Report of The Alabama State Publications Task Force
The Alabama State Publications Task Force (ASPTF) was appointed by the Alabama Public Library Service (APLS) and the Alabama Library Association Government Documents Round Table (ALLA GODORT) in June 1999 for the purpose of studying the distribution of and public access to Alabama state publications. The ASPTF was given eight charges to address in their consideration of the issue, each of which is presented below, along with the Task Force's discussion and recommendations in each category.
CONTENTS
INTRODUCTION
One of the first activities of the Task Force was to envision the best situation for the dissemination and preservation of Alabama state publications and state records. In the center of this "vision" is the end-user of this information, such as: the everyday citizen, school children, business leaders, state legislators, genealogists, scholars, county and city workers, and members of non-governmental organizations. Persons from outside the state, even outside the country, might seek information on Alabama for such purposes as researching the location for a new business. All members of the Task Force agreed that the best situation would involve: all Alabama state offices and agencies collecting and then disseminating their information either in print or electronic format, all citizens being able to easily find and access the information that they need, all businesses and organizations being able to obtain from and also to provide to the state government key information, and all librarians having the finding aids they need in order to help these individuals and groups in finding state information. This scenario envisions both the state government and its citizens working in a more efficient environment.
Librarians and archivists, of course, are both end-users of Alabama information and intermediaries in helping a broad cross-section of other end-users find the information they need. An example of the current environment for finding state information may illustrate the need for more efficient methods. Example case: a business person walks into a research library seeking demographic, infant mortality, and crime information on counties in the state. The demographic information is supplied easily by The County and City Data Book , a federal publication by the U.S. Bureau of the Census, received for free by many federal depository libraries in the state. The librarian finds that the latest year of Crime in Alabama on the shelf is 1993. She tells the gentleman to please wait just a moment and checks her database notes on the title. She had called the Alabama Criminal Justice Information Center in 1991 and been placed on the mailing list for the title, called again in 1994 to confirm this after a delay in receipt, and called again in 1998 because the library was several years behind. The agency had discontinued print publication of the title and was placing the information on their web page, which she noted and connected the business person to the web page.
While he reviewed this information, the librarian searched the shelves for Alabama Vital Events, only to discover, to her dismay, that the last year owned of this title was 1993 as well. She checks her database notes on this title to find that she had called the Alabama Department of Public Health in 1991 to have the library added to their mailing list for the title. She had called in 1995 because of a delay in receipt, then received the 1993 issue in January of 1996. In July of 1996, she had phoned again because of a delay in receipt to find that Alabama Vital Events was beginning to be published in four separate volumes and the person assured her that the library would receive them. Now March of 2000, the library had never received the publications, she would have to call again. Fortunately, at the agency's web site, "Resident Infant Deaths and Infant Mortality Rates by County" was available for several years up to 1997. She could breathe a sigh of relief that she could satisfy her client's needs for today; but, where was the rest of the information normally contained in Alabama Vital Events? Perhaps it was all on the Web site, just not obviously? Was the title still being published in paper? How long would the agency maintain older information on the web site?
The contacts at state agencies and offices are often very willing to share their information and very helpful in supplying libraries with the publications that they need. The problem is not with an obstinate or ineffective state workforce: it is more a problem of uncoordinated dissemination. While some state publications are easily obtained, and libraries can place some titles on a subscription service or regular distribution list, other publications are difficult to identify and obtain, with perhaps a yearly phone call, or repeated phone calls, required to request or to purchase a title. Multiply this effort by hundreds of librarians and other individuals for numerous titles. The duplication of effort, and the inefficiencies of time for many organizations, businesses, and individuals in the state - and for the state itself - is mind-boggling.
Alabama state offices and agencies invest a substantial amount of resources to collect and maintain information, many aspects of which are mandated by law. The missing link is that many offices and agencies do not realize that it is also a part of their mission to make this information available, that the information that they collect and retain is for the sake of the citizens that pay them to do this work and that those citizens have a right of access in order to know what their government is doing. While some images may come to mind of activists trying to change or influence law-making, we are also speaking of the ordinary person trying to conduct ordinary transactions. These "citizens" are also the smaller, local governments and businesses in the state trying to conduct efficient, knowledgeable transactions with state offices and agencies. Even state personnel in state offices and agencies would work more efficiently for their own information needs if there were good practices in place which made information available after the collection phase was completed.
Government documents librarians and other librarians in the state have made various attempts over the years, both officially and unofficially, to provide greater access to Alabama state publications for the purpose of providing greater access to Alabama state information for the citizens of the state. One result of these efforts was the Alabama Clearinghouse for State Publications, passed in 1993; however, the act was contingent upon funding which never received legislative attention (see Appendix A for more information on the 1993, and previous, acts). Librarians and citizens throughout the state continue to negotiate with each agency or state entity, sometimes each year, to subscribe to or to otherwise obtain various state publications. Libraries further go to the expense of cataloging and storing these materials for the purpose of making state information more accessible and maintaining a historical record of the activities of the state.
The advent of electronically published information, most specifically through the World Wide Web (hereafter, "the Web"), has radically changed distribution and public access to all information, with some of the first and most dramatic changes occurring at the federal publication level. While state governments have always had fewer resources for distribution of information in paper format, electronic storage and dissemination of state publications offer new opportunities for state agencies and offices to become both more efficient and accessible. The ability to publish information electronically is part of the impetus for this study and is reflected throughout.
