Agency Contact:
This agency contact information was current at the time of the report but may have changed in the interim. Please call (512-463-5455) for current contact information of the agency's records manager or records liaison for these records.
Mr. Brian L. Creath
Records Administrator
333 Guadalupe, Suite 2-450
Austin, TX 78701
Agency History and Structure:
The Psychologists' Certification and Licensing Act of 1969 (Vernon's
Ann. Civ. St., Article 4512c) created the Texas State Board of Examiners
of Psychologists (Senate Bill 667, 61st Legislature, Regular Session,
1969). This law regulates all persons practicing psychology or offering
psychological services for compensation, whether to individuals or to
corporations. Effective September 1, 1969, the original bill was declared
an emergency "due to the lack of means to determine qualifications of
psychologists, subjecting persons to exploitation and injury at the
hands of the unqualified and unscrupulous; the need to control and define
psychologists who are now required within the schools by current pending
legislation; and the lack of sufficient number of psychologists in Texas."
The mission of the agency includes the following:
- establishing education, experience, and examination requirements;
- adopting professional standards for the practice of psychology;
- investigating and enforcing compliance with the requirements of
the Act and the rules and regulations of the board; and
- serving as a source of information and education to the public,
the profession, and governmental entities.
The board has the following powers:
- certifying and licensing psychologists with doctoral degrees, by
means of written and oral examinations and a review of education and
experience;
- licensing psychological associates with master's degrees;
- suspending or revoking licenses or certificates for violation of
the law;
- monitoring the activity of persons who have apparently violated
state law;
- assisting applicants through the application process;
- responding to requests from professionals and the general public
concerning the practice of psychology.
The board is composed of nine members (increased from six members in
1981), appointed by the governor with the advice and consent of the
senate for overlapping six-year terms. From 1969 to 1993, six of the
members had to be psychologists; in 1981, one psychological associate
and two members of the general public were added to the board. Since
1993, four of the members must be licensed or certified psychologists
active for at least five years (including at least two actively rendering
psychological services, one involved in psychological research, and
one a faculty member of a training institution in psychology); two members
must be licensed psychological associates; and three members must represent
the general public.
In accordance with the statute, the board meets at least twice a year
(in practice, usually five times a year), and has rule-making power.
It was charged with adopting and publishing a Code of Ethics. The board
fixes fees for certification, licensing, and renewal; renewal originally
was to occur once every two years, but was changed to an annual requirement
in 1993. Each April, the board must publish a list of all psychologists
certified or licensed in Texas; it must file that list with the Secretary
of State, and provide it to each person licensed, and to the general
public on request.
The law does not apply to:
- psychologists or psychological associates employed by any government
agency, public school district, or regionally accredited institution
of higher education;
- any supervised student, intern, or resident;
- qualified members of other licensed professions (physicians, surgeons,
attorneys, registered nurses, licensed vocational nurses, occupational
therapists, certified social workers, licensed professional counselors,
career counselors, licensed marriage and family therapists, and licensed
chemical dependency counselors);
- duly recognized members of the clergy, if they do not represent
themselves to be psychologists; and
- volunteers working for charitable nonprofit organizations.
The board may cancel, revoke, or suspend a license upon proof of a
felony conviction, drug addiction, fraud, or unprofessional conduct.
Filing charges leads to a hearing, in which the accused has the right
to appear, to produce witnesses or evidence, to cross-examine, and to
have subpoenas issued by the board. The board may also impose probation.
Beginning in 1993, any hearings are held before the State Office of
Administrative Hearings. Appeal of the board's decision may be made
in district court.
Between 1969 and 1993, according to section 23 of the statute, "all
charges, complaints, notices, orders, records, and publications authorized
or required by the terms of this Act shall be privileged." However,
according to the agency Records Administrator, Attorney General Opinions
applied this confidentiality only to records relating to formal complaints.
At any rate, the statement quoted above was repealed by Senate Bill
1424, 73rd Legislature, Regular Session, effective September 1, 1993.
