the active support of the Administration (former OMB/OIRA Administrator Sally Katzen, now back at OMB, was involved in its planning). The study was implemented with the assistanceof a contractor, Westat, Inc. of Rockville, Maryland.Among the study's major findings from a detailed survey of 24 Federal agencies in all threebranches covering over 300 specific government information products was that Federal agenciesare confused as to just what is meant by "permanent public access," even though they concur inthe need for the Government to hold certain documents for extensive periods of time. Moreover,we found there is confusion between "permanent records retention" as that concept is embodiedin Federal records legislation, and "permanent public access" and "preservation," as two closely-14-

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Preliminary Assessment of the Proposed Closure of the NTISrelated ideas that are emerging in the library, historian, archival, journalism, educational, public interest, and related fields.All of these public information retention requirements tie in with the historical mission of theNTIS to collect, organize, preserve, and make available permanently government reports anddocuments. This mission must not be lost in the organizational changes you are proposing. Additionally, there are other important findings in the aforementioned study that touch upongovernment information dissemination to the public, and your NTIS plans, in which I believeyour Department would be very interested.In short, because of our Commission's recent endeavors in this field, and in the light of yourplanned legislative initiative, I wanted to offer our assistance to you and the Congress as yourproposal moves forward. You may wish to direct your staffs attention to the aforementionedstudy final report. The Executive Summary appears athttp://www.nclis.gov/news/nclisexecsum.pdf and the full report is athttp://www.access.gpo.gov/sudocs/nclisassessment/report.html. I am enclosing a hard copy ofthe report herewith.Congratulations, again, for taking these steps, and please let our Commission's ExecutiveDirector, Robert S. Willard, or me know if we can be helpful to you.Sincerely yours,Jeanne Hurley SimonChairperson EnclosureATTACHMENT 2: NCLIS LETTER TO REPRESENTATIVE CONSTANCE A.MORELLA, SEPTEMBER 13, 1999[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Letter from NCLIS Executive Director Robert S. Willard to RepresentativeConstance A. Morella, September 13. 1999September 13, 1999The Honorable Constance A. Morella2228 Rayburn House Office BuildingHouse of RepresentativesWashington, D.C. 20515-2008Dear Congresswoman Morella,I am writing to you to on behalf of Chairperson Jeanne Hurley Simon of the U.S. NationalCommission on Libraries and Information Science (NCLIS) with regard to the proposed closingof the National Technical Information Service (NTIS). This proposal of the Department of-15-

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U.S. National Commission on Libraries and Information ScienceCommerce would result in the transfer of NTIS authorities, functions and resources to anotheragency, but it also raises broader public information policy issues. I would like to suggest to youthat NCLIS might be helpful to you as you explore this proposal and its attendant issues.NCLIS is an independent agency charged by PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, Section 1504(1) of thatlaw says the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate." Thereforeit is appropriate for us to offer our assistance to the Congress in an area that is of criticalimportance to the information needs of the people of the United States.We did offer to present oral testimony at your hearing on NTIS scheduled for Tuesday, September 14, 1999, but have been advised that it will not be possible. However, we sent a packetof information to Terri Fish at the Technology Subcommittee of the House Science Committee;that information provides background material on the Commission and some of its relevantactivities. Included in the package of materials was a recent study, Assessment of ElectronicGovernment Information Products, dealing with current agency practices for preparation anddissemination of electronic government information products. Also enclosed was a copy of aletter Ms. Simon sent to the Secretary of Commerce regarding the NTIS matter.The vice chair of our Commission and members of my staff met recently with Jonathan M.Orszag, Assistant to Secretary Daley, who is directing the NTIS transfer. Mr. Orszag identified two objectives that Commerce was pursuing. One objective is the orderly transfer of variousauthorities, functions and resources from Commerce to the Library of Congress (or another agency) so that the Department can divest itself of its NTIS fiduciary responsibilities. The otherobjective is to assure that the public good represented by the NTIS collection remains accessibleto the American people. Mr. Orszag acknowledged the broader public information policy issuesincluding the reforms needed in government information dissemination that are implicitly raisedby the transfer of this major Federal information resource. However, he does not see it as aCommerce Department role to take the lead on addressing these broader issues.It is, however, entirely appropriate for the Commission to address these issues. We are wellpositioned to examine the need to consolidate, simplify, and streamline government informationdissemination and to look at the changes that are required at a time when Government isdramatically shifting information products to the Web. Therefore, I would propose that you askNCLIS to perform a quick, independent assessment of the Commerce Department proposal; thisassessment should be completed in 3-6 months so as not to delay plans to transfer NTIS out ofCommerce by the end of FY 2000. The assessment would identify various options the Congresscould consider to address both the closure of NTIS and the reforms needed in Federal policies andprograms dealing with government information dissemination.The Department of Commerce's proposal to close NTIS provides a very timely opportunity toreconsider ways to strengthen the overall policy and the organizational and legal machinery usedto deliver Federal information to the public. We are very concerned that the short-term measuresthat must be taken to transfer authorities, functions, and resources of NTIS by the end of FiscalYear 2000 not cause the Congress to defer the more substantive considerations relating to theneed for basic reforms in government information dissemination.We would welcome the chance to discuss our suggestion in detail with you and/or members ofyour staff at your convenience. We could cover a number of topics, including a timetable, specific-16-

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Preliminary Assessment of the Proposed Closure of the NTIS format for our assessment, and other considerations. I will contact you after the hearing todetermine what the appropriate next steps are.Sincerely yours,Robert S. WillardExecutive DirectorATTACHMENT 3: NCLIS TESTIMONY BEFORE THE U.S. SENATECOMMITTEE ON COMMERCE, SCIENCE, ANDTRANSPORTATION, SUBCOMMITTEE ON SCIENCE, TECHNOLOGY AND SPACE[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Opening Statement of Commissioner Joan R. Challinor before the Subcommittee onScience, Technology and Space of the Senate Committee on Commerce, Science andTransportation, October 21, 1999Department of Commerce's Plan toClose the National Technical Information ServiceOpening statement ofJoan R. ChallinorMember, U.S. National Commission onLibraries and Information Sciencebefore theSubcommittee on Science, Technology and SpaceCommittee on Commerce, Science and TransportationUnited States SenateThursday, October 21, 1999Good afternoon, Mister Chairman and members of the Subcommittee. My name is Joan Challinorand it is my privilege to be a member of the National Commission on Libraries and InformationScience. President Clinton appointed me in 1995 and I am delighted to find myself a part of agroup of committed, involved Commissioners. The first concern of members of the Commissionis the library and information needs of the people of this nation, and the second concern istranslating those needs into policy recommendations to the Congress and the President. That isexactly the responsibility Congress assigned the Commission when it created it in 1971.I am grateful for the opportunity to discuss with you the issue of closing NTIS, the NationalTechnical Information Service. We have submitted written testimony, and I request that it beincluded in the record of this hearing. I will address some of the points in the written testimony ina moment, but first I would like to share some personal thoughts on the weighty issues facingCongress as it deals with the Department of Commerce's proposal to close NTIS.I am an historian, and for forty-five years I have been married to a scientist. This combination ofdisciplines gives me a unique perspective on some of the issues involved in the NTIS proposal. I-17-

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U.S. National Commission on Libraries and Information Sciencecertainly understand the relationship between science and communication and the value of priorresearch. In 1676, Sir Isaac Newton credited his success, in part, to the work of his predecessors:"If I have seen further," he wrote to a colleague, "it is by standing on the shoulders of Giants."I also understand the need for communicating prior research to future scientists. As an historian, Irecognize that this communication must occur over decades, perhaps centuries. While I do notplan to make specific comments about the NTIS proposal today, I can tell you that I was slightly shocked to see the draft legislation and its requirement that agencies maintain access to theirscientific, technical or engineering information for not less than three years.In our written testimony, we make three major points. First, the Commission, or NCLIS, as partof its broad mandate, has long been concerned with issues affecting government informationprograms. We undertook a significant study in the early 1980's dealing with appropriate roles forthe public and private sector in distributing government information and, I hasten to point out, theprinciples developed in that study would be worth reviewing in the context of the current NTISproposal.Most recently, however, we have concluded a survey of government agency practices asinformation dissemination moves from a mostly ink-on-paper world to a system of electronicdistribution. (This study was undertaken at the request of the Government Printing Office andwas funded with the approval of Congress's Joint Committee on Printing. A copy of the report,"Assessment of Government Information Products," has been provided to the subcommittee.) Wediscovered an across-the-board lack of government information policy to guide electronicpublishing. We saw that there was no uniform understanding of the concept of permanent publicaccess to government information. And we noticed a clear lack of coordination of publishinginitiatives at all levels, even within agencies. At the same time, and this is the good news, we sawagencies making significant strides in using modern information technologies to expand broadlythe quantity and quality of information made available to the citizens of this country. Our second point is that the issues faced by the proposed organizational changes for NTIS closelycorrelate with the issues discovered in our recent survey. Accordingly, Congress should recognizethat it would be making decisions that are far more consequential than a simple governmental reorganization that shifts boxes on an organization chart. We are facing an opportunity to writeanew the basic policy for creation, use, storage, distribution, and long-term disposition of one ofthe most valuable resources -perhaps the most important -in the possession of the government:information. While we are sympathetic to the pressures felt by the Commerce Department toaccelerate the resolution of its perceived problems with NTIS, we urge Congress to address theseissues in a thoughtful and deliberate manner, even if that means a slower pace than the CommerceDepartment might wish.Here I should mention my personal concern about "unintended consequences." In my study ofhistory, I have been fascinated with the number of promising proposals that when enacted lead toless than desirable outcomes. Indeed, the requirement that Congress imposed on NTIS that it beself-funding led to the unintended consequences of expanded entrepreneurial activities in thehope that revenue from the new activities would cover the costs of the original basic functions. Itwould be well for Congress to keep in mind this all too common problem while it decides thenext steps for NTIS. While nobody has a crystal ball for the future, it nevertheless remainspossible to conceptualize a range of consequences for each policy proposal and thus take steps tominimize unintended consequences.-18-

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Preliminary Assessment of the Proposed Closure of the NTISOur third point is to offer the assistance of the National Commission on Libraries and InformationScience. When the House of Representatives held hearings on closing NTIS, a number ofwitnesses proposed that a formal study of the issues take place before Congress took any actionaffecting the future of NTIS. We respectfully suggest that NCLIS is the appropriate mechanism for undertaking this study. In fact, our statutory charter clearly envisions this role. Indeed, it was because of this role, and the independent point of view we can provide, that GPO selected us toperform the study I mentioned earlier. In three to six months, NCLIS could review the historicalrecord of NTIS, invite comment from a broad range of affected constituencies, and bring togethera panel of experts to develop a cohesive, consensual approach to the proposal. NCLIS could then provide Congress with the policy advice needed to take wise action.Even before the thirteen colonies became the United States, our science commanded the attentionof remarkable citizens. Benjamin Franklin (who, I can't fail to point out, started the first lending library in the colonies) became deputy postmaster of Philadelphia and was later appointed postmaster general by the Second Continental Congress; he sent journals and scientificinformation free of charge to scientists in the colonies with whom he corresponded regularly. Asthe foremost American scientist of his time, he knew that only by the widespread disseminationof information could science flourish.This subcommittee, and Congress itself, is now being asked to make decisions that will also havean effect on whether science flourishes. Today's hearing is evidence of the seriousness with whichyou address this issue. I want to thank you for allowing NCLIS to be a part of today's hearing,and look forward to the Commission's continued involvement with you on this issue. At thispoint, I would be glad to respond to any questions from members of the subcommittee. Thankyou.Prepared Statement of Commissioner Joan R. Challinor before the Subcommitteeon Science, Technology and Space of the Senate Committee on Commerce, Scienceand Transportation, October 21, 1999STATEMENT OFJOAN CHALLINOR, PH.DMEMBERU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCEBEFORE THESUBCOMMITTEE ON SCIENCE, TECHNOLOGY AND SPACECOMMITTEE ON COMMERCE, SCIENCE AND TRANSPORTATIONUNITED STATES SENATEONTHE DEPARTMENT OF COMMERCE'S PLAN TO CLOSE THE NATIONAL TECHNICAL INFORMATION SERVICETHURSDAY, OCTOBER 21, 19992:30 P.M.ROOM 253SENATE RUSSELL OFFICE BUILDINGMister Chairperson and Members of the Subcommittee, thank you for inviting the NationalCommission on Libraries and Information Science to participate in this review of the Departmentof Commerce's plan to close the National Technical Information Service (NTIS). I am Joan-19-

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U.S. National Commission on Libraries and Information Science Challinor, a Member of the National Commission and I appear here today at the request of ourChairperson, Jeanne Hurley Simon, who would be here herself but for the fact she is undergoingtreatment for cancer in her home in Illinois.NCLISNCLIS is an independent agency created by a far-sighted Congress in 1970 when it passed PL 91-345. The Commission is comprised of Presidential appointees who meet four or five times a yearfor the specific purpose of developing advice for the President and the Congress on matters pertaining to library and information needs of the nation. Therefore, it is appropriate for us toprovide testimony, and offer further assistance if the Congress wishes, on the NTIS proposal, amatter that we believe is of critical importance to the information needs of the people of theUnited States.REFORMS NEEDED IN PUBLIC INFORMATION DISSEMINATIONThe entire question of government information dissemination needs a thoroughgoing discussion.On September 23, 1999, we wrote to the Chair of this Subcommittee that the Department ofCommerce's proposal to close NTIS provides a very timely opportunity to consider ways tostrengthen the overall policy, as well as the organizational and legal machinery for delivery ofFederal information to the public. Greater understanding of the entire question of government information must precede discussion on the future of NTIS. The Commission is very concernedthat the short-term measures that must be taken to transfer authorities, functions, and resources ofNTIS by the end of Fiscal Year 2000 not cause the Congress to defer the more substantiveconsiderations relating to the need for basic reforms in government information dissemination.NCLIS has been heavily involved since its establishment nearly thirty years ago in examiningFederal information dissemination policies, programs and projects. Included in the material werecently sent to this subcommittee was a copy of the final report of our most recent study"Assessment of Electronic Government Information Products." This study is an in-depth investigation, undertaken by a contractor (Westat, Inc.) under our supervision, of the plans andpractices of Federal agencies to migrate ink-on-paper and microform Government information products to electronic formats and mediums.We worked directly with the Government Printing Office (GPO) on this two-year studycompleted on March 30, 1999. The study is a direct outgrowth of Congressional concerns overthe impact of electronic publishing on the ability of citizens to obtain access to Governmentinformation, particularly through the Federal Depository Library Program. The heart of the study was a nine-month survey, which enjoyed the active support andparticipation of all three branches of government. Twenty-four different Federal entitiesparticipated, including the Supreme Court, several committees of the Congress, one regulatory commission, and 19 executive branch agencies (including most of the cabinet departments). Inaddition to this broad and diverse participation, an impressive 74% of the survey forms (242 outof 328 sent to the agencies) were returned completed, which is a highly unusual rate of return forwhat was a very complex questionnaire with over 100 questions.Among the key findings of the survey was the observation that there is an overall lack ofgovernment information policy to guide electronic publishing and dissemination, permanent-20-

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Preliminary Assessment of the Proposed Closure of the NTIS public access to Federal information holdings, and other information policies as they relate toagency missions. Also, there is a lack of overall coordination of these initiatives at thegovernmental, branch, and even at the agency level. The study found that responsibility forelectronic publishing within agencies is decentralized, diffuse and unclear. Some agencies eithercould not identify or had difficulty identifying the individual within their own agency who wasresponsible for a specific electronic product. CORRELATION OF NCLIS STUDY TO NTIS CLOSUREIt is fair to ask, "What do the findings of the aforementioned NCLIS study have to do with theplanned closure of NTIS?" We believe there are at least four connections.First, the public good represented by the NTIS collections -which are owned by the people of theUnited States -must remain accessible to them irrespective of where those collections are organizationally housed within the Federal structure. The Department of Commerce has made itvery clear that it does not believe it should continue to house and manage these kinds of data anddocument holdings, even if a way could be found to make the program break even. The questionis, "Where is the appropriate location -is it the Library of Congress, the Government PrintingOffice, some combination of the two, or another as yet unidentified organization?"Second, the nation's 1350 federal depository libraries, which, under law, are supposed to be the"first line of defense" in providing government information to citizens, are "not in the loop."These institutions need to be assured that agency information is systematically, routinely, andregularly identified, cataloged and made available to them quickly after it is published, and thatinformation is not discontinued from an agency web site without warning.Senators John Warner and Wendell Ford of the Senate Committee on Rules and Administration,during the 105th Congress, wrote in their letter directing the NCLIS study on electronicinformation products, "the Federal Depository Library Program served, and continues to serve theAmerican public by insuring localized access to federal government information. The mission continues to be as important today to the fundamental success of our democracy as it was whenthat program was first created. The program's original mandate, to assist Americans regardless ofeconomic, educational, or geographic considerations, is one that must not be lost as westrategically and thoughtfully use the tools of the electronic age to enhance that mandate."The NTIS closure will certainly exacerbate the problems being faced by users of the federal depository libraries, as well as users of public and private libraries across the country who arealready worrying, waiting to find out who the new Federal provider(s) of scientific, technical, andengineering information will be.Third, Federal agency chief information officers (CIOs) do not regard public informationdissemination as a high priority. They are, understandably, far more consumed in the day-to-daychallenges of dealing with the Y2K problem, and replacing rapidly obsolescing informationhandling hardware and software with state-of-the-art versions. They are coping with the verydifficult challenge of trying to ensure that their information technology expenditures are payingoff in terms of their primary agency missions -an area for which they are regularly reviewed bytheir own inspectors general, the White House, the Congress, and the General Accounting Office.Even though the Office of Management and Budget (OMB) strongly supported the NCLIS study,it is not surprising that front line information managers give a lower priority to informationdissemination and long-term availability.-_21-

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U.S. National Commission on Libraries and Information ScienceLast but by no means least, federal information management policies are a patchwork quilt ofdisconnected concerns that have not been harmonized into a unified Federal information policy fabric. Here we are talking about matters of privacy, copyright, security, authentication,encryption, permanent public access, permanent records retention, the use of metadata tools suchas the Government Information Locator System (GILS), and many other areas. NCLIS found inits survey that agency personnel were unaware of many of the policies; they were bewildered andconfused on how, if at all, the concepts and requirements they do know about fit together in anoverall information life cycle context as required by the Paperwork Reduction ReauthorizationAct of 1995 and other legislation. In short, while there are individual Federal agency CIOs ineach agency, there is no CIO of CIOs at the Executive Office of the President level who ischarged with overall Federal information policy and program planning, coordination,management, and control. WHAT DOES NCLIS PROPOSE?We believe that the matter of transferring the NTIS holdings out of the Department of Commerce should not be addressed by the Congress and the President in an ad hoc manner, disembodiedfrom the overarching consideration of strengthening overall Federal information management policy in the areas of public information dissemination and electronic publishing. We applaud the gigantic strides being made by the Government in migrating ink-on-paper and microform holdings to electronic formats and mediums, especially to agency web sites, but we are very concerned that in the absence of strong leadership and guidance, there is a real risk that publicinformation dissemination will continue to fragment. Its cost-effectiveness and efficiency will erode along with that fragmentation and compartmentalization. The public is now confrontedwith a daunting array of Federal information indexes, indexing systems, gateways, catalogingschemes, software protocols, hardware platforms, and URL addresses that defy understandingexcept by the most sophisticated computer and information literate experts. The ordinary citizens, including even some librarians on the firing line, don't have a chance! NCLIS proposes to be given an opportunity to make a three to six month assessment of overall Federal information dissemination policies, programs, authorities, responsibilities, functions, andother considerations, and how the proposed NTIS closing fits into this framework. We would thenmake a series of specific recommendations to the President and the Congress on how to simplify, streamline and harmonize this critically important area as we move further into the Internet era.Such an assessment could be done in a time frame that would still permit the Department ofCommerce to meet its timetable with respect to the transfer of NTIS.Thank you Mr. Chairman for affording our Commission this opportunity to share our views, andwe would welcome the opportunity to discuss our findings and recommendations in more detailwith you at your convenience.Responses to Post Hearing Ouestions for the Record, November 8, 1999RESPONSES TO POST HEARING QUESTIONS FOR THE RECORDSENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATIONSCIENCE, TECHNOLOGY AND SPACE HEARINGS ONTHE NATIONAL TECHNICAL INFORMATION SERVICEOCTOBER 21, 1999SUBMITTED BY SENATOR BILL FRISTTO THE HONORABLE JOAN R. CHALLINOR, COMMISSIONER, UNITED STATES NATIONAL COMMISSION ON LIBRARIES AND-22-

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Preliminary Assessment of the Proposed Closure of the NTISINFORMATION SCIENCEQuestion 1: In working to produce the report on "Assessment of Electronic Government Information Products," did your participants include both librarians and technologists at thedifferent federal entities?Response: Yes, survey respondents, other survey interviewees, and the special advisory groupestablished by the Commission to help plan the study included a wide variety of different federalagency personnel and offices, including: librarians; records and archival officers; informationsystem and technology staffs; public affairs officials; web and media specialists; management analysts; technical information personnel; chief information officers; publishing and printing officials; program managers; and others. Several library and information science professors andformer high-level government information policy experts served on the study's advisory groupand were also interviewed in-depth. All three branches of Government were involved, andrepresentatives of the Federal Depository Library Program, a key constituency group of the study,participated in the study's design and periodically reviewed progress and offered advice, as didvarious federal interagency and public interest groups. In short, the survey consciously solicited awide variety of viewpoints and perspectives, and therefore its conclusions and findings, to thebest of our knowledge, are not unduly biased or weighted in favor of any particular "vestedinterests." Indeed, sometimes a difference of opinion was expressed in response to the sameinterview question depending on the respondent's particular perspective of the issues andproblems.Question 2: Do you agree that the resolution to NTIS should be a part of a larger initiative toaddress overall policy on the electronic publication and dissemination of government information? Do you have any suggestions or recommendations for such a policy?Response: Yes, NCLIS strongly believes that the "resolution of NTIS" challenge should not bedealt with in a disconnected, piecemeal fashion. Rather, the matter should be part of a broader investigation that "lays out the record" in a public manner after carefully considering:1. the viewpoints and stakes of the many players involved --the Congress, the Presidentand OMB, agency chief information officers, major federal information disseminationagencies such as the Government Printing Office and the Library of Congress, agencyprogram divisions, agency functional offices such as publishing and webmaster offices, citizens, businesses, state and local levels of government, interagency committees, publicinformation users groups, consumer interest groups, the media, historians, scientists andscientific and technical information officials, federal depository librarians, and others;2. federal public information dissemination and electronic publishing laws, rules, regulations, policies, programs, and practices;3. a selected sample of interagency and agency level implementing procedures (e.g. agency web guidelines and traditional as well as electronic publishing procedures);4. existing organizational missions and authorities of the various federal entities withpublic information dissemination and electronic publishing responsibilities;5. changing citizen needs for, and ways of identifying, obtaining, and using governmentinformation in the Information Age (both traditional ink-on-paper and electronic); and6. other factors.In its above-mentioned study report, NCLIS documented at the top, middle and lower agencylevels both (1) a lack of awareness and understanding of many of the current laws that touch onpublic information dissemination and electronic publishing, as well as (2) considerable confusion,-23-

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U.S. National Commission on Libraries and Information Scienceoverlap, duplication, inconsistencies and gaps among and between the applicable federal laws,authorities, policies, programs and so on. For example, surprisingly, there is no statutoryprovision that defines permanent public access, and yet that information management concept iscrucial to the orderly migration of traditional (pre-electronic) information products to the web,minimizing federal information losses due to fugitive materials, and guaranteeing the preservationof the federal record for historical, archival, socio-cultural and other reasons.NCLIS does have some preliminary ideas as to how this fragmentation of guidance andresponsibility at the government-wide, branch and agency levels can be significantly reduced. The Commission also has some views as to how the many dispersed and compartmentalized dissemination and publishing authorities could be consolidated, simplified and streamlined.However, the Commission believes the appropriate course of action is to undertake a 3-6 month investigation as recommended in our prepared testimony to the Committee. Only after thatinvestigation considers the viewpoints of the many players involved would the pros and cons ofalternative scenarios and strategies be formulated for the Congress to consider.The Commission also believes that while it has the statutory authority to initiate such aninvestigation, it would be very helpful if a mandate were given to us by Congress (just as it wasby the Joint Committee on Printing in the case of the just-completed study) in order to maximize the prospects for soliciting greater agency cooperation, attracting keener public interest andsupport, and securing more focused media and public interest group attention.Question 3: Regardless of the resolution for which agency has the mandate to publishgovernment scientific literature, do any of you have recommendations for dealing with the issuethat agencies are not submitting documents as required by law?Response: NCLIS believes that what needs to be done first and foremost is to educate and trainagency officials in order to enlighten them as to the relevant statutes and regulations --andenforce current laws. For example, there is a provision in The Paperwork Reduction Reauthorization Act of 1995, Section 3506(d) that says:"with respect to information dissemination, each agency shall provide adequatenotice when initiating, substantially modifying, or terminating significantinformation dissemination products"Some agency officials were aware of this provision, but most were not, or were confused as tohow it related to other legislation. Beyond the Paperwork Reduction Reauthorization Act of1995, which is a part of Chapter 35 of Title 44 of the USC, other provisions of Title 44, such asthose that pertain to the authorities and responsibilities of the Public Printer, the GovernmentPrinting Office and the Federal Depository Library Program (in particular Chapters 2, 5, 17, 19),and the National Archives and Records Administration and agency records programs (inparticular Chapters 21 and 31), and other legislation such as the Information TechnologyManagement Reform Act, and the American Technology Pre-eminence Act all have a bearing onagency requirements for submitting agency documents and information to NTIS, NARA and theFDLP. But NCLIS found that neither federal nor agency level web guidelines, nor other information dissemination guidance policies and procedures, adequately implement the provisions of these many laws. As a consequence, government information products "appear and disappear"oftentimes with very little, or even without any warning whatsoever, whether products areintended for internal agency personnel or for external public audiences. Nor do federal-24-

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Preliminary Assessment of the Proposed Closure of the NTISpublishing guidelines and standards bring together in one place the many considerations relatingto alternative information formats, mediums, standards and dissemination practices.In sum, the answer to this question also underscores the need for a sound, official government definition for the concept of "permanent public access." That concept is closely related to, but isdistinguishable from a similar information retention requirement -"permanent recordsretention," which is embodied in Federal records legislation. Currently, agencies are flounderingin the absence of authoritative guidance and many agencies (if not most) assume that the two concepts are synonymous. Consequently, agencies are interpreting information retentionrequirements in a very confusing, inconsistent, and inadequate manner.The investigation we are proposing would squarely address the critical need for uniform andpractical guidance in the area of information retention, and sorting out closely related conceptsincluding the two mentioned in the preceding paragraph plus two very important and closelyrelated additional areas: authentication and preservation of information materials. There is also aneed for a consistent definition of just what is government information. NCLIS has already drafted for review several "white papers" in these areas.In the Foreword to the Office of Technology Assessment's report "Helping America Compete:The Role of Federal Scientific and Technical Information,"(July 1990), the statement is made:"Global change is a fact of contemporary life --whether in the political,economic, or technological spheres. U.S. leadership in all of these areas is beingchallenged. We need to take actions that can help renew the U.S. competitiveedge in the worldwide marketplace of ideas, products, and services, and toprovide leadership on global issues such as the environment. A key area of U.S.strength could and should be our scientific and technical information. The U.S.Government is the largest single source of STI in the world --ranging fromtechnical reports on aerospace propulsion and solar thermal electronic systems tosatellite data on oceanic and atmospheric trends to bibliographic indices onmedical and agricultural research. Ye the U.S. is not taking full advantage ofopportunities to use Federal STI as part of a strategy to renew the U.S.competitive edge. STI is very important to scientists and engineers in a widerange of research, development, and commercial activities. They spend a lot oftime on STI --time that is valued, conservatively, at several billions of dollarsper year just for federally funded researchers. When used efficiently, FederalSTI pays off handsomely."In summary, NCLIS believes the core issue at stake in the NTIS transfer is not the sorting out ofFederal agency organizational boxes or benefit: cost equations, although they certainly must beaddressed, but, rather, a carefully considered, fresh assessment of how to strengthen the value ofGovernment information as a strategic national social and economic resource to America andindividual Americans in the emerging Information Age.The Commission would welcome an opportunity to meet with Committee members and/or staffas early as practicable to discuss our proposal for undertaking a study which explicitly addresses not only the specific questions raised by the Secretary of Commerce's proposed transfer of NTISauthorities, functions, and collections, but the broader questions of how to strengthengovernment-wide public information dissemination and electronic publishing policies,organizational missions and authorities, and related matters as well. We will be contacting youshortly for that purpose.-25-

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U.S. National Commission on Libraries and Information ScienceLetter from NCLIS Executive Director Robert S. Willard to Senator Bill Frist,December 10, 1999December 10, 1999The Honorable Bill Frist Chairman, Subcommittee on Science, Technology and SpaceCommittee on Commerce, Science and Transportation416 Russell Senate Office Building Washington, D.C. 20510-4205 Dear Senator Frist, Jeanne Hurley Simon, Chairperson of the U.S. National Commission on Libraries andInformation Science (NCLIS) first offered the Commission's assistance to you in connection withyour deliberations relating to the shutdown and transfer of NTIS from the Department ofCommerce, in her August 16, 1999 letter (attached).You then kindly reciprocated, and invited the Commission to testify at your October 21, 1999hearing on NTIS. We furnished a prepared statement to the Subcommittee in advance, andNCLIS Member Dr. Joan R. Challinor testified on the Commission's behalf. As you may recall from her opening statement, Dr. Joan Challinor is the wife of Dr. David Challinor, who for quitesome time before his retirement was the Assistant Secretary for Science at the SmithsonianInstitution. That period included the time when the old Smithsonian Science Information Exchange (SSIE) went to the new NTIS. Both David and Joan are therefore quite familiar withthe scientific and technical information resources challenges of the Nation.In our response to your post hearing questions for the record, we reiterated our offer to assist you,and I'm pleased that on December 8, 1999, Floyd Deschamps invited Judy Russell, NCLISDeputy Executive Director, and NCLIS consultant Dr. Forest Woody Horton, Jr., to a meeting inthe Subcommittee's offices in the Hart building. Ms. Russell and Dr. Horton tell me that theybelieve the meeting was very productive and there was a free exchange of views. Our understanding is that you wish to have a firm proposal ready to make to the Subcommittee,the full Committee, and the Senate as soon as practicable after the Second Session begins.However, as Ms. Russell and Dr. Horton pointed out to Mr. Deschamps, having only the monthof January 2000 to complete a meaningful investigation and prepare a complete report to you onoptions available, much less a preferred course of action, does not provide very much time.Alternatively, we suggested to Mr. Deschamps that you consider a two-pronged approach. First,the Congress should indicate that it wishes for the Department of Commerce to keep NTIStemporarily housed in that agency, fully operating, through September 30, 2001. This reasonable delay will give Congress and the President enough time to consider alternative courses that theGovernment might pursue, and come up with a preferred approach taking into account theconsequences the closure of NTIS and transfer of its programs and services would have on thepublic.As you know, NCLIS has already offered to undertake such a study. Therefore, the second part ofthe approach we suggest is that you request us to conduct such an investigative study, within the3-6 month timeframe initially proposed.-26-