Top of PageDISCUSSION FOR CHARGE 1
The Alabama Clearinghouse for State Publications law was passed in 1993; however, funding was not allocated by the legislature to APLS for implementation of the law (see Appendix A for history). The law remains on the books, but it serves no purpose in the dissemination of state publications. There are other laws and court cases in effect which pertain to state information involving state records and placing those records in the Alabama Department of Archives and History (ADAH). The difference between the Clearinghouse law and the laws that involve state records is that the Clearinghouse describes the dissemination of state "publications" and the archival laws provide for the preservation of and access to "government records." ADAH might not receive state records (a broader category than state publications, but includes state publications) until months or years after their creation. The Clearinghouse law created a process by which state publications would be distributed, in a more timely manner, to libraries around the state. Both activities are important to citizen access to state information; however, the language of the law and the practical processing tasks between the two are different.
In the electronic publishing environment some of the language and tasks are converging. For example, if ADAH captured a Web page that is a previous edition of the budget for the state of Alabama and placed it on their Web site, it could be considered to have been disseminated, preserved, and made accessible. ADAH would catalog the publication using archives and manuscripts cataloging standards; but, APLS could catalog the same publication for a more public and academic library audience, pointing to the same ADAH Web link. This record could be easily shared with other libraries, or be placed into a central database, creating a giant step forward in speed and breadth of accessibility.
There is a "presumption of openness" regarding access to state records in Alabama; but, there is no enforceable obligation for state agencies or offices to disseminate or publish any information. In other words, a citizen could call or travel to Montgomery to request any public record or state publication (that is not confidential); but the citizen would need to know of its existence, the agency or office of origin, and an understanding of how to go about requesting the information. ADAH, of course, serves the information needs of many citizens; but again, a trip to Montgomery usually is required. Because both public records and state publications are becoming more electronic, state information should become more easily disseminated and accessible.
In the attempt to address this charge, the Task Force asked the following key questions: Is there any legislation that could be written, with a practical chance of passage, that could improve dissemination and accessibility, as well as preservation, of state information? Would it be better to "mandate" or might it be better to "encourage" state agencies and offices to participate in publishing and disseminating their information? If it were mandated, would the law pass?
Most members of the Task Force believe that legislation which includes language "mandating" agency action would be very difficult to pass, with a great deal of effort required on the process. Legislation which "encourages" better publishing and dissemination of state information might stand a better chance of passage; however, the group then asked, does such "encouragement" need legislative action? The Task Force, therefore, offers recommendations in the form of several options, with further discussion needed before a final decision is made.
Top of PageRECOMMENDATIONS FOR CHARGE 1:
The Task Force recommends that the following options be considered by APLS, ALLA GODORT, ADAH, along with the members of the ASPTF. If Option A is chosen for action, then no legislative effort need be taken (although individuals, committees, or task forces may be appointed to accomplish one or more of the various alternative actions). If any one of Options B, C, or D is chosen, then another task force should be appointed for the specific purpose of rewriting the Clearinghouse legislation.
OPTION A. Do not attempt to change the language of the legislation. Leave the current, unfunded law on the books. Librarians and library organizations, perhaps working with non-library organizations in the state, should instead spend their energies attempting to improve the dissemination of and access to state information in ways that do not require legislation: cooperate to create good online finding aids; catalog online resources in local online catalogs and/or a central AVL database; work to implement non-legislative "guidelines" or "Best Practices" for state agencies and offices that seek to educate, coordinate, and somewhat standardize electronic publishing /electronic public record-keeping; implement other suggestions made in this report; etc.
OPTION B. Change the Clearinghouse language to "mandate" state agencies and offices to disseminate their publications, whether electronically or in print. If the publication is electronic, then there would be mandatory notification of APLS and ADAH. If the publication is in print, then a limited number of copies would be sent to APLS. Implementation of the law would be contingent upon appropriate funding for APLS.
OPTION C. Change the Clearinghouse language to "encourage" state agencies and offices to publish electronically when appropriate, to send a limited number of paper copy publications to APLS (APLS would keep titles appropriate to the library's collection development policy and send the remainder to ADAH). The law also would encourage agencies to handle their records in an acceptable manner for preservation and access purposes. This legislative re-write would define a state publication (and perhaps further define public records if ADAH so desires) to include electronic publications and records. Whether or not funding would be requested in the new law would be dependent upon the actual details and, thus, whether APLS deemed it necessary for implementation.
OPTION D. Work to rescind the Clearinghouse law, to avoid confusion in the future; yet, still work in adjunct areas, as expressed in Option A, above.
DISCUSSION FOR CHARGE 2:
The Alabama Public Library Service (APLS), in addition to many other tasks that benefit libraries throughout the state, obtains state publications, catalogs the publications, and provides access to its collection on-site and through Interlibrary Loan to its patrons, including state legislators, state employees, and other libraries in the state. The Alabama Department of Archives and History (ADAH) collects state records, which includes state publications, and archives (or preserves) those records for current and historical purposes. The cataloging practices of the two organizations differ because the ultimate purposes of the collections differ. Nevertheless, both collections offer state information access to the citizens of Alabama and both catalogs should be available through the Web for greater accessibility.