A number of changes were made in 1993 by Senate Bill 1424, 73rd Legislature,
Regular Session. The practice of psychology was defined to include the
following: the use of projective techniques, neuropsychological testing,
counseling, career counseling, psychotherapy, hypnosis for health care
purposes, hypnotherapy, and biofeedback and the evaluation and treatment
by psychological techniques and procedures of mental or emotional disorders
and disabilities. The board was authorized to employ investigators,
lawyers, consultants, and administrative staff. The board was ordered
to establish mandatory continuing education programs for persons regulated
by the board, as well as a training program for members of the board.
The board was to have the written portion of the examination validated
by an independent testing professional. The board must keep an information
file about each complaint filed with the board (containing a record
of all persons contacted in relation to the complaint, a summary of
findings made at each step of the complaint process, an explanation
of the legal basis and reason for a complaint that is dismissed, and
other relevant information). The board must develop a system for monitoring
license or certificate holders' compliance with the law.
In 1993, a Psychological Associate Advisory Committee was created,
composed of six members appointed by the governor: three licensed psychological
associates, one licensed psychologist, and two members of the general
public not licensed in health care. This advisory committee was to develop
and recommend to the board rules concerning the regulation of psychological
associates.
The agency staff consists of 14 full-time equivalent employees, and
there were four divisions in 1995: Fiscal/Benefits Division, Operations
Division, Investigations/Enforcement Division, and Legal Division.
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Project Review:
I was assigned to appraise the records of this agency on September
25, 1995. This agency has passed its second recertification, and is
due for a third recertification in October 1996.
I have reviewed the Guide to State Agencies (8th edition, 1994);
the laws (General and Special Laws, 1969, pp. 2059-2067; 1981, pp. 2849-2857;
and 1993, pp. 3038-3053); the rules (22 Texas Administrative Code, Sections
461.1-473.7); and publications in the State Publications Clearinghouse
(Strategic Plan, 1995-1999; Annual Financial Report, FY 1994 [including
Organizational Chart on p. 23]; Request for Legislative Appropriations
for FY 1996 and 1997; and Roster).
I reviewed the records retention schedule, a recertification approved
November 1, 1994.
On October 12, 1995, I spoke briefly with Kay Steed, Records Consultant,
concerning the questions which I would be asking on our initial visit
with the agency. On that same day, I mailed the introductory letter
from Chris LaPlante to the Executive Director, Rebecca Forkner. On November
27, Kay Steed and I met with Brian Creath, Records Administrator for
the agency, in the agency's offices at 333 Guadalupe. This two-hour
meeting enabled me to answer virtually all of my questions, both major
and minor. On February 7, after a telephone contact, I wrote Brian Creath
requesting additional information. On February 8, I received a transfer
of board meeting minutes which I had requested during our initial meeting.
On April 9, after another telephone contact, I wrote a reminder letter
with a simplified request for information; I received a reply to this
request on May 23, allowing me to complete my report.
Four series on the agency records retention schedule are marked "A",
as archival: biennial budget requests; board meeting minutes; 100-day
report; and organizational charts. One series is marked "R",
for archival review: correspondence - administrative.
Strategic plans (normally considered an archival series) are
produced, but are not on the agency records retention schedule.
Annual or biennial reports (non- fiscal), however, are neither required
nor produced by this agency. Four other records series are notable,
and seemed to deserve further attention: complaint files, complaint
file summary, examination records, and professional files.
None of these records series are marked either "A" or "R".
Complaint files are confidential, and the complaint file
summary (microfiche) is confidential, and is also marked permanent.
Section 25A of the Psychologists' Certification and Licensing Act states
the following: "(a) The Board shall keep an information file about each
complaint filed with the Board. The board's information file shall be
kept current and contain a record for each complaint of: (1) all persons
contacted in relation to the complaint; (2) a summary of findings made
at each step of the complaint process; (3) an explanation of the legal
basis and reason for a complaint that is dismissed; and (4) other relevant
information." Confidentiality of these files is established by Section
25A(e)-(f). (Vernon's Ann. Civ. St., Article 4512c)
Examination records are marked permanent but not confidential.
