Components
for Librarians
COLLECTION
DEVELOPMENT PLAN
Collection Development Plan: Selecting Texas State
Documents to be Included in the Electronic Depository
Program
Version
1.0
Adopted
February 2, 2001
By Cathy Nelson Hartman For the Library of Texas,
Government Information Team
Table
of Contents
1.
Background
2. Definitions
3. Purpose of the Collection Development Plan
4. Assumptions
5. Selection of State Publications for Inclusion in
the Program
5.1. MIME Types to be
included for selection
5.2. Publication Types
to be Included for Selection
5.3. Collection of Versions
or Editions of State Publications
5.4. Retention of state
publications selected for the electronic depository
program
6. Notes
7. Appendix A: Resources used in the preparation of
this Collection Plan
1.
Background
In
the spring of 2000, the Texas State Library and Archives
Commission (TSLAC) envisioned a virtual "Library of
Texas," which would offer a broad range of information
services to the people of the State of Texas. One
component of the Library of Texas vision, the Government
Information component, would provide continued public
access to electronic state publications, because TSLAC
believes that such access is a cornerstone of democracy.
The proposed Government Information program would
build a system to ensure continued public access to
state publications. Such a system was needed because
Texas State agencies frequently published documents,
electronically, on agency Web sites then removed the
documents without thought to their continued value
to the public. The preservation of and continued access
to these electronically published state documents
presented difficult new problems to TSLAC, the agency
charged by Texas statutes to preserve and distribute
to depository libraries the publications of Texas
government agencies. TSLAC required funding for the
development of a solution to resolve this issue and
for the other components of the envisioned "Library
of Texas."
TSLAC
submitted a grant proposal to the Telecommunication
Infrastructure Board (TIFB) Libraries Advisory Subcommittee
in April 2000, requesting funding for the proposed
"Library of Texas." The submitted request, in the
amount of $978,000 for the Government Information
component, would assist with the development of appropriate
technological solutions.
With
approval of the funding by the TIFF Board a few weeks
later, work began on the development of a state-of-the-art
electronic depository program that would preserve,
for public access, the electronic publications of
the agencies of the State of Texas. TSLAC formed a
work group, headed by Allen Mullen (Developer, Network
Services, TSLAC) to define the objectives of an electronic
depository and begin the process of examining possible
solutions. In June, representatives of the Texas Depository
Library Program joined the work group. Three subgroups
formed to review different aspects of the project.
The subgroup reviewing issues of "selection/acquisition/conversion/distribution"
discussed at length the selection of the publications
to be included in an electronic depository system.
Input from the Texas Library Association (TLA) Government
Documents Round Table members at the July 2000 TLA
Annual Assembly supplemented the discussions of the
work group members. It became clear that a collection
development plan to outline the types of publications
to be collected and preserved for access was needed.
The following is the Collection Development Plan
for Selecting Texas State Documents to be Included
in the Electronic Depository Program.
The
following sections comprise the Collection Development
Plan:
2.
Definitions
Depository
library - is defined as "the Texas State Library,
the Legislative Reference Library, the Library of
Congress, the Center for Research Libraries, or any
other library that the commission designates as a
depository library" (VTCA Government Code 441.101).
Included in the latter group are the 46 depository
libraries disbursed across the state.
Electronic
Depository Library - a library designated to receive
and store state electronic publications for the purpose
of providing continued public access to said publications.
State
publication - "information in any format that:
(i) 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 (ii)
is publicly distributed outside the agency by or for
the agency." (VTCA Government Code 441.101 (4)) Excluded
are publications that are distributed only 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." (VTCA Government Code 441.101 (4))
Agency
Web site - a site made available by or under the
authority of a state agency on the World Wide Web
for the purpose of publishing information that is:
(i) 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 (ii)
is publicly distributed outside the agency by or for
the agency." (VTCA Government Code 441.101 (4))
MIME
- short for Multipurpose Internet Mail Extensions,
a specification for formatting non-ASCII messages
so that they can be sent over the Internet. Examples
of MIME types are HTML format (.htm or .html), Adobe
Portable Document (pdf), or Microsoft Word (.doc).
In non-technical language, "MIME types" are sometimes
called "file types" and, within this document, may
be used interchangeably.
Version
(or Edition) of a State Electronic Publication
- A publication is considered a new version or edition
(issue, release, update) when significant changes
to the original publication are made. Examples of
significant changes include: changes in the content
(data), changes in the programming language, or the
addition of sound or graphics.