More electronic publishing in general means that all libraries need more computer storage capacity. APLS and ADAH are no different in this regard, with ADAH, as an archiving agency, needing, perhaps, more computer storage than most libraries. ADAH must collect and preserve all state records, regardless of whether state "publications" are made more accessible to the public through APLS, state agencies, etc. Archives and History needs the resources to proceed in creating an online catalog of the archival records of the state. This catalog will increase the number of major finding aid resources available to researchers, librarians, and citizens.
Whether or not the Clearinghouse legislation is rewritten, APLS and ADAH, like all libraries, must face the issues of collecting, cataloging, and preserving electronic information. If Option B, and perhaps also Option C, in Charge 1, above, were to be implemented, then APLS would require more funding to fulfill the role as expressed in the current Clearinghouse legislation. The Task Force members believe that any Clearinghouse legislation rewrite that includes a request for additional funding would not be passed or would not be implemented (as in the case of the existing Clearinghouse law).
Top of PageRECOMMENDATIONS FOR CHARGE 2:
The Task Force believes that APLS and ADAH will be working on solving electronic publications problems (collecting, cataloging, preserving) whether or not changes are made in the Clearinghouse legislation. Since the current Clearinghouse legislation, if implemented, would have the greatest impact on APLS (because of the dissemination of print publications to depositories), APLS should have an active part in the decision-making process concerning the options expressed in Charge 1.
ADAH needs the resources to create a more publicly available (probably Web-based) online catalog of the archival records of the state.
ADAH needs additional computer resources for sufficient capability to archive electronic-format state records.
DISCUSSION FOR CHARGE 3:
For several years, ADAH and APLS staff members have informally attempted to make long-term contacts in each state agency to ensure that ADAH and APLS would receive copies of all state publications produced by each agency; neither organization has been able to institute a comprehensive state publications program. The 1993 State Publications Clearinghouse Act was meant to remedy this problem by centralizing dissemination of current state publications in the APLS clearinghouse, requiring state printers to send copies of each state publication to the clearinghouse, creating state publications officers in each state agency, establishing the number of copies (nine) of each state publication to be sent to the clearinghouse, and assigning ADAH responsibility for the preservation of state publications with historical value. However, this mandate has never been funded. In addition, most of the collection work would be done by state agency personnel, a hard sell when there was no tangible benefit to an agency - why should agency managers take an already over-worked employee and increase her/his responsibilities to include state publications officer responsibilities when there was no direct benefit to the agency? Agencies were also holding down operational costs by eliminating any activity that was not directly related to the agency mission. The state publications collections suffered because many agencies reduced or eliminated the number of new publications created each year or drastically reduced the number of publications that were printed.
The development of the world wide web (WWW) and a user-friendly internet interface in 1994 heralded an era when agency staff members began using new technologies to enhance their ability to provide services to the state's citizens. Today, over one-third of all state agencies maintain web sites and use them to disseminate information about their services and activities. While traditional dissemination through print medium is still a viable option, more and more agencies are turning to electronic dissemination of state information, particularly state publications.
Whatever the format of the publications produced for distribution by state agencies, electronic or print, ADAH and APLS still have an interest in identifying the state publications that are created, disseminating them as needed, and providing access to historical publications over time. In order to be able to do this effectively, APLS needs to identify if and how it might handle its dissemination responsibilities as outlined in the 1993 Clearinghouse Act. ADAH needs the support to implement and reinforce procedures for preserving the historically valuable electronic records, especially state publications, created by state agencies. Finally, Alabama agencies and state offices need a better understanding of the "state records" they create, how they create them, and the need to ensure public access to state publications.
Top of PageRECOMMENDATIONS FOR CHARGE 3:
State agency staff members and their information resource personnel need to be educated about the important role state publications play in documenting their agency's history and development. In order to develop this historical view of an agency, staff members must ensure that agency publications will be preserved. There are several entities already established in state government that have responsibility for providing agency staff with direction regarding the management and preservation of state records. These entities include the State Records Commission and the State Agency Records Management Advisory Council. Both organizations, with advice from Alabama information technologists and librarians, should develop guidelines and training modules that address the creation, care, handling, and preservation of state publications in print and electronic formats.
Create an Alabama Information Technology Commission, independent of changes in the administration leadership, in order to provide consistent guidance to state personnel regarding information resources and their use and dissemination in the state. ADAH, APLS, and other librarians and information technologists in the state, would work with the Commission to establish a "Best Practices" web site, similar to the one created by the New York Center for Technology in Government that outlines design, implementation, and management strategies for state information resources, especially web sites (see the Conclusion and Concluding Recommendations of this report for expansion on this recommendation and also Appendix D of this report for a draft description of this type of Commission).
DISCUSSION FOR CHARGE 4:
Several library organizations have projects under way that might serve as an effective central finding aid for state publications. OCLC is a national-level not-for-profit organization, consisting, in part, of a large bibliographic database to which individual libraries contribute their cataloging records, add their holdings to records to facilitate resource sharing, and from which they can import records to their individual catalogs. In the same manner, the new OCLC project called "CORC" (Cooperative Online Resource Catalog) may help libraries cooperate in cataloging Web-based resources.
