13 TAC §§3.1 - 3.6, 3.8, 3.9, 3.12, 3.15
The Texas State Library and Archives Commission adopts amendments
to 13 TAC 3.1 through 13 TAC §3.6, 13 TAC §3.8 through 13 TAC §3.9,
13 TAC §3.12, and 13 TAC §3.15 relating to the Texas State Publications
Depository Program, with changes to the proposed text as published in the
December 10, 1999 issue of the
Texas Register
(24 TexReg 11056).
These amendments bring the State's retention periods for records and print
and electronic publications into closer accordance. They also clarify definitions
in existing rules, remove redundant language, and revise deposit requirements
for specific types of publications. These new rules also provide complete
lists of exemptions for print and electronic publications, revise publication
reporting requirements and deadlines, specify the Director and Librarian's
authority to approve exemptions from minimum standards for print depository
libraries, and add a minimum standard requirement for electronic depository
libraries.
The following is a summary of comments received. Following each comment
is the commission's response.
Comment: In §3.1, material requested by the public under the open
records law is excluded from the definition of a state publication. Perhaps §3.1
should include an explanation that a document requested by the public under
the open records law is not considered a publication merely because it was
requested by the public, unless it otherwise meets the definition of a state
publication.
Response: We agree that §3.1(13), as proposed, unintentionally implies
that a document requested under open records reporting would thereby become
a "publication." We have modified the language to explain that the term "state
publication" does not include information distributed to members of the public
under a request made under the open records law, if the requested information
does not otherwise meet the definition of a state publication.
Comment: §3.3 says if there is a retention period specified in the
State Records Retention Schedule for a record that becomes a publication because
it has been publicly distributed, the greater of the two retention periods
applies. That section also says issues of online state publications will be
accessible by Internet connection for two years from the date of release or
last modification. Are you making a special case for a two-year retention
of Internet publications?
Response: Our intent is to remind agency staff that retention compliance
with publication rules does not necessarily mean that records retention rules
had been met as well. To clarify this, we have modified the language in §3.3(e)
to remind state agencies that compliance with this section does not constitute
compliance with records retention rules for state government records. In this
manner, it remains clear that online retention of electronic publications
is two years under publication rules, but additional offline retention may
be required for some publications under records retention rules.
Comment: From §3.3(d)(2)(D) we understand that we must keep superceded
information on the Web even if it contains outdated information. Is your agency
going to provide instructions on how we can distinguish this outdated information
from the current version without unduly modifying the original?
Response: §3.3(d)(2)(D) does indeed specify that superseded information
must be kept on the Web for the duration of the publication retention period.
This will insure public access to Texas state government electronic publications
for an extended period. We have developed a process for retaining electronic
publications on the Internet and have distributed these guidelines to agency
staff attending training sessions for TRAIL, the electronic indexing service
for state publications.
The following organization commented on the proposed rules:
The Texas Department of Health requested the clarifications and revisions
shown above.
The amendments are adopted under Government Code §441.103(b),
that provides authorization for the commission to adopt rules relating to
the deposit of state publications at the Texas State Library and Archives
Commission, and under Government Code §441.102(a), that provides authorization
for the commission to adopt rules relating to the distribution of state publications
by the Texas State Library and Archives Commission. The amendments affect
Government Code, §441.101 through §441.104.
§3.1.Definitions.
The following words and terms, when used in this chapter, shall have
the following meanings, unless the context clearly indicates otherwise.
(1)
Commission--The Texas State Library and Archives Commission.
(2)
Depository library--Any library that the Director and Librarian
or the commission designates as a depository library for state publications.
(3)
Depository publication--A state publication in any format
distributed from or on behalf of the Texas State Library to a depository library.
(4)
Director and Librarian--Chief executive and administrative
officer of the Texas State Library and Archives Commission.
(5)
Electronic external storage devices--Removable electronic
media used to store and transfer electronic information.
(6)
Electronic format--A form of recorded information that
can be processed by a computer.
(7)
Internet connection--A combination of hardware, software
and telecommunications services that allows a computer to communicate with
any other computer on the worldwide network of networks known as the Internet,
and that adheres to the standard protocols listed in Internet standards documents
of the Internet Engineering Steering Group, Internet Architecture Board, and
Internet community.
(8)
On-line--Accessible via a computer or terminal, rather
than on paper or other medium.
(9)
Print state publication--a state publication that is published
in a format that is accessible without the use of a computer, including information
published on paper, in microformat, on audio tapes, vinyl discs or audio compact
discs, on videotape or film, or on any other media that is not specifically
cited in this definition and that is not an electronic format as defined in
this section.