This series consists of examination statistics and individual scores
on exams owned by the Texas State Board of Examiners of Psychologists
(not the national examinations). The series does not include
copies of the actual examination itself, which would be proprietary
and confidential.
Finally, professional files (which contain applications, reference
letters, transcripts, renewals, and general correspondence) have an
unusually long retention period after a change in status due to death,
retirement, nonpayment, resignation, revocation, etc.: 75 years for
the hard copy and 150 years for microfiche.
However, the State Archives has determined that the types of records
normally contained in complaint files, professional files, and examination
files (records containing personal information on individuals who are
regulated by state agencies) will not normally be designated archival,
unless the information is not adequately summarized in other (archival)
series. The archival series of board minutes summarizes complaints (except
for complaints concerning advertising, which are documented by the series
called administrative correspondence). Both the Secretary of State's
Statutory Documents Section and the Texas State Library's Publications
Clearinghouse maintain the printed copies of the Roster (of Licensed
Psychologists, Certified Psychologists, and Psychological Associates),
arranged both alphabetically and geographically (1971-1995); this publication
can be said to summarize professional files. Board minutes also document
issues relating to examinations, although not as fully as complaints.
Examination files and professional files are both open series maintained
by the agency, either permanently or for very long periods of time.
Therefore none of these four series will be considered archival, and
there will be no Record Series Reviews on any of them.
Archives Holdings:
Administrative Correspondence, 1986-1991, 1.14 cubic feet (AC
1993/220, 1994/22, 1995/126): this series includes advertising complaints;
an accession summary is available.
Board Meeting Minutes, 1969-1996, 1.24 cubic feet (AC 1996/63,
1996/64, and 1996/76).
Previous Destructions:
Destruction requests on file in the Archives and Information Services
Division of the Texas State Library were checked for the Texas State
Board of Examiners of Psychologists, and three were found.
Two destruction requests were initiated by the agency:
various accounting, inventory, payroll, and general records for FY
81 and FY 82, total 10.5 cubic feet (approved September 18, 1987);
purchase vouchers, deposit vouchers, travel vouchers, employee time
reports, cost center reports, detail cost center audits, and STS cost
comparisons, FY 83-86, 5 cubic feet (approved August 6, 1990).
Paul Beck, who at that time was accessions archivist for the Texas
State Archives, initiated a destruction request which was approved August
23, 1993, for routine administrative correspondence, 1986-1989, 0.5
cubic foot. These records consisted of requests for rosters of psychologists,
requests and responses for general information on the regulation of
psychology in Texas, correspondence with applicants for the Texas licensing
exam for psychologists, etc. (Part of 1993/220). Accessioned before
the agency had an approved retention schedule, the material destroyed
represents about one- half of the "administrative correspondence" transferred
to the State Archives in that accession. The material destroyed is equivalent
to what now constitutes the non- archival series called "General Correspondence."
Project Outcome:
This agency appraisal is now complete, although the records administrator
is checking with legal counsel for any possible problems with confidentiality.
My recommendations are to retain the "A" designation for three of the
series (biennial budget requests, board meeting minutes, and
organizational charts); to change one "R" designation to "A" (correspondence
- administrative); to remove one "A" designation (100-day report);
and to add one series, with an "A" designation (strategic plans).
Series by series, my recommendations are summarized as follows:
Biennial Budget Requests
Continue to use "A" as the archival code for these records.
Board Meeting Minutes
Continue to use "A" as the archival code for these records. Rename the
series "Board Meeting Minutes and Agenda," to include agenda. Continue
to transfer copies of minutes and agenda to the State Archives.
Correspondence - Administrative
Change the "R" designation to "A". The Remarks column should read: "Transfer
to State Archives annually after retention period has been met."
100-Day Report
Remove the "A" from the archival code for these records. Rename the
series "Annual Financial Report," since the term "100-Day Report" no
longer appears on the document. If possible, forward to the Publications
Clearinghouse copies of the reports for fiscal years 1970-1989 and 1991,
which are missing from the holdings of the Clearinghouse.