CORC is perfect for cooperative efforts since the input record is a simple fill-in-the-blank form and can be done by librarians who are not catalogers (later, catalogers can enhance the records to MARC format and the records can be added to the library's online catalog or into a central online catalog at the AVL). In a sense, this project is already underway in Alabama since Auburn is a participant in this project and is, in fact, the third largest contributor of records at this time.
Another potential central finding aid is customizing a "GILS" (Government Information Locator Service) Web search engine which could be connected to the AVL and located on an AVL or on some other government or university server. The Alabama Supercomputer Center might be able to develop an Alabama-specific Web search engine that could be used through the AVL. The current reality is that all of these efforts may need to be pursued until a best practice becomes evident.
RECOMMENDATIONS FOR CHARGE 4:
The Alabama Virtual Library is the obvious location for a central finding aid, which might be an online catalog, or might take the form of a Web-search engine like GILS or another customized Web-based software. Libraries and librarians in the state should continue to pursue multiple finding aids for state information, including adding records to their own catalogs, unless a best practice becomes evident. These efforts should be communicated through appropriate ALLA and other library organization publications, listservs, and conferences.
DISCUSSION FOR CHARGE 5:
Initially, some members of the Task Force had expressed a desire for a checklist of state publications, stating that a regularly published list is the only way to keep up with what the state is publishing (a current awareness tool). Several other members of the Task Force, however, had had experience in attempting to produce a checklist in the past. These members, from APLS and Birmingham Public Library, related to the group how difficult and time-consuming a checklist was to produce, that a good online central finding aid or catalog would be best. One person suggested that if the online tool provided a good date-limiting feature, then it would be possible for librarians to produce a "virtual" checklist.
RECOMMENDATIONS FOR CHARGE 5:
The Task Force does not recommend pursuing the creation of a checklist of state publications. The creation of a central online finding aid or catalog for state publications is a more important goal and that is where effort should be directed (see charge number 4).
DISCUSSION FOR CHARGE 6:
Copyright as it relates to state information involves two issues: whether the state copyrights state publications and whether such copyright hinders the dissemination and use of state publications. "Contrary to popular belief, state agencies do have the right to copyright their publications," says Margaret T. Lane, a well-known state documents scholar, in Selecting and Organizing State Government Publications (p. 35).
Federal publications cannot be copyrighted, as stated in the United States Code, Title 17, section 105: "Copyright protection under this title is not available for any work of the United States Government, but the United States Government is not precluded from receiving and holding copyrights transferred to it by assignment, bequest, or otherwise."
Margaret Lane continues: "The prohibition against copyrighting of publications of the U.S. Government found in Title 17, U.S. Code, section 105, is often rephrased as 'government publications cannot be copyrighted,' leading to the assumption that state publications cannot be copyrighted." State publications can be, and usually are, copyrighted, a situation which is not necessarily negative (some state statutes actually require it). Lane states that the reasons for state publications copyrighting include: "(1) securing any potential revenue to the government, (2) ensuring faithful reproduction of the text, and (3) providing a measure of control so that the works will be used in the best interests of the government" (p. 36).
The question of copyright as it relates to the distribution of and public access to Alabama state publications is essentially resolved by the fair use provision of the U.S. Code Title 17 Copyright Part 107 "Limitations on exclusive rights: fair use." The most relevant of the four limitations is the first: "the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes." Clearly, the uses which are the focus of this Task Force are the latter.
Marvin J. Nodiff suggests some potentially complicating factors in "Copyrightability of Works of the Federal and State Governments under the 1976 Act" (Saint Louis University Law Journal, December 1984). For example, he says that case law suggests that sometimes there can be problems with works produced by state employees if it is unclear if the works were created as part of the state employee's official duties or as by a private individual. Nodiff also points out that "virtually every state has secured copyright protection in its own publications, either through statute or by regulation."
Two considerations which counteract the problems described above are that Nodiff's article dates from 1984 and so pre-dates the present electronic availability of state publications and that he himself states, "The public sector, however, is distinguishable because the works of government are created at public expense, and the taxpayer should not be burdened with paying twice - first in taxes and second in procuring a copy of the work."
RECOMMENDATIONS FOR CHARGE 6:
Copyright presents no major legal barriers for the dissemination of or public access to Alabama state records or state publications, considering the fair use provision of the federal copyright law. Rather than emphasizing issues of copyright, Alabama state departments and agencies should be encouraged to make state information as freely available and as accessible as possible, with an additional emphasis, if necessary, that this is information which has been created at public expense, and taxpayers should not be burdened with paying twice for this information.
DISCUSSION FOR CHARGE 7:
ALLA is a necessary and vital organization to "beat the drum," so to speak, for better access to state information, whether through resolutions, publications / pamphlets, state legislative days, etc. It has become clear to the Task Force that Alabama government needs some type of independent council or group to help coordinate information technology: ALLA is an organization which can draft resolutions and/or support others' efforts to encourage the government to create such a group (See also the Recommendations under Charge Number 3, the Concluding Recommendations , and Appendix D).