3. Purpose of the Collection Development Plan
The
purpose of this Collection Development Plan is to
articulate a method for selecting state electronic
publications for inclusion in the Electronic Depository
Library Program, working within the guidelines of
Texas Statutes and Texas regulations. Texas Statutes
(VTCA Government Code 441.102) give TSLAC primary
responsibility for administering and regulating a
program to collect publications from state agencies,
preserve them, and distribute them to depository libraries.
Texas
statutes require state agencies to provide their publications
to the TSLAC. If published in print or in a tangible
electronic medium (for example, CD-ROM, floppy disk),
copies must be supplied to TSLAC for inclusion in
the depository program. If the document is published
for access on the Internet, free access must be provided
to the TSLAC. (VTCA Government Code § 441.103)
Within
this legal framework, Texas agencies publish documents
on a wide variety of topics to inform the public and
administer programs. For many years, the majority
of the documents were distributed to depository libraries
in paper. However, in recent years, a growing number
of state publications appear only as electronically
published documents. Most are posted on agency Web
sites and then may be removed with little consideration
for the preservation of the state document for future
access. The Electronic Depository Program proposes
to preserve for permanent public access the electronically
published state documents. This plan outlines a framework
for decision-making concerning the selection of the
publications to be included in the Program.
4.
Assumptions
A
few basis assumptions guide the formation of this
plan:
The people of the state of Texas have a basic right
to no-fee access to state publications.
It is the responsibility of state government to provide
access to state publications and to preserve state
publications for future access.
All documents that meet the statutory definition of
a state publication are considered worthy candidates
of selection for inclusion in the Electronic Depository
collection.
Texas depository libraries provide valuable access
points for citizen use of state publications. They
offer knowledgeable, one-on-one assistance and create
tools that guide the seekers of information to appropriate
state publications.
Texas depository libraries provide free access to
state publications.
State publications will be selected individually for
inclusion in an electronic depository program. Complete
Web sites will not be harvested for inclusion at this
time.
5.
Selection of State Publications for Inclusion in the
Program
Because
of the large quantity of state publications, a publication-by-publication
review for selection of titles to be included in an
electronic depository program is impossible. Selection
must depend on general guidelines. (1)
The
guidelines described below build on existing guidelines
currently used by the TRAIL program to describe state
publication types and MIME (Multipurpose Internet
Mail Extensions) types. The "MIME types", i.e., "file
types," to be included in the first phase of implementation
of the electronic depository will be discussed first.
Other file types may be added at a later time. Secondly,
the "publication types" to be included in the first
phase of implementation and their retention schedules
will be discussed. State publications must fit within
the guidelines for both the "file type" and "publication
type" to be included in the first phase implementation
of the Electronic Depository Collection.
5.1. MIME Types to be included for selection
After
extensive discussion by the work group, the MIME types
to be included in the first phase of implementation
of the Electronic Depository Program are: ·
HTML format (.htm or .html)
Adobe Portable Document (pdf)
Word Processing Documents (Examples - .doc or .wpd)
Spreadsheet Documents (Example - .xls)
Slideshow Documents (Example - .ppt)
Text format (.txt)
Zipped files (.zip)
Other similar file types
These
MIME types, which may also be called "file types"
in this document, are included because of widespread,
ready access to the proprietary software required
to view the files. In fact, the viewing software for
several of the file types on the list are freely available
on the Internet, such as the Adobe Acrobat Reader
used to view the PDF files or the Netscape Web browser
software used to view the HTML files. Also, the file
types listed generally stand on their own for viewing
as a unique state publication. They are easily downloaded
from a Web site and do not require special server
software to process them before sending to the user.
Other types of files or services that should be considered
in a second phase of implementation are:
Audio (Examples - .rm, .ram)
Video
Databases
Mapping data and software (Example - GIS)
Other similar file types
As
state agencies make databases, mapping services, streamed
audio, and other such services available from their
Web sites, capturing this data for future researchers
is vital. The state information contained in such
files will be an important part of phase two of this
project.
5.2.
Publication Types to be Included for Selection
The
TRAIL system defines several types of publications
that are entered into TRAIL records by each Texas
agency. These "publication type" designations offer
general categories for classifying state publications.
A
state publication shall be selected for inclusion
in the Electronic Depository Library Program when
the "MIME type" matches one of the above-designated
types and when the "publication type" is classified
in one or more of the following general categories:
1. Agency rules, policies and procedures -
Manuals, guidelines, administrative rules, or similar
resources distributed externally to the public that
set out the rules, policies, and procedures that govern
an agency's programs, services, or projects.
2. Executive orders - Any document that initiates,
rescinds, or amends a regulation, policy, or procedure
that governs the programs, services, or projects of
an agency.
3. External fiscal reports - Special purpose
- i.e. federal financial reports, salary reports,
etc.