Organizational Charts
Continue to use "A" as the archival code. The Remarks column in the
agency's records retention schedule should state: "Included in agency
publications; the archival requirement will be met by sending copies
of those publications to the Publications Clearinghouse, Texas State
Library." As an alternative, the agency may simply wish to send to the
State Archives a complete set of loose copies of organizational charts,
and thereafter send new ones when they are superseded.
Strategic Plans
Add strategic plans as a new series to the schedule, with an Archival
Code of "A." The Remarks column should read: "The archival requirement
will be met by sending required copies to the Publications Clearinghouse,
Texas State Library."
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Record Series Reviews
Record Series Review
Series Title: Biennial Budget Requests
Dates: 1983-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Fiscal/Benefits
Division
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Biennial budget requests are in the agency's offices
(0.1 cubic foot). These records are retained by the agency for six years
after the approval of the budget. The agency's actual holdings are 1990-[ongoing]
(for FY 1992-[ongoing]).
Archival holdings: None at the Archives and Information Services Division
of the Texas State Library.
The archival requirement for this series is fulfilled by sending two
copies to the Publications Clearinghouse, Texas State Library (13 Texas
Administrative Code, Chapter 3, Section 3.3(c)). The Clearinghouse holds
copies dating 1983-[ongoing] (for FY 1984-[ongoing]).
Description: This series consists of requests for legislative appropriations
which the Texas State Board of Examiners of Psychologists has submitted
each biennium to the Legislative Budget Board and other offices. The
requests date from 1983-[ongoing] (for FY 1984- [ongoing]). The requests
generally contain an administrator's statement of agency functions.
The program objectives are listed, along with a description of each
objective, a discussion of performance measures, statistics, efficiency
measures, and expenses- -expended, current, and projected. Requests
through 1990 also contain an organizational chart.
Purpose: These records are created to request specific appropriations
from the legislature and to provide justification for the amounts requested.
Agency Program: Biennial budget requests are a mandatory requirement
of the state budgetary process. The board is charged with certifying
and licensing psychologists with doctoral degrees, by means of written
and oral examinations and a review of education and experience; licensing
psychological associates with master's degrees; suspending or revoking
licenses or certificates for violation of the law; monitoring the activity
of persons who have apparently violated state law; assisting applicants
through the application process; and responding to requests from professionals
and the general public concerning the practice of psychology (Vernon's
Ann. Civ. St., Article 4512c).
Arrangement: Chronological
Access constraints: None
Use constraints: None
Indexes or finding aids required for, or an aid to access? None
Gaps? No biennial budget requests for 1969-1982 (i.e., prior to the
request for fiscal years 1984-1985) are held by the agency, the Archives,
or the Clearinghouse.
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and none were
found for this series or for equivalent or related series.
Publications based on records: Legislative Budget Board, Legislative
Budget Estimates have been published since fiscal years 1954 and
1955. This publication, a compilation of data for all state agencies,
summarizes the fiscal information found in agency-submitted budgets
or appropriation requests, but omits most of the narrative.
Series data from agency schedule:
Title: Biennial Budget Requests
Series item number: 1.1.004
Agency item number: 1.10
Archival code: A
Retention: AC + 6
Recommendation: Biennial budget requests provide evidence of the agency's
fiscal performance and needs. The Texas State Board of Examiners of
Psychologists' records retention schedule should continue to use "A"
as the archival code for these records. The archival requirement is
fulfilled by sending copies to the Publications Clearinghouse of the
Texas State Library, as the Remarks column in agency's records retention
schedule indicates.
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Record Series Review
Series Title: Board Meeting Minutes
Dates: 1969-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Legal Division
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: 0.24 cubic foot
Agency holdings: Board meeting minutes are in the agency's offices
(1 cubic foot). These records are retained by the agency permanently.
The agency's actual holdings are 1969- [ongoing].
Archival holdings: Board Meeting Minutes, 1969-1996, 1.24 cubic
feet (AC 1996/63, 1996/64, and 1996/76). A portion of these (January
1972-November 1986, .30 cubic foot) were transferred from the Legislative
Reference Library, and were part of the Agency Minutes Collection (AC
1987/24- 33). The remainder (December 1969-December 1971 and January
1987-September 1995, .70 cubic foot) were transferred directly to the
State Archives by the Texas State Board of Examiners of Psychologists
on February 8, 1996. Minutes are now regularly transferred to the State
Archives.
