Part 1. TEXAS STATE LIBRARY AND ARCHIVES COMMISSION

Chapter 3. STATE PUBLICATIONS DEPOSITORY PROGRAM

13 TAC §§3.1, 3.2, 3.4, 3.6

The Texas State Library and Archives Commission (TSLAC) proposes to amend 13 TAC §§3.1, 3.2, 3.4 and 3.6 regarding the State Publications Depository Program. Recently, the commission changed the technology that powers the Texas Record and Information Locator (TRAIL) system. The new platform for TRAIL provides a better basis for comprehensive searching and archiving Internet-based publications. The new technology requires rule modifications to insure more comprehensive capture of state government information.

Proposed amendments to §3.1 update definitions of terms. Proposed amendments to §3.2 clarify when new versions of a document must be deposited through the program. Proposed amendments to §3.4 update procedures TSLAC and state agencies follow to enable their Internet-based publications to be searched and archived under the new TRAIL technology. Proposed amendments to §3.6 exempt certain state publications from deposit.

Division director Beverley Shirley has determined that, for the first five years the section is in effect, there will be no fiscal implications for state or local government as a result of enforcing or administering the proposed amended sections.

Ms. Shirley also has determined that, for each of the first five years the section is in effect, the public benefits anticipated as a result of enforcing the section will be to increase long-term access to state publications that are published on the Internet. There are no cost implications to either small businesses or persons required to comply with the proposed amended sections.

Written comments on the proposed amended sections may be submitted to Beverley Shirley, Library Resource Sharing Division, Texas State Library and Archives Commission, P. O. Box 12927, Austin, Texas 78711-2927; fax: (512) 936-2306.

The amendments are proposed under Government code §441.102 which authorizes the commission to adopt rules "for the distribution of state publications to depository libraries and for the retention of those publications", and to "establish and maintain a system, named the 'Texas Records and Information Locator,' or 'TRAIL,' to allow electronic access, including access through the Internet, at the Texas State Library and other depository libraries to state publications that have been made available to the public through the Internet by or on behalf of a state agency."

The amended section as proposed affects Government Code, §§441.101 - 441.105.

§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) Agency Advisory Committee--The advisory committee for the TRAIL grants database program authorized by Government Code §441.010(e).

(2) Commission--The Texas State Library and Archives Commission.

(3) Complex relational database--A database comprised of multiple inter-related tables that is dynamically updated, that contains only minimal narrative text, and that cannot be accurately represented as a set of static HTML pages or a spreadsheet.

(4) [ (3) ] Depository library--Any library that the Director and Librarian or the commission designates as a depository library for state publications.

(5) [ (4) ] Depository publication--A state publication in any format distributed from or on behalf of the Texas State Library and Archives Commission to a depository library.

(6) [ (5) ] Director and Librarian--Chief executive and administrative officer of the Texas State Library and Archives Commission.

(7) [ (6) ] Electronic external storage devices--Removable electronic media used to store and transfer electronic information.

(8) [ (7) ] Electronic format--A form of recorded information that can be processed by a computer.

(9) [ (8) ] Grant--shall have the meaning given in Government Code §441.010(a)(2).

(10) [ (9) ] 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.

(11) [ (10) ] Internet publication--A publication that is [ that ] published on the Internet as a file or files accessible by Internet connection.

(12) [ (11) ] On-line--Accessible via a computer or terminal, rather than on paper or other medium.

(13) [ (12) ] Physical format--A tangible system for the compilation and presentation of information, including print publications and electronic external storage devices as defined in this chapter.

(14) [ (13) ] Print publication--a publication

(A) 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 are not specifically cited in this definition, and

(B) that is not an Internet publication as defined in this section.

(15) [ (14) ] Public Advisory Committee--The advisory committee for the TRAIL grants database authorized by Government Code §441.010(g).

(16) [ (15) ] 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. Information that is made accessible only through an authentication process, such as a user name and password, or upon request via open records laws, is not deemed publicly distributed.

(17) [ (16) ] 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.

(18) Site map--An HTML page providing links to all materials available to the public on a Web site. A site map can provide links to sections or categories within a Web site rather than to each individual document if all documents within each section are inter-linked.

(19) [ (17) ] 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.

(20) [ (18) ] 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.

(21) [ (19) ] State Publications Depository Program--A program of the Texas State Library and Archives Commission designed to collect, preserve, and distribute state publications, and promote their use by the citizens of Texas and the United States.

(22) Substantive change--A modification of a state publication in any format that represents a fundamental alteration in the information content of a publication. Examples of a substantive change include but are not limited to:

(A) changes to publicly distributed agency information based on the installation of new leadership in a state agency;

(B) amendments to agency policies (such as reversals of former policies; expansions of authority via statutory means, rule-making authority, or judicial process; or clarifications of existing policies);

(C) provision of new information, such as information reports; and

(D) revisions to previously issued information, such as documents describing the financial status, providing statistical data, or reporting on matters within the agency's area of authority.

(23) [ (20) ] Texas Records and Information Locator (TRAIL)--A program of the Texas State Library and Archives Commission designed to locate, index, and make available state publications in electronic format.

(24) [ (21) ] Texas State Library and Archives Commission--The staff, collections, archives, and property of the Texas State Library and Archives Commission organized to carry out the commission's responsibilities.

(25) Transitory or inconsequential change--A modification of a state publication in any format that represents a minor alteration of the publication and does not alter the essential content of the original publication. A transitory or inconsequential change includes but is not limited to: correction of misspellings or typographical errors and the alteration of an Internet publication due to the expiration of textual information that is linked to time-dependent publications (such as press releases or announcements regarding the activities of an agency's programs).