(10)
Publicly distributed--Provided to persons outside of the
agency, in print or other physical medium, or by an Internet connection, or
from a limited local area network on agency premises, or at another location
on behalf of the agency.
(11)
Serial--Issued in successive parts bearing numerical or
chronological designations and intended to be continued indefinitely. The
term includes, but is not limited to: periodicals, newspapers, reports, yearbooks,
journals, minutes, proceedings, transactions.
(12)
State agency--Any entity established or authorized by
law to govern operations of the state such as a state office, department,
division, bureau, board, commission, legislative committee, authority, institution,
regional planning council, university system, institution of higher education
as defined by Texas Education Code, §61.003, or a subdivision of one
of those entities.
(13)
State publication--Information in any format that is produced
by the authority of or at the total or partial expense of a state agency or
is required to be distributed under law by the agency, and is publicly distributed
by or for the agency. The term does not include information the distribution
of which is limited to contractors with or grantees of the agency, persons
within the agency or within other government agencies, or members of the public
under a request made under the open records law, Government Code, Chapter
552 if it does not otherwise meet the definition of a state publication.
(14)
State Publications Depository Program--A program of the
Texas State Library designed to collect, preserve, and distribute state publications,
and promote their use by the citizens of Texas and the United States.
(15)
Texas Records and Information Locator (TRAIL)--A program
of the Texas State Library designed to locate, index, and make available state
publications in electronic format.
(16)
Texas State Library--The staff, collections, archives,
and property of the Texas State Library and Archives Commission organized
to carry out the commission's responsibilities.
(17)
Uniform Resource Locators--The syntax and semantics of
formalized information for location and access of resources on the Internet,
as specified in Internet standards documents of the Internet Engineering Steering
Group, Internet Architecture Board, and Internet community.
§3.2.State Publications in Multiple Information Formats.
When a state publication is distributed to the public in multiple formats
simultaneously, state agencies are required to provide access to or copies
of that publication to the Commission in all formats in which the publication
is publicly distributed. State agencies are not required to provide copies
to the Commission of a publication on electronic external storage devices
if the state publications are made available by an Internet connection.
§3.3.Standard Deposit Requirements for State Publications in All Formats.
(a)
State agencies are required to deposit or make accessible
copies of all state publications that have not been exempted from the State
Publications Depository Program in §3.5 of this title (relating to Standard
Exemptions for State Publications in Print Format Only,), in §3.6 of
this title (relating to Standard Exemptions for State Publications in Electronic
Format Only), or under §3.7 of this title (relating to Special Exemptions).
The standard number of copies to be deposited is based on the number of copies
produced or the medium in which it is made available.
(b)
For print state publications only:
(1)
If 300 or more copies are produced, 55 copies must be deposited
with the State Publications Depository Program.
(2)
If fewer than 300 copies are produced, four copies must
be deposited with the State Publications Depository Program.
(c)
For state publications available in electronic format but
not by an Internet connection:
(1)
State agencies must deposit electronic state publications
on electronic external storage devices only when they are not accessible to
the public by Internet connection.
(2)
State agencies must meet the following requirements when
submitting state publications on electronic external storage devices:
(A)
Computer Diskette. One copy of all applicable state publications
must be submitted on three and one-half inch, 1.44 megabyte high density disks,
configured to an MS-DOS platform and formatted in ASCII (American Standard
Code for Information Interchange) or other software approved by the Texas
State Library.
(B)
Compact Disks--Read-Only Memory. One copy of all applicable
state publications must be submitted on disks that adhere to standards of
ISO (International Organization of Standards) 9660. Files will be formatted
in ASCII, or other software that is provided and is in the public domain or
has been purchased with a license agreement to distribute it with each copy
of the disk. If the file is compressed, software and instructions must be
included on the disk to decompress all data directly to a hard drive from
commands found in a file on the root directory.
(C)
State Publications on Other Electronic External Storage
Devices. For new or improved media which may become commonly available, one
copy of all applicable state publications may be submitted. All such devices
or media for submitting state publications must be approved by the Director
and Librarian and must adhere to standards set by the Texas State Library.
(d)
For state publications available by an Internet connection:
(1)
State agencies are required to provide the Texas State
Library with guaranteed access, at no charge, to state publications available
by an Internet connection.
(2)
State agencies must meet the following minimum requirements
when providing state publications by Internet connection:
(A)
Accessibility. State publications made available by an
Internet connection will be accessible:
(i)
by anonymous File Transfer Protocol (FTP), Telnet, Gopher,
Hyper Text Transfer Protocol (HTTP) or other electronic means as defined in
Internet standards documents of the Internet Engineering Steering Group, Internet
Architecture Board, and Internet community; and
(ii)
by a Uniform Resource Locator (URL) provided by the agency
that describes each state publication's specific name and location on the
Internet; and
(iii)
on alternative electronic formats and interfaces consistent
with requirements of the Americans with Disabilities Act of 1990 and as amended.