Description: These files consist of meeting minutes of the Texas State
Board of Examiners of Psychologists, dating 1969- [ongoing]. The board
minutes include the following: summaries of administrative hearings;
lists of persons certified by the board as psychologists and as psychological
associates; motions made, discussed, and acted upon by the board, concerning
both general policy and specific actions; the texts of proposed rules
and regulations up for adoption; summaries of complaints considered
before the board; full texts of Agreed Findings of Facts, Conclusions
of Law, and Orders adopted by the board; and other documents included
as attachments to the official minutes of the board.
The agency routinely files agenda of these meetings with the minutes.
However, agenda were not included in the copies of minutes which the
Legislative Reference Library transferred to the State Archives, nor
in the copies of minutes which the agency recently transferred directly
to the State Archives.
Purpose: Minutes are created to document in a thorough but usually
summary fashion the official actions of the board in its meetings.
Agency Program: The board is charged with certifying and licensing
psychologists with doctoral degrees, by means of written and oral examinations
and a review of education and experience; licensing psychological associates
with master's degrees; suspending or revoking licenses or certificates
for violation of the law; monitoring the activity of persons who have
apparently violated state law; assisting applicants through the application
process; and responding to requests from professionals and the general
public concerning the practice of psychology (Vernon's Ann. Civ. St.,
Article 4512c).
Section 7(a) of the enabling legislation (the Psychologists' Certification
and Licensing Act) says the following: "The Board shall hold a regular
annual meeting.... Other regular meetings shall be held at such times
as the rules of the Board may provide but not less than two times a
year. Special meetings may be held at such times as may be deemed necessary
or advisable by the Board...."
Arrangement: Chronological
Access constraints: None
Use constraints: None
Indexes or finding aids required for, or an aid to access? None
Gaps? None
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and none were
found for this series or for equivalent or related series.
Publications based on records: None
Series data from agency schedule:
Title: Board Meeting Minutes
Series item number: 1.1.017
Agency item number: 1.17
Archival code: A
Retention: PM
Recommendation: Board meeting minutes provide what is probably the
most important documentation of the agency's activities; they are thorough
yet succinct. The Texas State Board of Examiners of Psychologists' records
retention schedule should continue to use "A" as the archival code for
these records. The archival requirement is fulfilled by sending copies
to the State Archives, as the Remarks column in agency's records retention
schedule indicates. Executive Director Rebecca Forkner, in her February
8, 1996 cover letter accompanying the copies of minutes which had been
missing from the State Archives, states that copies of all future minutes
will continue to be transferred to the State Archives.
I also recommend that this series be renamed "Board Meeting Minutes
and Agenda," to include agenda, and that copies of agenda be included
in all future transfers.
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Record Series Review
Series Title: Correspondence - Administrative
Dates: 1986-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Investigations/Enforcement
Division
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: 0.24 cubic foot
Agency holdings: Administrative correspondence is in the agency's offices
(1.36 cubic feet). These records are retained by the agency for three
years after the end of the fiscal year. The agency's actual holdings
are 1991- [ongoing].
Archival holdings: Administrative Correspondence, 1986-1991, 1.14
cubic feet (AC 1993/220, 1994/22, 1995/126).
Description: This series is the administrative correspondence of the
Texas State Board of Examiners of Psychologists, and consists of incoming
and outgoing letters, with attachments, dating 1986-[ongoing], primarily
concerning alleged violations of the law prohibiting the misrepresentation
of persons practicing psychology or offering psychological services
for compensation without being so certified by the State of Texas. The
attachments include copies of advertisements (especially in the newspapers
or the telephone yellow pages). The letters include complaints by the
general public, initial warnings from the board sent by certified mail,
and responses from alleged violators defending their advertisements
or detailing their efforts to correct the situation.
Purpose: Administrative correspondence is created during the course
of daily agency business, and is retained to document the substantive
administration of the agency and to guide the commission in planning
future administration of its duties. More specifically, this correspondence
documents the board's monitoring of activities by persons allegedly
violating the Psychologists' Certification and Licensing Act, especially
in regards to advertising of psychological services.