The Alabama Virtual Library (AVL) is the most obvious entity for cooperation by universities, public libraries, and other organizations, as it is already a cooperative venture by libraries, library organizations, universities and colleges, K-12 education, and the state. The AVL has been discussed throughout our meetings, most specifically as a vital place for links to state information and perhaps as a site for a central database or Web search engine. The Network of Alabama Academic Libraries (NAAL) coordinates and provides guidance on many activities with colleges and universities in the state and, therefore, is another organization which is a natural for such activities as: advocating better accessibility and dissemination of state information, coordinating digitization and preservation of state materials by the various libraries which hold state publications, coordinating grant activities regarding these issues (which might include "mirroring" some state information on college and university computers in the state), etc. The State Records Commission can create guidelines for the preservation of electronic records / electronic publications.
Already, OCLC is a national organization through which libraries in the state cooperate to share cataloging records. The OCLC CORC project may offer a tool through which the state's libraries can cooperate to catalog Alabama web sites. The records can then be pulled down by individual libraries to be placed in their individual online catalogs and/or the records can be placed into a central AVL state publications database (see discussion under charge number 4 for more information on this issue).
Since this Task Force is not drafting detailed legislation, the portion of this charge worded "consider language for the legislation that will encourage cooperation" was not discussed.
Top of PageRECOMMENDATIONS FOR CHARGE 7:
ALLA should adopt the concepts expressed in this report and consider drafting supporting resolutions as appropriate. A resolution that the Task Force would support at this time might be worded, "The state government of Alabama should adopt a coherent program for the management of its information resources, including: making state publications more available to Alabama citizens through Alabama's libraries and the Alabama Virtual Library; adopting guidelines or "Best Practices" for state agencies placing their information on the Web; creating a politically independent "Alabama State Technology Commission" to provide the state guidance on computer and information technology management issues (comprised of archivists, computer specialists, business leaders, and librarians); and continuing support of the Alabama Virtual Library, an additional purpose of which would be to serve as a central finding aid for state information."
This report, once approved and revised by APLS and ALLA GODORT, should be provided to the leadership of ALLA, NAAL, and the AVL for consideration of best methods of cooperation in the state in order to provide the best access to and dissemination of Alabama state publications / state information.
DISCUSSION FOR CHARGE 8:
The Alabama Virtual Library (AVL) is a cooperative venture by libraries, library organizations, universities and colleges, K-12, education, and the state. Just as the citizens of Alabama look to their local public library for information about their state, those citizens will look to their virtual library for state information in electronic format. The AVL is the obvious location for a central finding aid for state documents. That finding aid might be a subset of an OCLC CORC database, a more traditional library online catalog, or a Web search engine like GILS or a customized Alabama Web search engine. In addition, the AVL might point to the online catalogs of the Alabama Public Library Service and the Alabama Department of Archives and History, as well as to Alabama Meta-Indexes that have been developed by those agencies and other agencies and libraries in the state. All of these types of activities, it would seem, serve to both strengthen the AVL, in general, and increase access to Alabama state-generated information.
RECOMMENDATIONS FOR CHARGE 8:
The leadership of the AVL should work with other Alabama library organizations and librarians in the state to create a central finding aid for Alabama state publications in electronic format. This central finding aid might be an online catalog, an OCLC CORC subset, a GILS type of database, or a customized search engine for Alabama Web resources (which the Alabama Supercomputer Center might be able to develop).
The AVL should provide links to the APLS online catalog and the ADAH online catalog (once available) to help provide greater access to state publications in print format.
The AVL should provide links to the best Meta-indexes of Alabama state information. A couple of examples of such indexes are AlaWeb, the state's home page <http://www.state.al.us/> and ADAH's "Alabama Internet Resources" <http://www.archives.state.al.us/related.html>.
Top of PageCONCLUSION
As mentioned previously in this report, many tasks involved with the dissemination of and access to state publications are converging, with discussions of computer technology, archiving methods, and library services, among other areas, necessary to make progress. The ease with which information can be created and then made available through the World Wide Web is rapidly changing almost every aspect of our society, including business, education, libraries, and, of course, foremost, publishing. Most governments, with the federal government leading the way, are utilizing computer technology to attempt to streamline their operations and offer improved services to their employees and their citizens.
Something that has become very clear to the Alabama State Publications Task Force members is that the distribution of and public access to Alabama state publications is critically dependent upon improvement in information technology in general by the Alabama government. While print publications will remain viable and important for some time in the future, a large portion of state publications and state records in electronic format could be lost if better systems for the coordination of information technology are not implemented soon.
Alabama has an oversight agency with nominal responsibility for coordinating information technology, but that agency has been erratic in its management and performance. While information technology has revolutionized many other areas of society, Alabama's state agencies have generally been left to their own devices, interests, and resources. The results have been a state government information architecture that:
These are issues which, while not all directly related to Alabama state publications and records, are intimately entwined with dissemination and access issues. More important, these are issues which affect the state as a whole: business, education, every organization, and every citizen. Librarians and archivists are in the unique position of seeing the broad view of some of these issues more clearly since libraries already have had to tackle some of these issues before other organizations. Libraries have had to: set standards and policies for their web pages, write contracts with vendors, carefully set security firewalls, guard confidentiality of their patrons, and address some archiving issues.