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Preliminary Assessment of the Proposed Closure of the NTISSince we understand NTIS operated "in the black" for FY 1999, it seems to us that such a two-pronged strategy is defensible under the circumstances. After all, it is reasonable for the Congressto recommend that the President and Secretary Daley allow this two year "breather period" togive all the interested parties adequate time to take stock of the situation. At the same time, NTISshould continue on course to take prudent management steps to remain in the black for FY 2000 and 2001.Meanwhile, NCLIS intends to be as proactive as possible. To that end we are convening ameeting of experts here in Washington, D.C. in January 2000, bringing together both the publicand private sector stakeholders whose views on the public record are necessary for a thoroughand systematic investigation of the alternatives. Certainly we will invite you and/orSubcommittee staffers (e.g. Mr. Deschamps) to that meeting, as well as the appropriate Housecommittee people. Thank you again for the opportunity to assist you and the Subcommittee in seeking a satisfactoryresolution to the very complex and difficult public information resources management challengesthe NTIS shutdown and transfer poses. We hope you will see your way clear to ask us to proceedalong the lines we've suggested here.Sincerely yours,Robert S. WillardExecutive DirectorCC: Chairperson Jeanne H. SimonATTACHMENT 4: CHRONOLOGY/BIBLIOGRAPHY OF DOCUMENTS ANDEVENTS RELATIVE TO NTIS, JANUARY 26, 2000[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Chronoloxy/Bibliography of Documents and Events Relative To NTIS' Position inthe Department of CommerceCHRONOLOGY/BIBLIOGRAPHY OF EVENTS RELATIVE TO NTIS'POSITION IN COMMERCEPrepared by Sarah T. KadecJanuary 26, 2000"* no effort was made to be comprehensive."* selections were made to show the variety of options presented over time.1945 Executive Orders 9568 and 9604 Providing for the Release of Scientific Information. 10FR 6917 and 10 FR 10960.Created Publications Board (PB) and authorized it to disseminate domestic and foreignWorld War II technical reports to industry.-27-

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U.S. National Commission on Libraries and Information Science1946 E.O. 9809 Providing for the disposition of certain war agencies.Merged the PB into a new unit, the Office of Technical Services (OTS), located in theDepartment of Commerce.1950 Technological, Scientific, and Engineering Information Act; to provide for thedissemination of technological, scientific and engineering information to Americanbusiness and industry and for other purposes. 81 st Congress. Public Law 81-776.Directs the Secretary of Commerce "to establish and maintain a clearinghouse for thecollection and dissemination of scientific, technical and engineering information."1954 Department of Commerce Order 157. 19 FR 8045.Developed and implemented policy governing dissemination of unclassified scientific,technical and economic information through OTS.1958 Improving the availability of scientific and technical information in the United States.Washington, DC, President's Science Advisory Committee, December 7, 1958. (Bakerreport)Recommended against creation of a centralized government information center; forcreation of a Science information Service within NSF.1962 Task Force to the President's Special Assistant for Science & Technology. Scientificand technological communication in the government, -task force report.Washington, DC, OTS, April 1962. AD 299545. (Crawford Report)Translations recognized as a form of special information product; agreement betweenOTS and the John Crerar Library.Required DOC to process information from domestic and foreign sources and make itavailable to state and local governments and other Federal agencies, as well as American industry, business and the public. (Some conflict of interpretation and understandingwith responsibilities assigned to NSF in Title IX, NDEA 1958 arose)."It is the policy of this Act, to the fullest extent feasible and consistent with theobjectives of this Act, that each of the services and functions provided herein shall beself-sustaining or self-liquidating and that the general public shall not bear the cost ofpublications and other services which are for the special use and benefit of privategroups and individuals; ....."These provisions of the Act have apparently influenced the limitation of funds allocatedto OTS. The resources provided to OTS over the years could not support an effectiveclearinghouse effort of the type intended by the Congress.Recommendations to establish within the Executive Branch a Government-wide clearinghouse capability for documents reporting the results of R&D work; retrospectivesearch and retrieval services of Federally supported, organized collections of scientificand technological information and for coordinated access to Federally supported specialized information centers and services. (Also currently and planned R&D andformal sci-tech meetings supported by the Federal Government).-28-

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Preliminary Assessment of the Proposed Closure of the NTISTransfer of Technical Information Division, OTS, resources and responsibilities to therecommended clearinghouse.OTS's "STINFO mission is quantitatively a minor portion of the over-all activities ofthe Department of Commerce and has never received emphasis from high administrativelevels in that organization." "Past experience has shown that serious problems ofinteragency cooperation arise when an agency with operating responsibilities is givenGovernment-wide jurisdiction in that same area."1963 President's Science Advisory Committee. Science, Government and Information; heresponsibilities of the technical community and the government in the transfer ofinformation. Washington, DC, The White House, January 10, 1963. (Weinberg Report).Not in favor of proposed Department of Science or single organization for Government'stotal information system."A communication system controlled by the people it serves may in some respects beless efficient than a monolithic government system; it has, however, the overriding meritof being sensitive to the needs of its customers. It was as much as anything to preservethis essential quality of the present rather haphazard information system that the BakerPanel recommended against establishing an all encompassing, Government-operatedinformation system in which control, however well meaning and beneficent its intent, isremoved from the practitioners.""We believe that OTS should be given enough support so that it can announce promptly and supply inexpensively a copy of any declassified Government technical report to anycustomer -in short, that it should become a complete Government technical reportssales agency."1965 Clearinghouse for Federal Scientific and Technical Information (CFSTI) created inNBS. 30 FR 1207.Replaced OTS in Department of Commerce; began to issue consolidated index ofFederal scientific and technical reports.1965 Dr. Mortimer Taube, Documentation, Inc., proposed CFSTI as an independentorganization.1970 Department of Commerce Order 30-7A. 34 FR 14475.CFSTI renamed NTIS and empowered to act as major Federal clearinghouse for STI andbusiness and statistical information; designed to be largely self-supporting.1970 Assistant Secretary for Science and Technology in the Department of Commercerecommends NTIS become a corporation.1975 U. S. Congress. House Committee on Science and Technology, Subcommittee onDomestic and International Scientific Planning and Analysis, Intergovernmentaldissemination of Federal research and development results, Oversight hearings, 94th-29-

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U.S. National Commission on Libraries and Information Science Congress, 1 st Session. Washington, DC, U.S. Government Printing Office, November1975, Report no, 94-48.STI discussed generally in terms of needs of state/local governments, especially reNTIS; Federal technology transfer programs also described.1975 U. S. Congress, House, Committee on Science and Technology. National Science andTechnology Policy and Organization Act of 1975. Report together with additionalviews, 94th Congress, 1 st Session, Washington, DC, Government Printing Office,October 29, 1975. Report no. 94-595, to accompany H. R. 10230.--The National Science Policy and Organization Act of 1975, Hearings, 94th Congress,1st Session. Washington, DC, June 1975 (on H, R. 4461 and H. R. 7630), CommitteePrint no. 15.--A proposed National Science Policy and Organization Act of 1975. 94th Congress,1st Session, Washington, DC, 1975. Committee Print, Serial C.--A Bill -National Science Policy and Organization Act of 1975. HR 4461, 94thCongress, 1st Session, March 6, 1975. (Resulted in P.L. 94-282 in 1976)Create a new Science and Technology Information and Utilization Corporation, mergingNTIS, SSIE and NSF/DSI into it. Rationale: (1) STI is one of the nation's leadingcommodities and therefore could be handled by a corporate structure and (2) it may bedesirable to make Federal STI dissemination efforts completely or partially self-sustaining. Contains a chronology of Federal Executive Branch science organization from 17871975 and a list of selected references regarding Federal science policy and organizationfrom 1951-1975.1976 National Science & Technology Policy, Organization and Priorities Act of 1976. P. L.94-262.1970 Assistant Secretary for Science and Technology in the Department of Commercerecommends NTIS become a corporation.1975 U. S. Congress. House Committee on Science and Technology, Subcommittee onDomestic and International Scientific Planning and Analysis. Intergovernmentaldissemination of Federal research and development results, Oversight hearings,94th Congress, 1st Session. Washington, DO, U. S. Government Printing Office,November 1975, Report no. 94-48.STI discussed generally in terms of needs of state/local governments, especially reNTIS; Federal technology transfer programs also described.1975 U S. Congress, House, Committee on Science and Technology. National Science andTechnology Policy and Organization Act of 1975. Report together with additional views,94th Congress, 1st Session, Washington, DO, Government Printing Office, October 29,1975. Report no. 94-595, to accompany H R. 10230.-The National Science Policy and Organization Act of 1975, Hearings, 94th Congress,1st Session. Washington, DC, June 1975 (on H, R. 4461 and H. R. 7630), CommitteePrint no, 15.-A proposed National Science Policy and Organization Act of 1975. 94thCongress, 1st Session, Washington, DC, 1975. Committee Print, Serial C. -30-

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Preliminary Assessment of the Proposed Closure of the NTIS-A Bill -National Science Policy and Organization Act of 1975. HR 4461, 94thCongress, 1st Session, March 6, 1975. (Resulted in P.L. 94-282 in 1976)Create a new Science and Technology Information and Utilization Corporation, mergingNTIS, SSIE and NSFIDSI into it. Rationale: (1) STI is one of the nation's leadingcommodities and therefore could be handled by a corporate structure and (2) it may bedesirable to make Federal STI dissemination efforts completely or partially self-sustaining.Contains a chronology of Federal Executive Branch science organization from 1787-1975 and a list of selected references regarding Federal science policy and organizationfrom 1951-1975.1976 National Science & Technology Policy, Organization and Priorities Act of 1976. P. L.94-262.See notes above relating to bill, Committee prints and report.1976 Whalen, Bruce G. and Joyce, Charles C., Jr., Scientific and technical information:options for national action, prepared for the National Science Foundation, Divisionof Science Information by Mitre Corporation, Metrek Division. Washington, DC,U. S. Government Printing Office, November 1976."...SSIE and NTIS represent the only Federal mechanisms whose mandates cut across allmissions and disciplines; ... the only centralized sources of STI which deal withdissemination of all Federally sponsored research and development results."1980 Stevenson-Wydler Technology Innovation Act of 1980. P. L. 96-480, 94 Stat. 2311.Directed the Department of Commerce to create the Center for the Utilization of FederalTechnology (CUFT).1980 Commerce Technical Advisory Board's (CTAB) working group on STI Policies examines the role of NTIS and possible alternatives to present operations.1981 Functions of the Smithsonian Science Information Exchange (SSIE) transferred to NTIS.SSIE superseded by Federal Research in Program (FEDRIP); available online throughDIALOG.1981 Assistant Secretary for Communications in Department of Commerce asks theInformation Industry Association (IIA) to consider whether the private sector could offerNTIS products. Task Force recommends contracting out entire operation.1984 President's Private Sector Survey on Cost Control: Report to the President by ChairmanJ. Peter Grace. (the Grace Commission). P13 84-161 587.Specifically recommended that NTIS not be privatized, citing the need for an expandedNTIS role in R&D coordination.1984 Based on IIA recommendations, NTIS is zeroed out of FY 1984 budget; Commerce reviews task force report, appeals to OMB for restoration; OMB approves restoration.-31-

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U.S. National Commission on Libraries and Information Science1984 NTIS issues Federal Register notice seeking vendors to distribute technical reports; noresponses.1985 Assistant General Counsel for Administration in Department of Commerce issuesopinion that NTIS has legal authority to price its products higher than cost, providedthey are reasonable.1985 OMB asks Commerce to convene an industry/government working group on privatizingNTIS.1986 Japanese Technical Literature Act of 1986. P.L. 99-382, 100 Stat. 811.Amended the Stevenson-Wydler Innovation Act of 1960; authorized NTIS and otheroffices within the Department of Commerce to acquire and translate selected Japanesetechnical reports and documents of value to Federal agencies and U. S. industry.1986 NTIS holds meeting on privatization.1987 OMB directs privatization of NTIS in FY 1988 passback. H. R. 2160 amends NTISreauthorization to prohibit privatization pending further study.1987 Vlannes, N. P. et al. National Technology Center: A national public service report.PB 87-174 728.Proposed a National Technology Center as a new "national library" and as a focal pointfor public access to Federal STI; would incorporate NTIS.1987 U. S. Congress. House Committee on Science, Space and Technology;Subcommittee on Science Research and Technology. Hearing on the privatizationof the National Technical Information Service, Washington, DC, U. S. GovernmentPrinting Office, 1987. Y4.Sci 2:100/5.First hearing on NTIS privatization; testimony on the benefits and dangers of turning itover to the private sector.1987 U. S. Congress, House Committee on Science, Space and Technology,Subcommittee on Science Research and Technology. Scientific and technicalinformation: policy and organization in the Federal Government (H.R. 2159 andH.R. 1615); house hearings. Washington, DC, U S. Government Printing Office,1987. Y4. Sci 2:100/36.Discussed policy options for governing the collection and dissemination of STI,including establishing a National Technical Information Corporation as a whollyowned government corporation under the Secretary of Commerce, and a GovernmentInformation Agency to collect and distribute results of Federal R&D.1988 On January 6, a notice was issued in the Commerce Business Daily to announce aplanned January 29 conference with potential bidders on a contract for performanceof NTIS services.1988 On January 29, a pre-bidders conference was held at the Department of Commerce.-32-

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Preliminary Assessment of the Proposed Closure of the NTIS1988 Omnibus Trade and Competitiveness Act of 1988 (See Title V, TechnologyCompetitiveness Act). P.L. 100-418, 102 Stat. 1107.Prohibited NTIS privatization and required the Secretary of Commerce to report recommendations to Congress regarding NTIS modernization.1988 U.S., Congress, Office of Technology Assessment. Informing the Nation: Federaldissemination in an electronic age. Washington. DC, U.S. Government PrintingOffice, October 1988. OTA-CIT-396.Addresses proposals to (1) retain NTIS in DOC; (2) as a government corporation, (3)consolidate with SuDocs, either within GPO or part of a new Government Information Office; (4) consolidate with LC.1988 National Technical Information Act (NTIA) of 1988. P. L. 100-519 102 Stat, 2589.Creates new Technology Administration with NTIS (called the National TechnicalInformation Center (NTIC) as a government corporation) as an integral part, ending theprivatization controversy by ensuring NTIS to be a governmental function. Containedlanguage stating that the Congress "remains unalterably opposed to contracting outNTIS or major functions or activities of the agency." Specific responsibilities assigned to NTIS by NTIA;Establish and maintain a permanent repository of non-classified scientific, technical andengineering information; cooperate and coordinate its operations with other Governmentscientific, technical and engineering information programs; enter into contracts, cooperative agreements, joint ventures and other transactions with outside firms, inaccordance with all relevant provisions of Federal law; levy reasonable fees to operateon a self sustaining basis and, for the first time, to utilize net revenues for the acquisitionof capital equipment; make its bibliographic information products (including, but notlimited to, catalogs, indices, abstracts, and newsletters) available in a timely manner todepository libraries as a part of the Depository Library Program of the GovernmentPrinting Office; upon request and as appropriate, provide technical assistance andservices to Federal agencies, consistent with the policy of the NTIA that all services andfunctions be self-sustaining or self-liquidating to the fullest extent feasible; inconjunction with the private sector as appropriate, to collect, translate into English, anddisseminate unclassified foreign scientific, technical, and engineering information; implement new methods or media for the dissemination of scientific, technical andengineering information.1988 Wood, Fred (OTS). Informing the Nation: Federal information dissemination in anelectronic age. Washington, DC, Congressional Joint Committee on Printing (JCP). OTA-CIT-396, Y3. T22/2:2 In 3/9, PB 89-114 243.Outlined strategies for GPO, Depository Library Program (DLP), and NTIS.1988 Privatization: toward more effective government, report of the President'sCommission on Privatization. Pr 40.8 P 92/P 29. (the Linowes Commission).Privatization of NTIS was not recommended'-33-

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U.S. National Commission on Libraries and Information Science1990 Stewart, Robert Keith. Access and efficiency in Reagan-Era information policy: Acase study of the attempt to privatize the National Technical Information Service.(doctoral dissertation). University of Washington. 91-04302.Concluded that by the mid-1980s there was an apparent shift in the direction of Federal information resource management policy away from access toward the idea ofefficiency.1991 American Technology Preeminence Act (ATPA) of 1991.Operating costs associated with the acquisition, processing, storage, bibliographiccontrol, and archiving of information and documents would be recovered primarilythrough the collection offees (specifically no longer called "appropriations"'.The head of each Federal executive department or agency was required to transfer ina timely manner andprescribedformat to NTIS unclassified scientific, technical, andengineering information that results from Federally funded R&D activities. TheSecretary of Commerce was directed to issue regulations within one year outlining procedures for the ongoing transfer of such information to NTIS.Required a report that would include a revised detailed modernization plan, a businessplan, and certification that NTIS had employed a CFO and begun taking reasonablesteps towards strengthening its accounting system.Clarified NTIS' joint venture authority granted under NTIA.Required the Secretary of Commerce to perform a feasibility study of establishing andoperating a Federal Online Information Product Catalog (FEDLINE) at NTIS that wouldserve as a comprehensive inventory and authoritative register of information productsand services disseminated by the Federal government and assist Agencies and the publicin locating Federal Government information.Amended the NTIA to allow NTIS to produce and disseminate information productselectronically.1993 House Committee on Science, Space and Technology, Subcommittee onTechnology, Environment, and Aviation. The National Competitiveness Act of1993, Hearings. Washington, DC., U. S. Government Printing Office, 1993. H. R.820, Y4.SCI 2:103/13.Includes "The National Technical Information Service Business Plan", July 1992. Theplan includes a discussion of consensus viewpoints derived from numerous studies inthe 1980's. "Privatization was ruled out by Congress ...... [as] inappropriate from apublic policy prospective [and] would be counter productive from an operationalstandpoint. The information and data sets.... are taxpayer assets and should be subject topolicy determinations of the Federal Government. A single private firm would find itdifficult if not unmanageable to maintain ongoing acquisition relationships with thevarious Government information source agencies". NTIS commits to incorporate furtherstudy of organizational changes into its long-term planning, "in recognition of theimportance of continuing the cross-Government consensus to preserve NTIS' dualcharacter -that of a public Agency and that of a self-supporting enterprise".-34-

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Preliminary Assessment of the Proposed Closure of the NTIS1995 House Committee on Science. Restructuring the Federal scientific establishment; dismantling of the Department of Commerce, Hearing. 104th Congress, 1st session.Washington, DC, U, S. Government Printing Office, September 12, 1995.Congressman Walker (PA.) proposed to move Commerce Science and Technologyprograms into a new Department of Science or, failing that, to transfer some of thosefunctions to the Department of Energy.Secretary Brown: NTIS as a self-supporting Federal agency is not an appropriatetarget for privatization as has been proposed. As part of our reinvention efforts willseek to provide NTIS with increased flexibility to use commercial business practices,be granted waivers, and be accountable for agreed-upon performance gains.Congressman Sheila Jackson Lee: Several attempts have been made to privatizeNTIS; it has been well documented that no commercial entity could be found toassume its responsibilities. Principal of government is that it should be heldresponsible for how the taxpayers' money is spent. Allowing a private entity to thenresell this information to the same public that paid for it seems to me to be unfair andunacceptable.Question of who would control the archives if it were owned by a foreign government;would that government control people's access to that information.Jean G, Mayhew, Chairman, NTIS Advisory Board. The NTIS Advisory Boardadvocates the reorganization of NTIS as a government corporation with governmentretaining full policy control to assure that public good functions are maintained.Government corporation status provides NTIS the necessary flexibility to operate as asmall business rather than a bureaucracy.Disadvantages of NTIS being sold to the private sector: collection lacks copyrightprotection; it could be legally reproduced by a competitor; once in the hands of theprivate sector, there is no guarantee that the documents would be managed in the bestinterests of the Nation; if the collection fell into the hands of a foreign company, itwould decide which documents would remain available to the public, how much wewould have to pay, or whether they could be destroyed. By privatizing NTIS, its missionand collection of information is no longer in the public interest; its access to federalagencies is limited, and it loses its status in dealing with other governments to obtaininformation for dissemination within the United States.Congressman Brown, Jr.: In 1988, when the Committee on Science rejected the idea ofprivatizing the National Technical Information Service, Sherry Boehlert said "NTIS -orreally its users -have been sentenced to privatization, despite the verdict of numerousstudies, each determining that the agency should remain within the government."-35-

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U.S. National Commission on Libraries and Information ScienceATTACHMENT 5: SUMMARY OF THE PUBLIC STAKEHOLDER MEETINGS[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Summary of Three NCLIS-Sponsored Public Stakeholder MeetingsSUMMARY OF THREE NCLIS-SPONSORED PUBLIC STAKEHOLDER MEETINGSNTIS CLOSURE AND TRANSFER MATTERThe U.S. National Commission on Libraries and Information Science held three public meetingsto address the announcement made by Secretary Daley of the Department of Commerce inAugust 1999, to close the National Technical Information Service (NTIS), and transfer itscollections and bibliographic database to the Library of Congress. The first meeting was held at the Benton Foundation in Washington, D.C. on January 19, 2000,and was based on invitations extended to a limited number of pre-identified stakeholders whomthe Commission believed would represent a broad cross-section of groups which had a stake or aninterest in the Commerce proposal.The second meeting was held in the Rayburn House Office Building on February 4, 2000, and the public at large was invited.The third and final meeting was held in the Russell Senate Office Building on February 29, 2000,and, once again, the public at large was invited. A Federal Register notice was published onFebruary 14, 2000, invited the public to attend and explaining the background and purpose of themeeting.Participants in all three meetings, and their affiliated organizations, are listed in an attachment.The Commission indicated in all three meetings that it was fulfilling its statutory mandate andcharter to both the President and the Congress by trying to play an "honest broker" role inbringing the various stakeholder groups together so that they could interact and exchange factsand opinions in a free and open environment without the burden of necessarily officially representing their respective parent organizations. Unofficial, informal transcripts of themeetings were sent for review and correction to each participant that spoke and remarks werethen published for internal participant review. An official, formal transcript of the meetings wasnot made.On February 17, 2000 at its regular meeting in Los Angeles, the National Commission approved for public review and comment an "Emerging Consensus Position Paper" that embodied the keyfindings, conclusions, and recommendations which the Commission believed were, at that pointin time, emerging and enjoyed at least a working consensus of support among the participants. Itwas pointed out that no pretense to complete unanimity was being made.The aforementioned position paper was posted to the NCLIS web site and comments were requested by March 10, 2000, and attention to the document was invited by means of an NCLISpress release, notice on bulletin boards and listservs, e-mail messages, letters to associations andsocieties inviting them to publicize the NCLIS document, and by other means. Comments were received from dozens of individuals and groups, and many of those were published on the web site. A list of documents posted to the NCLIS web site is also attached.-36-

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Preliminary Assessment of the Proposed Closure of the NTISAt the third and final public meeting held on February 29t, the announcement was made that the position paper would be transformed into a final report to the President and the Congress, andparticipants asked to be given one final opportunity to review and critique the NCLIS final report.On March 13, 2000, the Commission published a draft of its final report entitled "PreliminaryAssessment of the Department of Commerce Proposal to Close the National TechnicalInformation Service and Transfer its Collections and Functions to the Library of Congress."Reviewers were advised that their comments would have to be received by the Commission bycob Wednesday, March 15, 2000, in order to be considered.Final comments were received and taken into account in the preparation of the final report, whichwas published on March 16, 2000.Attachments1. Complete List of Public Meeting Participants2. List of NCLIS Web Site Documents PublishedComplete List of Public Meeting ParticipantsCOMPLETE LIST OF PUBLIC MEETING PARTICIPANTSPrudence Adler Association of Research Libraries+Nancy Allard National Archives and Records Administration*+Kenneth Allen National Newspaper Association*+Mary Alice Baish American Association of Law Libraries+ Ernest Baldwin Government Printing Office Lewis Bellardo Deputy Archivist of the United States, NARA*Michael Bracy Bracy Associates (representing Chief Operating Officers of State LibraryAgencies, COSLA)Lynne Bradley American Library Association+ Jennifer Bramlett Science Applications Information CorporationMelanie Brown Joint Committee on Printing/Joint Committee on the LibraryFrancis Buckley Superintendent of Documents+Bonnie Carroll Consultant, Executive Director, CENDI+Joan Challinor NCLIS+Louisa Day President, Local 1627, National Federation of Federal Employees*+Melvin Day Former Director of NTIS, Retired*+Paul A. De Giusti The McGraw-Hill Company Blane Dessy Department of Education (representing the Federal Library andInformation Center Committee, FLICC)+Miriam Drake Georgia Institute of TechnologyDan Duncan Policy ConsultantJennifer Edelman George Mason University+Terri Fish House Committee on ScienceRobert Gellman Gellman AssociatesKennie Gill Senate Committee on Rules and AdministrationMartha Gould NCLIS+Jeff Greene House Committee on ScienceDon Hagen Bernan AssociatesWoody Horton NCLIS Consultant*+Richard Huffine Environmental Protection Agency+-37-

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U.S. National Commission on Libraries and Information ScienceMichael Jarvis General Accounting Office+Sarah Kadec NCLIS Consultant*+Barbie Keiser College of InsuranceWayne Kelley Former Superintendent of Documents, RetiredSarah Kadec Consultant, NCLIS*Nancy King Johns Hopkins University Applied Research LabLenoard Kruger Congressional Research ServiceJohn Latham Special Libraries AssociationMary Beth Lawler Government Printing Office+ David LeDuc Software and Information Industry Association*+Laura Madden Bracy Associates (representing Chief Operating Officers of State Library Agencies, COSLA) William Magee The Catholic University of AmericaGeorge Marling Mitre CorporationEric Massant Reed Elsevier, Inc.Gary McCone National Agriculture LibraryPatrice McDermott OMB Watch*Stephen Miller House Committee on House AdministrationKurt Molholm Director, Defense Technical Information Center*+Peyton Neal PRN Associates*+Steve Needle NTIS*+ Miriam Nisbet American Library Association Jonathan Orszag Department of Commerce*Michal Quear House Committee on ScienceFranklin Reeder The Reeder GroupJudith Russell NCLIS*+Pamela Russell Library of Congress*Vicki Severietti The Catholic University of America Andrew Sherman Government Printing Office* Kent Smith National Library of MedicineTimothy Sprehe Sprehe Information Management AssociatesAl Stapleton General Accounting OfficeNye Stevens General Accounting OfficeJohn Stevenson University of Delaware (representing American Library Association Government Documents Roundtable, GODORTWinston Tabb Library of Congress Anneliese Taylor George Mason UniversityClaudette Tennant American Library AssociationPeter Urbach Former Director of NTIS, Retired*Rosalie Vlach NCLIS*+ Walter Warnick Department of Energy* Linda Washington National Center for Health Statistics Robert Willard NCLIS*+Where neither an "*" or "+" symbol appear, attended only the January 19th meeting*Attended both the January 19th and February 4 meetings+Attended both the January 19th and February 29th meetings*+Attended all three meetings-38-

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Preliminary Assessment of the Proposed Closure of the NTISList of Documents About the NTIS Assessment Posted to or Linked from the NCLISWebsite as of March 15, 2000Source: (http://www.nclis.gov/info/ntis/ntis.html)NTIS CLOSURE AND TRANSFER Department of Commerce's Plan to Close the National Technical Information Service"* Preliminary Assessment of the Department of Commerce Proposal to Close the NationalTechnical Information Service and Transfer Its Collection and Functions to The Library ofCongress -A Report to the President and the Congress Prepared by the United StatesNational Commission on Libraries and Information Science -March 13, 2000"• Revised Comments on Emerging Consensus Position Paper, Proposed NTIS Closure byLinda M. Kennedy, Head, Government Information and Maps Department, University ofCalifornia, Davis -March 10, 2000"* Supplemental Views, American Library Association by Chadwick Raymond, Chair ALACommittee on Legislation -March 10, 2000"* Comment on the NCLIS "Emerging Consensus Position Paper" by Melvin S. Day, FormerDirector, NTIS -March 10, 2000"* Comments on behalf of Software and Information Industry Association (SIIA)by Ken Wasch, President -March 10, 2000"* American Association of Law Libraries (AALL) Supplemental Comments on the ProposedNTIS Closure & Transfer -March 6, 2000"* The Los Angeles Times published an editorial entitled "Science Information in Peril" aboutthe closure of NTIS. The full text may be viewed at the following URL address: http://www.latimes.com/news/comment/20000301/t000019809.html -March 1, 2000"* Department of Commerce Letter to LA Times Editor on preceding editorial -March 7, 2000"* ALA letter to NCLIS Executive Director: Comment on the NCLIS "Emerging Consensus Position Paper." -February 29, 2000"* RESOLUTION ON NO-FEE PERMANENT PUBLIC ACCESS TO SCIENTIFIC ANDTECHNICAL INFORMATION (STI) Adopted by the Council of theAmerican Library Association, San Antonio, TX -January 19, 2000"* NTIS: Proposed Closure and Transfer of Functions -NCLIS Powerpoint presentation formeeting -February 29, 2000"* COSLA letter to NCLIS Executive Director re: NTIS Proposed Closure & Transfer ofFunctions -February 28, 2000"* NCLIS Guidelines for Consideration of Alternatives Relating to the NTIS Closure & Transferof Functions -February 27, 2000"* Comments on NTIS: Proposed Closure and Transfer of Functions -Statement by BernadineE. Abbott Hoduski, Government Information Advisor (Retired Professional Staff Member,U.S. Congress, Joint Committee on Printing) -February 25, 2000"* Joint Statement, MLA, SLA, ARL & AALL -February 25, 2000"* Draft Agenda, NTIS: Proposed Closure and Transfer of Functions Second Special Meeting, February 29, 2000 -February 23, 2000"* U.S. Environmental Protection Agency (EPA) Office of Solid Waste (OSW) -Comments onthe Proposed Closure and Transfer of Functions of NTIS -February 22, 2000"* National Federation of Federal Employees -The Union's Perspective on the future of NTIS -February 17, 2000-39-