Agency Program: The board is charged with certifying and licensing
psychologists with doctoral degrees, by means of written and oral examinations
and a review of education and experience; licensing psychological associates
with master's degrees; suspending or revoking licenses or certificates
for violation of the law; monitoring the activity of persons who have
apparently violated state law; assisting applicants through the application
process; and responding to requests from professionals and the general
public concerning the practice of psychology.
More specifically, section 8 of the Psychologists' Certification and
Licensing Act lists the following among the powers and duties of the
Texas State Board of Examiners of Psychologists: "(h) The Board may
not adopt rules restricting competitive bidding or advertising by a
person regulated by the Board except to prohibit false, misleading or
deceptive practices by the person.... (i) The board may order corrective
advertising if a psychologist, individually or under an assumed name,
engages in false, misleading, or deceptive advertising."
Section 20 of the Act states the following: "A person may not engage
in the practice of psychology or represent the person as a psychologist
or psychological associate within the meaning of this Act unless the
person is licensed or certified under this Act or is exempt from this
Act." (Vernon's Ann. Civ. St., Article 4512c)
Arrangement: Chronological by year or group of years, then alphabetical
by last name of person under investigation.
Access Constraints: None
Use Constraints: None? [The agency Records Administrator is checking
with legal counsel concerning possible confidentiality problems.]
Indexes or finding aids required for, or an aid to access? None
Gaps? 1969-1985
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and one was
found relating to this series. Paul Beck, who at that time was accessions
archivist for the Texas State Archives, initiated a destruction request
(RMD-102) which was approved August 23, 1993, for routine administrative
correspondence, 1986-1989, 0.5 cubic foot. The material destroyed consisted
of requests for rosters of psychologists, requests and responses for
general information on the regulation of psychology in Texas, correspondence
with applicants for the Texas licensing exam for psychologists, etc.
(Part of 1993/220). Accessioned before the agency had an approved retention
schedule, the material destroyed represented about one- half of the
so-called "administrative correspondence" transferred to the State Archives
in that accession. The agency now files routine correspondence as "General
Correspondence" (a non-archival series).
Concerning the correspondence which was retained after this appraisal,
Paul Beck prepared a memo stating "these advertising complaints are
of marginal value but the Archives decided to retain them because of
the effort the Archives had already made in appraising and processing
them."
Publications based on records: None
Series data from agency schedule:
Title: Correspondence - Administrative
Series item number: 1.1.007
Agency item number: 1.41
Archival code: R
Retention: FE + 3
Recommendation: This agency's administrative correspondence documents
advertising complaints, which are nowhere else covered, not even in
the board meeting minutes. Furthermore, a separate series has been set
up for truly routine, general correspondence. Pending word from the
agency's legal counsel concerning possible confidentiality issues, the
Texas State Board of Examiners of Psychologists should change the "R"
designation to "A". Remarks column should say: "Transfer to State Archives
annually after retention period has been met."
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Record Series Review
Series Title: 100-Day Report
Dates: 1970-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Fiscal/Benefits
Division
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: 100-day reports are in the agency's offices (0.1 cubic
foot). These records are retained by the agency permanently. The agency's
actual holdings are FY 1970- [ongoing].
Archival holdings: None at the Archives and Information Services Division
of the Texas State Library.
The archival requirement for this series is fulfilled by sending three
copies to the Publications Clearinghouse, Texas State Library (13 Texas
Administrative Code, Chapter 3, Section 3.3(b)). The Clearinghouse holds
copies dating FY 1990 and FY 1992- [ongoing].
Description: This series consists of the annual financial report (also
called the 100-day report) of the agency's activities, submitted by
the board to the governor and the legislature, dating August 31, 1970-[ongoing].
These reports contain some narrative, but are composed mostly of standard
financial tables, including the following: exhibits (combined balance
sheet of all fund types and account groups, and combined statement of
revenues, expenditures and changes in fund balance); narrative notes
to the financial statements; explanation of service efforts and accomplishments;
schedules (summary of revenues, expenditures, per diem and travel, and
professional and consulting services); an organizational chart; and
narrative organization and general comments.
