Sunrise Process (Series 5). Transfer those records which have
met the retention period to the Archives and Information Services
Division of the Texas State Library and Archives Commission, and continue
to do so in the future.
Commission Appointments (Series 8). Transfer those records
which have met the retention period to the Archives and Information
Services Division of the Texas State Library and Archives Commission,
and continue to do so in the future.
Policies and Procedures Manual (Series 15). The series should
be renamed "Summary of Process and Procedure." Copies
are being sent to the Texas State Publications Depository Program,
which needs to continue to fulfill the archival mandate. A note does
need to be added to the Remarks column of the retention schedule -
"The archival requirement will be met by sending the required
number of copies to the Texas State Publications Depository Program,
Library and Archives Commission."
Special Legislative Projects - Final Report (Series 19).
The Archives and Information Services Division has already received
the only report currently in this series. Transfer any future final
reports to the Archives as the retention period is fulfilled.
Assign an "A" to these series currently on the retention
schedule but without any archival code designation.
Staff Reports (Series 1a)
Final Report (Series 1b)
Summary of Final Report (Series 1c) Copies of reports from
all three of these series are being sent to the Texas State Publications
Depository Program. A note does need to be added to the Remarks column
for each of these series on the retention schedule - "The archival
requirement will be met by sending the required number of copies to
the Texas State Publications Depository Program, Library and Archives
Commission."
Decision Material (Series 1). Assign an "A" and
transfer those records which have met the ten year retention period
to the Archives and Information Services Division of the Texas State
Library and Archives Commission, and continue to do so in the future.
Add these new series to the retention schedule with an "A"
in the archival code column:
Executive Director's Correspondence (Series number and retention
period to be assigned). Once any of these records reach the end of
their retention, transfer to the Archives and Information Services
Division.
Strategic Plans (Agency item number needs to be assigned).
The Remarks column should read: "The archival requirement will
be met by sending the required number of copies to the Texas State
Publications Depository Program, Library and Archives Commission."
Non-archival series:
Remove the "R" designation from the archival code for the
following series. Any records from these series that have met their
respective retention periods may be discarded.
Incoming Correspondence (Series 1)
Legislative Tracking Documents (Series 2)
Remove the "R" designation from the archival code for the
following series.
Employee Recognition Awards (Series 48). An appraisal review
of this series was not done for this report as these records are not
archival and this series will not have an "R" assigned in
the revised State Records Retention Schedule. Any records from these
series that have met their retention period may be discarded.
Do not assign an archival designation to the following series:
Outgoing Correspondence (Series 1)
Delete these series altogether from the retention schedule:
Special Legislative Projects - Public Utility Commission (Series
3). The records in this series are actually of the Task Force on Public
Utility Regulation and do not belong on the Sunset Commission's schedule.
They are reviewed in a separate, attached report.
Special Legislative Projects - Proprietary Schools (Series
4). These records were misidentified as a separate series as they
are actually part of another series.
Press Releases (Series 13). This is an obsolete series.
Thus, it is recommended that the revised records retention schedule
of the Sunset Advisory Commission have fourteen series designated as
archival ("A"):
Agency Review Material (Series 1):
Executive Director's Correspondence [NEW]
Decision Material
Self-evaluation Report
Staff Reports
Final Report
Summary of Final Report
Sunrise Process (Series 5)
Budget Request (Series 6)
Commission Appointments (Series 8)
Meeting Minutes (Series 12)
Organizational Charts (Series 14)
Policies and Procedures Manual (Series 15)
Special Legislative Projects - Final Reports (Series 19)
Strategic Plans [NEW]
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Record Series Review
Series Title: Meeting Minutes
Dates: 1977-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Fractional
Agency Holdings:
Records are retained permanently in the agency offices. Holdings total
an estimated 2 cubic feet and date from 1977-[ongoing].
Archival Holdings:
Minutes from meetings held in October 1982, November 1982, and May
1992.
Description:
These records include minutes, agenda, lists of witnesses, and tally
sheets of votes from the meetings of the commissioners of the Sunset
Advisory Commission. Dates covered are from 1977-[ongoing]. The major
function of the commissioners during their meetings is to evaluate the
state agencies subject to sunset review. To accomplish that, the commissioners
consider the recommendations in the Sunset Commission staff report on
the future functions and programs of an agency. The commissioners also
review public testimony and written responses to the recommendations
in the staff report. The commissioners then decide on what recommendations
to include in their final report and present to the Legislature for
approval. The minutes up until the late 1980s included summaries of
testimony from the state agencies and public comments from interested
groups and individuals on specific recommendations. In recent years,
however, the coverage of the minutes has decreased and the summaries
of testimony are no longer in the minutes.