Top of PageCONCLUDING RECOMMENDATIONS
The Alabama Library Association, in representing the needs of Alabama library users, should promote measures that assist and encourage state agencies to meet their broader responsibilities for collecting, archiving, distributing, and providing access to state publications and state records.
The Alabama Library Association should promote the establishment of an Alabama Information Technology Commission, which would provide continuing information technology policy oversight for Alabama government and create effective guidelines for good information practices. Similar to the Alabama State Records Commission, the Alabama Information Technology Commission would operate independent of changes in the state administration, offering a more long-term and stable organization to address state information technology issues. A draft description of this type of commission is provided in Appendix D.
The Alabama Library Association should endorse the other recommendations in this report and encourage inclusion of these ideas, where appropriate, in similar projects and committee work of the Association.
From Guide to Alabama State Documents and Selected Law-Related Materials by Hazel L. Johnson and Timothy L. Coggins, pp. 2-4. American Association of Law Libraries, 86th Annual Meeting, Boston, Massachusetts, July 10-15, 1993. Reprinted by permission from Timothy L. Coggins.
Written in 1993, this description provides a good overview of the efforts to create a good state publications distribution system up to that date.
III. Alabama Documents Depository System (pp. 2-4)
The Alabama statute governing the distribution of state publications requires that the state printer or other persons printing reports and documents produce 250 additional copies for the use of the Department of Archives and History. Unfortunately, the act has not been enforced. Section 41-6-12 of the Code of Alabama 1975 requires that the Department of Archives and History hold the documents for free distribution and exchange with state libraries, public libraries, institutions and individuals in Alabama and elsewhere. The Department of Archives and History has not been able to carry out this responsibility because it has neither the staff to distribute the materials nor the storage space for the materials prior to distribution. Consequently, agencies do not print and forward documents to the Department. Most agencies, including any executive office, department, commission, bureau, board and state institutions, were required to follow the act. Exempted from this act were the reports of the supreme court, the court of civil appeals and the court of criminal appeals, and the acts and journals of the Legislature.
Several efforts have been made to develop a fully functioning depository program for Alabama state publications. In 1989 librarians working with the Alabama Public Library Service (APLS) drafted and proposed a bill that would have created the Alabama Clearinghouse for State Documents with the APLS. The draft legislation also would have authorized reasonable rules and regulations for agencies to follow, would have created state documents depositories, and would have repealed section 41-6-12. The bill was never introduced into the Legislature.
In 1993 another effort succeeded when S. 231 passed both houses and was signed by the Governor. It creates the Alabama Clearinghouse for State Publications within the APLS and provides for its operation, duties and authority. It also creates a system of state publications depositories. The new legislation defines a state publication as any document issued by a state agency that the agency legally may release for public distribution. A state publication does not include many legal materials, including the Code of Alabama, bound volumes of the Acts of Alabama, legislative bills, journals and slip laws, the Alabama Digest, and the Alabama Reporter. It also does not include "any other items prepared for commercial sales," correspondence, interoffice or intraoffice memoranda, routine forms, other internal records, or any other item of a strictly administrative nature, any document published pursuant to the Administrative Procedure Act, and indices prepared by the Legislative Reference Service. Section 11 of the new act stipulates that the "act shall become effective October 1, 1993, after its passage and approval by the Governor, or upon its otherwise becoming a law."
Funding for the clearinghouse program will come from separate appropriations provided to the Alabama Public Library Service in a program entitled "Alabama Clearinghouse for State Publications." S. 231 will not be implemented until the Alabama Public Library Service has determined that sufficient funds have been appropriated for its implementation. In other words, the new act, which specifically repeals section 41-6-12 of the Code of Alabama 1975, is only an authorization with no funding attached for the implementation of the act. Supporters of the new act felt that it was important to have the authorization for the program and to seek appropriations for the implementation later.
...
The Department of Archives and History and the main libraries of the University of Alabama and Auburn University are the best centralized locations for Alabama state documents. However, many documents must be obtained from the agencies producing the documents.
There are many terms and phrases which would seem to be able to be used interchangeably; however, for some terms, legal definitions have been set, and for others, terms and phrases have been defined for the sake of this report. The purpose of this appendix is to set forth these descriptions and definitions, using the Code of Alabama definitions, when available, and providing descriptions as understood and used by the ASPTF when not.
Governmental Records
This phrase is defined in the AL CODE 13A-10-1 (4). It is used almost exclusively in connection with "tampering" with governmental records and is found, officially, only in the criminal portions of the code. Because both "Governmental Records" and "Public Records" are terms used in the Code of Alabama, this report uses the phrase "State Records" to include both terms.
AL CODE (1999) § 13A-10-1. Definitions
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"(4) Governmental record. Any record, paper, document or thing belonging to, or received or kept by, the government for information or record, or required by law to be kept by others for information of the government. Any educational attendance, membership, or financial report; or, a student's school transcript."
Public Records
"Public Records" is used in the Code of Alabama mostly in regard to the "disposition" of public records (i.e., sending records to the Archives, or the ability to discard, or otherwise dispose of, public records). The Code also uses the phrase "public writing" in several cases, a phrase which is construed to mean public records. This ASPTF report uses the phrase "State Records" to include "public records," "public writing," and government or governmental records.