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U.S. National Commission on Libraries and Information Science"* NTIS: Proposed Closure and Transfer of Functions Activity or Service Matrix -February 15, 2000"* Press Release -NCLIS to Hold Meeting on NTIS Closure (meeting on February 29, 2000) -February 8, 2000"* Historical Considerations of NTIS, Sarah T. Kadec -February 7, 2000"* NTIS: Proposed Closure and Transfer of Functions -NCLIS Powerpoint presentation formeeting -February 4, 2000"* Final Agenda, NTIS: Proposed Closure and Transfer of Functions Second Special Meeting,February 4, 2000 -February 4, 2000"* Toward a National Library of Science and Technology: Building on the Present -Creating theDigital Future by Bonnie C. Carroll and Gail M. Hodge (October 12, 1998) -For the SecondMeeting of the National Commission on Libraries and Information Science on theDepartment of Commerce's proposed closing of the National Technical Information Service -February 4, 2000Note: The source information on this document contains some word processing softwaresymbols and codes, which govern formatting conventions, but which the NCLIS system isunable to interpret or understand. Therefore, some users may have difficulty downloading thedocument, or have difficulty reading some of the text. We apologize for this inconvenienceand suggest that the document originator be contacted if required"* Second Statement by Peter F. Urbach, Former Director of NTIS, For the Second Meeting ofthe National Commission on Libraries and Information Science on the Department ofCommerce's proposed closing of the National Technical Information Service -February 4,2000"* The Future of the NTIS Function Independent of Organizational Location by Peter F. UrbachPowerpoint Slide Presentation -February 1, 2000"* Where Should the NTIS Function Be Located Organizationally? by Peter F. UrbachPowerpoint Slide Presentation -February 1, 2000"* Participant Invitation List, Second Special NTIS Closure/Transfer Expert Meeting, February4, 2000 -January 27, 2000"* Invitation Letter to Participants to Attend February 4, 2000 Meeting -January 27, 2000"* Chronology/Bibliography of Events Relative to NTIS' Position in Commerce, Prepared bySarah T. Kadec -January 26, 2000"* Remarks regarding the future of NTIS by Miriam A. Drake, Dean and Director of Libraries,Georgia Institute of Technology Library and Information Center -January 20, 2000"* Invitation Letter to the Benton Foundation Meeting -January 19, 2000"* Participant Invitation List, NTIS Closure/Transfer Expert Meeting, January 19, 2000"* NTIS: Proposed Closing & Transfer of Functions Meeting, Attendees by Category -January19,2000"* Agenda -January 19, 2000"* NTIS: PROPOSED CLOSURE & TRANSFER OF FUNCTIONS Powerpoint SlidePresentation -January 19, 2000"* Statement of Peter F. Urbach, Former Director of NTIS for the Benton Foundation Meetingof the U.S. National Commission on Libraries and Information Science on the Department ofCommerce's proposed closing of the National Technical Information Service -January 19,2000"* National Technical Information ServicePerforming a Vital Public Service, but Facing an Impossible Problem -Walter Warnick"* The End of the National Technical Information Service? -J. Timothy Sprehe-40-

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Preliminary Assessment of the Proposed Closure of the NTIS"* Comments Relating to the Proposed Closure and Transfer of NTIS Functions from theDepartment of Commerce to the Library of Congress by Wayne Kelley, FormerSuperintendent of Documents, Government Printing Office (GPO) -January 18, 2000"* Technical Impacts of the Closing of NTIS, CENDI Input from 10 Member Executive BranchAgencies -1999"* Letter to The Honorable Bill Frist -December 10, 1999"* Responses to Questions Submitted by Senator Bill Frist to Commissioner Joan R. Challinor -October 21, 1999"* Oral Testimony Handout -Commissioner Joan Challinor -October 21, 1999"* Prepared Senate Committee Testimony -Commissioner Joan Challinor -October 21, 1999"* Statement of Caroline C. Long on behalf of the American Association of Law LibrariesAmerican Library Association, Association of Research Libraries, Medical LibraryAssociation, Special Libraries Association before the Subcommittee on Technology HouseScience Committee on the Proposed Closing of the National Technical Information Service -September 14, 1999"* Letter to The Honorable Constance M. Morella -September 13, 1999"* Letter to The Honorable William M. Daley -August 16, 1999Link to:"* GODORT, the Government Documents Round Table of the American Library Associationwould like to comment on the proposed closure of NTIS. Our statement is currently availableat http://www2.lib.udel.edu/godort/nclis/."* ALA Resolution on Government Printing Office FY 2000 Salaries and ExpensesAppropriations -last modified February 17, 2000"* President's Budget for Fiscal Year 2001 referring to NTIS Federal Funds, IntergovernmentalFundspages 227 and 228 (pages 33 and 34 in the Adobe Acrobat program)"* President's Budget for Fiscal Year 2001 referring to National Technical Information ServiceNTIS Revolving Fund page 1222 (page 6 in the Adobe Acrobat program)15 U.S. Code"* CHAPTER 23 -DISSEMINATION OF TECHNICAL, SCIENTIFIC AND ENGINEERINGINFORMATION"* CHAPTER 63 -TECHNOLOGY INNOVATION"* U.S. Senate Science and Technology"* Senate Hearing Record"* A Report on the National Technical Information Service (NTIS) Prepared by the Departmentof Commerce"* NCLIS Principles of Public Information Adopted by the U.S. National Commission on Libraries and Information Science on June 29,1990-41-

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U.S. National Commission on Libraries and Information ScienceATTACHMENT 6: SUMMARIES OF SPECIAL MEETINGS FEDERALCENTRAL INFORMATION SERVICE ORGANIZATIONS, THE OFFICE OFMANAGEMENT AND BUDGET (OMB) AND THE INFORMATION INDUSTRY[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Summary of Meetings with the Office of Management and Budeet. the Software andInformation Industry Association, and Selected Private Sector RespondentsSUMMARY OF MEETINGS WITH THE OFFICE OF MANAGEMENT AND BUDGET,THE SOFTWARE AND INFORMATION INDUSTRY ASSOCIATION, AND SELECTEDPRIVATE SECTOR RESPONDENTSDuring the months of January, February and March, 2000, NCLIS Executive Director RobertWillard, Deputy Director Judith Russell, and NCLIS Consultants Woody Horton and SarahKadec met with, or made telephonic or e-mail contact with Mr. Stephen Suh, OMB Examinerresponsible for NTIS, Mr. David LeDuc and Mr. Peyton Neal representing the Software andInformation Industry Association, as well as Mr. Dan Duncan and Mr. Ken Allen, formerexecutives of the former Information Industry Association, and several other knowledgeable individuals for the purpose of soliciting their views on the NTIS closure and transfer matter.First, Mr. Neal and Mr. LeDuc thought the idea of holding a special meeting at the Commissionfor the purpose of exchanging views on the industry's perspective of the NTIS closure matterwould be very helpful. A meeting has tentatively been scheduled for April 2000. Both Mr. Duncan and Mr. Allen endorsed this idea. All individuals also agreed to the idea of a panelcomposed of both government and industry officials to help evaluate the alternatives in front ofthe Commission, would also be helpful. The Commissions 1980-1981 experience with the former Public Sector/Private Sector Task Force in the Integration in Providing InformationServices could be used as a model for either or both of these endeavors.Second, in the meeting with Mr. Suh on March 6 2000, there was a cordial exchange of views onthe role of NCLIS in the matter, the background of the public meetings and research that had beenundertaken, the various "deliverables" that NCLIS had already, or was planning to produce, andsuggestions from both parties on further research needs. Mr. Suh's name had already been placedon the NCLIS e-mail distribution list to receive copies of these deliverables, and Mr. Suh wasalready aware generally of the contents of the NCLIS web site. Mr. Suh confirmed that his"budget side of the OMB house," rather than the "management side of the OMB house" whichincludes OIRA was taken the lead on this matter because it was considered a reorganizationmatter primarily. However, Mr. Suh acknowledged that the matter did raise and involve severalFederal information policy questions and considerations.-42-

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Preliminary Assessment of the Proposed Closure of the NTISSummary of Meetings With the Library of Congress, the National Archives andRecords Administration, and the Superintendent of Documents, U.S. GovernmentPrinting Office and the Head of the Government Information Technology ServicesBoardSUMMARY OF MEETINGS WITH SENIOR OFFICIALS OFTHE GOVERNMENT PRINTING OFFICE, THE LIBRARY OF CONGRESS, AND THENATIONAL ARCHIVES AND RECORDS ADMINISTRATION, AND WITH THE HEAD OF THE GOVERNMENT INFORMATION TECHNOLOGY SERVICES BOARD (ALSO DEPUTY HEAD OF THE CIO COUNCIL)On February 7, 2000 the Executive Director met with the Francis J. Buckley, The Superintendentof Documents of the Government Printing Office and Lewis Bellardo, the Deputy Archivist of theUnited States. In a follow-on telephone conversation later the same day he also discussed substantively the same matters with the Associate Librarian of Congress for Cataloging, WinstonTabb.In this meeting the Executive Director requested that each of the three major Federal informationservice organizations, GPO, NARA, and LC, reaffirm precisely what their positions werecurrently with respect to the NTIS closure and transfer matter. In each case these officialsindicated that first and foremost in their view was the need to ensure that whatever course ofaction the government eventually adopts, there should be no erosion in a satisfactory level ofservice to the public, which NTIS had been providing for many years. In short, regardless of theorganizational location of the NTIS organization, that overarching goal must be kept in mind.That said, in each of the three cases the officials made clear to NCLIS that:"* None of them could or would be able to assume all of the NTIS functions, services, andassets, and perform them at the same minimal satisfactory level that they had beenperformed historically, without various kinds of statutory, budgetary, policy, and othermodifications;"* None of them could or would be able to assume the functions without additional funding;"* All agreed that there was a need for appropriation financing for the "inherentlygovernmental functions," which could be solicited from the Congress either by modifyingtheir own "normal" appropriation requests, or via a separation appropriation; and"* All agreed that there was a need to ensure that the views of the authorization andappropriation committees must be clarified and made public before their respective organizations would be able, themselves, to take a public position.All of the officials endorse the broad course of action the Commission was planning to follow,namely, the request to the President and the Congress to shift financing for the inherently governmental functions from a self-sustaining basis to an appropriation basis. Moreover, allagreed that time was needed to study all of the alternatives, and the eighteen month April 1, 2000-September 30, 2001 to undertaken that "in-depth assessment" seemed reasonable.On February 25, 2000, the NCLIS Executive Director met with Al Pesachowitz, Deputy CIO ofthe Environmental Protection Agency, and "double-hatted" as head of the GovernmentInformation Technology Services Board (GITSB) and member of the (Federal) CIO Council.The purpose of this meeting was to ensure that the broad question of how to strengthen the-43-

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U.S. National Commission on Libraries and Information Science dissemination of government information to the public was, indeed, "on the agenda" of the GITSB and the CIO Council. Mr. Pesachowitz reassured the Executive Director that, indeed, itwas a high priority item for them even though they have been preoccupied with many other ITrelated issues such as the Y2K problem, the Internet security problem, the Internet privacy ofinformation problem, and many others.The Commission pointed out that there were four specific areas that it commended to theattention of GITSB and the CIO Council that were of paramount importance to it in the context ofthe broad dissemination of government information to the public issue:"* Permanent public accessibility;"* Permanent records retention;"* Preservation; and"* Authentication.There are some additional important issue areas, but the above four are the ones that are foremost,and were all intimately involved in the GPO/Westat study, which also involved the Federalagency CIOs.It was agreed that NCLIS and the CIO Council would establish and maintain a workingrelationship and Mr. Willard promised to write Mr. Pesachowitz a letter as soon as practicable tosuggest some concrete ways the two organizations could work more closely and effectively together.ATTACHMENT 7: NCLIS FEDERAL REGISTER NOTICE SEEKING PUBLIC COMMENT ON THE NTIS CLOSURE[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Federal Register Notice on the Proposed Closure and Transfer of Functions of NTIS,February 14,2000[Federal Register: February 14, 2000 (Volume 65, Number 30)][Notices][Page 7398]From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr 14fe00-79]NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCE Open MeetingAGENCY: National Commission on Libraries and Information Science.Matter to be considered: Proposed Closure and Transfer of Functions of National TechnicalInformation Service (NTIS)-44 -

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Preliminary Assessment of the Proposed Closure of the NTISSummary: In fulfillment of its statutory mandate to advise the President and the Congress onnational and international library and information policies and plans, the Commission has beenstudying the proposal made in August 1999 by Secretary of Commerce William Daley to closethe National Technical Information Service (NTIS) and transfer its collections, functions,services, and assets to the Library of Congress. The Commission has convened two meetings ofinterested parties for the purpose of allowing them to comment and to offer recommendations.More than 75 major stakeholders representing federal agencies, libraries and the private sectorparticipated in the earlier meetings resulting in narrowing the number of options being consideredfor the future of NTIS.In an effort to ensure that all interested parties have the opportunity to be heard, NCLIS isscheduling one additional meeting to review a draft of the Commission's findings. TheCommission will then review all comments, before making its final recommendation to Congressand the Administration.Date and Time: Tuesday, February 29, 2000 at 9:00 a.m. until 3:00 p.m.Place: 253 Russell Senate Office Building.Letters to legislators and NCLIS testimony before the Senate Subcommittee on Science, Technology and Space, Committee on Commerce, Science and Transportation as well as comments, reports and summaries of the earlier meetings can be viewed on the NCLIS web site athttp://www.nclis.gov/info/ntis/ntis.html. Anyone wishing to make comments on the deliberationsor to present statements may contact Woody Horton at (202) 606-9200 or through e-mail atwhorton@nclis.gov no later than 10:00 a.m. February 25, 2000. All comments received will bemade publicly available on the NCLIS website.To make special arrangements for physically challenged persons,contact Barbara Whiteleather (202) 606-9200.Dated: February 9, 2000. Robert S. Willard, Executive Director, NCLIS.[FR Doc. 00-3364 Filed 2-11-00; 8:45 am]BILLING CODE 7527-01-MATTACHMENT 8: NCLIS PRINCIPLES OF PUBLIC INFORMATION[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Principles of Public InformationPRINCIPLES OF PUBLIC INFORMATIONPreambleFrom the birth of our nation, open and uninhibited access to public information has ensured goodgovernment and a free society. Public information helps to educate our people, stimulate ourprogress and solve our most complex economic, scientific and social problems. With the comingof the Information Age and its many new technologies, however, public information has-45-

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U.S. National Commission on Libraries and Information Science expanded so quickly that basic principles regarding its creation, use and dissemination are indanger of being neglected and even forgotten.The National Commission on Libraries and Information Science, therefore, reaffirms that theinformation policies of the U.S., government are based on the freedoms guaranteed by theConstitution, and on the recognition of public information as a national resource to be developedand preserved in the public interest. We define public information as information created, compiled and/or maintained by the Federal Government. We assert that public information isinformation owned by the people, held in trust by their government, and should be available tothe people except where restricted by law. It is in this spirit of public ownership and public trustthat we offer the following Principles of Public Information.Principles1. The public has the right of access to public information.Government agencies should guarantee open, timely and uninhibited access to public informationexcept where restricted by law. People should be able to access public information, regardless ofits format, without any special training or expertise.2. The Federal Government should guarantee the integrity and preservation of publicinformation, regardless of its format.By maintaining public information in the face of changing times and technologies, government agencies assure the government's accountability and the accessibility of the government'sbusiness to the public.3. The Federal Government should guarantee the dissemination, reproduction, andredistribution of public information.Any restriction of dissemination or any other function dealing with public information must bestrictly defined by law.4. The Federal Government should safeguard the privacy of persons who use or requestinformation, as well as persons about whom information exists in government records.5. The Federal Government should ensure a wide diversity of sources of access, private aswell as governmental, to public information.Although sources of access may change over time and because of advances in technology,government agencies have an obligation to the public to encourage diversity.6. The Federal Government should not allow cost to obstruct the people's access to publicinformation.Costs incurred by creating, collecting and processing information for the government's ownpurposes should not be passed on to people who wish to utilize public information.7. The Federal Government should ensure that information about government informationis easily available and in a single index accessible in a variety of formats.The government index of public information should be in addition to inventories of informationkept within individual government agencies.8. The Federal Government should guarantee the public's access to public information,regardless of where they live and work, through national networks and programs like theDepository Library Program.-46-

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Preliminary Assessment of the Proposed Closure of the NTISGovernment agencies should periodically review such programs as well as the emergingtechnology to ensure that access to public information remains inexpensive and convenient to thepublic.ConclusionThe National Commission on Libraries and Information Science offers these Principles of Public Information as a foundation for the decisions made throughout the Federal Government and thenation regarding issues of public information. We urge all branches of the Federal Government,state and local governments and the private sector to utilize these principles in the development ofinformation policies and in the creation, use, dissemination and preservation of publicinformation. We believe that in so acting, they will serve the best interests of the nation and thepeople in the Information Age.Adopted by the U.S. National Commission on Libraries and Information ScienceJune 29, 1990ATTACHMENT 9: LOS ANGELES TIMES EDITORIAL, MARCH 1, 2000, ANDSECRETARY DALEY'S LETTER TO THE EDITOR,MARCH 6,2000[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Los Angeles Times Editorial. "Science in Peril," March 1, 2000Reprinted with the permission of the Los Angeles Times.WEDNESDAY, MARCH 1, 2000 Science Information in Peril For half a century a small federal agency called the National Technical information Service hasbeen the repository for federally funded scientific, technical and engineering information. Nowthe Commerce Department wants to shut it down, saving about $4 million a year it is true that theservice's paper-based delivery systems are outmoded and that many documents are available freeon the Internet. But some functions are still vital. That's why Congress, rather than supportingthe Clinton administrations hasty plan, should fully fund the agency for at least another year Inthat time, the U.S. National Commission on Libraries and Information Science can study how tomodernize or replace the agency.The Commerce Department says the Technical Information Service is obsolete because federalagencies now post their documents on the Web. However, two-thirds of the reports requestedfrom the service are 3 to 1 0 years old and agencies seldom post such older data. Moreover,Michael F. DiMario, an official of the Government Printing Office, recently told Congress that onthe Web "documents are put up and taken down by federal agencies virtually at random. Withouta policy of permanent public access, there is no assurance that a document seen on the Web bythe public today will be available next week."-47-

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U.S. National Commission on Libraries and Information ScienceCongress should also see that someone in Washington carries on important tasks of the TechnicalInformation Service like tracking down publicly funded research results that have not beenpublicly posted, a function required by federal law. The agency itself may not be needed, but itdoes important work that should be continued.Secretary Daley's Letter to the Editor of the Los Angeles Times, March 7, 2000Reprinted with the permission of the Los Angeles Times.TUESDAY, MARCH 7,2000We agree with you that the National Technical Information Service "does important work thatshould be continued." That is why our proposal-contrary to what your March I editorialsuggests-does not completely eliminate NTIS. We propose to shut down the parts of NTIS that duplicate other government programs or compete with the private sector. But we do not proposeto eliminate the core clearinghouse function, which collects and disseminates federally fundedscience and technical information. And, contrary to your editorial, I believe our plan wouldprovide the public better access to scientific and technical information.As the U.S. National Commission on Libraries and Information Science found, the currentbusiness model of NTIS is fundamentally flawed. In an Internet age, this small agency cannotsupport itself. We must do something this year to ensure that this agency does not go bankrupt.Our proposal is a "good government" measure; it gets rid of the unnecessary and outmoded partsof NTIS and puts the important information collection and disseminating function at anorganization that specializes in information collection and dissemination.WILLIAM M. DALEY Secretary of CommerceWashingtonATTACHMENT 10: ADDITIONAL TECHNICAL DATA AND SUPPORTING DOCUMENTATION[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Purpose of This AttachmentThe purpose of this attachment is to bring together certain technical data and information whichsupports selected key points in the main report, and which the Commission believes could be veryhelpful to the Presidential and Congressional decision-making processes required to satisfactorilyresolve the NTIS matter. Because the data is of a relatively detailed and specific nature, it wouldhave been inappropriate for inclusion in the body of the main report.The contents include:* Core List of NTIS Activities, Services and Assets, Classified on the Basis of Whether Mandated or NTIS-Initiated-48-

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Preliminary Assessment of the Proposed Closure of the NTIS"* NCLIS Guidelines for the Evaluation of Alternatives Considered in This Assessment"• Some Assumptions and Constraints Considered in This Assessment"* Key Excerpts from Department of Commerce Inspector General's Report on the NTIS"* Key Excerpts from Department of Commerce Report on the NTIS"* Key Excerpts from the Arthur Andersen Report to the Department of Commerce on NTIS"* FY 2001 President's Budget -NTIS Accounts"• Major Cost Components of the $1.6 Million NTIS Estimate for Expanding Federal Depository Library Access to NTIS Reports"* Selected List of Legislation, Rules and Regulations Impacting NTIS Mission and Functions"* Draft Key Provisions of Existing and Proposed Legislative AmendmentsCore List of NTIS Activities. Services and Assets, Classified on the Basis of WhetherMandated or NTIS-InitiatedThis is detailed list of core NTIS activities, services, and assets, annotated as to whether eachactivity, service or asset is explicitly mandated in a statute, or whether it is an activity or servicewhich NTIS initiated on its own authority.NTIS: PROPOSED CLOSURE AND TRANSFER OF FUNCTIONSIn the Column Labeled MANDATORY OR NTIS INITIATED,M Explicit Mandate (in statute)N = NTIS Initiated/OptionalMANDATORYItem OR NTISNumber ACTIVITY OR SERVICE INITIATED*1 ]Historical Collection 1MlA Ensured Permanent Availability for Agencies & Public M2 Foreign Information Collection M2A Translations M2B Copyright Releases N2C International Sales Agent Agreements N 3 Domestic Information Collection M3A Website Harvesting N3B Proactive Data Collection M3C Statutory Submission M4 Bibliographic Control/Indexing & Abstracting M4A Performed by NTIS M4B Integrated from Publishing Agencies (DTIC, DOE, etc.) N4C Publication of Bibliographic Index/Database M4C Leasing NTIS Database-49-

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U.S. National Commission on Libraries and Information ScienceMANDATORYItem OR NTISNumber ACTIVITY OR SERVICE, continued INITIATED*5 Scan Documents for Storage/Reproduction N6 Customer Support Services N6A User Support/Help Desk N6B Database/Software Documentation N7 Dissemination Services (Paper, Microfiche, Software, CD-ROM, etc.) M7A Selected Research in Microfiche (SRIM) N7B Standing Orders N7C Subscriptions (e.g. Word News Connection) N 8 Sales (Paper, Microfiche, CD-ROM, Software, Audio-Visual, etc.) M8A On-Demand Duplication M8B Sales from Inventory M8C Process Orders for Fulfillment by Others (e.g. U.S. Publishers) N9 Technology Transfer M19A I FEDRIP (Research in Progress)10 FEDWORLD (Website) N I OA FEDLINE (locator) Demonstration MI11 Ilnternational Trade Center Bookstore N12 Services to Federal Agencies12A FOIA Fulfillment N12B Website Hosting N12C FDLP Compliance N12D Archive Legacy Documents/Data N12E Order Processing/Billing Services N 1 2F Marketing Agency Publications N12G Database Licensing N12H Serve as Official Repository to Meet Agency NARA Obligations N121 Fulfillment of Agency Distribution Requirements N121-1 IRS Forms & Documents N12J Publishing Agency Bibliographic Tools N12K Publishing Agency CD-ROM Products NItemNumber ASSET13 Employees-50-

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Preliminary Assessment of the Proposed Closure of the NTISItemNumber ASSET, continued14 Existing Leases14A Facilities14B Equipment15 Existing Contracts15A Joint Ventures15B Subscription Services15C Deposit Accounts15D Service Contracts (CD-ROM Duplication, etc.)15E Dialog & Other Database Vendors116 IRevolving Fund/Retained Earnings117 JAdvisory BoardNote. The classification of activities and services as either mandatory or self-initiated ispreliminary, and subject to further verification and validation during the course of theCommission's in-depth assessment to follow. Even though the "mandated or NTIS-initiated" annotation is not made for the assets listed at the bottom of the list, the assets are included in theinterests of trying to be as inclusive as possible in identifying all NTIS functions and activities.NCLIS Guidelines for the Evaluation of Alternatives Considered in This AssessmentThe following are guidelines which the Commission plans to follow in evaluating the pros andcons, and the benefits and costs, of the various alternatives to be considered. These guidelineswere developed with the assistance of the various stakeholder groups with whom the Commissionmet on several occasions. There are three "levels" of guidelines arranged in a nested hierarchicalfashion, beginning first with the most general principles, then those which apply to STI, then guidelines pertaining to the mission and role of NTIS. A fourth and final list of guidelines arecorrelated with general principles of management and analytical methodology, not necessarilylinked specifically to NTIS or STI.I. GENERAL GUIDELINES1. The public has a right to government information.2. The government should maximize the availability of its information to the public, andminimize information withheld from the public, subject to the appropriate safeguards,restrictions and protections relating to national security, privacy, confidentiality, and soforth.3. The public has a right of easy, fair, and equitable access to government information. Thisincludes the further harmonization of the bibliographic control systems (LC/MARC &COSATI) used to catalog, organize, and disseminate scientific and technical information.-51 -

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U.S. National Commission on Libraries and Information Science4. The government should ensure the integrity, authenticity, and preservation of itsinformation.5. The government should develop and put in place as quickly as possible a comprehensiveand authoritative locator and finding system for use by the public to access Government information regardless of its location.6. Individual Federal agency dissemination initiatives are very commendable, but areinsufficient by themselves without strengthened coordination and augmentation.7. The public and private sectors should work together to facilitate multiple and diversepublic information sources, products, and services.II. SCIENTIFIC AND TECHNICAL INFORMATION GUIDELINES1. Scientific and technical information (STI) produced or acquired by the government is astrategic and critical national asset.2. The cost of the life cycle management of STI, including dissemination and permanentpublic access, should be an integral cost of research and development.3. The American economy benefits substantially from the diffusion of R&D STI.4. STI collections must be made permanently publicly accessible.5. Scientific and technical official records must be scheduled and retained permanently.6. Scientific and technical data and documents must be preserved regardless of media andformat, and protected from loss, including technological change.III. THE ROLE AND MISSION OF NTIS1. The statutory mission of NTIS is fundamentally sound because foreign and domestic STIis critical to the advancement of science, and the growth of the U.S. economy.2. Some NTIS functions are inherently governmental in nature, should be considered apublic good, and therefore funded by Congressional appropriations. This includes theacquisition, storage, bibliographic control and archiving of Federally-funded R&Dinformation and data.3. Some NTIS functions could be self-supported or privatized. This includes such activitiesas sales, marketing and order processing for value-added services.4. The current NTIS business model is flawed and needs to be reconfigured andmodernized, taking into account greater utilization of the full range of World Wide Web and Internet features and capabilities.5. Changes to the NTIS business model should take into account consultations withstakeholders both inside and outside of government.-52-

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Preliminary Assessment of the Proposed Closure of the NTISIV. ADDITIONAL GUIDELINES1. Based on consultations with stakeholders, NCLIS will narrow as much as possible thenumber of alternatives to be presented in its final report.2. Pros and cons for evaluating and comparing alternatives will be based on specific criteriaagreed upon by the stakeholders.3. The assessment of the final alternatives presented will also take into account the explicitassumptions and constraints agreed upon by the stakeholders.Some Assumptions and Constraints Considered in This AssessmentSome preliminary assumptions and constraints which the Commission believes may have abearing on its evaluation of alternatives, but which have not yet been validated with thestakeholder groups (but will be before utilization), include:1. Some mandated NTIS Activities, Services, or Assets may be eliminated;2. Some mandated NTIS Activities, Services, or Assets may be better operated on acentralized basis, but others might best be operated on a distributed and/or decentralized basis, and the distinction should be studied carefully;3. Even if NTIS were retained in the Department of Commerce, closed down, or itsactivities transferred elsewhere, its statutory framework will have to be modified;4. With the same caveats expressed in 3 above, NTIS's policy framework will have to bemodified;5. With the same caveats expressed in 3 above, NTIS's budgetary framework will have tobe modified;6. With the same caveats expressed in 3 above, NTIS's finance and accounting frameworkwill have to be modified;7. No alternative to be considered will fulfill all of the criteria identified in Para. C,Guidelines, above, in an "ideal, 100%" fashion;8. Hybrid solutions (that is, a mixture of the elements of several alternatives) is at leastpossible and feasible, if not entirely likely; and9. The full range of both domestic and foreign, both historical collections vs. ongoingcollections, both inherently governmental functions vs. NTIS self-initiated functions,bibliographic control alternatives, and the preparation of documents for retention anddissemination, must be considered.Key Excerpts from Department of Commerce Inspector General's Report on theNTISOn March 19, 1998, Acting Inspector General Johnnie E. Frazier sent a letter, subject: "Audit ofNTIS's FY 1997 Financial Statements Audit Report No. FSC-9867-8-0001" to Dr. Donald R.Johnson, (former) Director of NTIS.Attached to that document was the DOC IG's "Semiannual Report to the Congress," dated March31, 1997.On page 12 of that report, under the caption "NTIS Expansionary Activities," the following isquoted:-53-

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U.S. National Commission on Libraries and Information Science"We recently completed a program evaluation of the National TechnicalInformation Service's operations, including its CyberFile project for the InternalRevenue Service (IRS). We found that in pursuing its mandated responsibilities,NTIS has generally worked effectively with other federal agencies to increase itsinventory of the nation's scientific, technical and engineering information, incompliance with the American Technology Preeminence Act (ATPA)."However, we are very concerned about the expansionary efforts and activitiestaken on by NTIS based on (1) its interpretation of the agency's authority under ATPA, (2) a push to generate new revenues, and (3) a general desire to expandits operations. We are concerned that some of these tasks are on the border of --if not outside --NTIS's authority and statutory mission. Also, poorly chosenexpansionary projects potentially detract from NTIS's ability to fulfill its primaryand traditional mission."A prime example is NTIS's attempt to develop for IRS a system capability thatwould enable U.S. taxpayers with home computers to submit their tax returnselectronically. Unfortunately, CyberFile --a $22 million project, NTIS's largestever --was poorly managed on many fronts, and NTIS's role in the projectbecame the subject of GAO, OIG, IRS internal audit, and congressional concernsand criticism."Key Excerpts from Internal Department of Commerce Report on the NTISThe Department of Commerce prepared a special report entitled "A Report on the NationalTechnical Information Service (NTIS)," in 1999 that was published before Secretary ofCommerce Daley's August 1999 proposal to close down NTIS and transfer its collections andbibliographic database to the Library of Congress.In this report, under the caption "Options considered," the following appears:"In the fall of 1998, the Department contracted with Andersen Consulting toobtain an independent review of NTIS operations. Andersen identified potentialmarket and product opportunities to improve the financial performance of NTIS.The Department considered these suggestions and several others. In the spring of1999, the Department identified and refined three long-term options that wouldaddress NTIS's difficult financial situation and ensure the continuation of publicaccess to important government information, while also considering the needs ofNTIS's workforce."The Department considered options to 1) maintain NTIS at Commerce andrequest annual appropriations to both permit NTIS to digitize the most recent ten years of its collection and to fund the clearinghouse, 2) maintain current NTISoperations while seeking annual appropriations to supplement declining clearinghouse revenues, cutting costs where possible, and 3) seek a one-timeappropriation to close NTIS and transfer the collection and documentdissemination to another organization."Of the three options considered, the Department estimated that the third wouldrequire the least cumulative appropriations through fiscal year 2004. TheDepartment estimates that it would require about $14 million and the receipt of -54-