(26) [ (22) ] 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.Standard 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 §3.6 of this title (relating to Standard Exemptions for State Publications in All Formats) or under §3.7 of this title (relating to Special Exemptions).

(b) 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 publications on electronic external storage devices if the state publications are made available by an Internet connection.

(c) When a state publication changes frequently, as in the case of an Internet publication that announces time-dependent information, state agencies are required to determine whether the alteration in the publication represents a substantive change or a transitory or inconsequential change. If the modification is a substantive change, the original version and the new version must be treated as separate publications and managed in accordance with §3.4 of this chapter (relating to Standard Deposit and Reporting Requirements for State Publications that are Internet Publications). If the modification is a transitory or inconsequential change, or if the modification is due only to changes to information that is exempt under §3.6 of this chapter (relating to Standard Exemptions for State Publications in All Formats), the two versions are not deemed to be separate publications.

(d) [ (c) ] Records retention. State agencies are reminded that compliance with this chapter 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.

(e) [ (d) ] 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.

§3.4.Standard Deposit and Reporting Requirements for State Publications that are Internet Publications.

For state publications available to the public by an Internet connection:

(1) State agencies are required to provide the Texas State Library and Archives Commission with guaranteed access, at no charge, to the agencies' Internet publications . If a "robots.txt" file is used to prevent harvesting of a State Agency site then that file must include an exception for harvesting by TSLAC's designated harvesting system ;

(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 shall 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 following a link or series of links from the Agency's primary URL. For publications accessible only by database searching or similar means, an alternative path such as a hidden link to a comprehensive site map must be provided except as exempted in §3.6 of this chapter [ by a Uniform Resource Locator (URL) provided by the agency that describes each Internet 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) Availability. Each original Internet publication and subsequent versions as described in §3.2(c) of this chapter must remain available at some location on the agency Web site for six months after its initial release to ensure that the publication has been collected by TSLAC and made available in the TRAIL archive. Agencies can confirm that a version of an Internet publication has been added to the TRAIL archive by searching at www.tsl.state.tx.us.

[(B) Indexing. Indexed Internet publications shall be accessible through indexes that meet current ANSI/NISO (American National Standards Institute/National Information Standards Organization) Z39.50 search and retrieval standards and that adhere to the application profile of the Federal Information Processing Standards Publication 192 or its successor document.]

[(C) Availability. Issues of a serial Internet publication and current versions only of all other Internet publications shall 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 Internet 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.]

(3) Each state publication made available by Internet connection must include descriptive information in:

(A) a Title tag;

(B) a Description or DC.Description meta tag that includes a narrative description of the publication , and [ ; ]

(C) a Keyword or DC.Subject.Keyword meta tag that includes selected terms from within the publication . [ ; ]

[(D) a Subject or DC.Subject meta tag that includes terms from the TRAIL subject list;]

[(E) a Type or DC.Type meta tag that includes terms from the TRAIL publication type list. This tag may be omitted if the appropriate type for the publication is "Web documents - Undefined."]

(4) State agencies are advised to review the rules in 1 TAC §206.5 (relating to Linking and Indexing State Web Sites).

(5) TSLAC shall create a searchable index of state agency Internet publications that shall be accessible in compliance with the ANSI/NISO (American National Standards Institute/National Information Standards Organization) Z39.50 search and retrieval standard or successor standards, and that shall adhere to the application profile of the Federal Information Processing Standards Publication 192 or its successor document.

§3.6.Standard Exemptions for State Publications in All Formats.

The Director and Librarian has exempted from deposit requirements certain kinds of state publications. A state agency is not required to deposit or provide access to these state publications:

(1) agendas;

(2) advertisements;

(3) alumni materials;

(4) announcements;

(5) artwork;

(6) calendars;

(7) complex relational databases;

(8) [ (7) ] contracts;

(9) [ (8) ] correspondence;

(10) [ (9) ] course schedules;

(11) [ (10) ] curriculum catalogs (departmental only)

(12) [ (11) ] drafts of plans, reports;

(13) [ (12) ] fiction;

(14) [ (13) ] forms;

(15) [ (14) ] fund raising materials;

(16) [ (15) ] grant proposals, bids;

(17) [ (16) ] hearings (transcripts of);

(18) [ (17) ] job listings;

(19) [ (18) ] literary criticisms;

(20) [ (19) ] memorabilia;

(21) [ (20) ] memoranda (including e-mail);

(22) [ (21) ] news or press releases (exemption applies to physical formats only);

(23) [ (22) ] newsletters and subscriber lists meant only for employee, faculty or student use;

(24) [ (23) ] notices of sale;

(25) [ (24) ] opinions and orders issued by state courts;

(26) [ (25) ] daily or weekly periodicals (that are summarized in monthly or quarterly publications);

(27) [ (26) ] personnel manuals;

(28) [ (27) ] photographs;

(29) [ (28) ] poetry;

(30) [ (29) ] policy handbooks intended only for internal use;

(31) [ (30) ] programs (announcements of events, training sessions);

(32) [ (31) ] recruitment materials;

(33) [ (32) ] reprints (reissued without change);

(34) [ (33) ] stationery;

(35) [ (34) ] student publications (those produced by students);

(36) [ (35) ] telephone directories meant only for employee, faculty, or student use; [ and

(37) unedited compilations of data or information submitted via forms or other means from individuals or entities under the regulation of a state agency; and

(38) [ (36) ] volunteer newsletters.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on February 11, 2008.

TRD-200800800

Edward Seidenberg

Assistant State Librarian

Texas State Library and Archives Commission

Earliest possible date of adoption: March 23, 2008

For further information, please call: (512) 463-5459