4. Forms and form instructions (non-interactive
versions) - Individual or collected online forms
that can be downloaded for by the public. Does not
include online forms that can be submitted live to
a database.
5. Homepages - The main homepage web document
for an agency, along with general information about
the agency that is linked directly from it, i.e. mission,
philosophy, description of what the agency does, links
to external resources, site maps, site search engines,
and general policies such as privacy or customer service.
6. Legal opinions and advice - From agency
legal counsel or the Attorney General, including any
requests eliciting the opinions.
7. Legislation, proposed legislation, and statutes
- Drafts of proposed legislation and related correspondence.
Legislation including bills introduced, tracking of
bills, committee and agency reports related to the
legislation. Information on adopted legislation. Statutes
in effect or formerly in effect.
8. Legislative Appropriations Requests - Including
any supporting documentation created and/or used to
justify and support legislative appropriations requests
by an agency.
9. Licenses and licensing information - Publications,
which describe or provide licensing services for the
public or segments of the public.
10. Mail and telecommunication listings - Any
mailing address, telephone or fax number, or e-mail
address records maintained by an agency on its employees
or on entities or persons it serves, i.e. staff directories,
office directories, etc.
11. Manuals and instructions - Publications
that provide instructions or procedures except filling
out forms (see Forms and form instructions).
12. Maps - Maps or collections of maps provided
online.
13. Meeting agendas - Calendars and agendas
for meetings of the agency, agency staff, or related
bodies.
14. Meeting minutes - Recorded minutes or summaries
of meetings held by the agency, agency staff, or related
bodies.
15. News or press releases - Collections or
single news and press releases provided by the agency.
Does not include newsletters (see Periodicals - Newsletters
and magazines). 16. Organization charts - Provides
information on the organization of the agency by departments
or functions.
17. Periodicals - Newsletters and magazines
- Publications with more than one issue that are published
on a continuing basis by the agency or on the behalf
of the agency. Can be text or multimedia (sound/video).
18. Personnel policies and procedures - Any
manuals, guidelines, or similar documents that define
policies and procedures concerning the personnel of
one or more state agencies.
19. Plans and planning information - Plans
and related documents relating to the process of planning
new or redefined programs, services or projects of
an agency that are not included in other publication
types such as Strategic plans.
20. Programs and services - Documents and web
sites that comprise and individual program or service
offered by or on behalf of the agency. Includes agency
division sites. 21. Reference resources - Resources
that provide information that answers questions, provides
facts, or offers background and is not included in
other publication types in this list.
22. Reports - Biennial or Annual - Biennial
narrative reports to the governor and legislature
as required by an agency's enabling statutes, including
annual narrative reports if they are required by statute.
23. Reports Other - Reports published by the
agency that don't fall in the other report categories.
24. Non-fiscal reports and studies - Annual,
sub-annual, or special reports or studies on non-fiscal
aspects of an agency's programs, services, or projects
compiled by agency personnel, by advisory committees,
or by consultants under contract with an agency that
are not noted elsewhere in this schedule.
25. Reports on performance measures - Quarterly
and annual reports on agency performance measures
submitted to the executive and legislative budget
offices. Also includes audit reports on agency or
agency functions.
26. Speeches and papers - Notes or text of
speeches, papers, or reports delivered in conjunction
with agency work.
27. Statistics - Use for statistical reports
or collections of statistical data.
28. Strategic plans - Information resources
and operational strategic plans prepared in accordance
with Sections 2054.095 and 2056.002, Government Code.
Retention.
29. Training materials - Instructional materials
developed by an agency for training entities or individuals
it regulates or serves.
30. Web documents - Undefined - Description
to be used when none of the other publication type
categories apply. (2)
Currently,
agency representatives, after training by the TRAIL
manager, select and enter into a Dublin Core record
the "publication type" for each state publication
on the agency's Web site.
When
a state publication matches one of the designated
"MIME (file) types" and the "publication type" matches
one or more of the thirty (30) designated publication
types, the state publication will be included in the
electronic depository program.
Other
publication types may be designated for inclusion
in the program at a later date. Publication types
to be considered for a second phase implementation
include multimedia and databases. In the future, a
periodic review of the "file types" and "publication
types" will be completed for the purpose of refining
or expanding the lists.
At
the time of the development of this plan, state colleges
and universities were not included in the TRAIL system
and would, therefore, be outside the scope of this
selection plan. The work group believes that important
publications from state institutions of higher education
should be included in the electronic depository program.
A feasibility study is currently underway at three
universities (West Texas A & M University, University
of North Texas, and Texas Tech University) to determine
the scope of relevant state publications published
by colleges and universities and develop a pilot project
to bring those publications into the Electronic Collection.
5.3.