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Preliminary Assessment of the Proposed Closure of the NTISthe transfer of about $3 million over the next five years. Options I and 2 couldeach require as much as $30 million through fiscal year 2004."Option 3 ensures continued public access to government scientific, technicaland engineering information because it will be available through the Library ofCongress and directly from the agencies creating the information. The proposed legislation will include new provisions to ensure that agencies fulfill their two-fold obligations to post their documents on their web sites and provide electroniccopies to the Library."It should be noted that the Department selected the Library of Congress for thetransfer of NTIS's collection and the maintenance of its bibliographic databases because the Library already houses a significant collection of scientific materialsof over several million volumes. Additionally, the public can access the Librarythrough online catalogs. The Department also considered the National Archivesand Records Administration and the Government Printing Office. TheDepartment is currently working with these organizations and other interestedparties in addressing specific issues to ensure the proposed legislation will enable the public to have the best possible access to scientific and technicalinformation."Key Excerpts from the Arthur Andersen Report to the Department of Commerce onthe NTISThe Department of Commerce contracted with Andersen Consulting in the fall of 1998 toperform an "independent comprehensive review" of NTIS operations, at the suggestion of theDepartment's IG (whose own report is referred to in preceding paragraphs). Their report, entitled "Developing a Market-Driven Growth Strategy" is dated December 17, 1998."Strategic Options and ConstraintsGiven the structural changes to the market, NTIS must develop and execute anew action plan to regain financial viability. While there is potential for profitimprovement, there are significant barriers to implementation. Obstacles includethe inability to copyright, restrictions on outsourcing and labor practices, and the mandate to perform the public good functions of collecting, inputting, andarchiving the U.S. government's scientific and technical information. Theseobstacles and obligations prevent NTIS from operating as a private business,even though it is required to be self-sustaining. NTIS must pursue one, or acombination of, three strategies to continue to finance the operation of theClearinghouse.NTIS's three options include:Increase profits. NTIS could increase profitability by identifying and acquiringmore best sellers, and/or decreasing costs. To generate the $25M in revenue andthus $5M in profits needed to finance NTIS's clearinghouse operations, afundamental shift in its marketing efforts will be needed. This will requireannual funding of $1-3 million for staff and $5-10 million to modernize for thestrategy. On the cost side, with current regulatory obstacles, NTIS will only beable to reduce costs by, at most, $500,000.-55-

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U.S. National Commission on Libraries and Information ScienceRemove competitive constraints. NTIS could seek legislative changes to allowmore competitive actions, such as advertising, a primary and often sole revenue source for NTIS competitors. However, this is currently not an option for NTISdue to public policy concerns. While Andersen Consulting did not look at costs,our best practice re-engineering experience suggests that with current obstacles removed, costs could potentially be cut between 10 and 20 percent.Obtain appropriations. NTIS could seek an appropriation to cover the risingmandated costs while allowing distribution costs to be covered by revenue.These costs are expected to rise 5% a year from their current level of $5.2million. An appropriation would enable NTIS to fulfill its mission as aclearinghouse to serve the public good. Moreover, it would level the playingfield with government agencies like GPO and STATS-USA which receivefunding to cover input costs."Note: The U S. National Commission on Libraries and Information Science, in this report, isrecommending the third option be pursued. No inference should be drawn, however, that in sorecommending this option, there is an attempt to "level the playing field" as the idea is espousedin the Andersen Consulting report. On the contrary, the Commission believes that allgovernment agencies with sales programs for the marketing and selling of governmentinformation to the public should be subject to the same consistent application of governmentinformation dissemination policies and regulations.FY 2001 President's Budget -NTIS AccountsNATIONAL TECHNICAL INFORMATION SERVICENTIS REVOLVING FUND(Supplemental now requested, existing legislation)Program and Financing (in millions of dollars) Identification code 13-4295-1-3-376 1999 actual 2000 est. 2001 est.Obligations by program activity:10.00 Total new obligations (object class 13.0) 4.5Budgetary resources available for obligation:22.00 New budget authority (gross) 4.523.95 Total new obligations 4.5New budget authority (gross), detail:Discretionary:42.00 Transferred from other accounts 4.5Change in unpaid obligations:73.10 Total new obligations 4.573.20 Total outlays (gross) ... 4.5Outlays (gross), detail:86.90 Outlays from new discretionary authority 4.5 -56-

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Preliminary Assessment of the Proposed Closure of the NTISNet budget authority and outlays:89.00 Budget authority 4.590.00 Outlays 4.5NOTE: This supplemental request would provide $4.5 million to the NTIS revolving fundfor the one-time costs of the shutdown of the NTIS. The Department of Commerce hasproposed legislation to close NTIS. As of the date of this NCLIS report, the Department has not changed its position in this regardMajor Cost Components of the $1.6 Million NTIS Estimate for Expandin! FederalDepository Library Access to NTIS ReportsNTIS has indicated that it would have to make some substantial infrastructure improvements toaccommodate the needs of 1,400 libraries and the increased number of "hits" expected. Themajor cost components identified by NTIS are:0 $800,000 for storage of images on hard-drives to replace the tape storage NTIS iscurrently using;* $400,000 for contractors to re-program an interface between the pilot and the NTISelectronic delivery system (ADSTAR), and ready the bibliographic database forsearching and ordering from the web;* $300,000 for additional Internet bandwidth for the program; and* $100,000 for database server upgrades to accommodate the increased utilization.0 Total: $1.6MNote. It is important to recognize that these are preliminary estimates, provided byNTIS, they have not been verified or validated as of the date of this report. Alternatives,such as the transfer of electronic reports to GPO for dissemination to the FederalDepository Libraries, have not been considered to determine the most cost-effectivemethod ofproviding access.Selected List of Legislation, Rules and Regulations Impacting NTIS Mission andFunctions"* Title 44, especially Chapters 17, 19, 31, 33, 35, and 41"• Atomic Energy Act of 1954"* Government Research and Development Patent Policy Act of 1984"* Federal Science and Technology Transfer Act of 1986"* Stevenson-Wydler Innovation Act of 1980"* Paperwork Reduction Reauthorization Act of 1995"* National Science and Technology Policy, Organization and Priorities Act of 1976"* Japanese Technical Literature Act of 1986"* American Technology Preeminence Act of 1991"* Executive Order 12591, "Facilitating Access to Science and Technology," April 10, 1987"* Executive Order 12881, "Establishing the National Science and Technology Council,"November 23, 1993"* OMB Circular A-130, "Management of Federal Information Resources," February 8,1996-57-

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U.S. National Commission on Libraries and Information ScienceDraft Key Provisions of Existing and Proposed Legislative Amendments1. Proposed language with respect to repealing the "collection of fees" requirement."Section 103(c) of title I of the American Technology Preeminence Act of 1991(Pub. L. 102-245, title I, Sec. 103, 106 Stat. 8) which provided for the fundingof activities described in Section 2(a) of this bill through the collection of fees, isrepealed."2. Proposed language with respect to clarifying the mission and functions of NTIS."Section 2 of the Stevenson-Wydler Technology Innovation Act of 1980 (15U.S.C. 3701) is amended by adding a new paragraph (12) as follows:"(12) It is in the public interest to ensure that decisions to acquire, collect andpreserve scientific, technical, and engineering information are made primarily onthe basis of enduring research, productivity, competitiveness and general publicinformation value, and not on the basis of sales potential. To this end, costsassociated with those functions which are inherently governmental in nature andconsidered a "public good" or "common good" should be borne by the public atlarge utilizing appropriated funds. The cost of marketing and selling informationproducts and services, on the other hand, should be borne by the consumer who isthe immediate beneficiary."3. Proposed language with respect to authorization of appropriations.(a) "For each of Fiscal Years 2001 and 2002, respectively, there is authorized tobe appropriated $5,000,000 for operating costs of the National TechnicalInformation Service associated with the acquisition, processing, storage,bibliographic control, conversion to electronic format, and archiving of scientificand technical information."(b) "For Fiscal Year 2001 there is authorized to be appropriated $1,600,000 toexpand to all depository libraries the pilot program instituted by the NationalTechnical Information Service and the Superintendent of Public Documents in1998 to improve free public permanent access to NTIS materials."Note: As pointed out in other sections of this report, these figures need to beverified and validated.4. Existing language with respect to user fee (USC Sec. 1153, P.L. 91-412 "Rules,regulations and fees:""It is the policy of this chapter, to the fullest extent feasible and consistent withthe objectives of this chapter, that each of the services provided herein shall beself-sustaining or self-liquidating and that the general public shall not bear thecost of publications and other services which are for the special use and benefitof private groups and individuals; but nothing herein shall be construed to requirethe levying of fees or charges for services performed or publications furnished toany agency or instrumentality of the Federal Government, or for publicationswhich are distributed pursuant to reciprocal arrangements for the exchange of-58-

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Preliminary Assessment of the Proposed Closure of the NTISinformation or which are otherwise issued primarily for the general benefit of thepublic."5. Existing language with respect to agency information dissemination responsibilitiesunder Public Law 104-13, 109 STAT. 163, the Paperwork Reduction Act of 1995:Section 3506(d) "with respect to information dissemination, each agency shall -(1) ensure that the public has timely and equitable access to the agency's public information, including ensuring such access through --(A) encouraging a diversity of public and private sources for informationbased on government public information;(B) in cases in which the agency provides public information maintained inelectronic format, providing timely and equitable access to theunderlying data (in whole or in part); and(C) agency dissemination of public information in an efficient, effective,and economical manner;(2) regularly solicit and consider public input on the agency's informationdissemination activities;(3) provide adequate notice when initiating, substantially modifying, or terminating significant information dissemination products; and(4) not, except where specifically authorized by statute --(A) establish an exclusive, restricted, or other distribution arrangement thatinterferes with timely and equitable availability of public informationto the public;(B) restrict or regulate the use, resale, or redissemination of publicinformation by the public;(C) charge fees or royalties for resale or redissemination of publicinformation; or(D) establish user fees for public information that exceed the cost ofdissemination."-59-

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U.S. National Commission on Libraries and Information Science-60-

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U.S. National Co issionio Libraries and Information Science1I10 Vermont Avenue, NW, Suite 820, Washington, DC 20005-3552Telephone: 202-606-9200; Fax: 202-606-9203; Web: www.nclis.gpv



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UNITED STATES NATIONAL COMMISSION ON LIBAIES AND INFORMATION SCIENCEPreliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressDISTRIBUTION $TRTRIRMNTAApproved for Publi RelaseDistribution Unlimited* NCLISU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORlMATION SCIENCE1110 Vermont Avenue, NW, Suite 820, Washington, DC 20W!5-352220070824020

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I 11 Vemon AvnueNWSuie 80, WshigtoXD 20005-3552Telphne:20-60-900;Fa: 22-06-20; Wb:www~ncis.govThe atinalComisson n Lbrares nd nfomaton ciece s a ermnen, idepndet aencof te fderl goemmntestblised n 170 wth he nacmentof ublc La 91345 ThCommisionis chrgedwith 0 adisig th Prsidnt ad te Cngres o th impemetaton o poicy coducingstuiessureys an anlyse ofthelibary nd nfomatona nees o th naion e apraiingtheadeqacis ad dficincis o curen libaryandinfrmaton esorce an

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UNITED STATES NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCEPreliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressMarch 2000SNCLISU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCE1110 Vermont Avenue, NW, Suite 820, Washington, DC 20005-3522

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United States National Commission on Libraries and Information ScienceMarch 16, 2000The PresidentThe White House Washington, DC 20500The Vice PresidentPresident of the Senate United States Senate Washington, DC 20510The Speaker of the HouseUnited States House of RepresentativesWashington, DC 20515Dear Mr. President, Mr. Vice President and Mr. Speaker:The United States National Commission on Libraries and Information Science (NCLIS) is anindependent agency charged by Section 5 of PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, Section 1504(a)(1) of Title20 says that the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate."In fulfillment of that statutory mandate, the Commission has been carefully studying the proposalmade in August 1999 by the Department of Commerce to close the National Technical InformationService (NTIS) and shift its paper, microfiche, digital archives, and bibliographic database to the Library of Congress.Soon after Secretary Daley's announcement, the Commission met with senior Departmental officials,as well as staff members of both the Senate and House committees holding jurisdiction over scienceand technology issues. All recognized the value of an independent examination of the Commerce proposal, and all participated in the Commission's public and working meetings, and other fact andopinion gathering activities during the September 1999 -February 2000 period.I am attaching our report, which documents results of the Commission's research, interviews, publicmeetings, government meetings, and other fact and opinion gathering efforts, and spells out fully ourspecific findings, conclusions, and recommendations. It is called a "preliminary assessment" becausewe plan to undertake an in-depth study of all alternatives later.

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Briefly, the Commission is recommending that:1. NTIS be retained in the Department of Commerce, at least temporarily for the balance of FY2000 and extending into FY 2001, in order to give the Commission, assisted by a broad groupof both public and private sector stakeholders, enough time to study thoroughly the pros andcons, and costs and benefits, of a small number of feasible alternatives, including (but notlimited to) the one formally announced by Secretary Daley last August (i.e. transfer NTIScollections to the Library of Congress);2. The Department of Commerce be allowed to utilize the $4.5M included in its SupplementalFY 2000 budget request (the NTIS Revolving Fund account) to keep NTIS operational for theremainder of FY 2000 at a satisfactory level of staffing and service, instead of using thosefunds to further downsize and close the agency;3. The Congress should authorize an appropriation of $5M (the estimated funding level required for a full fiscal year) for FY 2001 to sustain NTIS operations at a necessary satisfactory levelof service, and allow the Commission to complete its in-depth analysis; and4. Ensure that the final decision on how best to deal with the NTIS situation is not madeexclusively on the narrower, fiscally-driven ground of preventing NTIS from falling into adeficit because of the 1992 PL 102-245 Section 3704(b)-I requirement that operating costsshould be recovered primarily through the collection offees. As important as thatconsideration is, the government must also take into account the larger question of how, inthe Information Age, we can strengthen government information dissemination machinery tothe public, to private industry to enhance U.S. competitiveness, and to the U.S. scientificresearch communities. Inter-related concerns of permanent public accessibility, permanent records retention, preservation of materials, and authentication of official governmentholdings must also be addressed. The government must also consider the magnitude andconsequences of shifting costs from end-users to Federal agencies (and therefore thetaxpayer) as public access to Federal web sites accelerates.The value to the nation's economy that stems from the government's capital investment in thecapture, organization, permanent availability for, access to and dissemination of scientific andtechnical information (which the taxpayer has paid for already) for the public and for private enterprise, and for government agencies at all levels --Federal, State, local, and tribal, is enormousand far-reaching, and cannot be accurately estimated. But there is one inconvertible fact that in the Commission's view is the most compelling justificationfor keeping a strong NTIS, and that is that the $5 million estimated annual appropriation requirement represents less than 1/100'* of one percent of the total annual budget (currentlyestimated for FY 2001 to be about $80 billion dollars) for the Federal Government's research anddevelopment investment, which NTIS is charged with reporting. What a small price to pay for suchan incredibly valuable investment and asset! Moreover, the $5M represents less than 20% of the totalNTIS budget.We commend this report to your careful study, and stand ready to respond should you wish (1)additional amplification or clarification of the process we followed, and/or (2) to ask us to defend andjustify our findings, conclusions and recommendations.

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We are concurrently sending a copy of this report to the Secretary of Commerce, the Director ofNTIS, the Director of OMB, the Director of OSTP, and various members of the House and Senate committees with direct and indirect jurisdictional interest in this matter, and the many public andprivate sector stakeholder groups which have been assisting us. Copies are also being sent to theArchivist of the United States, the Public Printer, and the Librarian of Congress, all of whom have aninterest in the matter since they are all concerned with the collection, handling, and dissemination ofgovernment information to the public. Our Commission has over twenty years of experience in sorting out complex issues relating in someway to the dissemination of government information to the public, including clarifying public andprivate sector roles. The two White House Conferences on Library and Information Services, held in1979 and 1991, and the Public Sector/Private Sector Task Force on Providing Information Servicespublished in 1982, all were Commission-led endeavors that attracted nationwide participation andinterest.We stand ready to meet or assist you in whatever way we can so that this important but at the sametime complex matter can hopefully be resolved to the satisfaction of all concerned parties.Sincerely yours, Martha B. GouldChairperson

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Preliminary Assessment of the Proposed Closure of the NTISTABLE OF CONTENTSACKN OW LEDGEM EN TS .......................................................................................................... VA .T H E R O LE O F N C LIS .................................................................................................................... 1B. THE NCLIS PRELIMINARY ASSESSMENT PROCESS ............................................................. IC .F IN D IN G S ....................................................................................................................................... 2D .C O N C L U SIO N S .............................................................................................................................. 5E. RECOM M EN DATION S ......................................................................................................... 7F .FIN A L W O R D S ............................................................................................................................... 9ATTACHMENT 1. DEPARTMENT OF COMMERCE FACT SHEET AND PRESS RELEASE,AUGUST 12, 1999; AND NCLIS LETTER TO SECRETARY OF COMMERCE WILLIAMD A LEY A U G U ST 16, 1999 ................................................................................................................ 11FACT SHEET: Providing The American People Information For The 21 st Century: TheCommerce Department Proposes to Close NTIS and Ensure That People Can Receive TechnicalInform ation for Free over the Intem et ............................................................................................. 11Press Release: Commerce Secretary William M. Daley Announces Intention to Close NationalTechnical Inform ation Service ..................................................................................................... 13Letter from NCLIS Chairperson Jeanne Hurley Simon to Secretary of Commerce William M.D aley, A ugust 16, 1999 .................................................................................................................... 14ATTACHMENT 2: NCLIS LETTER TO REPRESENTATIVE CONSTANCE A. MORELLA,SE PT E M B E R 13, 1999 ....................................................................................................................... 15Letter from NCLIS Executive Director Robert S. Willard to Representative Constance A. Morella,S eptem ber 13 1999 .......................................................................................................................... 15ATTACHMENT 3: NCLIS TESTIMONY BEFORE THE U.S. SENATE COMMITTEE ONCOMMERCE, SCIENCE, AND TRANSPORTATION, SUBCOMMITTEE ON SCIENCE, TECHN OLOGY AN D SPA CE ....................................................................................................... 17Opening Statement of Commissioner Joan R. Challinor before the Subcommittee on Science,Technology and Space of the Senate Committee on Commerce, Science and Transportation,O cto ber 2 1 19 99 .............................................................................................................................. 17Prepared Statement of Commissioner Joan R. Challinor before the Subcommittee on Science,Technology and Space of the Senate Committee on Commerce, Science and Transportation,O ctober 2 1, 1999 .............................................................................................................................. 19Responses to Post Hearing Questions for the Record, November 8, 1999 .................................. 22Letter from NCLIS Executive Director Robert S. Willard to Senator Bill Frist, December 10, 1999.......................................................................................................................................................... 2 6

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U.S. National Commission on Libraries and Information Science ATTACHMENT 4: CHRONOLOGY/BIBLIOGRAPHY OF DOCUMENTS AND EVENTSRELATIVE TO NTIS, JANUARY 26, 2000 ................................................................................. 27Chronology/Bibliography of Documents and Events Relative To NTIS' Position in the Departmentof C om m erce .................................................................................................................................... 27ATTACHMENT 5: SUMMARY OF THE PUBLIC STAKEHOLDER MEETINGS ............... 36Summary of Three NCLIS-Sponsored Public Stakeholder Meetings .......................................... 36Complete List of Public M eeting Participants ............................................................................ 37List of Documents About the NTIS Assessment Posted to or Linked from the NCLIS Website as ofM arch 15, 2000 ................................................................................................................................. 39ATTACHMENT 6: SUMMARIES OF SPECIAL MEETINGS FEDERAL CENTRALINFORMATION SERVICE ORGANIZATIONS, THE OFFICE OF MANAGEMENT ANDBUDGET (OMB) AND THE INFORMATION INDUSTRY ........................................................ 42Summary of Meetings with the Office of Management and Budget, the Software and Information Industry Association, and Selected Private Sector Respondents ................................................. 42Summary of Meetings With the Library of Congress, the National Archives and RecordsAdministration, and the Superintendent of Documents, U.S. Government Printing Office and theHead of the Government Information Technology Services Board ............................................ 43ATTACHMENT 7: NCLIS FEDERAL REGISTER NOTICE SEEKING PUBLIC COMMENT ONTH E N T IS C L O SU R E ......................................................................................................................... 44Federal Register Notice on the Proposed Closure and Transfer of Functions of NTIS, February 14,2 0 0 0 .................................................................................................................................................. 4 4ATTACHMENT 8: NCLIS PRINCIPLES OF PUBLIC INFORMATION ................................ 45Principles of Public Inform ation ................................................................................................. 45ATTACHMENT 9: LOS ANGELES TIMES EDITORIAL, MARCH 1, 2000, ANDSECRETARY DALEY'S LETTER TO THE EDITOR, MARCH 6,2000 .................................... 47Los Angeles Times Editorial, "Science in Peril," March 1, 2000 ................................................. 47Secretary Daley's Letter to the Editor of the Los Angeles Times, March 7, 2000 ........................ 48ATTACHMENT 10: ADDITIONAL TECHNICAL DATA AND SUPPORTINGD O C U M EN T A T IO N ........................................................................................................................... 48Purpose of This A ttachm ent ....................................................................................................... 48Core List of NTIS Activities, Services and Assets, Classified on the Basis of Whether Mandated orN T IS -In itiated ................................................................................................................................... 49NCLIS Guidelines for the Evaluation of Alternatives Considered in This Assessment ............... 51Some Assumptions and Constraints Considered in This Assessment .......................................... 53Key Excerpts from Department of Commerce Inspector General's Report on the NTIS ........... 53Key Excerpts from Internal Department of Commerce Report on the NTIS .............................. 54Key Excerpts from the Arthur Andersen Report to the Department of Commerce on the NTIS ..... 55FY 2001 President's Budget -NTIS Accounts ............................................................................ 56Major Cost Components of the $1.6 Million NTIS Estimate for Expanding Federal DepositoryLibrary A ccess to N TIS Reports ................................................................................................ 57-ii-

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Preliminary Assessment of the Proposed Closure of the NTIS Selected List of Legislation, Rules and Regulations Impacting NTIS Mission and Functions ....... 57Draft Key Provisions of Existing and Proposed Legislative Amendments ................................. 58-iii

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U.S. National Commission on Libraries and Information Science-iv-

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Preliminary Assessment of the Proposed Closure of the NTISACKNOWLEDGEMENTSThe members and staff of the U.S. National Commission on Libraries and Information Scienceexpress their sincere appreciation to everyone contributing to the success of this assessment. Theircombined advice, guidance, suggestions, support and encouragement in the examination of thisimportant issue are most valuable. The Commission is particularly grateful to the individuals andorganizations that provided written statements and other materials.There are two experts in government information policy and management whose participation contributed greatly to the success of this effort. Forest Woody Horton and Sarah T. Kadec gatheredand evaluated historical documents about the National Technical Information Service, organized andmoderated the Commission's public meetings, meet with numerous stakeholders, compiled commentsand edited this report. The Commission is grateful for their extraordinary effort to make this studycomprehensive and inclusive under very tight time constraints.Finally, the members and staff of the U.S. National Commission on Libraries and InformationScience wish to express their gratitude for the leadership of Jeanne Hurley Simon who was chair ofthe Commission at the beginning of this assessment and who died of cancer on February 20, 2000, before it was completed. Her commitment to public access to government information was unwavering, and she challenged the Commission to confront the difficult and complex issues ofreassessing fundamental government information policies in light of rapid technological changes.

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U.S. National Commission on Libraries and Information Science-vi

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Preliminary Assessment of the Proposed Closure of theNational Technical Information Service (NTIS):A Report to the President and the CongressA. THE ROLE OF NCLISThe United States National Commission on Libraries and Information Science (NCLIS) is anindependent agency charged by Section 5 of PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, 20 U.S.C. 1504(a)(1)says that the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate."In fulfillment of that statutory mandate, the Commission has been carefully studying the proposalmade in August 1999 by the Department of Commerce to close the National TechnicalInformation Service (NTIS) and shift its paper, microfiche, digital archives and bibliographicdatabase to the Library of Congress (Attachment 1). An intensive study of this situation wasbegun in September 1999 after consulting with Department of Commerce officials and membersof both the Senate and House Committees holding jurisdiction over science and technologyissues. All recognized the value of an independent examination of the Commerce proposal, andall have participated in the Commission's public and working meetings.The Commerce Department's proposed action provides a timely "window of opportunity" tovastly improve public access to Federal scientific and technical information (STI). The "NTISissue," while an urgent and important challenge that must be resolved quickly because of theagency's precarious financial condition, should not be addressed narrowly, in isolation. Whilethe immediate crisis is primarily a fiscally-driven scientific and technical communicationproblem, this fact should not preclude examination of the larger and longer standing problem ofensuring effective, equitable, and efficient public access to Government information. TheCommission is committed to keeping the larger context in mind as it proceeds with both short andlonger-term actions.B. THE NCLIS PRELIMINARY ASSESSMENT PROCESSOur study contains five major components:I. An examination of nearly three dozen historical assessments that have been made in the lastfifty years or so, as well as the scholarly literature, involving some aspect of NTIS statutoryauthorities, operating functions and its range of services to Federal agencies, the public, andto American industry and business. The study also examined financial considerations,especially the overarching question of to what extent NTIS operations should be self-supporting (Attachment 2);2. Correspondence to the House Science Committee, and informal consultations with the SenateCommerce, Science and Transportation Committee, in connection with their respective

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U.S. National Commission on Libraries and Information Sciencehearings held in late 1999, and the appearance of NCLIS Commissioner Joan Challinor todeliver testimony at Chairman Frist's hearing held by the Science, Technology and SpaceSubcommittee of the Senate parent committee (Attachment 3); 3. The convocation of three public meetings, one on January 19, 2000 at the Benton Foundation,the second on February 4, 2000 in the Rayburn House Office Building, and the third onFebruary 29, 2000 in the Russell Senate Office Building, to which over 75 major stakeholders were invited, representing both users and policy officials from many different Federalagencies, private companies, professional societies of librarians and scientists, not-for-profitorganizations, and other groups, in both the public and private sectors, all of which aredirectly concerned with this matter (Attachment 4);4. Special consultations between the NCLIS Executive Director and top officials from three ofthe largest and most important Federal information organizations which house major central public information collections, and provide a wide range of major access and disseminationservices to the public. These are the Government Printing Office, the National Archives andRecords Administration, and the Library of Congress. Special meetings were also held withthe Office of Management and Budget (OMB) as well as the Software and InformationIndustry Association (SIIA) and other private industry representatives (Attachment 5); and5. Solicitation of the general public's views on the Commission's investigations into this matter,using the vehicle of an announcement in the Federal Register, and a final public meeting heldon February 29, 2000, as well as posting the draft report on the Commission web site andoutreach through several listservs (Attachment 6); hundreds of letters and e-mail messages were received from across the country.C. FINDINGSAfter considering all of the facts and opinions collected to date, the Commission finds that:1. First, the Commission reaffirms that the mandated NTIS mission is fundamentally sound and has very high strategic value to the US. economy. However the current NTIS business model is flawed and needs to be changed and updated. The requirement to self-fund activities mandated by Section 3704b-1 of 1992 PL 102-245 for activities that are inherentlygovernmental and therefore should be directly financed through appropriations is the basicflaw in the business model. Scientific and technical information is a critical national asset,and greatly enhances the ability of American private enterprise to (a) compete in foreign anddomestic markets, (b) increase productivity, (c) promote employment and real wage growth,and (d) enhance the standard of living. Such enhancements will depend to a large extent onthe rapid and efficient diffusion of R&D results (STI).2. Second, there is no single, clearly superior, straightforward, and speedy course of action thatthe President and the Congress can take to strengthen the current NTIS business model andcorrect long-standing problems without first effecting basic statutory remedies. Theseproblems include the current system for collecting, cataloging and indexing, storing, anddisseminating or providing access to STI via sales and public access programs. The rootproblem that precipitated the Department of Commerce's proposed action in the first place,namely, forcing NTIS to sustain the full range of its services on a self-sufficiency basisbecause of the afore-mentioned statutory obligations, mustfirst be corrected.-2-

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Preliminary Assessment of the Proposed Closure of the NTIS3. Third, the Congress should correct the basic statutory flaw in the NTIS business model by:" Either eliminating the 1992 PL 102-245, Section 3704b-1 statutory requirement that"operating costs for the NTIS associated with the acquisition, storage, bibliographiccontrol and archiving of information and data shall be recovered primarily through thecollection of fees "(underlining supplied); or"* Modifying the statute's language, or its interpretation by the Congress, so as to makeclear that operating costs can also be defrayed by appropriated funds.A broad consensus among the majority of the stakeholders and experts whose views theCommission has solicited, strongly supports this recommendation. There are also otherelements of the business model that will require changing an updating in the Internet Age.4. Fourth, the Commission believes that the collection, organization, making available, andproviding access to government information by the public is fundamentally a governmentalobligation. Therefore, in regard to NTIS:" The government should annually appropriate sufficient funds to finance those "commongood" or "public good" functions at projected workload levels (estimated to beapproximately $5M* for a full fiscal year, but perhaps somewhat less for the current yearFY 2000 because the year is already half over); and" If some NTIS functions and specialized Agency-specific publishing activities arereturned to the individual Federal agencies, a significant reduction of services to the public would undoubtedly result, and additional costs, such as start-up expenses, as wellas an increase in operating costs because of the loss of economies of scale currently beingrealized, would be incurred by those agencies. Moreover, those agencies would have toassume for themselves, or have replicated elsewhere, those publishing and disseminationservices NTIS currently provides if NTIS no longer offered them;5. Fifth, most of the reasons that have caused NTIS to go "into the red" in recent years areunintended consequences of the agency being pressured to comply with the statutory constraint to be self-supporting. In addition, in the opinion of the Department of Commerce Inspector General, this pressure has led NTIS to expand services to agencies and developproducts that are beyond its mission. If direct appropriation financing was forthcoming,NTIS would be expected to discontinue any such alleged "expansionary" activities.Moreover, when considering the desirability of creating value-added products and services,NTIS should not create such products and services where public-private partnerships orindependent private products and services can efficiently provide the desired added valueresult for users; and6. Sixth, more time is needed to investigate carefully the pros and cons, and the benefits andcosts of the Department of Commerce's announced plan to transfer the NTIS collections andsome operations to the Library of Congress, as well as the other alternatives the Commissionhas identified during the course of its fact-finding. Alternatives being considered can be sub-divided into categories. The first category of alternatives are those which do not require thecreation of a brand new, major institutional entity, and/or the substantial modification ofexisting statutory authorities, policies, or lines of business in order to accommodate transfer-3-

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U.S. National Commission on Libraries and Information Scienceof NTIS operations. As a consequence, these alternatives could be implemented in the 18-month timeframe April 1, 2000 -September 30, 2001. These options include, for example:"* Retaining NTIS in the Department of Commerce;"* Transferring collections and service responsibilities to the Library of Congress;"* Transferring collections and service responsibilities to the Government PrintingOffice; and"* Transferring collections and service responsibilities to the National Archives andRecords Administration.The second category of alternatives, on the other hand, would require the creation of a new,major institutional entity, and/or the substantial modification of statutory authorities, policies,and lines of business, or transferring the mission and roles to the private sector. In the case ofthe public sector, these alternatives may also require major adjustments in traditionalmissions, roles, and organizational cultures. Planning, negotiating, and overseeing the fullrange of legislative, structural, personnel, financial, and other infrastructure requirements thatwould inevitably be associated with such a major undertaking could not be accomplishedefficiently and effectively in the 18-month timeframe so as to ensure the option is fully inplace by September 30, 2001. These latter alternatives include the possibility of:"* Establishing a new national library of science, engineering, and technology;"* Transferring some or all of the NTIS collections and services to the NationalAcademy of Sciences, the National Science Foundation, or the SmithsonianInstitution;"* Creating a new independent agency as a service bureau to consolidate publicinformation dissemination functions now dispersed; and"* Privatizing some NTIS activities. None of the above-mentioned Federal (or private sector) entities, whether the first set of fourorganizations listed, or the second set of alternatives, could assume responsibility for all ofthe NTIS mission and programs without additional funding, including the option of allowingNTIS to remain in the Department of Commerce. Other alternatives that have also beenconsidered already, but rejected by the participating stakeholders, including:"* The establishment of NTIS as a quasi-governmental corporation;"* Transferring NTIS collections and services to a "lead host scientific and technical information intensive agency" (such as NASA, DOE, or DoD); or"* Transferring NTIS collections and services to GSA.NCLIS believes that a clear consensus to continue studying the above-mentioned three options simply does not exist, at least among the experts and concerned individuals with whom theCommission has thus far consulted. NCLIS is also aware that many of these alternatives have-4-