Purpose:
These records document the meetings of the Sunset Advisory Commission
commissioners and their evaluation of state agencies undergoing sunset
review.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The Sunset Act
provides for automatic termination of such designated agencies on a
12-year basis unless the Legislature extends the life of the agency
by statute. The commission conducts performance evaluation of those
agencies and prepares written reports for the Legislature (V.T.C.A.,
Government Code, Section 325.008). The performance evaluation is based
on the criteria provided in V.T.C.A., Government Code, Section 325.011.
The Commission's report on an agency must include a recommendation to
abolish or continue the agency and may also contain recommendations
to correct problems identified during the review. The Commission may
also expand the scope of sunset review to include agencies not under
review that overlap or duplicate the programs of the agency being reviewed.
The policy-making body of the agency is a ten-member commission. Membership
of the commission consists of four members of the Senate and one public
member appointed by the Lieutenant Governor, and four members of the
House and one public member appointed by the Speaker of the House. The
time and location of the meetings of commissioners is determined by
the Commission chairman in consultation with the vice-chairman.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? yes
- Title: Meeting Minutes
- Series item number: 1.1.017
- Agency item number: 12
- Archival code: A
- Retention: PM
Appraisal Decision:
Minutes of the commission meetings provide primary evidence of the
functions and policy formulation of the highest echelon of the agency.
This series should retain its "A" designation and the remark
on the retention schedule that calls for copies of minutes to be sent
to the Archives and Information Services Division of the Library and
Archives Commission. So far, the Archives has received only a few copies.
Copies need to be made of the backlog of all existing minutes and sent
to the Archives and copies of minutes from future meetings will need
to be sent on a regular basis.
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Record Series Review
Series Title: Decision Material
Dates: 1978-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Approximately 1 cubic foot
Agency Holdings:
These records are in the offices of the agency and are to be retained
for ten years according to the December 1995 revision of the retention
schedule. Actual holdings at the agency are an estimated 20 cubic feet,
from 1978-[ongoing].
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Types of records include proposed recommendations from Sunset Commission
staff for agencies undergoing sunset review, compilations of testimony
and written responses from public hearings regarding the staff recommendations,
memos and notes of staff and commissioners, and commissioner voting
sheets. Dates of records are from 1978-[ongoing]. During the sunset
review of an agency, the Sunset Advisory Commission staff gathers background
information and prepares a detailed report with specific recommendations
that is presented to the Sunset commissioners and to the public for
consideration. Testimony and written responses are taken at public hearings
regarding those recommendations and the staff compiles a synopsis of
the comments for the commission. The commission then considers the staff
recommendations along with the public comments and approves or disapproves
of the recommendations they will present to the Legislature for adoption.
These records are from that decision-making process of the commissioners.
Only recommendations adopted by the commissioners are included in the
Sunset Commission's final report on the agency and submitted to the
Legislature.
Purpose:
These records document the Sunset Advisory commissioners approval
or disapproval of proposed recommendations by the Sunset Commission
staff for inclusion in the Final Report of an agency undergoing sunset
review.
Agency program:
The Sunset Advisory Commission is required by the Texas Sunset Act
(V.T.C.A., Government Code, Section 325) to review state agencies scheduled
for termination. The statute sets specific time frames for the review
process and lists the criteria for determining whether a need exists.
The commissioners' decision to approve or disapprove a staff recommendation
is essential in fulfilling V.T.C.A., Government Code, Section 325.008,
which requires the Sunset Commission to conduct a performance evaluation
and prepare a written report on agencies subject to sunset review. The
commission's report on an agency must include a recommendation to abolish
or continue the agency and may also contain recommendations to correct
problems identified during the review.