Purpose: These reports are created to provide a financial accounting
to the governor and legislature of the agency's revenues and expenditures,
as required by law.
Agency Program: The board is charged with certifying and licensing
psychologists with doctoral degrees, by means of written and oral examinations
and a review of education and experience; licensing psychological associates
with master's degrees; suspending or revoking licenses or certificates
for violation of the law; monitoring the activity of persons who have
apparently violated state law; assisting applicants through the application
process; and responding to requests from professionals and the general
public concerning the practice of psychology.
Annual financial reports are required by General Provisions of the
Appropriations Act, Article V, and in accordance with requirements established
by the Comptroller.
More specifically, Section 10 of the Psychologists' Certification
and Licensing Act states the following: "Annual Report of the Board.
The Board shall file annually with the governor and the presiding officer
of each House of the Legislature a complete and detailed written report
accounting for all funds received and disbursed by the Board during
the preceding fiscal year. The annual report must be in the form and
reported in the time provided by the General Appropriations Act." (Vernon's
Ann. Civ. St., Article 4512c). The law was amended from "...submit a
report ...concerning the work of the Board..." by Senate Bill 1424,
73rd Legislature, Regular Session, 1993.
Arrangement: Chronological
Access constraints: None
Use constraints: None
Indexes or finding aids required for, or an aid to access? None
Gaps? Reports for fiscal years 1970-1989 and 1991 are missing from
the Clearinghouse.
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and none were
found for this series or for equivalent or related series.
Publications based on records: None
Series data from agency schedule:
Title: 100-Day Report
Series item number: 4.5.003
Agency item number: 2.11
Archival code: A
Retention: PM
Recommendation: The annual financial report is especially important
for this board, since it substitutes for the narrative annual or biennial
report which most agencies publish; also, it does contain some narrative.
However, the functions of the agency are adequately documented in summary
form by the other archival series: board meeting minutes, the biennial
budget requests, and the strategic plans (for which a series should
be created). Furthermore, the annual financial reports are regularly
sent to the Publications Clearinghouse, Texas State Library, as the
Remarks column in the agency's records retention schedule indicates.
Therefore I recommend that the Texas State Board of Examiners of Psychologists'
records retention schedule remove the "A" from the Archival Code for
these records. I would also recommend that the agency rename the series
"Annual Financial Report," since the term "100-Day Report" no longer
appears on the document. The agency should also make copies of the reports
missing from the holdings of the Publications Clearinghouse (for fiscal
years 1970-1989 and 1991) and forward them to the Publications Clearinghouse,
if possible.
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Record Series Review
Series Title: Organizational Charts
Dates: 1983-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Executive
Director
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Organizational charts are in the agency's offices,
printed in Biennial Budget Requests (FY 1990-1991), in one Annual Financial
Report (FY 1994), and in the Strategic Plan, 1995-1999 (fractional).
These records are retained by the agency until superseded. The agency's
actual holdings are 1990-[ongoing].
Archival holdings: None at the Archives and Information Services Division
of the Texas State Library.
The archival requirement for this series is fulfilled by sending two
copies of legislative appropriations requests, or three copies of annual
financial reports, to the Publications Clearinghouse, Texas State Library
(13 Texas Administrative Code, Chapter 3, Section 3.3(b) and (c)). The
Clearinghouse holds copies dating 1983-[ongoing].
Description: These records consist of charts showing the organizational
structure of the Texas State Board of Examiners of Psychologists, dating
1983-[ongoing], included in the published requests for legislative appropriations
(FY 1984-FY 1991), or the annual financial report (FY 1994), or the
strategic plan (1995- 1999).
Purpose: The purpose of organizational charts is to indicate agency
staff organization in a graphic format.
Agency Program: The board is charged with certifying and licensing
psychologists with doctoral degrees, by means of written and oral examinations
and a review of education and experience; licensing psychological associates
with master's degrees; suspending or revoking licenses or certificates
for violation of the law; monitoring the activity of persons who have
apparently violated state law; assisting applicants through the application
process; and responding to requests from professionals and the general
public concerning the practice of psychology (Vernon's Ann. Civ. St.,
Article 4512c).