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Preliminary Assessment of the Proposed Closure of the NTISbeen addressed in Congressional hearings on, and private studies of, NTIS in the past. ThePresident and the Congress always reserve the option of revisiting these, or offering still otheralternatives for consideration.All alternatives will be considered by NCLIS during the suggested 18-month study period. Themere fact that the first category of alternatives could be accomplished within an 18-monthtimeframe, while an obvious advantage because minimal mission and role adjustments anddisruptions would be required does not necessarily make these alternatives the best ones. TheCommission's analysis must also consider the ultimate goal of modernizing and updating theFederal Government's overall public information policies, programs, and infrastructures. On theother hand, if the Commission found that one of the first category of alternatives is clearly superior in most key respects, it may not be necessary to look exhaustively at the remainder of theoptions although they would be considered.D. CONCLUSIONSAfter reflecting carefully on all of its findings, the Commission reached the following conclusionswith respect to the significance, implications, and consequences of the findings:1. The value to the nation's economy that stems from the government's capital investment in thecapture, preservation, permanent availability, and dissemination of scientific and technicalinformation for small entrepreneurs, students, faculty researchers, private enterprise, andgovernment agencies at all levels --Federal, State, local, and tribal --is enormous and far-reaching, and cannot be accurately estimated. However, the $5M* estimated annualappropriation requirement for NTIS operations represents less than 1/1 00'h of one percent ofthe total annual governmental research and development investment which NTIS ischarged with reporting. Currently this investment is estimated to be about $80 billiondollars for FY2001. Moreover, the $5M* represents less than 20% of the total current NTISbudget.2. All of the alternatives considered, including the proposal of the Secretary of Commerce, willrequire an appropriation of $5M per year to cover the basic public good acquisition andprocessing costs of NTIS. The availability of these funds, whether they come from theappropriation of one agency or another, should therefore not be a factor in the evaluation ofalternatives. By approving these funds for at least the balance of FY 2000 and FY 2001, theCongress would insure the proper continuation of NTIS at satisfactory service levels during the evaluation period, and an objective evaluation free of the funding issue which resulted inthe current proposal of the Secretary of Commerce.3. In the Commission's view, the key objective in the analysis of alternatives should be to findways to enhance the legislatively mandated functions and operations currently performed byNTIS. Priority should be given, roughly in order, to:Ensuring that the mechanisms needed to locate, capture, identify, organize,preserve, and make permanently publicly available and readily and fairlyaccessible the results of Federally-funded R&D, are sustained and strengthened,regardless of organizational location;-5-

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U.S. National Commission on Libraries and Information Science"* Creating a new vision of how NTIS should operate in the Information Age(which virtually everyone agrees we are now well into), including using the Webto a far greater degree, and in more creative ways; and"* Improving the NTIS "business model" by modernizing and updating its visionand mission, and recasting its lines of business so that its mission and goals canbe efficiently, effectively, and economically realized.4. Having the capability to download a report free on the Web, instead of paying for a hardcopy report of the same information, while undeniably of importance, is only one of manyconsiderations that must be taken into account in reconfiguring NTIS. The broader goal ofstrengthening the distribution channels for government information to many general andspecialized user publics must be considered. Criteria which must be considered include:"* Fairness and equity, especially as regards the special needs of disadvantaged, disabled and rural populations, which may neither have access to a home, office,or other computer, nor ready access to a depository or other library;"* A multiplicity and diversity of access and dissemination mechanisms, both publicand private;"* A multiplicity and diversity of information formats and mediums;"* A multiplicity and diversity of distribution channels, using both the Web,depository libraries, and other libraries and information centers, as well as moreconventional pre-electronic modes of delivery; and"* Greater use of on-demand modes and correspondingly less on "100% standingdistribution."The involvement of both public and private sectors in joint partnerships is essential to servingthe specialized and unique needs of all segments of society, often through specialized accessand dissemination products and services, whether for STI or for other kinds of governmentinformation. For example, in the context of cooperation between NTIS and the private sector, to offer butthree examples:"* The products in the NTIS Trade and Business Bookstore are from both sectors,and include organizations such as Jane's Information Group and McGraw-Hill;"* In the context of Federal agency efforts to improve web access to STI, theEnvironmental Protection Agency since 1997 has offered one-stop shopping formore than 6,000 full-text, online EPA documents; and"* The Defense Technical Information Center has developed a system called "STINET" which includes all unclassified, unlimited citations since 1985 fromthe Center's technical report collection.-6-

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Preliminary Assessment of the Proposed Closure of the NTIS5. If NTIS receives the recommended approximate $5M* annual appropriation to defray thecosts of the data acquisition, indexing, processing, and permanent public access, then thecurrent pilot project begun in 1998 to investigate the feasibility of providing electronic imagetechnical reports from the NTIS collection to Federal depository libraries should berestructured to include all depository libraries as quickly as practicable. This would entail anadditional one-time appropriation for NTIS for required technical infrastructure upgrades andspecific depository services. Recurring costs could be defrayed from the annual $5M*appropriation. However, no sales, marketing, or order processing expenses should bedefrayed by these appropriations.6. Finally, it should be remembered that while downloading information on the Internet by usersmay be free from the user standpoint, costs are implicitly shifted to the taxpayer becausegovernment agencies must enhance their information and telecommunications infrastructures--hardware, software, networks, systems, databases, and so forth --in order to compensatefor the increased demand and cope with heightened public expectations for both enhanced quality and quantity of web services. Moreover, retaining materials on the web for only three years as suggested by the Department of Commerce is woefully inadequate to meet the needsfor permanent public availability and accessibility. We already know from experience thattwo thirds of all requests from NTIS users are for materials that are over three years old, andone third of the total is for materials that are over ten years old!E. RECOMMENDATIONSFrom the beginning of our study, the Commission has been consistently reminded that time iscritical in this matter because:1. The service capabilities of NTIS are deteriorating continuously as NTIS employees resign, retire, or transfer to other units, often with very serious impacts on their pay, careers, families, and morale;2. Private enterprise, students, faculty researchers, government, and foreign customers of NTIS products and services are increasingly worried as to whether, and how (if at all) they will have access to the results of Federally-funded R&D in the future;3. The President's FY 2001 Budget has already been presented to the Congress, agencies havealready begun the FY 2002 budget planning process, the Department of Commerce's plansfor dealing with the NTIS situation remain directed to closing the agency by the end of FY2000, and there is a hiring freeze in place at NTIS; and4. Congressional authorization and appropriation committees with jurisdiction over theCommerce Department's budget are moving swiftly with their plans to deal with the NTIS matter. There appear to be three reasons:"* Resolving the residual FY 2000 budget issues as quickly as possible so that theCongress can take up the President's FY 2001 budget;"* The press of the election year; and-7-

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U.S. National Commission on Libraries and Information Science* The fear that unless a satisfactory resolution is reached rapidly, the STI accessand dissemination flows from NTIS to private industry, academic researchinstitutions, and Federal agencies would be seriously interrupted. Therefore, the Commission recommends that:1. The President direct the Secretary of Commerce to retain NTIS within the Department ofCommerce for at least the balance of FY 2000, and through the end of FY 2001, in order togive the Commission, and other institutions such as the General Accounting Office, enoughtime to ensure that the pros and cons, and benefits and costs, of the above-listed alternativesare thoroughly considered, including the option of allowing NTIS to remain in theDepartment of Commerce;2. The Congress annually appropriate sufficient funds, beginning in FY 2000, to finance thatportion of legislatively mandated NTIS activities and services which are inherentlygovernmental in nature. Currently this amount has been estimated by NTIS to be $5M* but itmay change depending on workload and other factors. These activities and services includethe orderly collection, organization, preservation of and permanent public access to scientificand technical information of potential use to future generations of researchers;3. Once the inherently governmental NTIS functions are financed by appropriated funds, NTISmay continue to operate a sales program but must abide by existing Federal informationresources management policies and principles such as the Paperwork Reduction Reauthorization Act of 1995 and OMB Circular A-130:* NTIS should set user charges at levels sufficient to recover, but not exceed, the total costof the sales program, excluding all costs financed by appropriations.* NTIS should cease improperly restrictive practices such as charging fees or royalties onthe reuse, resale, or redissemination ofproducts and services such as the NTISbibliographic database; and* NTIS should ensure that decisions to introduce new products or services are made onlyafter careful consideration of the capabilities of the private sector to create commercialproducts by adding value to government information either through public private partnerships or through independent efforts.4. A one-time appropriation, estimated by NTIS to be $1.6M,* should be approved to defray thecosts to set up an appropriate mechanism to provide free and permanent public access tocurrent materials and future acquisitions, primarily by electronic means, through the FederalDepository Library Program and to ensure that, as retrospective materials are capturedelectronically, they are also made available for permanent public access, again primarily via the Internet and other electronic mediums (no open-ended authorization for the unlimitedavailability of print or fiche materials in this context is either implicitly or explicitlyintended); and5. The Secretary of Commerce take such internal policy, financial, personnel, and other actionsas appropriate to the circumstances, to ensure that:-8-

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Preliminary Assessment of the Proposed Closure of the NTIS"* NTIS staffing and budget are maintained at a satisfactory threshold level of support topreclude any further erosion of services to NTIS clients, both in and out of government;"* NTISplant capacity, staffing, and service levels are restored if and where they may havealready dropped below that satisfactory level;"* NTIS clients, both in and out of government, are notified of actions taken to restore NTIS services, and reassured that materials over three years old are not being discarded; and" Periodic reports are submitted to the Congressional oversight and appropriationcommittees, and OMB, covering steps that have been taken or are being taken toimplement this recommended course of action. The Secretary should forward copies ofthe reports to NCLIS as well. The broader issue of strengthened NTIS governance should be addressed in the Commission's in-depth study of alternatives.All five of the above recommendations are interdependent, and therefore should not beconsidered as unrelated recommendations. Also, the close working interdependencies ofindividual agencies on the one hand, and the central information servicing agencies such as NTIS, GPO, NARA and the Library of Congress, on the other hand, need to be addressed as anintegrated whole.F. FINAL WORDSOne of the most important stakeholder groups which has assisted the Commission in itsdeliberations is CENDI, an informal consortium of 10 Federal agencies that are heavily STI-intensive (Commerce, Energy, EPA, NASA, NLM Education, Agriculture, Defense TechnicalInformation Center, National Air Intelligence Center, and Interior). In their report to theCommission they say:"NTIS is part of an information dissemination system for the general public that hasevolved over 50 years. The key functions of public access, which include cross-discipline, cross-agency, dissemination and archiving, as well as the proactiveidentification and collection of agency R&D results, continue to be necessary in whatever paradigm that emerges for the future of Federal scientific and technical informationsystem. To suddenly remove a component of such a system without a full analysis of theimpacts (including second and third order impacts) would now have many unknownconsequences. At a minimum the burden of costs will be shifted to the general taxpayerfrom the user who directly benefits from the services in the current NTIS cost recoveryoperation. At worst, in the short term, access would simply be lost at whatever cost."The Commission will continue to assist the Department of Commerce, NTIS, and the standing authorization and appropriation committees of the Congress holding jurisdiction, as well as othercommittees with an interest in this matter, to achieve the foregoing recommendations in anexpeditious and satisfactory manner. The in-depth assessment of the alternatives will begin byApril 1, 2000.Finally, the Commission will keep foremost in mind the larger question of how to strengthen Government information dissemination to the public in the Information Age, including finding mechanisms to ensure agency compliance with public dissemination and permanent preservationefforts.-9-

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U.S. National Commission on Libraries and Information ScienceThe Commission has selected various key documents that are useful to illuminate various pointsin the text and included them as attachments to this report. Additionally, a great deal of material,including many position papers and public comments, has been posted to the Commission's web site and readers are referred to these materials as well at: http://www.nclis.gov/info/ntis/ntis.html.ENDNOTE:*These estimates by NTIS for the required annual and one-time appropriation amounts arepreliminary. The specific purposes for which they are to be utilized, along with the exact amounts, must be verified before final numbers are presented to the House and SenateAppropriations Committees.-10-

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Preliminary Assessment of the Proposed Closure of the NTISATTACHMENT 1. DEPARTMENT OF COMMERCE FACT SHEET ANDPRESS RELEASE, AUGUST 12, 1999; AND NCLIS LETTERTO SECRETARY OF COMMERCE WILLIAM DALEY,AUGUST 16, 1999[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]FACT SHEET: Providing The American People Information For The 21stCentury: The Commerce Department Proposes to Close NTIS and Ensure ThatPeople Can Receive Technical Information for Free over the InternetSource: http://204.193.246.62/public.nsf/docs/ea7bd28117eef74d852567cbOO6b7d20The Department of Commerce proposes to close the National Technical Information Service(NTIS), transfer its archives to the Library of Congress, and ensure that Government agenciesprovide technical and business reports to the public for free via the Internet. The Departmentbelieves strongly that the American people can continue to receive the same information theyhave today if we close down NTIS and ensure that Government agencies post all technical reportson the Internet and send the documents electronically to the Library of Congress. This way, theAmerican people can find the documents they want via search engines that currently exist -andthe more powerful ones being created -and download them for free. We will propose legislationto Congress next month to achieve these ends.In the New Economy, the NTIS Business Model Is Fundamentally Flawed. NTIS was createdin 1950 to operate as a clearinghouse within the U.S. Government for the collection anddissemination of technical, scientific, and engineering information of all kinds. However, therapid growth of the Internet has fundamentally changed the way NTIS' customers acquire and useinformation. As the Department's Inspector General noted in March 1999, "Federal agencies are increasingly bypassing NTIS as a distribution channel, instead offering their publications directlyto the public over the Internet." On the Department of Commerce's own web page, the American people can get technical and business reports for free that they are forced to pay for to obtain them from NTIS. For example," In June 1999, the Commerce Department released the Emerging Digital Economy IIreport. This report can be downloaded from the Department's web page for free.Alternatively, a taxpayer can go to the NTIS web page and obtain the report for $27 percopy." In November 1998, the Administration released the first annual report of the U.S.Government working group on electronic commerce. This report can be downloadedfrom the Department's web page for free. NTIS sells this same document for $25.50. As aresult,"* Sales of publications from the NTIS clearinghouse declined from almost 2.3 million unitsin FY1993 to 1.3 million units in FY1998." NTIS has used a majority of its retained earnings over the past several years to coverlosses in business; in fact, the core clearinghouse business has not operated at a profitsince 1993. The Department has asked Congress to provide a $2 million appropriation forFY2000 to fill the gap between costs and revenues. However, neither the House nor the-II

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U.S. National Commission on Libraries and Information ScienceSenate appropriations bill provides this funding. Without it, NTIS is in danger of beingdeficient in FY2000."* NTIS' financial situation continues to worsen. For example, at the end of FY1998, NTISforecasted revenues of $46.8 million for FY 1999; ten months later, it forecast revenues ofapproximately $33 million -a nearly 30-percent difference." To offset losses, NTIS has ventured into other businesses. But, as the Department's IGstated, "We are also concerned that in order to replace lost sales, NTIS is seekingbusiness opportunities on the perimeter of its statutory mission, where it risks competingagainst private businesses."The Department's Proposed Plan Will Ensure that the American People Continue to HaveAccess to Scientific Information. In the 21 st century, the Administration envisions anenvironment where all citizens have free access to Government information over the Internet. Improvements in technology are enabling all Federal Government agencies to post their technicalreports and business information on their web sites and allow them to maintain that informationfor long periods of time. Thus, the Department proposes the following two actions:1. Transfer NTIS Archives to the Library of Congress. The Library of Congress alreadyincludes a designated scientific and technical section, and the NTIS collection of threemillion titles is nearly the size of Library holdings in the science and technology area. Ifapproved by Congress, NTIS' paper, microfiche, and digital archives, and bibliographic database would be transferred to the Library of Congress in order to maintain them andensure they remain available to the public. The Department's IG recognized that NTISmay need to be transferred to another agency and suggested consideration of the Libraryof Congress. In addition, current and future Government technical reports would beelectronically transmitted to the Library of Congress, where they would be catalogued,indexed, and electronically archived. The Department has recently contacted the Libraryof Congress with our proposal, and intends to work closely with the Library in the weeks ahead to refine it.2. Ensure that Agencies Maintain Technical Reports and Business Information on their websites for Long Periods of Time. The Department is also working to ensure that Government agencies post their technical and business reports on the Internet for longperiods of time. Since the marginal cost of producing a paper copy of a technical reportcan be high and the marginal cost of an additional digital copy of the report is essentiallyzero, the Government will be able to provide the American people technical reports forfree, instead of charging a fee. Moreover, a number of search engines of Governmentweb sites already exist (within Government entities [e.g., the Library of Congress],universities, and private sector firms). And more powerful search engines -an electronicclearinghouse -continue to be developed within the Government so that the Americanpeople can more easily find reports they want.Minimizing the Impact on NTIS' Employees. If Congress approves the Secretary's proposal,the Department will take every available action to help NTIS' employees move into other jobswithin the Government.First, the Secretary has "committed the Department of Commerce to making everyreasonable effort to place [the NTIS employees in other jobs within the Department]." Hehas sent a memorandum to all of the Department's bureaus instructing them that, ifCongress approves the Department's proposal, they are to work with the Department'sHuman Resources office to place employees in jobs consistent with their abilities, andwhen necessary, restructure open positions in order to place as many of the NTIS staff as-12-

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Preliminary Assessment of the Proposed Closure of the NTISpossible. Over the past month, over 40 NTIS employees were successfully moved toother bureaus within the Department in order to keep NTIS from becoming deficient inFY1999. The Department believes that with sufficient time we can place nearly all of theemployees in other jobs within the Department.Second, because the Department may be unable to place all the NTIS employees in jobswithin the Department, the Secretary has sent a letter to OPM Director Janice Lachanceasking for her assistance, if Congress approves closing NTIS, in placing and retraining NTIS employees for other jobs throughout the Government.Press Release: Commerce Secretary William M. Daley Announces Intention toClose National Technical Information ServiceSource: http://204.193.246.62/public.nsf/docs/FFF05791D63331D1852567CB00693643FOR IMMEDIATE RELEASE Contact: Maria TildonThursday, August 12, 1999 Marlene MacDonald202-482-4883Commerce Secretary William M. Daley Announces Intention toClose National Technical Information ServiceWashington, DC -Commerce Secretary William M. Daley today announced his intention to workwith Congress to close the National Technical Information Service (NTIS) at the Department ofCommerce, while preserving public access to scientific and technical reports. After extensivereview and analysis it was determined that the core function of NTIS, providing governmentinformation for a fee, is no longer needed in this day of advanced electronic technology.Established in 1950, NTIS' core business -the sale of government documents in microfiche andon paper -is rapidly becoming less of the necessity it was as agencies and groups have begun topost their reports on the Internet for free. For example, the Commerce Department recentlyreleased a report called, "The Emerging Digital Economy II." This report can be downloadedfrom the Department of Commerce web site for free rather than for a $27 fee through NTIS. These changes in the information marketplace have made obsolete the need for NTIS to serve as aclearinghouse and, thus have in turn made it increasingly difficult for NTIS to maintain itsoperation on a self-sustaining basis, as established by Congress.NTIS' sales have dramatically declined over the last six years with the advent of the personal computer and increased use of the Internet. In fact, NTIS' core clearinghouse business has notoperated at a profit since FY 1993. In its March 1999 Semiannual Report to the Congress,Commerce's Office of Inspector General concluded that "even with significant efforts to improveits profitability, NTIS can no longer generate sufficient revenue to remain self-supporting." If thisproposal is not implemented, NTIS will be in danger of going bankrupt. "This was a tough decision to make, but sound management dictates that we cut our losses andrecognize the technologically advanced environment we live in," said Secretary Daley. "This isthe right thing to do and the best thing for the American taxpayer."The Commerce Department next month will send to Congress proposed legislation closing NTISand shifting its paper, microfiche, digital archives and bibliographic database to the Library ofCongress. In addition, Commerce will work to ensure that government technical and businessinformation provided by government agencies remains available to the public for long periods of--13-

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U.S. National Commission on Libraries and Information Sciencetime. The American people could continue to find these technical reports through search enginesthat currently exist (at, for example, the Library of Congress).If Congress approves this proposal, Secretary Daley has instructed his staff to work closely withthe over 250 employees of NTIS to assist them with job placement within the Department. TheSecretary also has sent a letter to Office of Personnel Director, Janice Lachance, requesting theOffice of Personnel Management's assistance with both the placement and retraining of NTISemployees.Fact sheets with additional information are available on the Commerce Department's web site atwww.doc.gov or for a fax call the press office at 202-482-4883.Letter from NCLIS Chairperson Jeanne Hurley Simon to Secretary of CommerceWilliam M. Daley, August 16, 1999August 16, 1999The Honorable William M. Daley Secretary of CommerceDepartment of Commerce14th Street and Constitution Avenue, NWWashington, DC 20230Dear Bill,I noted with great interest the recent press release announcing your intention to close the NationalTechnical Information Service (NTIS), and transfer the vast holdings now maintained by NTIS tothe Library of Congress. As you indicate, action to accomplish this proposal requires legislation, which you plan to present to Congress for its consideration next month.Certainly I applaud your personal interest, as well as President Clinton's and Vice PresidentGore's impressive list of initiatives undertaken during this Administration, to make more andmore Government information cost-effectively available. Ordinary citizens, students, job seekers,businesses, lower levels of government, and other segments of society will all profit by using thenew electronic mediums such as the World Wide Web to access this information. The NationalCommission on Libraries and Information Science (NCLIS), which I chair, sees the increasingmigration of traditional ink-on-paper and microform public information products to electronicmediums and formats as both inexorable and desirable. However, I want to bring to your attention several very important and relevant findings, whichhave emerged from a just, concluded, nine-month NCLIS study entitled "Assessment ofElectronic Government Information Products." This study was commissioned by the Congress,with the active support of the Administration (former OMB/OIRA Administrator Sally Katzen, now back at OMB, was involved in its planning). The study was implemented with the assistanceof a contractor, Westat, Inc. of Rockville, Maryland.Among the study's major findings from a detailed survey of 24 Federal agencies in all threebranches covering over 300 specific government information products was that Federal agenciesare confused as to just what is meant by "permanent public access," even though they concur inthe need for the Government to hold certain documents for extensive periods of time. Moreover,we found there is confusion between "permanent records retention" as that concept is embodiedin Federal records legislation, and "permanent public access" and "preservation," as two closely-14-

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Preliminary Assessment of the Proposed Closure of the NTISrelated ideas that are emerging in the library, historian, archival, journalism, educational, public interest, and related fields.All of these public information retention requirements tie in with the historical mission of theNTIS to collect, organize, preserve, and make available permanently government reports anddocuments. This mission must not be lost in the organizational changes you are proposing. Additionally, there are other important findings in the aforementioned study that touch upongovernment information dissemination to the public, and your NTIS plans, in which I believeyour Department would be very interested.In short, because of our Commission's recent endeavors in this field, and in the light of yourplanned legislative initiative, I wanted to offer our assistance to you and the Congress as yourproposal moves forward. You may wish to direct your staffs attention to the aforementionedstudy final report. The Executive Summary appears athttp://www.nclis.gov/news/nclisexecsum.pdf and the full report is athttp://www.access.gpo.gov/sudocs/nclisassessment/report.html. I am enclosing a hard copy ofthe report herewith.Congratulations, again, for taking these steps, and please let our Commission's ExecutiveDirector, Robert S. Willard, or me know if we can be helpful to you.Sincerely yours,Jeanne Hurley SimonChairperson EnclosureATTACHMENT 2: NCLIS LETTER TO REPRESENTATIVE CONSTANCE A.MORELLA, SEPTEMBER 13, 1999[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Letter from NCLIS Executive Director Robert S. Willard to RepresentativeConstance A. Morella, September 13. 1999September 13, 1999The Honorable Constance A. Morella2228 Rayburn House Office BuildingHouse of RepresentativesWashington, D.C. 20515-2008Dear Congresswoman Morella,I am writing to you to on behalf of Chairperson Jeanne Hurley Simon of the U.S. NationalCommission on Libraries and Information Science (NCLIS) with regard to the proposed closingof the National Technical Information Service (NTIS). This proposal of the Department of-15-

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U.S. National Commission on Libraries and Information ScienceCommerce would result in the transfer of NTIS authorities, functions and resources to anotheragency, but it also raises broader public information policy issues. I would like to suggest to youthat NCLIS might be helpful to you as you explore this proposal and its attendant issues.NCLIS is an independent agency charged by PL 91-345 to take a leadership position on matterspertaining to the library and information needs of the nation. Specifically, Section 1504(1) of thatlaw says the Commission shall "advise the President and the Congress on the implementation ofnational policy by such statements, presentations, and reports as it deems appropriate." Thereforeit is appropriate for us to offer our assistance to the Congress in an area that is of criticalimportance to the information needs of the people of the United States.We did offer to present oral testimony at your hearing on NTIS scheduled for Tuesday, September 14, 1999, but have been advised that it will not be possible. However, we sent a packetof information to Terri Fish at the Technology Subcommittee of the House Science Committee;that information provides background material on the Commission and some of its relevantactivities. Included in the package of materials was a recent study, Assessment of ElectronicGovernment Information Products, dealing with current agency practices for preparation anddissemination of electronic government information products. Also enclosed was a copy of aletter Ms. Simon sent to the Secretary of Commerce regarding the NTIS matter.The vice chair of our Commission and members of my staff met recently with Jonathan M.Orszag, Assistant to Secretary Daley, who is directing the NTIS transfer. Mr. Orszag identified two objectives that Commerce was pursuing. One objective is the orderly transfer of variousauthorities, functions and resources from Commerce to the Library of Congress (or another agency) so that the Department can divest itself of its NTIS fiduciary responsibilities. The otherobjective is to assure that the public good represented by the NTIS collection remains accessibleto the American people. Mr. Orszag acknowledged the broader public information policy issuesincluding the reforms needed in government information dissemination that are implicitly raisedby the transfer of this major Federal information resource. However, he does not see it as aCommerce Department role to take the lead on addressing these broader issues.It is, however, entirely appropriate for the Commission to address these issues. We are wellpositioned to examine the need to consolidate, simplify, and streamline government informationdissemination and to look at the changes that are required at a time when Government isdramatically shifting information products to the Web. Therefore, I would propose that you askNCLIS to perform a quick, independent assessment of the Commerce Department proposal; thisassessment should be completed in 3-6 months so as not to delay plans to transfer NTIS out ofCommerce by the end of FY 2000. The assessment would identify various options the Congresscould consider to address both the closure of NTIS and the reforms needed in Federal policies andprograms dealing with government information dissemination.The Department of Commerce's proposal to close NTIS provides a very timely opportunity toreconsider ways to strengthen the overall policy and the organizational and legal machinery usedto deliver Federal information to the public. We are very concerned that the short-term measuresthat must be taken to transfer authorities, functions, and resources of NTIS by the end of FiscalYear 2000 not cause the Congress to defer the more substantive considerations relating to theneed for basic reforms in government information dissemination.We would welcome the chance to discuss our suggestion in detail with you and/or members ofyour staff at your convenience. We could cover a number of topics, including a timetable, specific-16-

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Preliminary Assessment of the Proposed Closure of the NTIS format for our assessment, and other considerations. I will contact you after the hearing todetermine what the appropriate next steps are.Sincerely yours,Robert S. WillardExecutive DirectorATTACHMENT 3: NCLIS TESTIMONY BEFORE THE U.S. SENATECOMMITTEE ON COMMERCE, SCIENCE, ANDTRANSPORTATION, SUBCOMMITTEE ON SCIENCE, TECHNOLOGY AND SPACE[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Opening Statement of Commissioner Joan R. Challinor before the Subcommittee onScience, Technology and Space of the Senate Committee on Commerce, Science andTransportation, October 21, 1999Department of Commerce's Plan toClose the National Technical Information ServiceOpening statement ofJoan R. ChallinorMember, U.S. National Commission onLibraries and Information Sciencebefore theSubcommittee on Science, Technology and SpaceCommittee on Commerce, Science and TransportationUnited States SenateThursday, October 21, 1999Good afternoon, Mister Chairman and members of the Subcommittee. My name is Joan Challinorand it is my privilege to be a member of the National Commission on Libraries and InformationScience. President Clinton appointed me in 1995 and I am delighted to find myself a part of agroup of committed, involved Commissioners. The first concern of members of the Commissionis the library and information needs of the people of this nation, and the second concern istranslating those needs into policy recommendations to the Congress and the President. That isexactly the responsibility Congress assigned the Commission when it created it in 1971.I am grateful for the opportunity to discuss with you the issue of closing NTIS, the NationalTechnical Information Service. We have submitted written testimony, and I request that it beincluded in the record of this hearing. I will address some of the points in the written testimony ina moment, but first I would like to share some personal thoughts on the weighty issues facingCongress as it deals with the Department of Commerce's proposal to close NTIS.I am an historian, and for forty-five years I have been married to a scientist. This combination ofdisciplines gives me a unique perspective on some of the issues involved in the NTIS proposal. I-17-

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U.S. National Commission on Libraries and Information Sciencecertainly understand the relationship between science and communication and the value of priorresearch. In 1676, Sir Isaac Newton credited his success, in part, to the work of his predecessors:"If I have seen further," he wrote to a colleague, "it is by standing on the shoulders of Giants."I also understand the need for communicating prior research to future scientists. As an historian, Irecognize that this communication must occur over decades, perhaps centuries. While I do notplan to make specific comments about the NTIS proposal today, I can tell you that I was slightly shocked to see the draft legislation and its requirement that agencies maintain access to theirscientific, technical or engineering information for not less than three years.In our written testimony, we make three major points. First, the Commission, or NCLIS, as partof its broad mandate, has long been concerned with issues affecting government informationprograms. We undertook a significant study in the early 1980's dealing with appropriate roles forthe public and private sector in distributing government information and, I hasten to point out, theprinciples developed in that study would be worth reviewing in the context of the current NTISproposal.Most recently, however, we have concluded a survey of government agency practices asinformation dissemination moves from a mostly ink-on-paper world to a system of electronicdistribution. (This study was undertaken at the request of the Government Printing Office andwas funded with the approval of Congress's Joint Committee on Printing. A copy of the report,"Assessment of Government Information Products," has been provided to the subcommittee.) Wediscovered an across-the-board lack of government information policy to guide electronicpublishing. We saw that there was no uniform understanding of the concept of permanent publicaccess to government information. And we noticed a clear lack of coordination of publishinginitiatives at all levels, even within agencies. At the same time, and this is the good news, we sawagencies making significant strides in using modern information technologies to expand broadlythe quantity and quality of information made available to the citizens of this country. Our second point is that the issues faced by the proposed organizational changes for NTIS closelycorrelate with the issues discovered in our recent survey. Accordingly, Congress should recognizethat it would be making decisions that are far more consequential than a simple governmental reorganization that shifts boxes on an organization chart. We are facing an opportunity to writeanew the basic policy for creation, use, storage, distribution, and long-term disposition of one ofthe most valuable resources -perhaps the most important -in the possession of the government:information. While we are sympathetic to the pressures felt by the Commerce Department toaccelerate the resolution of its perceived problems with NTIS, we urge Congress to address theseissues in a thoughtful and deliberate manner, even if that means a slower pace than the CommerceDepartment might wish.Here I should mention my personal concern about "unintended consequences." In my study ofhistory, I have been fascinated with the number of promising proposals that when enacted lead toless than desirable outcomes. Indeed, the requirement that Congress imposed on NTIS that it beself-funding led to the unintended consequences of expanded entrepreneurial activities in thehope that revenue from the new activities would cover the costs of the original basic functions. Itwould be well for Congress to keep in mind this all too common problem while it decides thenext steps for NTIS. While nobody has a crystal ball for the future, it nevertheless remainspossible to conceptualize a range of consequences for each policy proposal and thus take steps tominimize unintended consequences.-18-