Arrangement: Alphabetical by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? No
Problems: None
Known related records in other agencies: No
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Decision Material
- Series item number: 1.1
- Agency item number: 1
- Archival code: None
- Retention: 10
Appraisal Decision:
These decision materials provide the only documentation of the staff
recommendations that are not approved by the commissioners. In addition,
recommendations approved by the commissioners are cited in the minutes
and in the Sunset Commission's final report on the agency but are condensed
and so only in a "streamlined" fashion. For a full record
of the commissioner's actions regarding sunset recommendations, both
negative and positive, these Decision Materials are necessary. Thus,
this series should be given an archival code of "A." All records
that have met the ten-year retention period, i.e. 1978-1986, should
be transferred to the Archives aInformation Services Division, and should
continue to be so transferred, preferably on an annual basis.
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Record Series Review
Series Title: Incoming Correspondence
Dates: 1977-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: estimated at 2 cubic feet
Agency Holdings:
Retained in the offices of the agency for ten years according to the
December 1995 revision of the retention schedule. Actual holdings of
the agency are approximately 36 cubic feet, from 1977-[ongoing].
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Records in the incoming correspondence series consist solely of incoming
correspondence that is not responded to by the commission. The correspondence
dates from 1977-[ongoing]. The correspondents include agencies undergoing
sunset review, other state agencies, state officials, and the general
public, which are concerned with the sunset review process and the effect
it might have on an agency. The correspondence filed in this series
is not answered as the comments are considered too broad to reply to
or the request is too specific and outside the scope of commission's
duties and so no reply is needed. Examples of such correspondence range
from: "I don't want you to abolish that agency," to "We
need more stop signs," concerning the review of the Department
of Transportation, or, in regard to the Juvenile Probation Commission,
"My son is in jail and they won't give him parole." The commission
staff determines which incoming correspondence is answered. Any incoming
correspondence that is responded to is filed in another series, the
commission's outgoing correspondence series.
Purpose:
Incoming correspondence documents the concerns and opinions of government
officials and the public regarding state agencies under sunset review.
It provides feedback to the commission of public feelings and attitudes
toward an agency and to the role of the Sunset Advisory Commission.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The Sunset Act
provides for automatic termination of such designated agencies on a
12-year basis unless the Legislature extends the life of the agency
by statute. The commission conducts performance evaluation of those
agencies and prepares written reports for the Legislature (V.T.C.A.,
Government Code, Section 325.008). The performance evaluation is based
on the criteria provided in V.T.C.A., Government Code, Section 325.011.
The Commission's report on an agency must include a recommendation to
abolish or continue the agency and may also contain recommendations
to correct problems identified during the review. The Commission may
also expand the scope of sunset review to include agencies not under
review that overlap or duplicate the programs of the agency being reviewed.
Two of the criteria proscribed by V.T.C.A., Government Code, 325.011
for agency review - the promptness and effectiveness with which the
agency handles complaints and the extent to which the agency has encouraged
participation by the public in the review process - are presumably documented
to some extent by the incoming correspondence series of the commission.
Some of this incoming correspondence is from the general public and
contains complaints and praise for agencies and thus may reflect on
how agencies deal with the public and, to a degree, on how they meet
the two criteria.
Arrangement:
From 1977 to 1991, all correspondence was filed together, first chronologically
by legislative session, then alphabetically by name of agency. Since
1991, the incoming and outgoing correspondence have been divided and
each is filed separately, chronologically by session and alphabetically
by agency.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Incoming correspondence
- Series item number: 1.1
- Agency item number: 1
- Archival code: R
- Retention: 10
Appraisal Decision:
The appraisal axiom that we look at the entire records output of an
agency when we appraise any one series is certainly brought into play
when considering the correspondence of the Sunset Advisory Commission.
The correspondence of the commission is divided into three series -
incoming, outgoing, and executive director's - and all three correspondence
series are of archival interest and merit appraisal review. The incoming
correspondence has an archival code of "R" on the retention
schedule, the outgoing is on the schedule but has no archival retention,
and the executive director's correspondence is new and not yet on the
schedule. Each of these series has a separate appraisal report yet the
appraisal of one affects the others, especially the incoming and outgoing
series.
Despite that it isn't answered, the commission staff think of this
incoming correspondence as having more historic significance than the
outgoing correspondence, which they consider routine. The Sunset staff
feels that the incoming correspondence contains the more interesting
comments and observations on an agency. These opinions are valid but
we can not depend solely on the agency's judgment as a basis for archival
value. The question remains, is it archival? Do these records provide
enough insight into a fundamental function of the commission to merit
archival retention? (Nor am I comfortable with this filing scheme anyway
- this division of incoming correspondence between answered and unanswered
is an unnatural schism that is misleading and cause for confusion).