The agency was organized into four divisions in 1995: the Fiscal/Benefits
Division, the Operations Division, the Investigations/Enforcement Division,
and the Legal Division.
Arrangement: Chronological
Access constraints: None
Use constraints: None
Indexes or finding aids required for, or an aid to access? None
Gaps? 1991 and 1992
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and none were
found for this series or for equivalent or related series.
Publications based on records: Organizational charts are found in publications:
Request for Legislative Appropriations (FY 1984-FY 1991); Annual
Financial Report (FY 1994); and Strategic Plan, 1995-1999.
Series data from agency schedule:
Title: Organizational Charts
Series item number: 1.1.023
Agency item number: 3.30
Archival code: A
Retention: US
Recommendation: Organizational charts assist in understanding the basic
structure of an agency. The Texas State Board of Examiners of Psychologists'
records retention schedule should continue to use "A" as the archival
code. The Remarks column in the agency's records retention schedule
should state: "Included in agency publications; the archival requirement
will be met by sending copies of those publications to the Publications
Clearinghouse, Texas State Library." As an alternative, the agency may
simply wish to send to the State Archives a complete set of loose copies
of organizational charts, and thereafter send new ones when they are
superseded.
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Record Series Review
Series Title: Strategic Plans
Dates: 1994-[ongoing]
Agency: Texas State Board of Examiners of Psychologists, Operations
Division
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Strategic plans are in the agency's offices (fractional).
These records are retained by the agency permanently. The agency's actual
holdings are 1994- [ongoing] (for the period 1995-1999).
Archival holdings: None at the Archives and Information Services Division
of the Texas State Library.
The archival requirement for this series is fulfilled by sending fifty-five
copies to the Publications Clearinghouse, Texas State Library (13 Texas
Administrative Code, Chapter 3, Section 3.3(a)(3)). The Clearinghouse
holds the plan for 1995-1999.
Description: Strategic plans are long-range planning tools prepared
by the agency in which the goals and objectives of the agency are presented
along with performance measures for each. The Texas State Board of Examiners
of Psychologists prepared its first plan in 1994 for the time frame
of 1995-1999. Plans contain a mission statement, a statement of philosophy,
an external/internal assessment of the agency, and the goals of the
agency. Each goal contains objectives, outcome and efficiency measures,
strategies, output measures, and explanatory measures for measuring
and achieving the goals. Also present in most agency strategic plans
is an organizational chart of the agency.
Purpose: Strategic plans are created as long-range planning tools prepared
by the agency, setting forth goals and objectives of the agency over
a multi-year period.
Agency Program: Strategic plans are prepared in accordance with V.T.C.A.,
Government Code, Sections 2054.095 and 2056.002.
The board is charged with certifying and licensing psychologists with
doctoral degrees, by means of written and oral examinations and a review
of education and experience; licensing psychological associates with
master's degrees; suspending or revoking licenses or certificates for
violation of the law; monitoring the activity of persons who have apparently
violated state law; assisting applicants through the application process;
and responding to requests from professionals and the general public
concerning the practice of psychology (Vernon's Ann. Civ. St., Article
4512c).
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for, or an aid to access? None
Gaps? None
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives
and Information Services Division of the Texas State Library were checked
for the Texas State Board of Examiners of Psychologists, and none were
found for this series or for equivalent or related series.
Publications based on records: None
Suggested series from state Records Retention Schedule:
Title: Strategic Plans
Series item number: 1.1.055
Agency item number: to be assigned
Archival code: A
Retention: PM
Recommendation: Strategic plans document the long-range planning activities
of the agency and are considered archival. Strategic plans are not currently
on the retention schedule of the Texas State Board of Examiners of Psychologists.
Therefore the board should add strategic plans as a new series to their
schedule, with an Archival Code of "A." The Remarks column should read
"The archival requirement will be met by sending required copies to
the Publications Clearinghouse, Texas State Library."
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