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Preliminary Assessment of the Proposed Closure of the NTISOur third point is to offer the assistance of the National Commission on Libraries and InformationScience. When the House of Representatives held hearings on closing NTIS, a number ofwitnesses proposed that a formal study of the issues take place before Congress took any actionaffecting the future of NTIS. We respectfully suggest that NCLIS is the appropriate mechanism for undertaking this study. In fact, our statutory charter clearly envisions this role. Indeed, it was because of this role, and the independent point of view we can provide, that GPO selected us toperform the study I mentioned earlier. In three to six months, NCLIS could review the historicalrecord of NTIS, invite comment from a broad range of affected constituencies, and bring togethera panel of experts to develop a cohesive, consensual approach to the proposal. NCLIS could then provide Congress with the policy advice needed to take wise action.Even before the thirteen colonies became the United States, our science commanded the attentionof remarkable citizens. Benjamin Franklin (who, I can't fail to point out, started the first lending library in the colonies) became deputy postmaster of Philadelphia and was later appointed postmaster general by the Second Continental Congress; he sent journals and scientificinformation free of charge to scientists in the colonies with whom he corresponded regularly. Asthe foremost American scientist of his time, he knew that only by the widespread disseminationof information could science flourish.This subcommittee, and Congress itself, is now being asked to make decisions that will also havean effect on whether science flourishes. Today's hearing is evidence of the seriousness with whichyou address this issue. I want to thank you for allowing NCLIS to be a part of today's hearing,and look forward to the Commission's continued involvement with you on this issue. At thispoint, I would be glad to respond to any questions from members of the subcommittee. Thankyou.Prepared Statement of Commissioner Joan R. Challinor before the Subcommitteeon Science, Technology and Space of the Senate Committee on Commerce, Scienceand Transportation, October 21, 1999STATEMENT OFJOAN CHALLINOR, PH.DMEMBERU.S. NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCEBEFORE THESUBCOMMITTEE ON SCIENCE, TECHNOLOGY AND SPACECOMMITTEE ON COMMERCE, SCIENCE AND TRANSPORTATIONUNITED STATES SENATEONTHE DEPARTMENT OF COMMERCE'S PLAN TO CLOSE THE NATIONAL TECHNICAL INFORMATION SERVICETHURSDAY, OCTOBER 21, 19992:30 P.M.ROOM 253SENATE RUSSELL OFFICE BUILDINGMister Chairperson and Members of the Subcommittee, thank you for inviting the NationalCommission on Libraries and Information Science to participate in this review of the Departmentof Commerce's plan to close the National Technical Information Service (NTIS). I am Joan-19-

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U.S. National Commission on Libraries and Information Science Challinor, a Member of the National Commission and I appear here today at the request of ourChairperson, Jeanne Hurley Simon, who would be here herself but for the fact she is undergoingtreatment for cancer in her home in Illinois.NCLISNCLIS is an independent agency created by a far-sighted Congress in 1970 when it passed PL 91-345. The Commission is comprised of Presidential appointees who meet four or five times a yearfor the specific purpose of developing advice for the President and the Congress on matters pertaining to library and information needs of the nation. Therefore, it is appropriate for us toprovide testimony, and offer further assistance if the Congress wishes, on the NTIS proposal, amatter that we believe is of critical importance to the information needs of the people of theUnited States.REFORMS NEEDED IN PUBLIC INFORMATION DISSEMINATIONThe entire question of government information dissemination needs a thoroughgoing discussion.On September 23, 1999, we wrote to the Chair of this Subcommittee that the Department ofCommerce's proposal to close NTIS provides a very timely opportunity to consider ways tostrengthen the overall policy, as well as the organizational and legal machinery for delivery ofFederal information to the public. Greater understanding of the entire question of government information must precede discussion on the future of NTIS. The Commission is very concernedthat the short-term measures that must be taken to transfer authorities, functions, and resources ofNTIS by the end of Fiscal Year 2000 not cause the Congress to defer the more substantiveconsiderations relating to the need for basic reforms in government information dissemination.NCLIS has been heavily involved since its establishment nearly thirty years ago in examiningFederal information dissemination policies, programs and projects. Included in the material werecently sent to this subcommittee was a copy of the final report of our most recent study"Assessment of Electronic Government Information Products." This study is an in-depth investigation, undertaken by a contractor (Westat, Inc.) under our supervision, of the plans andpractices of Federal agencies to migrate ink-on-paper and microform Government information products to electronic formats and mediums.We worked directly with the Government Printing Office (GPO) on this two-year studycompleted on March 30, 1999. The study is a direct outgrowth of Congressional concerns overthe impact of electronic publishing on the ability of citizens to obtain access to Governmentinformation, particularly through the Federal Depository Library Program. The heart of the study was a nine-month survey, which enjoyed the active support andparticipation of all three branches of government. Twenty-four different Federal entitiesparticipated, including the Supreme Court, several committees of the Congress, one regulatory commission, and 19 executive branch agencies (including most of the cabinet departments). Inaddition to this broad and diverse participation, an impressive 74% of the survey forms (242 outof 328 sent to the agencies) were returned completed, which is a highly unusual rate of return forwhat was a very complex questionnaire with over 100 questions.Among the key findings of the survey was the observation that there is an overall lack ofgovernment information policy to guide electronic publishing and dissemination, permanent-20-

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Preliminary Assessment of the Proposed Closure of the NTIS public access to Federal information holdings, and other information policies as they relate toagency missions. Also, there is a lack of overall coordination of these initiatives at thegovernmental, branch, and even at the agency level. The study found that responsibility forelectronic publishing within agencies is decentralized, diffuse and unclear. Some agencies eithercould not identify or had difficulty identifying the individual within their own agency who wasresponsible for a specific electronic product. CORRELATION OF NCLIS STUDY TO NTIS CLOSUREIt is fair to ask, "What do the findings of the aforementioned NCLIS study have to do with theplanned closure of NTIS?" We believe there are at least four connections.First, the public good represented by the NTIS collections -which are owned by the people of theUnited States -must remain accessible to them irrespective of where those collections are organizationally housed within the Federal structure. The Department of Commerce has made itvery clear that it does not believe it should continue to house and manage these kinds of data anddocument holdings, even if a way could be found to make the program break even. The questionis, "Where is the appropriate location -is it the Library of Congress, the Government PrintingOffice, some combination of the two, or another as yet unidentified organization?"Second, the nation's 1350 federal depository libraries, which, under law, are supposed to be the"first line of defense" in providing government information to citizens, are "not in the loop."These institutions need to be assured that agency information is systematically, routinely, andregularly identified, cataloged and made available to them quickly after it is published, and thatinformation is not discontinued from an agency web site without warning.Senators John Warner and Wendell Ford of the Senate Committee on Rules and Administration,during the 105th Congress, wrote in their letter directing the NCLIS study on electronicinformation products, "the Federal Depository Library Program served, and continues to serve theAmerican public by insuring localized access to federal government information. The mission continues to be as important today to the fundamental success of our democracy as it was whenthat program was first created. The program's original mandate, to assist Americans regardless ofeconomic, educational, or geographic considerations, is one that must not be lost as westrategically and thoughtfully use the tools of the electronic age to enhance that mandate."The NTIS closure will certainly exacerbate the problems being faced by users of the federal depository libraries, as well as users of public and private libraries across the country who arealready worrying, waiting to find out who the new Federal provider(s) of scientific, technical, andengineering information will be.Third, Federal agency chief information officers (CIOs) do not regard public informationdissemination as a high priority. They are, understandably, far more consumed in the day-to-daychallenges of dealing with the Y2K problem, and replacing rapidly obsolescing informationhandling hardware and software with state-of-the-art versions. They are coping with the verydifficult challenge of trying to ensure that their information technology expenditures are payingoff in terms of their primary agency missions -an area for which they are regularly reviewed bytheir own inspectors general, the White House, the Congress, and the General Accounting Office.Even though the Office of Management and Budget (OMB) strongly supported the NCLIS study,it is not surprising that front line information managers give a lower priority to informationdissemination and long-term availability.-_21-

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U.S. National Commission on Libraries and Information ScienceLast but by no means least, federal information management policies are a patchwork quilt ofdisconnected concerns that have not been harmonized into a unified Federal information policy fabric. Here we are talking about matters of privacy, copyright, security, authentication,encryption, permanent public access, permanent records retention, the use of metadata tools suchas the Government Information Locator System (GILS), and many other areas. NCLIS found inits survey that agency personnel were unaware of many of the policies; they were bewildered andconfused on how, if at all, the concepts and requirements they do know about fit together in anoverall information life cycle context as required by the Paperwork Reduction ReauthorizationAct of 1995 and other legislation. In short, while there are individual Federal agency CIOs ineach agency, there is no CIO of CIOs at the Executive Office of the President level who ischarged with overall Federal information policy and program planning, coordination,management, and control. WHAT DOES NCLIS PROPOSE?We believe that the matter of transferring the NTIS holdings out of the Department of Commerce should not be addressed by the Congress and the President in an ad hoc manner, disembodiedfrom the overarching consideration of strengthening overall Federal information management policy in the areas of public information dissemination and electronic publishing. We applaud the gigantic strides being made by the Government in migrating ink-on-paper and microform holdings to electronic formats and mediums, especially to agency web sites, but we are very concerned that in the absence of strong leadership and guidance, there is a real risk that publicinformation dissemination will continue to fragment. Its cost-effectiveness and efficiency will erode along with that fragmentation and compartmentalization. The public is now confrontedwith a daunting array of Federal information indexes, indexing systems, gateways, catalogingschemes, software protocols, hardware platforms, and URL addresses that defy understandingexcept by the most sophisticated computer and information literate experts. The ordinary citizens, including even some librarians on the firing line, don't have a chance! NCLIS proposes to be given an opportunity to make a three to six month assessment of overall Federal information dissemination policies, programs, authorities, responsibilities, functions, andother considerations, and how the proposed NTIS closing fits into this framework. We would thenmake a series of specific recommendations to the President and the Congress on how to simplify, streamline and harmonize this critically important area as we move further into the Internet era.Such an assessment could be done in a time frame that would still permit the Department ofCommerce to meet its timetable with respect to the transfer of NTIS.Thank you Mr. Chairman for affording our Commission this opportunity to share our views, andwe would welcome the opportunity to discuss our findings and recommendations in more detailwith you at your convenience.Responses to Post Hearing Ouestions for the Record, November 8, 1999RESPONSES TO POST HEARING QUESTIONS FOR THE RECORDSENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATIONSCIENCE, TECHNOLOGY AND SPACE HEARINGS ONTHE NATIONAL TECHNICAL INFORMATION SERVICEOCTOBER 21, 1999SUBMITTED BY SENATOR BILL FRISTTO THE HONORABLE JOAN R. CHALLINOR, COMMISSIONER, UNITED STATES NATIONAL COMMISSION ON LIBRARIES AND-22-

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Preliminary Assessment of the Proposed Closure of the NTISINFORMATION SCIENCEQuestion 1: In working to produce the report on "Assessment of Electronic Government Information Products," did your participants include both librarians and technologists at thedifferent federal entities?Response: Yes, survey respondents, other survey interviewees, and the special advisory groupestablished by the Commission to help plan the study included a wide variety of different federalagency personnel and offices, including: librarians; records and archival officers; informationsystem and technology staffs; public affairs officials; web and media specialists; management analysts; technical information personnel; chief information officers; publishing and printing officials; program managers; and others. Several library and information science professors andformer high-level government information policy experts served on the study's advisory groupand were also interviewed in-depth. All three branches of Government were involved, andrepresentatives of the Federal Depository Library Program, a key constituency group of the study,participated in the study's design and periodically reviewed progress and offered advice, as didvarious federal interagency and public interest groups. In short, the survey consciously solicited awide variety of viewpoints and perspectives, and therefore its conclusions and findings, to thebest of our knowledge, are not unduly biased or weighted in favor of any particular "vestedinterests." Indeed, sometimes a difference of opinion was expressed in response to the sameinterview question depending on the respondent's particular perspective of the issues andproblems.Question 2: Do you agree that the resolution to NTIS should be a part of a larger initiative toaddress overall policy on the electronic publication and dissemination of government information? Do you have any suggestions or recommendations for such a policy?Response: Yes, NCLIS strongly believes that the "resolution of NTIS" challenge should not bedealt with in a disconnected, piecemeal fashion. Rather, the matter should be part of a broader investigation that "lays out the record" in a public manner after carefully considering:1. the viewpoints and stakes of the many players involved --the Congress, the Presidentand OMB, agency chief information officers, major federal information disseminationagencies such as the Government Printing Office and the Library of Congress, agencyprogram divisions, agency functional offices such as publishing and webmaster offices, citizens, businesses, state and local levels of government, interagency committees, publicinformation users groups, consumer interest groups, the media, historians, scientists andscientific and technical information officials, federal depository librarians, and others;2. federal public information dissemination and electronic publishing laws, rules, regulations, policies, programs, and practices;3. a selected sample of interagency and agency level implementing procedures (e.g. agency web guidelines and traditional as well as electronic publishing procedures);4. existing organizational missions and authorities of the various federal entities withpublic information dissemination and electronic publishing responsibilities;5. changing citizen needs for, and ways of identifying, obtaining, and using governmentinformation in the Information Age (both traditional ink-on-paper and electronic); and6. other factors.In its above-mentioned study report, NCLIS documented at the top, middle and lower agencylevels both (1) a lack of awareness and understanding of many of the current laws that touch onpublic information dissemination and electronic publishing, as well as (2) considerable confusion,-23-

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U.S. National Commission on Libraries and Information Scienceoverlap, duplication, inconsistencies and gaps among and between the applicable federal laws,authorities, policies, programs and so on. For example, surprisingly, there is no statutoryprovision that defines permanent public access, and yet that information management concept iscrucial to the orderly migration of traditional (pre-electronic) information products to the web,minimizing federal information losses due to fugitive materials, and guaranteeing the preservationof the federal record for historical, archival, socio-cultural and other reasons.NCLIS does have some preliminary ideas as to how this fragmentation of guidance andresponsibility at the government-wide, branch and agency levels can be significantly reduced. The Commission also has some views as to how the many dispersed and compartmentalized dissemination and publishing authorities could be consolidated, simplified and streamlined.However, the Commission believes the appropriate course of action is to undertake a 3-6 month investigation as recommended in our prepared testimony to the Committee. Only after thatinvestigation considers the viewpoints of the many players involved would the pros and cons ofalternative scenarios and strategies be formulated for the Congress to consider.The Commission also believes that while it has the statutory authority to initiate such aninvestigation, it would be very helpful if a mandate were given to us by Congress (just as it wasby the Joint Committee on Printing in the case of the just-completed study) in order to maximize the prospects for soliciting greater agency cooperation, attracting keener public interest andsupport, and securing more focused media and public interest group attention.Question 3: Regardless of the resolution for which agency has the mandate to publishgovernment scientific literature, do any of you have recommendations for dealing with the issuethat agencies are not submitting documents as required by law?Response: NCLIS believes that what needs to be done first and foremost is to educate and trainagency officials in order to enlighten them as to the relevant statutes and regulations --andenforce current laws. For example, there is a provision in The Paperwork Reduction Reauthorization Act of 1995, Section 3506(d) that says:"with respect to information dissemination, each agency shall provide adequatenotice when initiating, substantially modifying, or terminating significantinformation dissemination products"Some agency officials were aware of this provision, but most were not, or were confused as tohow it related to other legislation. Beyond the Paperwork Reduction Reauthorization Act of1995, which is a part of Chapter 35 of Title 44 of the USC, other provisions of Title 44, such asthose that pertain to the authorities and responsibilities of the Public Printer, the GovernmentPrinting Office and the Federal Depository Library Program (in particular Chapters 2, 5, 17, 19),and the National Archives and Records Administration and agency records programs (inparticular Chapters 21 and 31), and other legislation such as the Information TechnologyManagement Reform Act, and the American Technology Pre-eminence Act all have a bearing onagency requirements for submitting agency documents and information to NTIS, NARA and theFDLP. But NCLIS found that neither federal nor agency level web guidelines, nor other information dissemination guidance policies and procedures, adequately implement the provisions of these many laws. As a consequence, government information products "appear and disappear"oftentimes with very little, or even without any warning whatsoever, whether products areintended for internal agency personnel or for external public audiences. Nor do federal-24-

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Preliminary Assessment of the Proposed Closure of the NTISpublishing guidelines and standards bring together in one place the many considerations relatingto alternative information formats, mediums, standards and dissemination practices.In sum, the answer to this question also underscores the need for a sound, official government definition for the concept of "permanent public access." That concept is closely related to, but isdistinguishable from a similar information retention requirement -"permanent recordsretention," which is embodied in Federal records legislation. Currently, agencies are flounderingin the absence of authoritative guidance and many agencies (if not most) assume that the two concepts are synonymous. Consequently, agencies are interpreting information retentionrequirements in a very confusing, inconsistent, and inadequate manner.The investigation we are proposing would squarely address the critical need for uniform andpractical guidance in the area of information retention, and sorting out closely related conceptsincluding the two mentioned in the preceding paragraph plus two very important and closelyrelated additional areas: authentication and preservation of information materials. There is also aneed for a consistent definition of just what is government information. NCLIS has already drafted for review several "white papers" in these areas.In the Foreword to the Office of Technology Assessment's report "Helping America Compete:The Role of Federal Scientific and Technical Information,"(July 1990), the statement is made:"Global change is a fact of contemporary life --whether in the political,economic, or technological spheres. U.S. leadership in all of these areas is beingchallenged. We need to take actions that can help renew the U.S. competitiveedge in the worldwide marketplace of ideas, products, and services, and toprovide leadership on global issues such as the environment. A key area of U.S.strength could and should be our scientific and technical information. The U.S.Government is the largest single source of STI in the world --ranging fromtechnical reports on aerospace propulsion and solar thermal electronic systems tosatellite data on oceanic and atmospheric trends to bibliographic indices onmedical and agricultural research. Ye the U.S. is not taking full advantage ofopportunities to use Federal STI as part of a strategy to renew the U.S.competitive edge. STI is very important to scientists and engineers in a widerange of research, development, and commercial activities. They spend a lot oftime on STI --time that is valued, conservatively, at several billions of dollarsper year just for federally funded researchers. When used efficiently, FederalSTI pays off handsomely."In summary, NCLIS believes the core issue at stake in the NTIS transfer is not the sorting out ofFederal agency organizational boxes or benefit: cost equations, although they certainly must beaddressed, but, rather, a carefully considered, fresh assessment of how to strengthen the value ofGovernment information as a strategic national social and economic resource to America andindividual Americans in the emerging Information Age.The Commission would welcome an opportunity to meet with Committee members and/or staffas early as practicable to discuss our proposal for undertaking a study which explicitly addresses not only the specific questions raised by the Secretary of Commerce's proposed transfer of NTISauthorities, functions, and collections, but the broader questions of how to strengthengovernment-wide public information dissemination and electronic publishing policies,organizational missions and authorities, and related matters as well. We will be contacting youshortly for that purpose.-25-

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U.S. National Commission on Libraries and Information ScienceLetter from NCLIS Executive Director Robert S. Willard to Senator Bill Frist,December 10, 1999December 10, 1999The Honorable Bill Frist Chairman, Subcommittee on Science, Technology and SpaceCommittee on Commerce, Science and Transportation416 Russell Senate Office Building Washington, D.C. 20510-4205 Dear Senator Frist, Jeanne Hurley Simon, Chairperson of the U.S. National Commission on Libraries andInformation Science (NCLIS) first offered the Commission's assistance to you in connection withyour deliberations relating to the shutdown and transfer of NTIS from the Department ofCommerce, in her August 16, 1999 letter (attached).You then kindly reciprocated, and invited the Commission to testify at your October 21, 1999hearing on NTIS. We furnished a prepared statement to the Subcommittee in advance, andNCLIS Member Dr. Joan R. Challinor testified on the Commission's behalf. As you may recall from her opening statement, Dr. Joan Challinor is the wife of Dr. David Challinor, who for quitesome time before his retirement was the Assistant Secretary for Science at the SmithsonianInstitution. That period included the time when the old Smithsonian Science Information Exchange (SSIE) went to the new NTIS. Both David and Joan are therefore quite familiar withthe scientific and technical information resources challenges of the Nation.In our response to your post hearing questions for the record, we reiterated our offer to assist you,and I'm pleased that on December 8, 1999, Floyd Deschamps invited Judy Russell, NCLISDeputy Executive Director, and NCLIS consultant Dr. Forest Woody Horton, Jr., to a meeting inthe Subcommittee's offices in the Hart building. Ms. Russell and Dr. Horton tell me that theybelieve the meeting was very productive and there was a free exchange of views. Our understanding is that you wish to have a firm proposal ready to make to the Subcommittee,the full Committee, and the Senate as soon as practicable after the Second Session begins.However, as Ms. Russell and Dr. Horton pointed out to Mr. Deschamps, having only the monthof January 2000 to complete a meaningful investigation and prepare a complete report to you onoptions available, much less a preferred course of action, does not provide very much time.Alternatively, we suggested to Mr. Deschamps that you consider a two-pronged approach. First,the Congress should indicate that it wishes for the Department of Commerce to keep NTIStemporarily housed in that agency, fully operating, through September 30, 2001. This reasonable delay will give Congress and the President enough time to consider alternative courses that theGovernment might pursue, and come up with a preferred approach taking into account theconsequences the closure of NTIS and transfer of its programs and services would have on thepublic.As you know, NCLIS has already offered to undertake such a study. Therefore, the second part ofthe approach we suggest is that you request us to conduct such an investigative study, within the3-6 month timeframe initially proposed.-26-

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Preliminary Assessment of the Proposed Closure of the NTISSince we understand NTIS operated "in the black" for FY 1999, it seems to us that such a two-pronged strategy is defensible under the circumstances. After all, it is reasonable for the Congressto recommend that the President and Secretary Daley allow this two year "breather period" togive all the interested parties adequate time to take stock of the situation. At the same time, NTISshould continue on course to take prudent management steps to remain in the black for FY 2000 and 2001.Meanwhile, NCLIS intends to be as proactive as possible. To that end we are convening ameeting of experts here in Washington, D.C. in January 2000, bringing together both the publicand private sector stakeholders whose views on the public record are necessary for a thoroughand systematic investigation of the alternatives. Certainly we will invite you and/orSubcommittee staffers (e.g. Mr. Deschamps) to that meeting, as well as the appropriate Housecommittee people. Thank you again for the opportunity to assist you and the Subcommittee in seeking a satisfactoryresolution to the very complex and difficult public information resources management challengesthe NTIS shutdown and transfer poses. We hope you will see your way clear to ask us to proceedalong the lines we've suggested here.Sincerely yours,Robert S. WillardExecutive DirectorCC: Chairperson Jeanne H. SimonATTACHMENT 4: CHRONOLOGY/BIBLIOGRAPHY OF DOCUMENTS ANDEVENTS RELATIVE TO NTIS, JANUARY 26, 2000[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Chronoloxy/Bibliography of Documents and Events Relative To NTIS' Position inthe Department of CommerceCHRONOLOGY/BIBLIOGRAPHY OF EVENTS RELATIVE TO NTIS'POSITION IN COMMERCEPrepared by Sarah T. KadecJanuary 26, 2000"* no effort was made to be comprehensive."* selections were made to show the variety of options presented over time.1945 Executive Orders 9568 and 9604 Providing for the Release of Scientific Information. 10FR 6917 and 10 FR 10960.Created Publications Board (PB) and authorized it to disseminate domestic and foreignWorld War II technical reports to industry.-27-

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U.S. National Commission on Libraries and Information Science1946 E.O. 9809 Providing for the disposition of certain war agencies.Merged the PB into a new unit, the Office of Technical Services (OTS), located in theDepartment of Commerce.1950 Technological, Scientific, and Engineering Information Act; to provide for thedissemination of technological, scientific and engineering information to Americanbusiness and industry and for other purposes. 81 st Congress. Public Law 81-776.Directs the Secretary of Commerce "to establish and maintain a clearinghouse for thecollection and dissemination of scientific, technical and engineering information."1954 Department of Commerce Order 157. 19 FR 8045.Developed and implemented policy governing dissemination of unclassified scientific,technical and economic information through OTS.1958 Improving the availability of scientific and technical information in the United States.Washington, DC, President's Science Advisory Committee, December 7, 1958. (Bakerreport)Recommended against creation of a centralized government information center; forcreation of a Science information Service within NSF.1962 Task Force to the President's Special Assistant for Science & Technology. Scientificand technological communication in the government, -task force report.Washington, DC, OTS, April 1962. AD 299545. (Crawford Report)Translations recognized as a form of special information product; agreement betweenOTS and the John Crerar Library.Required DOC to process information from domestic and foreign sources and make itavailable to state and local governments and other Federal agencies, as well as American industry, business and the public. (Some conflict of interpretation and understandingwith responsibilities assigned to NSF in Title IX, NDEA 1958 arose)."It is the policy of this Act, to the fullest extent feasible and consistent with theobjectives of this Act, that each of the services and functions provided herein shall beself-sustaining or self-liquidating and that the general public shall not bear the cost ofpublications and other services which are for the special use and benefit of privategroups and individuals; ....."These provisions of the Act have apparently influenced the limitation of funds allocatedto OTS. The resources provided to OTS over the years could not support an effectiveclearinghouse effort of the type intended by the Congress.Recommendations to establish within the Executive Branch a Government-wide clearinghouse capability for documents reporting the results of R&D work; retrospectivesearch and retrieval services of Federally supported, organized collections of scientificand technological information and for coordinated access to Federally supported specialized information centers and services. (Also currently and planned R&D andformal sci-tech meetings supported by the Federal Government).-28-

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Preliminary Assessment of the Proposed Closure of the NTISTransfer of Technical Information Division, OTS, resources and responsibilities to therecommended clearinghouse.OTS's "STINFO mission is quantitatively a minor portion of the over-all activities ofthe Department of Commerce and has never received emphasis from high administrativelevels in that organization." "Past experience has shown that serious problems ofinteragency cooperation arise when an agency with operating responsibilities is givenGovernment-wide jurisdiction in that same area."1963 President's Science Advisory Committee. Science, Government and Information; heresponsibilities of the technical community and the government in the transfer ofinformation. Washington, DC, The White House, January 10, 1963. (Weinberg Report).Not in favor of proposed Department of Science or single organization for Government'stotal information system."A communication system controlled by the people it serves may in some respects beless efficient than a monolithic government system; it has, however, the overriding meritof being sensitive to the needs of its customers. It was as much as anything to preservethis essential quality of the present rather haphazard information system that the BakerPanel recommended against establishing an all encompassing, Government-operatedinformation system in which control, however well meaning and beneficent its intent, isremoved from the practitioners.""We believe that OTS should be given enough support so that it can announce promptly and supply inexpensively a copy of any declassified Government technical report to anycustomer -in short, that it should become a complete Government technical reportssales agency."1965 Clearinghouse for Federal Scientific and Technical Information (CFSTI) created inNBS. 30 FR 1207.Replaced OTS in Department of Commerce; began to issue consolidated index ofFederal scientific and technical reports.1965 Dr. Mortimer Taube, Documentation, Inc., proposed CFSTI as an independentorganization.1970 Department of Commerce Order 30-7A. 34 FR 14475.CFSTI renamed NTIS and empowered to act as major Federal clearinghouse for STI andbusiness and statistical information; designed to be largely self-supporting.1970 Assistant Secretary for Science and Technology in the Department of Commercerecommends NTIS become a corporation.1975 U. S. Congress. House Committee on Science and Technology, Subcommittee onDomestic and International Scientific Planning and Analysis, Intergovernmentaldissemination of Federal research and development results, Oversight hearings, 94th-29-

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U.S. National Commission on Libraries and Information Science Congress, 1 st Session. Washington, DC, U.S. Government Printing Office, November1975, Report no, 94-48.STI discussed generally in terms of needs of state/local governments, especially reNTIS; Federal technology transfer programs also described.1975 U. S. Congress, House, Committee on Science and Technology. National Science andTechnology Policy and Organization Act of 1975. Report together with additionalviews, 94th Congress, 1 st Session, Washington, DC, Government Printing Office,October 29, 1975. Report no. 94-595, to accompany H. R. 10230.--The National Science Policy and Organization Act of 1975, Hearings, 94th Congress,1st Session. Washington, DC, June 1975 (on H, R. 4461 and H. R. 7630), CommitteePrint no. 15.--A proposed National Science Policy and Organization Act of 1975. 94th Congress,1st Session, Washington, DC, 1975. Committee Print, Serial C.--A Bill -National Science Policy and Organization Act of 1975. HR 4461, 94thCongress, 1st Session, March 6, 1975. (Resulted in P.L. 94-282 in 1976)Create a new Science and Technology Information and Utilization Corporation, mergingNTIS, SSIE and NSF/DSI into it. Rationale: (1) STI is one of the nation's leadingcommodities and therefore could be handled by a corporate structure and (2) it may bedesirable to make Federal STI dissemination efforts completely or partially self-sustaining. Contains a chronology of Federal Executive Branch science organization from 17871975 and a list of selected references regarding Federal science policy and organizationfrom 1951-1975.1976 National Science & Technology Policy, Organization and Priorities Act of 1976. P. L.94-262.1970 Assistant Secretary for Science and Technology in the Department of Commercerecommends NTIS become a corporation.1975 U. S. Congress. House Committee on Science and Technology, Subcommittee onDomestic and International Scientific Planning and Analysis. Intergovernmentaldissemination of Federal research and development results, Oversight hearings,94th Congress, 1st Session. Washington, DO, U. S. Government Printing Office,November 1975, Report no. 94-48.STI discussed generally in terms of needs of state/local governments, especially reNTIS; Federal technology transfer programs also described.1975 U S. Congress, House, Committee on Science and Technology. National Science andTechnology Policy and Organization Act of 1975. Report together with additional views,94th Congress, 1st Session, Washington, DO, Government Printing Office, October 29,1975. Report no. 94-595, to accompany H R. 10230.-The National Science Policy and Organization Act of 1975, Hearings, 94th Congress,1st Session. Washington, DC, June 1975 (on H, R. 4461 and H. R. 7630), CommitteePrint no, 15.-A proposed National Science Policy and Organization Act of 1975. 94thCongress, 1st Session, Washington, DC, 1975. Committee Print, Serial C. -30-