AL CODE (1999) § 41-13-1. Definitions
"As used in this article, the term 'public records' shall include all written, typed or printed books, papers, letters, documents and maps made or received in pursuance of law by the public officers of the state, counties, municipalities and other subdivisions of government in the transactions of public business and shall also include any record authorized to be made by any law of this state belonging or pertaining to any court of record or any other public record authorized by law or any paper, pleading, exhibit or other writing filed with, in or by any such court, office or officer."
State Information
This phrase is used in this ASPTF report to imply a broad, generic idea, inclusive of all state government produced information.
State Publications
This phrase is used in this ASPTF report to mean those books, papers, letters, documents, maps, web pages, etc., intended for distribution to the public, created by Alabama state agencies and offices.
State Records
Since the Code of Alabama uses "public records" and "governmental records" (as well as the older term "public writings"), this ASPTF report uses the phrase "state records" to cover all of these terms. In addition, the term "public records" on one occasion has had the odd misunderstanding to mean individual's medical records which could then be made public. We use the term "state records," in part, hoping to avoid this negative connotation.
"State records" is used in this report to represent all state information, in all formats, including state publications. State records can be confidential or non-confidential; those which are non-confidential are assumed to be accessible to the public.
The following frequently used Alabama publications provide an example of the types of publications which this report addresses. While by no means comprehensive, this list does reveal how important such publications are to the citizens, businesses, organizations, and institutions in the state. The subjects cover the laws we are to follow, our health, public safety, the education of our children, etc., and the activities of our state government as it addresses such issues.
Acts are the laws which have been passed by the legislature ("bills," on the other hand, are proposed laws). Naturally, Alabama acts would be important information for the citizens, businesses, and organizations of the state of Alabama to have readily available. The Code of Alabama, listed below, cumulates and codifies current state law; however, the Acts of Alabama provides the complete text of a law and also an historical record of the law, since the Code is constantly updated.
This newsletter allows the agency to provide information to the public about activities of the agency and environmental matters in the state in a non-technical fashion. Some of the topics addressed are: recycling, personal practices to help reduce ground level ozone, K-12 environmental educational workshops, environmental news, upcoming meetings, etc.
The Alabama Administrative Code provides the text of most of the state's regulations, the regulatory law created by the state's agencies. This title, which is about 20 loose-leaf volumes in print form, has only recently been made available on the Web.
This publication provides monthly announcements of state regulations, which are then cumulated in the Alabama Administrative Code, listed above.
This booklet crowds a wealth of information about Alabama's counties into a small package. Statistical information is provided for such topics as: education, transportation, natural resources, recreation, health services, social services, economics, population, and income. Not all the information is statistical; the economic section lists the "major manufactured products" by county, for example, and the education section lists the colleges and universities in the state. Also included are the names and contact information for county officials and U.S. senators and representatives, plus maps on a variety of topics.
The Alabama courses of study are subject curriculum guides for K-12 education in the state. On a rotating basis, the courses of study are revised every five years. The textbooks are chosen the year following the approval of the curricula, and some publishers revise their textbooks based on the course of study revision. Parents, teachers, special interest groups, publishers, and university faculty, are among the many users of these publications. For an example of an Alabama course of study, see: Alabama Course of Study: Geography <http://www2.una.edu/geography/statedepted/courseofstudy.html> (last revision 10/3/98)
The first section in this book is a directory for the Alabama State Department of Education, followed by a listing of the state's school systems (board of education members, superintendent's office, key contacts, and each school), concluding with members of organizations and committees (such as the state textbook and state course of study committee members) and indexes/supplementary materials.
This statistical booklet answers almost any traffic accident question, covering the topic of traffic accidents and injuries by county, city, seat belt and child restraint usage, alcohol and drug involvement, type of roadway, age and gender, types of crashes, and much more.
Alabama Vital Events involve statistics for natality (births, including teen pregnancy and birth rates), mortality (deaths, by cause), and marriage and divorce. In the "County Profiles" volume of this title, additional data is provided, such as health care facilities and practitioners, Medicare and Medicaid assistance, incidence of notifiable diseases, population, income/poverty level, and even some crime statistics.
This newsletter of the Alabama Department of Public Health provides brief articles, news, a calendar of events, etc.
The annual reports of Alabama agencies are the primary tools for information about the work of those agencies. These publications not only provide important information to the citizens of the state, but also to the other state agencies. An annual report usually describes the mission of the agency, the activities and accomplishments of the previous year, personnel, revenues and expenditures of the agency, etc., and also includes additional materials (such as statistical tables) which that agency knows is of interest to those it serves. For example, the Alabama Department of Education Annual Report is a frequently used publication, providing a description of the state's school systems, each system's revenues and expenditures, the per pupil expenditures, enrollment, the number of graduates and dropouts, etc., in addition to information about the agency itself. Another good example of an agency report, offering the additional benefit of having been placed online by the agency, is The Annual Report of the Alabama Department of Public Health <http://www.alapubhealth.org/inform/BHPI/1999AnnualReport.pdf>
Finally, annual reports also create an historical record of the activities of the government and its agencies: previous years' annual reports are frequently used publications. As more annual reports are placed on the Web, it is important for previous years' editions to be maintained as well.
The Code of Alabama codifies and cumulates all the current statutory law of the state (with regulatory and case law being the other types of law, published elsewhere).