Collection of Versions or Editions of State Publications
Preserving
access to all versions or editions of a state publication
is desired for serious researchers who require full
and complete records of a state agency. However, because
state electronic publications may be updated biannually,
annually, monthly, or dynamically (updated weekly,
hourly, or on a continuous basis), collecting every
version of a state electronic publication may not
be practical. For purposes of decision-making about
versions of publications to be collected for the electronic
depository program, the following plan will offer
guidance.
All
"issues" of a state periodical publication "published"
on a regularly scheduled basis will be selected for
the electronic depository program. For "versions"
of state publications "updated" biannually, annually,
weekly, etc., a "snapshot" of these dynamic electronic
publications, that fit into the MIME and publication-type
parameters described above, will be captured on a
regular basis for inclusion in the program. Generally,
a "snapshot" of a dynamic publication will be captured
at the beginning of each legislative session (2 year
cycle), but each publication may be considered individually
for other appropriate "snapshot" scheduling.
To
prevent confusion for the user, the version of each
publication will be clearly displayed for the user.
5.4.
Retention of state publications selected for the electronic
depository program
The designated electronic depository libraries will
store and make available to the public all state electronic
publications selected for the program. All versions,
or edition, of a state publication will be retained.
Retention of the selected publications will be permanent.
This retention policy will be review periodically
during the first few years of the program to determine
if changes should be made.
6. Notes
(1)
Initial responses from project participants indicated
that all state publications should be included in
the program. However, upon closer investigation, the
work group determined that many Web pages placed on
agency Web sites that meet legal requirements as a
state publication, only have relevance within the
context of the complete Web site, for example, Web
site maps, search engine help/tips, forms, etc.. Some,
such as search engines and interactive forms, are
server specific and require specific software to make
them interactive. The work group sought an automated
method for eliminating non-relevant Web pages. The
work group decided to examine existing guidelines
to find common ground for a method of selecting publications
for inclusion in the program. A list of policies and
guidelines examined for the creation of this collection
development plan is included as Appendix A.
(2)
The list of publication types, with definitions, is
taken directly from the TRAIL List of Publication
Types Web page at http://www.tsl.state.tx.us/trail/manualappendix4.html.
7.
Appendix A
Resources
used in the preparation of this Collection Plan:
Joint
Steering Committee for Revision of AACR (Prepared
under the direction of). (1998). Anglo-American Cataloging
Rules, Second Edition, 1998 Revision. American Library
Association, Chicago, IL.
Larivière,
Jules. (2000) Guidelines for Legal Deposit Legislation,
A revised, enlarged and updated edition of the 1981
publication by Dr. Jean LUNN, IFLA Committee on Cataloguing,
Chapter 6 Legal Deposit of Electronic Publications.
United Nations Educational, Scientific and Cultural
Organization, Paris. Retrieved October 15, 2000, from
the World Wide Web: http://www.ifla.org/VII/s1/gnl/chap6.htm
Library
Programs Service, U.S. Government Printing Office.
(2000, July 21). Managing the FDLP Electronic Collection:
A Policy and Planning Document. Retrieved October
15, 2000, from the World Wide Web: http://www.access.gpo.gov/su_docs/fdlp/pubs/ecplan.html
Texas
Secretary of State. Texas Administrative Code: Title
13 Cultural Resources, Part 1 Texas State Library
and Archives Commission, Chapter 3, State Publications
Depository Program. Retrieved December 28, 2000, from
the World Wide Web: http://info.sos.state.tx.us/pub/plsql/readtac$ext.ViewTAC?tac_view=4&ti=13&pt=1&ch=3&rl=Y
Texas
State Library and Archives Commission. (2000, December
28). Texas State Records Retention Schedule (2nd Edition).
Retrieved December 28, 2000, from the World Wide Web:
http://www.tsl.state.tx.us/slrm/recordspubs/rrs2.html
Texas
State Library and Archives Commission. (2000, December
28). Electronic Liaison Reporting Manual: TRAIL List
of MIME Types. Austin, TX. Retrieved December 28,
2000, from the World Wide Web: http://www.tsl.state.tx.us/trail/manualappendix5.html
Texas
State Library and Archives Commission. (2000, December
28). Electronic Liaison Reporting Manual: Trail List
of Publication Types. Austin, TX. Retrieved December
28, 2000, from the World Wide Web: http://www.tsl.state.tx.us/trail/manualappendix5.html
Texas
State Library and Archives Commission. (2000, December
7). Library of Texas Project [grant proposal]. Austin,
TX. Retrieved December 28, 2000, from the World Wide
Web: http://www.tsl.state.tx.us/lot/
Vernon's
Texas Codes Annotated, Government Code 441.101 et
seq.