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Preliminary Assessment of the Proposed Closure of the NTIS-A Bill -National Science Policy and Organization Act of 1975. HR 4461, 94thCongress, 1st Session, March 6, 1975. (Resulted in P.L. 94-282 in 1976)Create a new Science and Technology Information and Utilization Corporation, mergingNTIS, SSIE and NSFIDSI into it. Rationale: (1) STI is one of the nation's leadingcommodities and therefore could be handled by a corporate structure and (2) it may bedesirable to make Federal STI dissemination efforts completely or partially self-sustaining.Contains a chronology of Federal Executive Branch science organization from 1787-1975 and a list of selected references regarding Federal science policy and organizationfrom 1951-1975.1976 National Science & Technology Policy, Organization and Priorities Act of 1976. P. L.94-262.See notes above relating to bill, Committee prints and report.1976 Whalen, Bruce G. and Joyce, Charles C., Jr., Scientific and technical information:options for national action, prepared for the National Science Foundation, Divisionof Science Information by Mitre Corporation, Metrek Division. Washington, DC,U. S. Government Printing Office, November 1976."...SSIE and NTIS represent the only Federal mechanisms whose mandates cut across allmissions and disciplines; ... the only centralized sources of STI which deal withdissemination of all Federally sponsored research and development results."1980 Stevenson-Wydler Technology Innovation Act of 1980. P. L. 96-480, 94 Stat. 2311.Directed the Department of Commerce to create the Center for the Utilization of FederalTechnology (CUFT).1980 Commerce Technical Advisory Board's (CTAB) working group on STI Policies examines the role of NTIS and possible alternatives to present operations.1981 Functions of the Smithsonian Science Information Exchange (SSIE) transferred to NTIS.SSIE superseded by Federal Research in Program (FEDRIP); available online throughDIALOG.1981 Assistant Secretary for Communications in Department of Commerce asks theInformation Industry Association (IIA) to consider whether the private sector could offerNTIS products. Task Force recommends contracting out entire operation.1984 President's Private Sector Survey on Cost Control: Report to the President by ChairmanJ. Peter Grace. (the Grace Commission). P13 84-161 587.Specifically recommended that NTIS not be privatized, citing the need for an expandedNTIS role in R&D coordination.1984 Based on IIA recommendations, NTIS is zeroed out of FY 1984 budget; Commerce reviews task force report, appeals to OMB for restoration; OMB approves restoration.-31-

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U.S. National Commission on Libraries and Information Science1984 NTIS issues Federal Register notice seeking vendors to distribute technical reports; noresponses.1985 Assistant General Counsel for Administration in Department of Commerce issuesopinion that NTIS has legal authority to price its products higher than cost, providedthey are reasonable.1985 OMB asks Commerce to convene an industry/government working group on privatizingNTIS.1986 Japanese Technical Literature Act of 1986. P.L. 99-382, 100 Stat. 811.Amended the Stevenson-Wydler Innovation Act of 1960; authorized NTIS and otheroffices within the Department of Commerce to acquire and translate selected Japanesetechnical reports and documents of value to Federal agencies and U. S. industry.1986 NTIS holds meeting on privatization.1987 OMB directs privatization of NTIS in FY 1988 passback. H. R. 2160 amends NTISreauthorization to prohibit privatization pending further study.1987 Vlannes, N. P. et al. National Technology Center: A national public service report.PB 87-174 728.Proposed a National Technology Center as a new "national library" and as a focal pointfor public access to Federal STI; would incorporate NTIS.1987 U. S. Congress. House Committee on Science, Space and Technology;Subcommittee on Science Research and Technology. Hearing on the privatizationof the National Technical Information Service, Washington, DC, U. S. GovernmentPrinting Office, 1987. Y4.Sci 2:100/5.First hearing on NTIS privatization; testimony on the benefits and dangers of turning itover to the private sector.1987 U. S. Congress, House Committee on Science, Space and Technology,Subcommittee on Science Research and Technology. Scientific and technicalinformation: policy and organization in the Federal Government (H.R. 2159 andH.R. 1615); house hearings. Washington, DC, U S. Government Printing Office,1987. Y4. Sci 2:100/36.Discussed policy options for governing the collection and dissemination of STI,including establishing a National Technical Information Corporation as a whollyowned government corporation under the Secretary of Commerce, and a GovernmentInformation Agency to collect and distribute results of Federal R&D.1988 On January 6, a notice was issued in the Commerce Business Daily to announce aplanned January 29 conference with potential bidders on a contract for performanceof NTIS services.1988 On January 29, a pre-bidders conference was held at the Department of Commerce.-32-

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Preliminary Assessment of the Proposed Closure of the NTIS1988 Omnibus Trade and Competitiveness Act of 1988 (See Title V, TechnologyCompetitiveness Act). P.L. 100-418, 102 Stat. 1107.Prohibited NTIS privatization and required the Secretary of Commerce to report recommendations to Congress regarding NTIS modernization.1988 U.S., Congress, Office of Technology Assessment. Informing the Nation: Federaldissemination in an electronic age. Washington. DC, U.S. Government PrintingOffice, October 1988. OTA-CIT-396.Addresses proposals to (1) retain NTIS in DOC; (2) as a government corporation, (3)consolidate with SuDocs, either within GPO or part of a new Government Information Office; (4) consolidate with LC.1988 National Technical Information Act (NTIA) of 1988. P. L. 100-519 102 Stat, 2589.Creates new Technology Administration with NTIS (called the National TechnicalInformation Center (NTIC) as a government corporation) as an integral part, ending theprivatization controversy by ensuring NTIS to be a governmental function. Containedlanguage stating that the Congress "remains unalterably opposed to contracting outNTIS or major functions or activities of the agency." Specific responsibilities assigned to NTIS by NTIA;Establish and maintain a permanent repository of non-classified scientific, technical andengineering information; cooperate and coordinate its operations with other Governmentscientific, technical and engineering information programs; enter into contracts, cooperative agreements, joint ventures and other transactions with outside firms, inaccordance with all relevant provisions of Federal law; levy reasonable fees to operateon a self sustaining basis and, for the first time, to utilize net revenues for the acquisitionof capital equipment; make its bibliographic information products (including, but notlimited to, catalogs, indices, abstracts, and newsletters) available in a timely manner todepository libraries as a part of the Depository Library Program of the GovernmentPrinting Office; upon request and as appropriate, provide technical assistance andservices to Federal agencies, consistent with the policy of the NTIA that all services andfunctions be self-sustaining or self-liquidating to the fullest extent feasible; inconjunction with the private sector as appropriate, to collect, translate into English, anddisseminate unclassified foreign scientific, technical, and engineering information; implement new methods or media for the dissemination of scientific, technical andengineering information.1988 Wood, Fred (OTS). Informing the Nation: Federal information dissemination in anelectronic age. Washington, DC, Congressional Joint Committee on Printing (JCP). OTA-CIT-396, Y3. T22/2:2 In 3/9, PB 89-114 243.Outlined strategies for GPO, Depository Library Program (DLP), and NTIS.1988 Privatization: toward more effective government, report of the President'sCommission on Privatization. Pr 40.8 P 92/P 29. (the Linowes Commission).Privatization of NTIS was not recommended'-33-

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U.S. National Commission on Libraries and Information Science1990 Stewart, Robert Keith. Access and efficiency in Reagan-Era information policy: Acase study of the attempt to privatize the National Technical Information Service.(doctoral dissertation). University of Washington. 91-04302.Concluded that by the mid-1980s there was an apparent shift in the direction of Federal information resource management policy away from access toward the idea ofefficiency.1991 American Technology Preeminence Act (ATPA) of 1991.Operating costs associated with the acquisition, processing, storage, bibliographiccontrol, and archiving of information and documents would be recovered primarilythrough the collection offees (specifically no longer called "appropriations"'.The head of each Federal executive department or agency was required to transfer ina timely manner andprescribedformat to NTIS unclassified scientific, technical, andengineering information that results from Federally funded R&D activities. TheSecretary of Commerce was directed to issue regulations within one year outlining procedures for the ongoing transfer of such information to NTIS.Required a report that would include a revised detailed modernization plan, a businessplan, and certification that NTIS had employed a CFO and begun taking reasonablesteps towards strengthening its accounting system.Clarified NTIS' joint venture authority granted under NTIA.Required the Secretary of Commerce to perform a feasibility study of establishing andoperating a Federal Online Information Product Catalog (FEDLINE) at NTIS that wouldserve as a comprehensive inventory and authoritative register of information productsand services disseminated by the Federal government and assist Agencies and the publicin locating Federal Government information.Amended the NTIA to allow NTIS to produce and disseminate information productselectronically.1993 House Committee on Science, Space and Technology, Subcommittee onTechnology, Environment, and Aviation. The National Competitiveness Act of1993, Hearings. Washington, DC., U. S. Government Printing Office, 1993. H. R.820, Y4.SCI 2:103/13.Includes "The National Technical Information Service Business Plan", July 1992. Theplan includes a discussion of consensus viewpoints derived from numerous studies inthe 1980's. "Privatization was ruled out by Congress ...... [as] inappropriate from apublic policy prospective [and] would be counter productive from an operationalstandpoint. The information and data sets.... are taxpayer assets and should be subject topolicy determinations of the Federal Government. A single private firm would find itdifficult if not unmanageable to maintain ongoing acquisition relationships with thevarious Government information source agencies". NTIS commits to incorporate furtherstudy of organizational changes into its long-term planning, "in recognition of theimportance of continuing the cross-Government consensus to preserve NTIS' dualcharacter -that of a public Agency and that of a self-supporting enterprise".-34-

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Preliminary Assessment of the Proposed Closure of the NTIS1995 House Committee on Science. Restructuring the Federal scientific establishment; dismantling of the Department of Commerce, Hearing. 104th Congress, 1st session.Washington, DC, U, S. Government Printing Office, September 12, 1995.Congressman Walker (PA.) proposed to move Commerce Science and Technologyprograms into a new Department of Science or, failing that, to transfer some of thosefunctions to the Department of Energy.Secretary Brown: NTIS as a self-supporting Federal agency is not an appropriatetarget for privatization as has been proposed. As part of our reinvention efforts willseek to provide NTIS with increased flexibility to use commercial business practices,be granted waivers, and be accountable for agreed-upon performance gains.Congressman Sheila Jackson Lee: Several attempts have been made to privatizeNTIS; it has been well documented that no commercial entity could be found toassume its responsibilities. Principal of government is that it should be heldresponsible for how the taxpayers' money is spent. Allowing a private entity to thenresell this information to the same public that paid for it seems to me to be unfair andunacceptable.Question of who would control the archives if it were owned by a foreign government;would that government control people's access to that information.Jean G, Mayhew, Chairman, NTIS Advisory Board. The NTIS Advisory Boardadvocates the reorganization of NTIS as a government corporation with governmentretaining full policy control to assure that public good functions are maintained.Government corporation status provides NTIS the necessary flexibility to operate as asmall business rather than a bureaucracy.Disadvantages of NTIS being sold to the private sector: collection lacks copyrightprotection; it could be legally reproduced by a competitor; once in the hands of theprivate sector, there is no guarantee that the documents would be managed in the bestinterests of the Nation; if the collection fell into the hands of a foreign company, itwould decide which documents would remain available to the public, how much wewould have to pay, or whether they could be destroyed. By privatizing NTIS, its missionand collection of information is no longer in the public interest; its access to federalagencies is limited, and it loses its status in dealing with other governments to obtaininformation for dissemination within the United States.Congressman Brown, Jr.: In 1988, when the Committee on Science rejected the idea ofprivatizing the National Technical Information Service, Sherry Boehlert said "NTIS -orreally its users -have been sentenced to privatization, despite the verdict of numerousstudies, each determining that the agency should remain within the government."-35-

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U.S. National Commission on Libraries and Information ScienceATTACHMENT 5: SUMMARY OF THE PUBLIC STAKEHOLDER MEETINGS[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Summary of Three NCLIS-Sponsored Public Stakeholder MeetingsSUMMARY OF THREE NCLIS-SPONSORED PUBLIC STAKEHOLDER MEETINGSNTIS CLOSURE AND TRANSFER MATTERThe U.S. National Commission on Libraries and Information Science held three public meetingsto address the announcement made by Secretary Daley of the Department of Commerce inAugust 1999, to close the National Technical Information Service (NTIS), and transfer itscollections and bibliographic database to the Library of Congress. The first meeting was held at the Benton Foundation in Washington, D.C. on January 19, 2000,and was based on invitations extended to a limited number of pre-identified stakeholders whomthe Commission believed would represent a broad cross-section of groups which had a stake or aninterest in the Commerce proposal.The second meeting was held in the Rayburn House Office Building on February 4, 2000, and the public at large was invited.The third and final meeting was held in the Russell Senate Office Building on February 29, 2000,and, once again, the public at large was invited. A Federal Register notice was published onFebruary 14, 2000, invited the public to attend and explaining the background and purpose of themeeting.Participants in all three meetings, and their affiliated organizations, are listed in an attachment.The Commission indicated in all three meetings that it was fulfilling its statutory mandate andcharter to both the President and the Congress by trying to play an "honest broker" role inbringing the various stakeholder groups together so that they could interact and exchange factsand opinions in a free and open environment without the burden of necessarily officially representing their respective parent organizations. Unofficial, informal transcripts of themeetings were sent for review and correction to each participant that spoke and remarks werethen published for internal participant review. An official, formal transcript of the meetings wasnot made.On February 17, 2000 at its regular meeting in Los Angeles, the National Commission approved for public review and comment an "Emerging Consensus Position Paper" that embodied the keyfindings, conclusions, and recommendations which the Commission believed were, at that pointin time, emerging and enjoyed at least a working consensus of support among the participants. Itwas pointed out that no pretense to complete unanimity was being made.The aforementioned position paper was posted to the NCLIS web site and comments were requested by March 10, 2000, and attention to the document was invited by means of an NCLISpress release, notice on bulletin boards and listservs, e-mail messages, letters to associations andsocieties inviting them to publicize the NCLIS document, and by other means. Comments were received from dozens of individuals and groups, and many of those were published on the web site. A list of documents posted to the NCLIS web site is also attached.-36-

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Preliminary Assessment of the Proposed Closure of the NTISAt the third and final public meeting held on February 29t, the announcement was made that the position paper would be transformed into a final report to the President and the Congress, andparticipants asked to be given one final opportunity to review and critique the NCLIS final report.On March 13, 2000, the Commission published a draft of its final report entitled "PreliminaryAssessment of the Department of Commerce Proposal to Close the National TechnicalInformation Service and Transfer its Collections and Functions to the Library of Congress."Reviewers were advised that their comments would have to be received by the Commission bycob Wednesday, March 15, 2000, in order to be considered.Final comments were received and taken into account in the preparation of the final report, whichwas published on March 16, 2000.Attachments1. Complete List of Public Meeting Participants2. List of NCLIS Web Site Documents PublishedComplete List of Public Meeting ParticipantsCOMPLETE LIST OF PUBLIC MEETING PARTICIPANTSPrudence Adler Association of Research Libraries+Nancy Allard National Archives and Records Administration*+Kenneth Allen National Newspaper Association*+Mary Alice Baish American Association of Law Libraries+ Ernest Baldwin Government Printing Office Lewis Bellardo Deputy Archivist of the United States, NARA*Michael Bracy Bracy Associates (representing Chief Operating Officers of State LibraryAgencies, COSLA)Lynne Bradley American Library Association+ Jennifer Bramlett Science Applications Information CorporationMelanie Brown Joint Committee on Printing/Joint Committee on the LibraryFrancis Buckley Superintendent of Documents+Bonnie Carroll Consultant, Executive Director, CENDI+Joan Challinor NCLIS+Louisa Day President, Local 1627, National Federation of Federal Employees*+Melvin Day Former Director of NTIS, Retired*+Paul A. De Giusti The McGraw-Hill Company Blane Dessy Department of Education (representing the Federal Library andInformation Center Committee, FLICC)+Miriam Drake Georgia Institute of TechnologyDan Duncan Policy ConsultantJennifer Edelman George Mason University+Terri Fish House Committee on ScienceRobert Gellman Gellman AssociatesKennie Gill Senate Committee on Rules and AdministrationMartha Gould NCLIS+Jeff Greene House Committee on ScienceDon Hagen Bernan AssociatesWoody Horton NCLIS Consultant*+Richard Huffine Environmental Protection Agency+-37-

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U.S. National Commission on Libraries and Information ScienceMichael Jarvis General Accounting Office+Sarah Kadec NCLIS Consultant*+Barbie Keiser College of InsuranceWayne Kelley Former Superintendent of Documents, RetiredSarah Kadec Consultant, NCLIS*Nancy King Johns Hopkins University Applied Research LabLenoard Kruger Congressional Research ServiceJohn Latham Special Libraries AssociationMary Beth Lawler Government Printing Office+ David LeDuc Software and Information Industry Association*+Laura Madden Bracy Associates (representing Chief Operating Officers of State Library Agencies, COSLA) William Magee The Catholic University of AmericaGeorge Marling Mitre CorporationEric Massant Reed Elsevier, Inc.Gary McCone National Agriculture LibraryPatrice McDermott OMB Watch*Stephen Miller House Committee on House AdministrationKurt Molholm Director, Defense Technical Information Center*+Peyton Neal PRN Associates*+Steve Needle NTIS*+ Miriam Nisbet American Library Association Jonathan Orszag Department of Commerce*Michal Quear House Committee on ScienceFranklin Reeder The Reeder GroupJudith Russell NCLIS*+Pamela Russell Library of Congress*Vicki Severietti The Catholic University of America Andrew Sherman Government Printing Office* Kent Smith National Library of MedicineTimothy Sprehe Sprehe Information Management AssociatesAl Stapleton General Accounting OfficeNye Stevens General Accounting OfficeJohn Stevenson University of Delaware (representing American Library Association Government Documents Roundtable, GODORTWinston Tabb Library of Congress Anneliese Taylor George Mason UniversityClaudette Tennant American Library AssociationPeter Urbach Former Director of NTIS, Retired*Rosalie Vlach NCLIS*+ Walter Warnick Department of Energy* Linda Washington National Center for Health Statistics Robert Willard NCLIS*+Where neither an "*" or "+" symbol appear, attended only the January 19th meeting*Attended both the January 19th and February 4 meetings+Attended both the January 19th and February 29th meetings*+Attended all three meetings-38-

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Preliminary Assessment of the Proposed Closure of the NTISList of Documents About the NTIS Assessment Posted to or Linked from the NCLISWebsite as of March 15, 2000Source: (http://www.nclis.gov/info/ntis/ntis.html)NTIS CLOSURE AND TRANSFER Department of Commerce's Plan to Close the National Technical Information Service"* Preliminary Assessment of the Department of Commerce Proposal to Close the NationalTechnical Information Service and Transfer Its Collection and Functions to The Library ofCongress -A Report to the President and the Congress Prepared by the United StatesNational Commission on Libraries and Information Science -March 13, 2000" Revised Comments on Emerging Consensus Position Paper, Proposed NTIS Closure byLinda M. Kennedy, Head, Government Information and Maps Department, University ofCalifornia, Davis -March 10, 2000"* Supplemental Views, American Library Association by Chadwick Raymond, Chair ALACommittee on Legislation -March 10, 2000"* Comment on the NCLIS "Emerging Consensus Position Paper" by Melvin S. Day, FormerDirector, NTIS -March 10, 2000"* Comments on behalf of Software and Information Industry Association (SIIA)by Ken Wasch, President -March 10, 2000"* American Association of Law Libraries (AALL) Supplemental Comments on the ProposedNTIS Closure & Transfer -March 6, 2000"* The Los Angeles Times published an editorial entitled "Science Information in Peril" aboutthe closure of NTIS. The full text may be viewed at the following URL address: http://www.latimes.com/news/comment/20000301/t000019809.html -March 1, 2000"* Department of Commerce Letter to LA Times Editor on preceding editorial -March 7, 2000"* ALA letter to NCLIS Executive Director: Comment on the NCLIS "Emerging Consensus Position Paper." -February 29, 2000"* RESOLUTION ON NO-FEE PERMANENT PUBLIC ACCESS TO SCIENTIFIC ANDTECHNICAL INFORMATION (STI) Adopted by the Council of theAmerican Library Association, San Antonio, TX -January 19, 2000"* NTIS: Proposed Closure and Transfer of Functions -NCLIS Powerpoint presentation formeeting -February 29, 2000"* COSLA letter to NCLIS Executive Director re: NTIS Proposed Closure & Transfer ofFunctions -February 28, 2000"* NCLIS Guidelines for Consideration of Alternatives Relating to the NTIS Closure & Transferof Functions -February 27, 2000"* Comments on NTIS: Proposed Closure and Transfer of Functions -Statement by BernadineE. Abbott Hoduski, Government Information Advisor (Retired Professional Staff Member,U.S. Congress, Joint Committee on Printing) -February 25, 2000"* Joint Statement, MLA, SLA, ARL & AALL -February 25, 2000"* Draft Agenda, NTIS: Proposed Closure and Transfer of Functions Second Special Meeting, February 29, 2000 -February 23, 2000"* U.S. Environmental Protection Agency (EPA) Office of Solid Waste (OSW) -Comments onthe Proposed Closure and Transfer of Functions of NTIS -February 22, 2000"* National Federation of Federal Employees -The Union's Perspective on the future of NTIS -February 17, 2000-39-

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U.S. National Commission on Libraries and Information Science"* NTIS: Proposed Closure and Transfer of Functions Activity or Service Matrix -February 15, 2000"* Press Release -NCLIS to Hold Meeting on NTIS Closure (meeting on February 29, 2000) -February 8, 2000"* Historical Considerations of NTIS, Sarah T. Kadec -February 7, 2000"* NTIS: Proposed Closure and Transfer of Functions -NCLIS Powerpoint presentation formeeting -February 4, 2000"* Final Agenda, NTIS: Proposed Closure and Transfer of Functions Second Special Meeting,February 4, 2000 -February 4, 2000"* Toward a National Library of Science and Technology: Building on the Present -Creating theDigital Future by Bonnie C. Carroll and Gail M. Hodge (October 12, 1998) -For the SecondMeeting of the National Commission on Libraries and Information Science on theDepartment of Commerce's proposed closing of the National Technical Information Service -February 4, 2000Note: The source information on this document contains some word processing softwaresymbols and codes, which govern formatting conventions, but which the NCLIS system isunable to interpret or understand. Therefore, some users may have difficulty downloading thedocument, or have difficulty reading some of the text. We apologize for this inconvenienceand suggest that the document originator be contacted if required"* Second Statement by Peter F. Urbach, Former Director of NTIS, For the Second Meeting ofthe National Commission on Libraries and Information Science on the Department ofCommerce's proposed closing of the National Technical Information Service -February 4,2000"* The Future of the NTIS Function Independent of Organizational Location by Peter F. UrbachPowerpoint Slide Presentation -February 1, 2000"* Where Should the NTIS Function Be Located Organizationally? by Peter F. UrbachPowerpoint Slide Presentation -February 1, 2000"* Participant Invitation List, Second Special NTIS Closure/Transfer Expert Meeting, February4, 2000 -January 27, 2000"* Invitation Letter to Participants to Attend February 4, 2000 Meeting -January 27, 2000"* Chronology/Bibliography of Events Relative to NTIS' Position in Commerce, Prepared bySarah T. Kadec -January 26, 2000"* Remarks regarding the future of NTIS by Miriam A. Drake, Dean and Director of Libraries,Georgia Institute of Technology Library and Information Center -January 20, 2000"* Invitation Letter to the Benton Foundation Meeting -January 19, 2000"* Participant Invitation List, NTIS Closure/Transfer Expert Meeting, January 19, 2000"* NTIS: Proposed Closing & Transfer of Functions Meeting, Attendees by Category -January19,2000"* Agenda -January 19, 2000"* NTIS: PROPOSED CLOSURE & TRANSFER OF FUNCTIONS Powerpoint SlidePresentation -January 19, 2000"* Statement of Peter F. Urbach, Former Director of NTIS for the Benton Foundation Meetingof the U.S. National Commission on Libraries and Information Science on the Department ofCommerce's proposed closing of the National Technical Information Service -January 19,2000"* National Technical Information ServicePerforming a Vital Public Service, but Facing an Impossible Problem -Walter Warnick"* The End of the National Technical Information Service? -J. Timothy Sprehe-40-

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Preliminary Assessment of the Proposed Closure of the NTIS"* Comments Relating to the Proposed Closure and Transfer of NTIS Functions from theDepartment of Commerce to the Library of Congress by Wayne Kelley, FormerSuperintendent of Documents, Government Printing Office (GPO) -January 18, 2000"* Technical Impacts of the Closing of NTIS, CENDI Input from 10 Member Executive BranchAgencies -1999"* Letter to The Honorable Bill Frist -December 10, 1999"* Responses to Questions Submitted by Senator Bill Frist to Commissioner Joan R. Challinor -October 21, 1999"* Oral Testimony Handout -Commissioner Joan Challinor -October 21, 1999"* Prepared Senate Committee Testimony -Commissioner Joan Challinor -October 21, 1999"* Statement of Caroline C. Long on behalf of the American Association of Law LibrariesAmerican Library Association, Association of Research Libraries, Medical LibraryAssociation, Special Libraries Association before the Subcommittee on Technology HouseScience Committee on the Proposed Closing of the National Technical Information Service -September 14, 1999"* Letter to The Honorable Constance M. Morella -September 13, 1999"* Letter to The Honorable William M. Daley -August 16, 1999Link to:"* GODORT, the Government Documents Round Table of the American Library Associationwould like to comment on the proposed closure of NTIS. Our statement is currently availableat http://www2.lib.udel.edu/godort/nclis/."* ALA Resolution on Government Printing Office FY 2000 Salaries and ExpensesAppropriations -last modified February 17, 2000"* President's Budget for Fiscal Year 2001 referring to NTIS Federal Funds, IntergovernmentalFundspages 227 and 228 (pages 33 and 34 in the Adobe Acrobat program)"* President's Budget for Fiscal Year 2001 referring to National Technical Information ServiceNTIS Revolving Fund page 1222 (page 6 in the Adobe Acrobat program)15 U.S. Code"* CHAPTER 23 -DISSEMINATION OF TECHNICAL, SCIENTIFIC AND ENGINEERINGINFORMATION"* CHAPTER 63 -TECHNOLOGY INNOVATION"* U.S. Senate Science and Technology"* Senate Hearing Record"* A Report on the National Technical Information Service (NTIS) Prepared by the Departmentof Commerce"* NCLIS Principles of Public Information Adopted by the U.S. National Commission on Libraries and Information Science on June 29,1990-41-

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U.S. National Commission on Libraries and Information ScienceATTACHMENT 6: SUMMARIES OF SPECIAL MEETINGS FEDERALCENTRAL INFORMATION SERVICE ORGANIZATIONS, THE OFFICE OFMANAGEMENT AND BUDGET (OMB) AND THE INFORMATION INDUSTRY[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Summary of Meetings with the Office of Management and Budeet. the Software andInformation Industry Association, and Selected Private Sector RespondentsSUMMARY OF MEETINGS WITH THE OFFICE OF MANAGEMENT AND BUDGET,THE SOFTWARE AND INFORMATION INDUSTRY ASSOCIATION, AND SELECTEDPRIVATE SECTOR RESPONDENTSDuring the months of January, February and March, 2000, NCLIS Executive Director RobertWillard, Deputy Director Judith Russell, and NCLIS Consultants Woody Horton and SarahKadec met with, or made telephonic or e-mail contact with Mr. Stephen Suh, OMB Examinerresponsible for NTIS, Mr. David LeDuc and Mr. Peyton Neal representing the Software andInformation Industry Association, as well as Mr. Dan Duncan and Mr. Ken Allen, formerexecutives of the former Information Industry Association, and several other knowledgeable individuals for the purpose of soliciting their views on the NTIS closure and transfer matter.First, Mr. Neal and Mr. LeDuc thought the idea of holding a special meeting at the Commissionfor the purpose of exchanging views on the industry's perspective of the NTIS closure matterwould be very helpful. A meeting has tentatively been scheduled for April 2000. Both Mr. Duncan and Mr. Allen endorsed this idea. All individuals also agreed to the idea of a panelcomposed of both government and industry officials to help evaluate the alternatives in front ofthe Commission, would also be helpful. The Commissions 1980-1981 experience with the former Public Sector/Private Sector Task Force in the Integration in Providing InformationServices could be used as a model for either or both of these endeavors.Second, in the meeting with Mr. Suh on March 6 2000, there was a cordial exchange of views onthe role of NCLIS in the matter, the background of the public meetings and research that had beenundertaken, the various "deliverables" that NCLIS had already, or was planning to produce, andsuggestions from both parties on further research needs. Mr. Suh's name had already been placedon the NCLIS e-mail distribution list to receive copies of these deliverables, and Mr. Suh wasalready aware generally of the contents of the NCLIS web site. Mr. Suh confirmed that his"budget side of the OMB house," rather than the "management side of the OMB house" whichincludes OIRA was taken the lead on this matter because it was considered a reorganizationmatter primarily. However, Mr. Suh acknowledged that the matter did raise and involve severalFederal information policy questions and considerations.-42-

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Preliminary Assessment of the Proposed Closure of the NTISSummary of Meetings With the Library of Congress, the National Archives andRecords Administration, and the Superintendent of Documents, U.S. GovernmentPrinting Office and the Head of the Government Information Technology ServicesBoardSUMMARY OF MEETINGS WITH SENIOR OFFICIALS OFTHE GOVERNMENT PRINTING OFFICE, THE LIBRARY OF CONGRESS, AND THENATIONAL ARCHIVES AND RECORDS ADMINISTRATION, AND WITH THE HEAD OF THE GOVERNMENT INFORMATION TECHNOLOGY SERVICES BOARD (ALSO DEPUTY HEAD OF THE CIO COUNCIL)On February 7, 2000 the Executive Director met with the Francis J. Buckley, The Superintendentof Documents of the Government Printing Office and Lewis Bellardo, the Deputy Archivist of theUnited States. In a follow-on telephone conversation later the same day he also discussed substantively the same matters with the Associate Librarian of Congress for Cataloging, WinstonTabb.In this meeting the Executive Director requested that each of the three major Federal informationservice organizations, GPO, NARA, and LC, reaffirm precisely what their positions werecurrently with respect to the NTIS closure and transfer matter. In each case these officialsindicated that first and foremost in their view was the need to ensure that whatever course ofaction the government eventually adopts, there should be no erosion in a satisfactory level ofservice to the public, which NTIS had been providing for many years. In short, regardless of theorganizational location of the NTIS organization, that overarching goal must be kept in mind.That said, in each of the three cases the officials made clear to NCLIS that:"* None of them could or would be able to assume all of the NTIS functions, services, andassets, and perform them at the same minimal satisfactory level that they had beenperformed historically, without various kinds of statutory, budgetary, policy, and othermodifications;"* None of them could or would be able to assume the functions without additional funding;"* All agreed that there was a need for appropriation financing for the "inherentlygovernmental functions," which could be solicited from the Congress either by modifyingtheir own "normal" appropriation requests, or via a separation appropriation; and"* All agreed that there was a need to ensure that the views of the authorization andappropriation committees must be clarified and made public before their respective organizations would be able, themselves, to take a public position.All of the officials endorse the broad course of action the Commission was planning to follow,namely, the request to the President and the Congress to shift financing for the inherently governmental functions from a self-sustaining basis to an appropriation basis. Moreover, allagreed that time was needed to study all of the alternatives, and the eighteen month April 1, 2000-September 30, 2001 to undertaken that "in-depth assessment" seemed reasonable.On February 25, 2000, the NCLIS Executive Director met with Al Pesachowitz, Deputy CIO ofthe Environmental Protection Agency, and "double-hatted" as head of the GovernmentInformation Technology Services Board (GITSB) and member of the (Federal) CIO Council.The purpose of this meeting was to ensure that the broad question of how to strengthen the-43-