(B)
Indexing. Indexed state publications will be accessible
through indexes which meet current ANSI/NISO (American National Standards
Institute/National Information Standards Organization) Z39.50 search and retrieval
standards and which adhere to the application profile of the Federal Information
Processing Standards Publication 192 or its successor document.
(C)
Availability. Issues of a serial state publication and
current versions only of all other state publications will be accessible on-line
by Internet connection for two years from the date of release or last modification
with an average availability by the Internet connection of 23 out of 24 hours,
seven days a week.
(D)
Supercession. For state publications that are updated as
needed to keep information accurate, or that are replaced by other publications,
the superceded versions must remain available by Internet connection. See §3.9(c)(2)
of this title regarding updated publications.
(E)
Archival publications. For those publications defined as
archival (see §6.1 of this title), one copy must be submitted to the
Texas State Archives in accordance with §§6.91 - 6.99 of this title.
(e)
Records retention. State agencies are reminded that compliance
with this section does not constitute compliance with records retention rules
for state government records. See Texas State Records Retention Schedule (second
edition or subsequent edition as applicable) and §§6.1 - 6.10 of
this title for complete information about records retention requirements.
§3.4.Special Depository Requirements for Print State Publications.
Except for state publications available only by an Internet connection,
state publications must be deposited in the following minimum quantities regardless
of the number of copies or different media originally intended to be produced
by the agency. For printed state publications, agencies are expected to incorporate
these deposit requirements into their printing orders.
(1)
Fifty-five copies of the following state publications must
be deposited with the State Publications Depository Program:
(A)
Annual or biennial report (narrative description and statistics
of programs, services, activities);
(B)
Statistical compilations (annual or multi-year);
(C)
Codes (published as compendia);
(D)
Regulations (published as compendia); and
(E)
Directories (of facilities, services, providers).
(2)
Three copies of annual financial reports, annual operating
budgets, and state or strategic plans (for agency services, programs within
its jurisdiction) must be deposited with the State Publications Depository
Program.
(3)
Two copies of requests for legislative appropriations and
quarterly and annual reports of measures must be deposited with the State
Publications Depository Program.
§3.5.Standard Exemptions for State Publications in Print Format Only.
The Director and Librarian has exempted from deposit requirements certain
kinds of state publications distributed in print format. A state agency is
not required to deposit these state publications in print format:
(1)
agendas;
(2)
advertisements;
(3)
alumni materials;
(4)
announcements;
(5)
artwork;
(6)
calendars;
(7)
contracts;
(8)
correspondence;
(9)
course schedules;
(10)
certain curriculum catalogs (departmental only);
(11)
drafts of plans, reports;
(12)
fiction;
(13)
forms;
(14)
fund raising materials;
(15)
grant proposals, bids;
(16)
hearings (transcripts of);
(17)
job listings;
(18)
literary criticisms;
(19)
memorabilia;
(20)
memoranda (including e-mail);
(21)
news or press releases;
(22)
newsletters and mailing lists meant only for employee,
faculty or student use;
(23)
notices of sale;
(24)
daily or weekly periodicals (which are summarized in monthly
or quarterly publications);
(25)
personnel manuals;
(26)
photographs;
(27)
poetry;
(28)
policy handbooks (intended for internal use only);
(29)
programs (announcements of);
(30)
recruitment materials;
(31)
reprints (reissued without change);
(32)
stationery;
(33)
student publications (those produced by students);
(34)
telephone directories (meant only for employee, faculty,
or student use); and
(35)
volunteer newsletters.
§3.6.Standard Exemptions for State Publications in Electronic Format Only.
The Director and Librarian has exempted from deposit requirements certain
kinds of state publications distributed in electronic format. A state agency
is not required to deposit or provide access to these state publications in
electronic format:
(1)
agendas;
(2)
advertisements;
(3)
alumni materials;
(4)
announcements;
(5)
artwork;
(6)
contracts;
(7)
correspondence;
(8)
drafts of plans, reports;
(9)
fiction;
(10)
fund raising materials;
(11)
grant proposals, bids;
(12)
literary criticisms;
(13)
non-print memorabilia;
(14)
memoranda (including e-mail);
(15)
notices of sale;
(16)
daily or weekly periodicals (which are summarized in monthly
or quarterly publications);
(17)
photographs;
(18)
poetry;
(19)
recruitment materials;
(20)
reprints (reissued without change);
(21)
stationery;
(22)
student publications (those produced by students); and
(23)
volunteer newsletters.
§3.8.State Publications Contact Person.