The Alabama Criminal Justice Information Center Web site illustrates what can be done right with state information: the page loads quickly, the navigation to the information is clear, the Web site offers the full information that was previously available in the print edition, additional information is provided, and the older editions of titles remain available. Crime in Alabama, offering crime statistics at the state, county, and city levels, naturally, is a frequently used publication. The Web site offers this title back to 1995, plus many other subject-related titles and links.
The Alabama governor's executive budget has gone through several variations in title over the years (the State of Alabama Executive Budget and simply the Executive Budget, for example); however, no matter the exact title, this publication is the primary budget document for the state, which is then submitted to the legislature (where further deliberations take place). For more information on Alabama government finances, see the Executive Budget Office <http://www.budget.state.al.us/stgovfin.html> Web site, which provides a description of the budget process in addition to other useful finance information.
Proceedings of the Alabama House of Representatives, including votes.
Proceedings of the Alabama Senate, including votes.
ALABAMA INFORMATION TECHNOLOGY COMMISSION
Scope:
The Alabama Information Technology Commission serves as a continuing vehicle to determine effective policy and legislation in the area of Alabama government information technology, especially as regards promoting the rights of citizens to access government information. Appointees to the Commission should represent the following communities in the state: business, libraries, computer technology, and education.
The purpose of the Commission is to:
Diann Weatherly, Chair
Government Documents Reference Librarian
Mervyn H. Sterne Library
University of Alabama at Birmingham
SL 135, 1530 3rd Ave. S.
Birmingham, AL 35294-0014
(205) 934-6364
dweather@uab.edu
Margaret K. Alexander
Veterinary Medical Library
Patterson Hall
Tuskegee University
Tuskegee, AL 36088
334-727-8780
dealex@acd.tusk.edu
Vickey L. Baggott
Government Documents & Serials
University of South Alabama
University Library
307 University Blvd.
Mobile, AL 36688
334-460-7024
vbaggott@jaguar1.usouthal.edu
Dr. Ed Bridges
Director
Alabama Department of Archives & History
P.O. Box 300100
Montgomery, AL 36130-0100
334-242-4441
ebridges@archives.state.al.us
Della Darby
Reference Coordinator
University Library
Samford University
800 Lakeshore Drive
Birmingham, AL 35229
Telephone: 205-726-2078 Fax: 205-726-2642
dhdarby@samford.edu
Janet DeForest
Documents Librarian, Information Services
Gorgas Library
University of Alabama
Box 870266
Tuscaloosa, AL 35487-0266
205-348-9355
jdefores@bama.ua.edu
Dr. Tim Dodge
Microforms and Documents Reference,
Ralph Brown Draughon Library,
231 Mell Street,
Auburn University, AL 36849-5606.
334-844-1729 ; Fax 334-844-4461
dodgeti@auburn.edu
Janet Hamilton
Head, Technical services
Alabama Public Library Service
6030 Monticello Drive
Montgomery, Alabama 36130
Telephone: 800-723-8459 ext. 943 ; Fax: 334-213-3993
jhamilton@apls.state.al.us
Becky Scarborough
Head, Government Documents Department
Birmingham Public Library
2100 Park Place
Birmingham, AL 35203-2794
(205) 226-3620
rscarb@bham.lib.al.us
Judy Shepard
Head Information Services
Alabama Public Library Service
6030 Monticello Drive
Montgomery, Alabama 36130
Telephone: 800-723-8459 ext. 909 ; Fax: 334-213-3993
jshepard@apls.state.al.us
Dr. T. Harmon Straiton, Jr.
Assistant Dean for Information Services
Ralph Brown Draughon Library,
231 Mell Street,
Auburn University, AL 36849-5606
334-844-1760 ; Fax 334-844-1703
straith@auburn.edu
Vicki L. Tate
Head, Documents & Serials
University of South Alabama
University Library
307 University Blvd.
Mobile, AL 36688
334-460-7024
vtate@jaguar1.usouthal.edu
Dr. Lamar Veatch, ex officio
Director, Alabama Public Library Service
Alabama Public Library Service
6030 Monticello Drive
Montgomery, Alabama 36130
Telephone: 800-723-8459 ; Fax: 334-213-3993
lveatch@aplsweb.apls.state.al.us
Guest Members of the Task Force:
Tracey Berezansky
Assistant Director for Government Records
Alabama Department of Archives & History
P.O. Box 300100
Montgomery, AL 36130-0100
TBerezan@archives.state.al.us
Mark J. Myers
Electronic Records Archivist
Government Records Division
Alabama Department of Archives and History
PO Box 300100
Montgomery AL 36130-0100
Telephone: 334-242-4452 x264 ; Fax: 334-240-3433
mmyers@archives.state.al.us
Ruth Evans
State Databases Coordinator
Alabama Public Library Service
6030 Monticello Drive
Montgomery AL 36130-6000
Telephone: 800-723-8459 ; Fax: 334-213-3961
revans@apls.state.al.us
Mary Payne
Head, Automated Services
Alabama Public Library Service
6030 Monticello Drive
Montgomery AL 36130-6000
Telephone: 800-723-8459 ; Fax: 334-213-3961
mpayne@apls.state.al.us