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U.S. National Commission on Libraries and Information Science dissemination of government information to the public was, indeed, "on the agenda" of the GITSB and the CIO Council. Mr. Pesachowitz reassured the Executive Director that, indeed, itwas a high priority item for them even though they have been preoccupied with many other ITrelated issues such as the Y2K problem, the Internet security problem, the Internet privacy ofinformation problem, and many others.The Commission pointed out that there were four specific areas that it commended to theattention of GITSB and the CIO Council that were of paramount importance to it in the context ofthe broad dissemination of government information to the public issue:"* Permanent public accessibility;"* Permanent records retention;"* Preservation; and"* Authentication.There are some additional important issue areas, but the above four are the ones that are foremost,and were all intimately involved in the GPO/Westat study, which also involved the Federalagency CIOs.It was agreed that NCLIS and the CIO Council would establish and maintain a workingrelationship and Mr. Willard promised to write Mr. Pesachowitz a letter as soon as practicable tosuggest some concrete ways the two organizations could work more closely and effectively together.ATTACHMENT 7: NCLIS FEDERAL REGISTER NOTICE SEEKING PUBLIC COMMENT ON THE NTIS CLOSURE[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Federal Register Notice on the Proposed Closure and Transfer of Functions of NTIS,February 14,2000[Federal Register: February 14, 2000 (Volume 65, Number 30)][Notices][Page 7398]From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr 14fe00-79]NATIONAL COMMISSION ON LIBRARIES AND INFORMATION SCIENCE Open MeetingAGENCY: National Commission on Libraries and Information Science.Matter to be considered: Proposed Closure and Transfer of Functions of National TechnicalInformation Service (NTIS)-44

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Preliminary Assessment of the Proposed Closure of the NTISSummary: In fulfillment of its statutory mandate to advise the President and the Congress onnational and international library and information policies and plans, the Commission has beenstudying the proposal made in August 1999 by Secretary of Commerce William Daley to closethe National Technical Information Service (NTIS) and transfer its collections, functions,services, and assets to the Library of Congress. The Commission has convened two meetings ofinterested parties for the purpose of allowing them to comment and to offer recommendations.More than 75 major stakeholders representing federal agencies, libraries and the private sectorparticipated in the earlier meetings resulting in narrowing the number of options being consideredfor the future of NTIS.In an effort to ensure that all interested parties have the opportunity to be heard, NCLIS isscheduling one additional meeting to review a draft of the Commission's findings. TheCommission will then review all comments, before making its final recommendation to Congressand the Administration.Date and Time: Tuesday, February 29, 2000 at 9:00 a.m. until 3:00 p.m.Place: 253 Russell Senate Office Building.Letters to legislators and NCLIS testimony before the Senate Subcommittee on Science, Technology and Space, Committee on Commerce, Science and Transportation as well as comments, reports and summaries of the earlier meetings can be viewed on the NCLIS web site athttp://www.nclis.gov/info/ntis/ntis.html. Anyone wishing to make comments on the deliberationsor to present statements may contact Woody Horton at (202) 606-9200 or through e-mail atwhorton@nclis.gov no later than 10:00 a.m. February 25, 2000. All comments received will bemade publicly available on the NCLIS website.To make special arrangements for physically challenged persons,contact Barbara Whiteleather (202) 606-9200.Dated: February 9, 2000. Robert S. Willard, Executive Director, NCLIS.[FR Doc. 00-3364 Filed 2-11-00; 8:45 am]BILLING CODE 7527-01-MATTACHMENT 8: NCLIS PRINCIPLES OF PUBLIC INFORMATION[NOTE: Although the format may be different, the content of this document is as submitted orpublished.]Principles of Public InformationPRINCIPLES OF PUBLIC INFORMATIONPreambleFrom the birth of our nation, open and uninhibited access to public information has ensured goodgovernment and a free society. Public information helps to educate our people, stimulate ourprogress and solve our most complex economic, scientific and social problems. With the comingof the Information Age and its many new technologies, however, public information has-45-

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U.S. National Commission on Libraries and Information Science expanded so quickly that basic principles regarding its creation, use and dissemination are indanger of being neglected and even forgotten.The National Commission on Libraries and Information Science, therefore, reaffirms that theinformation policies of the U.S., government are based on the freedoms guaranteed by theConstitution, and on the recognition of public information as a national resource to be developedand preserved in the public interest. We define public information as information created, compiled and/or maintained by the Federal Government. We assert that public information isinformation owned by the people, held in trust by their government, and should be available tothe people except where restricted by law. It is in this spirit of public ownership and public trustthat we offer the following Principles of Public Information.Principles1. The public has the right of access to public information.Government agencies should guarantee open, timely and uninhibited access to public informationexcept where restricted by law. People should be able to access public information, regardless ofits format, without any special training or expertise.2. The Federal Government should guarantee the integrity and preservation of publicinformation, regardless of its format.By maintaining public information in the face of changing times and technologies, government agencies assure the government's accountability and the accessibility of the government'sbusiness to the public.3. The Federal Government should guarantee the dissemination, reproduction, andredistribution of public information.Any restriction of dissemination or any other function dealing with public information must bestrictly defined by law.4. The Federal Government should safeguard the privacy of persons who use or requestinformation, as well as persons about whom information exists in government records.5. The Federal Government should ensure a wide diversity of sources of access, private aswell as governmental, to public information.Although sources of access may change over time and because of advances in technology,government agencies have an obligation to the public to encourage diversity.6. The Federal Government should not allow cost to obstruct the people's access to publicinformation.Costs incurred by creating, collecting and processing information for the government's ownpurposes should not be passed on to people who wish to utilize public information.7. The Federal Government should ensure that information about government informationis easily available and in a single index accessible in a variety of formats.The government index of public information should be in addition to inventories of informationkept within individual government agencies.8. The Federal Government should guarantee the public's access to public information,regardless of where they live and work, through national networks and programs like theDepository Library Program.-46-

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Preliminary Assessment of the Proposed Closure of the NTISGovernment agencies should periodically review such programs as well as the emergingtechnology to ensure that access to public information remains inexpensive and convenient to thepublic.ConclusionThe National Commission on Libraries and Information Science offers these Principles of Public Information as a foundation for the decisions made throughout the Federal Government and thenation regarding issues of public information. We urge all branches of the Federal Government,state and local governments and the private sector to utilize these principles in the development ofinformation policies and in the creation, use, dissemination and preservation of publicinformation. We believe that in so acting, they will serve the best interests of the nation and thepeople in the Information Age.Adopted by the U.S. National Commission on Libraries and Information ScienceJune 29, 1990ATTACHMENT 9: LOS ANGELES TIMES EDITORIAL, MARCH 1, 2000, ANDSECRETARY DALEY'S LETTER TO THE EDITOR,MARCH 6,2000[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Los Angeles Times Editorial. "Science in Peril," March 1, 2000Reprinted with the permission of the Los Angeles Times.WEDNESDAY, MARCH 1, 2000 Science Information in Peril For half a century a small federal agency called the National Technical information Service hasbeen the repository for federally funded scientific, technical and engineering information. Nowthe Commerce Department wants to shut it down, saving about $4 million a year it is true that theservice's paper-based delivery systems are outmoded and that many documents are available freeon the Internet. But some functions are still vital. That's why Congress, rather than supportingthe Clinton administrations hasty plan, should fully fund the agency for at least another year Inthat time, the U.S. National Commission on Libraries and Information Science can study how tomodernize or replace the agency.The Commerce Department says the Technical Information Service is obsolete because federalagencies now post their documents on the Web. However, two-thirds of the reports requestedfrom the service are 3 to 1 0 years old and agencies seldom post such older data. Moreover,Michael F. DiMario, an official of the Government Printing Office, recently told Congress that onthe Web "documents are put up and taken down by federal agencies virtually at random. Withouta policy of permanent public access, there is no assurance that a document seen on the Web bythe public today will be available next week."-47-

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U.S. National Commission on Libraries and Information ScienceCongress should also see that someone in Washington carries on important tasks of the TechnicalInformation Service like tracking down publicly funded research results that have not beenpublicly posted, a function required by federal law. The agency itself may not be needed, but itdoes important work that should be continued.Secretary Daley's Letter to the Editor of the Los Angeles Times, March 7, 2000Reprinted with the permission of the Los Angeles Times.TUESDAY, MARCH 7,2000We agree with you that the National Technical Information Service "does important work thatshould be continued." That is why our proposal-contrary to what your March I editorialsuggests-does not completely eliminate NTIS. We propose to shut down the parts of NTIS that duplicate other government programs or compete with the private sector. But we do not proposeto eliminate the core clearinghouse function, which collects and disseminates federally fundedscience and technical information. And, contrary to your editorial, I believe our plan wouldprovide the public better access to scientific and technical information.As the U.S. National Commission on Libraries and Information Science found, the currentbusiness model of NTIS is fundamentally flawed. In an Internet age, this small agency cannotsupport itself. We must do something this year to ensure that this agency does not go bankrupt.Our proposal is a "good government" measure; it gets rid of the unnecessary and outmoded partsof NTIS and puts the important information collection and disseminating function at anorganization that specializes in information collection and dissemination.WILLIAM M. DALEY Secretary of CommerceWashingtonATTACHMENT 10: ADDITIONAL TECHNICAL DATA AND SUPPORTING DOCUMENTATION[NOTE: Although the format may be different, the content of these documents is as submitted orpublished.]Purpose of This AttachmentThe purpose of this attachment is to bring together certain technical data and information whichsupports selected key points in the main report, and which the Commission believes could be veryhelpful to the Presidential and Congressional decision-making processes required to satisfactorilyresolve the NTIS matter. Because the data is of a relatively detailed and specific nature, it wouldhave been inappropriate for inclusion in the body of the main report.The contents include:* Core List of NTIS Activities, Services and Assets, Classified on the Basis of Whether Mandated or NTIS-Initiated-48-

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Preliminary Assessment of the Proposed Closure of the NTIS"* NCLIS Guidelines for the Evaluation of Alternatives Considered in This Assessment" Some Assumptions and Constraints Considered in This Assessment"* Key Excerpts from Department of Commerce Inspector General's Report on the NTIS"* Key Excerpts from Department of Commerce Report on the NTIS"* Key Excerpts from the Arthur Andersen Report to the Department of Commerce on NTIS"* FY 2001 President's Budget -NTIS Accounts" Major Cost Components of the $1.6 Million NTIS Estimate for Expanding Federal Depository Library Access to NTIS Reports"* Selected List of Legislation, Rules and Regulations Impacting NTIS Mission and Functions"* Draft Key Provisions of Existing and Proposed Legislative AmendmentsCore List of NTIS Activities. Services and Assets, Classified on the Basis of WhetherMandated or NTIS-InitiatedThis is detailed list of core NTIS activities, services, and assets, annotated as to whether eachactivity, service or asset is explicitly mandated in a statute, or whether it is an activity or servicewhich NTIS initiated on its own authority.NTIS: PROPOSED CLOSURE AND TRANSFER OF FUNCTIONSIn the Column Labeled MANDATORY OR NTIS INITIATED,M Explicit Mandate (in statute)N = NTIS Initiated/OptionalMANDATORYItem OR NTISNumber ACTIVITY OR SERVICE INITIATED*1 ]Historical Collection 1MlA Ensured Permanent Availability for Agencies & Public M2 Foreign Information Collection M2A Translations M2B Copyright Releases N2C International Sales Agent Agreements N 3 Domestic Information Collection M3A Website Harvesting N3B Proactive Data Collection M3C Statutory Submission M4 Bibliographic Control/Indexing & Abstracting M4A Performed by NTIS M4B Integrated from Publishing Agencies (DTIC, DOE, etc.) N4C Publication of Bibliographic Index/Database M4C Leasing NTIS Database-49-

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U.S. National Commission on Libraries and Information ScienceMANDATORYItem OR NTISNumber ACTIVITY OR SERVICE, continued INITIATED*5 Scan Documents for Storage/Reproduction N6 Customer Support Services N6A User Support/Help Desk N6B Database/Software Documentation N7 Dissemination Services (Paper, Microfiche, Software, CD-ROM, etc.) M7A Selected Research in Microfiche (SRIM) N7B Standing Orders N7C Subscriptions (e.g. Word News Connection) N 8 Sales (Paper, Microfiche, CD-ROM, Software, Audio-Visual, etc.) M8A On-Demand Duplication M8B Sales from Inventory M8C Process Orders for Fulfillment by Others (e.g. U.S. Publishers) N9 Technology Transfer M19A I FEDRIP (Research in Progress)10 FEDWORLD (Website) N I OA FEDLINE (locator) Demonstration MI11 Ilnternational Trade Center Bookstore N12 Services to Federal Agencies12A FOIA Fulfillment N12B Website Hosting N12C FDLP Compliance N12D Archive Legacy Documents/Data N12E Order Processing/Billing Services N 1 2F Marketing Agency Publications N12G Database Licensing N12H Serve as Official Repository to Meet Agency NARA Obligations N121 Fulfillment of Agency Distribution Requirements N121-1 IRS Forms & Documents N12J Publishing Agency Bibliographic Tools N12K Publishing Agency CD-ROM Products NItemNumber ASSET13 Employees-50-

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Preliminary Assessment of the Proposed Closure of the NTISItemNumber ASSET, continued14 Existing Leases14A Facilities14B Equipment15 Existing Contracts15A Joint Ventures15B Subscription Services15C Deposit Accounts15D Service Contracts (CD-ROM Duplication, etc.)15E Dialog & Other Database Vendors116 IRevolving Fund/Retained Earnings117 JAdvisory BoardNote. The classification of activities and services as either mandatory or self-initiated ispreliminary, and subject to further verification and validation during the course of theCommission's in-depth assessment to follow. Even though the "mandated or NTIS-initiated" annotation is not made for the assets listed at the bottom of the list, the assets are included in theinterests of trying to be as inclusive as possible in identifying all NTIS functions and activities.NCLIS Guidelines for the Evaluation of Alternatives Considered in This AssessmentThe following are guidelines which the Commission plans to follow in evaluating the pros andcons, and the benefits and costs, of the various alternatives to be considered. These guidelineswere developed with the assistance of the various stakeholder groups with whom the Commissionmet on several occasions. There are three "levels" of guidelines arranged in a nested hierarchicalfashion, beginning first with the most general principles, then those which apply to STI, then guidelines pertaining to the mission and role of NTIS. A fourth and final list of guidelines arecorrelated with general principles of management and analytical methodology, not necessarilylinked specifically to NTIS or STI.I. GENERAL GUIDELINES1. The public has a right to government information.2. The government should maximize the availability of its information to the public, andminimize information withheld from the public, subject to the appropriate safeguards,restrictions and protections relating to national security, privacy, confidentiality, and soforth.3. The public has a right of easy, fair, and equitable access to government information. Thisincludes the further harmonization of the bibliographic control systems (LC/MARC &COSATI) used to catalog, organize, and disseminate scientific and technical information.-51

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U.S. National Commission on Libraries and Information Science4. The government should ensure the integrity, authenticity, and preservation of itsinformation.5. The government should develop and put in place as quickly as possible a comprehensiveand authoritative locator and finding system for use by the public to access Government information regardless of its location.6. Individual Federal agency dissemination initiatives are very commendable, but areinsufficient by themselves without strengthened coordination and augmentation.7. The public and private sectors should work together to facilitate multiple and diversepublic information sources, products, and services.II. SCIENTIFIC AND TECHNICAL INFORMATION GUIDELINES1. Scientific and technical information (STI) produced or acquired by the government is astrategic and critical national asset.2. The cost of the life cycle management of STI, including dissemination and permanentpublic access, should be an integral cost of research and development.3. The American economy benefits substantially from the diffusion of R&D STI.4. STI collections must be made permanently publicly accessible.5. Scientific and technical official records must be scheduled and retained permanently.6. Scientific and technical data and documents must be preserved regardless of media andformat, and protected from loss, including technological change.III. THE ROLE AND MISSION OF NTIS1. The statutory mission of NTIS is fundamentally sound because foreign and domestic STIis critical to the advancement of science, and the growth of the U.S. economy.2. Some NTIS functions are inherently governmental in nature, should be considered apublic good, and therefore funded by Congressional appropriations. This includes theacquisition, storage, bibliographic control and archiving of Federally-funded R&Dinformation and data.3. Some NTIS functions could be self-supported or privatized. This includes such activitiesas sales, marketing and order processing for value-added services.4. The current NTIS business model is flawed and needs to be reconfigured andmodernized, taking into account greater utilization of the full range of World Wide Web and Internet features and capabilities.5. Changes to the NTIS business model should take into account consultations withstakeholders both inside and outside of government.-52-

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Preliminary Assessment of the Proposed Closure of the NTISIV. ADDITIONAL GUIDELINES1. Based on consultations with stakeholders, NCLIS will narrow as much as possible thenumber of alternatives to be presented in its final report.2. Pros and cons for evaluating and comparing alternatives will be based on specific criteriaagreed upon by the stakeholders.3. The assessment of the final alternatives presented will also take into account the explicitassumptions and constraints agreed upon by the stakeholders.Some Assumptions and Constraints Considered in This AssessmentSome preliminary assumptions and constraints which the Commission believes may have abearing on its evaluation of alternatives, but which have not yet been validated with thestakeholder groups (but will be before utilization), include:1. Some mandated NTIS Activities, Services, or Assets may be eliminated;2. Some mandated NTIS Activities, Services, or Assets may be better operated on acentralized basis, but others might best be operated on a distributed and/or decentralized basis, and the distinction should be studied carefully;3. Even if NTIS were retained in the Department of Commerce, closed down, or itsactivities transferred elsewhere, its statutory framework will have to be modified;4. With the same caveats expressed in 3 above, NTIS's policy framework will have to bemodified;5. With the same caveats expressed in 3 above, NTIS's budgetary framework will have tobe modified;6. With the same caveats expressed in 3 above, NTIS's finance and accounting frameworkwill have to be modified;7. No alternative to be considered will fulfill all of the criteria identified in Para. C,Guidelines, above, in an "ideal, 100%" fashion;8. Hybrid solutions (that is, a mixture of the elements of several alternatives) is at leastpossible and feasible, if not entirely likely; and9. The full range of both domestic and foreign, both historical collections vs. ongoingcollections, both inherently governmental functions vs. NTIS self-initiated functions,bibliographic control alternatives, and the preparation of documents for retention anddissemination, must be considered.Key Excerpts from Department of Commerce Inspector General's Report on theNTISOn March 19, 1998, Acting Inspector General Johnnie E. Frazier sent a letter, subject: "Audit ofNTIS's FY 1997 Financial Statements Audit Report No. FSC-9867-8-0001" to Dr. Donald R.Johnson, (former) Director of NTIS.Attached to that document was the DOC IG's "Semiannual Report to the Congress," dated March31, 1997.On page 12 of that report, under the caption "NTIS Expansionary Activities," the following isquoted:-53-

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U.S. National Commission on Libraries and Information Science"We recently completed a program evaluation of the National TechnicalInformation Service's operations, including its CyberFile project for the InternalRevenue Service (IRS). We found that in pursuing its mandated responsibilities,NTIS has generally worked effectively with other federal agencies to increase itsinventory of the nation's scientific, technical and engineering information, incompliance with the American Technology Preeminence Act (ATPA)."However, we are very concerned about the expansionary efforts and activitiestaken on by NTIS based on (1) its interpretation of the agency's authority under ATPA, (2) a push to generate new revenues, and (3) a general desire to expandits operations. We are concerned that some of these tasks are on the border of --if not outside --NTIS's authority and statutory mission. Also, poorly chosenexpansionary projects potentially detract from NTIS's ability to fulfill its primaryand traditional mission."A prime example is NTIS's attempt to develop for IRS a system capability thatwould enable U.S. taxpayers with home computers to submit their tax returnselectronically. Unfortunately, CyberFile --a $22 million project, NTIS's largestever --was poorly managed on many fronts, and NTIS's role in the projectbecame the subject of GAO, OIG, IRS internal audit, and congressional concernsand criticism."Key Excerpts from Internal Department of Commerce Report on the NTISThe Department of Commerce prepared a special report entitled "A Report on the NationalTechnical Information Service (NTIS)," in 1999 that was published before Secretary ofCommerce Daley's August 1999 proposal to close down NTIS and transfer its collections andbibliographic database to the Library of Congress.In this report, under the caption "Options considered," the following appears:"In the fall of 1998, the Department contracted with Andersen Consulting toobtain an independent review of NTIS operations. Andersen identified potentialmarket and product opportunities to improve the financial performance of NTIS.The Department considered these suggestions and several others. In the spring of1999, the Department identified and refined three long-term options that wouldaddress NTIS's difficult financial situation and ensure the continuation of publicaccess to important government information, while also considering the needs ofNTIS's workforce."The Department considered options to 1) maintain NTIS at Commerce andrequest annual appropriations to both permit NTIS to digitize the most recent ten years of its collection and to fund the clearinghouse, 2) maintain current NTISoperations while seeking annual appropriations to supplement declining clearinghouse revenues, cutting costs where possible, and 3) seek a one-timeappropriation to close NTIS and transfer the collection and documentdissemination to another organization."Of the three options considered, the Department estimated that the third wouldrequire the least cumulative appropriations through fiscal year 2004. TheDepartment estimates that it would require about $14 million and the receipt of -54-

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Preliminary Assessment of the Proposed Closure of the NTISthe transfer of about $3 million over the next five years. Options I and 2 couldeach require as much as $30 million through fiscal year 2004."Option 3 ensures continued public access to government scientific, technicaland engineering information because it will be available through the Library ofCongress and directly from the agencies creating the information. The proposed legislation will include new provisions to ensure that agencies fulfill their two-fold obligations to post their documents on their web sites and provide electroniccopies to the Library."It should be noted that the Department selected the Library of Congress for thetransfer of NTIS's collection and the maintenance of its bibliographic databases because the Library already houses a significant collection of scientific materialsof over several million volumes. Additionally, the public can access the Librarythrough online catalogs. The Department also considered the National Archivesand Records Administration and the Government Printing Office. TheDepartment is currently working with these organizations and other interestedparties in addressing specific issues to ensure the proposed legislation will enable the public to have the best possible access to scientific and technicalinformation."Key Excerpts from the Arthur Andersen Report to the Department of Commerce onthe NTISThe Department of Commerce contracted with Andersen Consulting in the fall of 1998 toperform an "independent comprehensive review" of NTIS operations, at the suggestion of theDepartment's IG (whose own report is referred to in preceding paragraphs). Their report, entitled "Developing a Market-Driven Growth Strategy" is dated December 17, 1998."Strategic Options and ConstraintsGiven the structural changes to the market, NTIS must develop and execute anew action plan to regain financial viability. While there is potential for profitimprovement, there are significant barriers to implementation. Obstacles includethe inability to copyright, restrictions on outsourcing and labor practices, and the mandate to perform the public good functions of collecting, inputting, andarchiving the U.S. government's scientific and technical information. Theseobstacles and obligations prevent NTIS from operating as a private business,even though it is required to be self-sustaining. NTIS must pursue one, or acombination of, three strategies to continue to finance the operation of theClearinghouse.NTIS's three options include:Increase profits. NTIS could increase profitability by identifying and acquiringmore best sellers, and/or decreasing costs. To generate the $25M in revenue andthus $5M in profits needed to finance NTIS's clearinghouse operations, afundamental shift in its marketing efforts will be needed. This will requireannual funding of $1-3 million for staff and $5-10 million to modernize for thestrategy. On the cost side, with current regulatory obstacles, NTIS will only beable to reduce costs by, at most, $500,000.-55-

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U.S. National Commission on Libraries and Information ScienceRemove competitive constraints. NTIS could seek legislative changes to allowmore competitive actions, such as advertising, a primary and often sole revenue source for NTIS competitors. However, this is currently not an option for NTISdue to public policy concerns. While Andersen Consulting did not look at costs,our best practice re-engineering experience suggests that with current obstacles removed, costs could potentially be cut between 10 and 20 percent.Obtain appropriations. NTIS could seek an appropriation to cover the risingmandated costs while allowing distribution costs to be covered by revenue.These costs are expected to rise 5% a year from their current level of $5.2million. An appropriation would enable NTIS to fulfill its mission as aclearinghouse to serve the public good. Moreover, it would level the playingfield with government agencies like GPO and STATS-USA which receivefunding to cover input costs."Note: The U S. National Commission on Libraries and Information Science, in this report, isrecommending the third option be pursued. No inference should be drawn, however, that in sorecommending this option, there is an attempt to "level the playing field" as the idea is espousedin the Andersen Consulting report. On the contrary, the Commission believes that allgovernment agencies with sales programs for the marketing and selling of governmentinformation to the public should be subject to the same consistent application of governmentinformation dissemination policies and regulations.FY 2001 President's Budget -NTIS AccountsNATIONAL TECHNICAL INFORMATION SERVICENTIS REVOLVING FUND(Supplemental now requested, existing legislation)Program and Financing (in millions of dollars) Identification code 13-4295-1-3-376 1999 actual 2000 est. 2001 est.Obligations by program activity:10.00 Total new obligations (object class 13.0) 4.5Budgetary resources available for obligation:22.00 New budget authority (gross) 4.523.95 Total new obligations 4.5New budget authority (gross), detail:Discretionary:42.00 Transferred from other accounts 4.5Change in unpaid obligations:73.10 Total new obligations 4.573.20 Total outlays (gross) ... 4.5Outlays (gross), detail:86.90 Outlays from new discretionary authority 4.5 -56-

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Preliminary Assessment of the Proposed Closure of the NTISNet budget authority and outlays:89.00 Budget authority 4.590.00 Outlays 4.5NOTE: This supplemental request would provide $4.5 million to the NTIS revolving fundfor the one-time costs of the shutdown of the NTIS. The Department of Commerce hasproposed legislation to close NTIS. As of the date of this NCLIS report, the Department has not changed its position in this regardMajor Cost Components of the $1.6 Million NTIS Estimate for Expandin! FederalDepository Library Access to NTIS ReportsNTIS has indicated that it would have to make some substantial infrastructure improvements toaccommodate the needs of 1,400 libraries and the increased number of "hits" expected. Themajor cost components identified by NTIS are:0 $800,000 for storage of images on hard-drives to replace the tape storage NTIS iscurrently using;* $400,000 for contractors to re-program an interface between the pilot and the NTISelectronic delivery system (ADSTAR), and ready the bibliographic database forsearching and ordering from the web;* $300,000 for additional Internet bandwidth for the program; and* $100,000 for database server upgrades to accommodate the increased utilization.0 Total: $1.6MNote. It is important to recognize that these are preliminary estimates, provided byNTIS, they have not been verified or validated as of the date of this report. Alternatives,such as the transfer of electronic reports to GPO for dissemination to the FederalDepository Libraries, have not been considered to determine the most cost-effectivemethod ofproviding access.Selected List of Legislation, Rules and Regulations Impacting NTIS Mission andFunctions"* Title 44, especially Chapters 17, 19, 31, 33, 35, and 41" Atomic Energy Act of 1954"* Government Research and Development Patent Policy Act of 1984"* Federal Science and Technology Transfer Act of 1986"* Stevenson-Wydler Innovation Act of 1980"* Paperwork Reduction Reauthorization Act of 1995"* National Science and Technology Policy, Organization and Priorities Act of 1976"* Japanese Technical Literature Act of 1986"* American Technology Preeminence Act of 1991"* Executive Order 12591, "Facilitating Access to Science and Technology," April 10, 1987"* Executive Order 12881, "Establishing the National Science and Technology Council,"November 23, 1993"* OMB Circular A-130, "Management of Federal Information Resources," February 8,1996-57-

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U.S. National Commission on Libraries and Information ScienceDraft Key Provisions of Existing and Proposed Legislative Amendments1. Proposed language with respect to repealing the "collection of fees" requirement."Section 103(c) of title I of the American Technology Preeminence Act of 1991(Pub. L. 102-245, title I, Sec. 103, 106 Stat. 8) which provided for the fundingof activities described in Section 2(a) of this bill through the collection of fees, isrepealed."2. Proposed language with respect to clarifying the mission and functions of NTIS."Section 2 of the Stevenson-Wydler Technology Innovation Act of 1980 (15U.S.C. 3701) is amended by adding a new paragraph (12) as follows:"(12) It is in the public interest to ensure that decisions to acquire, collect andpreserve scientific, technical, and engineering information are made primarily onthe basis of enduring research, productivity, competitiveness and general publicinformation value, and not on the basis of sales potential. To this end, costsassociated with those functions which are inherently governmental in nature andconsidered a "public good" or "common good" should be borne by the public atlarge utilizing appropriated funds. The cost of marketing and selling informationproducts and services, on the other hand, should be borne by the consumer who isthe immediate beneficiary."3. Proposed language with respect to authorization of appropriations.(a) "For each of Fiscal Years 2001 and 2002, respectively, there is authorized tobe appropriated $5,000,000 for operating costs of the National TechnicalInformation Service associated with the acquisition, processing, storage,bibliographic control, conversion to electronic format, and archiving of scientificand technical information."(b) "For Fiscal Year 2001 there is authorized to be appropriated $1,600,000 toexpand to all depository libraries the pilot program instituted by the NationalTechnical Information Service and the Superintendent of Public Documents in1998 to improve free public permanent access to NTIS materials."Note: As pointed out in other sections of this report, these figures need to beverified and validated.4. Existing language with respect to user fee (USC Sec. 1153, P.L. 91-412 "Rules,regulations and fees:""It is the policy of this chapter, to the fullest extent feasible and consistent withthe objectives of this chapter, that each of the services provided herein shall beself-sustaining or self-liquidating and that the general public shall not bear thecost of publications and other services which are for the special use and benefitof private groups and individuals; but nothing herein shall be construed to requirethe levying of fees or charges for services performed or publications furnished toany agency or instrumentality of the Federal Government, or for publicationswhich are distributed pursuant to reciprocal arrangements for the exchange of-58-

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Preliminary Assessment of the Proposed Closure of the NTISinformation or which are otherwise issued primarily for the general benefit of thepublic."5. Existing language with respect to agency information dissemination responsibilitiesunder Public Law 104-13, 109 STAT. 163, the Paperwork Reduction Act of 1995:Section 3506(d) "with respect to information dissemination, each agency shall -(1) ensure that the public has timely and equitable access to the agency's public information, including ensuring such access through --(A) encouraging a diversity of public and private sources for informationbased on government public information;(B) in cases in which the agency provides public information maintained inelectronic format, providing timely and equitable access to theunderlying data (in whole or in part); and(C) agency dissemination of public information in an efficient, effective,and economical manner;(2) regularly solicit and consider public input on the agency's informationdissemination activities;(3) provide adequate notice when initiating, substantially modifying, or terminating significant information dissemination products; and(4) not, except where specifically authorized by statute --(A) establish an exclusive, restricted, or other distribution arrangement thatinterferes with timely and equitable availability of public informationto the public;(B) restrict or regulate the use, resale, or redissemination of publicinformation by the public;(C) charge fees or royalties for resale or redissemination of publicinformation; or(D) establish user fees for public information that exceed the cost ofdissemination."-59-

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U.S. National Commission on Libraries and Information Science-60-

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U.S. National Co issionio Libraries and Information Science1I10 Vermont Avenue, NW, Suite 820, Washington, DC 20005-3552Telephone: 202-606-9200; Fax: 202-606-9203; Web: www.nclis.gpv