Each state agency must designate in writing or via the Internet one
person to act as liaison with the State Publications Depository Program for
print publications and one person to act as liaison with the State Publications
Depository Program for electronic publications; an agency may elect to designate
the same person to fulfill the liaison duties for both print and electronic
publications. Agencies may request, by writing to the Program, to designate
additional liaisons in cases where the size and complexity of the agency's
publishing activities merit additional coverage. Each liaison must deposit
all state publications within the scope of his or her designated responsibility,
provide information and resolve problems about them, maintain records of the
agency's state publications, negotiate exemptions from deposit requirements,
and submit publication reporting forms.
§3.9.Publication Reporting Form.
(a)
Each state agency must submit a publication reporting form
that describes state publications as they become available.
(b)
State publications submitted in formats other than those
made available from an Internet connection must be listed on a paper form
that is enclosed with each shipment.
(c)
Each state publication made available by Internet connection
must be reported on an electronic form within five working days:
(1)
of its initial availability by the Internet connection;
(2)
and as changes are made which alter its:
(A)
Uniform Resource Locator;
(B)
title;
(C)
scope; or
(D)
accessibility by new use constraints and technical prerequisites.
(3)
Agencies unable to access the electronic reporting form
for state publications made available on-line may request special authorization
to submit a paper form.
§3.12.Minimum Standards for Designated Print Depository Libraries.
(a)
To meet minimum standards, a designated print depository
library must:
(1)
process and shelve physical state publications within 30
days of receipt;
(2)
check all shipping lists to insure that physical state
publications are received, and if not, promptly claimed;
(3)
mark and date physical state publications received in shipments
to distinguish them from state publications received from other sources;
(4)
provide an orderly, systematic record of depository holdings
and subsequent arrangement of state publications;
(5)
furnish a minimum of 400 linear feet of shelving for depository
state publications;
(6)
designate a professional librarian to be responsible for
state publications and to act as liaison with the Texas State Library;
(7)
provide reference service from state publications to all
Texas residents;
(8)
provide access to state publications through reference
tools, public catalogs, and national, state, and local computer networks which
is comparable with that of similar information available through the library;
(9)
implement a circulation and interlibrary loan policy for
state publications which is consistent with the institution's general loan
policy;
(10)
retain print state publications for a minimum of five
years unless otherwise instructed, and submit a disposal list in electronic
format to the Texas State Library for distribution before such state publications
are discarded;
(11)
provide appropriate equipment for the retrieval, use and
storage of all state publications;
(12)
publicize state publications through displays and announcements
of significant new state publications; and
(13)
display a sign, identifying its depository library status.
(b)
The Director and Librarian may exempt print depository
libraries from some or all of the minimum standards defined in this section
upon written request from the print depository library. Justification for
such exemptions may include factors such as:
(1)
cooperative agreements made between print depository libraries
regarding alternate methods of providing state publications to citizens of
the state, or
(2)
extenuating circumstances at a print depository library
that constitute an undue burden on the library in managing its state publications
collection.
§3.15.Minimum Standards for Designated Electronic Depository Libraries.
To meet minimum standards, a designated electronic depository library
must:
(1)
maintain an Internet connection available to the public
which meets the provisions of §1.100 of this title (relating to Standards
for Local Library Internet Access); except that electronic depository libraries
need not meet the standards in §1.100(b)(5)(B)7 and 8 regarding staff
access to Internet services and Internet accessibility of the local catalog;
(2)
provide a user interface to the Texas Records and Information
Locator (TRAIL), in a format approved by the Director and Librarian, through
all public terminals;
(3)
designate a professional librarian to be responsible for
state electronic state publications and to act as liaison with the Texas State
Library;
(4)
provide reference service from state electronic state publications
to all Texas residents;
(5)
provide access to state electronic state publications through
reference tools, public catalogs, and national, state, and local computer
networks which is comparable with that of similar information available through
the library;
(6)
implement a use policy for electronics state publications
which is consistent with the institution's general use policy;
(7)
provide appropriate equipment for the retrieval, use and
storage of all state publications;
(8)
publicize state publications through displays and announcements
of significant new state publications;
(9)
display a sign, identifying its electronic depository library
status; and
(10)
provide print copies of Internet-accessible electronic
publications to requesting libraries in Texas upon demand to fill patron requests.
This agency hereby certifies that the adoption has been
reviewed by legal counsel and found to be a valid exercise of the agency's
legal authority.
Filed with the Office of
the Secretary of State on June 7, 2000.
TRD-200004031
Edward Seidenberg
Assistant State Librarian
Texas State Library and Archives Commission
Effective date: June 27, 2000
Proposal publication date: December 10, 1999
For further information, please call: (512) 463-5459