The range of comments in the incoming correspondence does document
public feelings toward an agency. But documenting it thoroughly by correspondence
is dependent on many letters coming to the commission to address the
multiple concerns the public may have to a specific agency. This can
result in haphazard, partial, or possibly skewed documentation. Alternatively,
the commission is required to hold public hearings in order to gather
public opinion on agencies undergoing sunset review (V.A.T.C., Government
Code, Section 325.009). Comments from these hearings are compiled by
commission staff and included in the staff reports. These staff reports
are being recommended for archival status. Thus, public opinion will
be represented in the staff reports where it will be organized both
by agency and by topic and be much more accessible than loose, incoming
correspondence. The Archives and Information Services Division has determined
that to keep the incoming correspondence series in the interests of
documenting public opinion would be superfluous and, considering the
physical volume of this series, documentation overkill.
This series should not be given archival status. The "R"
designation currently on the retention schedule should be deleted and
incoming correspondence that has met the ten-year retention period can
be destroyed. The series item number on the retention schedule should
be changed to 1.1.008 to reflect the routine nature of this correspondence.
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Record Series Review
Series Title: Outgoing Correspondence
Dates: 1977-[outgoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Approximately 3 cubic feet
Agency Holdings:
Retained in the offices of the agency for ten years according to the
December 1995 revision of the retention schedule. Actual holdings of
the agency are approximately 54 cubic feet, from 1977-[ongoing].
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Types of records in this series include both incoming and outgoing
correspondence. These records date from 1977-[outgoing]. This series
contains all of the incoming correspondence that required a response
from the Sunset Advisory Commission and so contains all of the outgoing
replies. The outgoing correspondence from the commission is attached
to the incoming letter that precipitated the response. The correspondents
include agencies undergoing sunset review, other state agencies, state
officials, and the general public. For the most part, the incoming correspondence
consists of routine requests that can be answered by standardized form
letters. Thus, the outgoing correspondence consists of form letters
and types of responses include "This matter is not in our jurisdiction,
contact your state legislator" and "We are about to start
the sunset review of your agency."
Purpose:
Outgoing correspondence documents the response of the Sunset Advisory
Commission to the concerns and opinions of government officials and
the public regarding state agencies under sunset review.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The Sunset Act
provides for automatic termination of such designated agencies on a
12-year basis unless the Legislature extends the life of the agency
by statute. The commission conducts performance evaluation of those
agencies and prepares written reports for the Legislature (V.T.C.A.,
Government Code, Section 325.008). The performance evaluation is based
on the criteria provided in V.T.C.A., Government Code, Section 325.011.
The Commission's report on an agency must include a recommendation to
abolish or continue the agency and may also contain recommendations
to correct problems identified during the review. The Commission may
also expand the scope of sunset review to include agencies not under
review that overlap or duplicate the programs of the agency being reviewed.
Two of the criteria proscribed by V.T.C.A., Government Code, 325.011
for agency review - the promptness and effectiveness with which the
agency handles complaints and the extent to which the agency has encouraged
participation by the public in the review process - are presumably documented
to some extent by the outgoing correspondence series of the commission.
This series contains both outgoing and incoming correspondence and some
of the incoming from the public to the commission would contain complaints
and praise for agencies and thus reflect, to a degree, on how agencies
deal with the public. In addition, the outgoing correspondence series
contains the reply from the commission, some of which document the commission's
response to public concerns and requests.
Arrangement:
From 1977 to 1991, all correspondence was filed together, first chronologically
by legislative session, then alphabetically by name of agency. Since
1991, the incoming and outgoing correspondence have been divided and
each is filed separately, chronologically by session and alphabetically
by agency.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Outgoing correspondence
- Series item number: 1.1
- Agency item number: 1
- Archival code: None
- Retention: 10
Appraisal Decision:
This series name - "Outgoing Correspondence" - is
a misnomer since it contains both incoming and outgoing correspondence.
This outgoing correspondence series is so closely linked physically
and intellectually to the "other" incoming correspondence
series that it was necessary to appraise it as well.
The outgoing correspondence in this series consists of standardized,
form letters. Form letters usually have little substance and do not
document policy-making. Their content can change rapidly. Thus, form
letters do not have permanent legal, fiscal, or administrative value
and would not be considered archival. The outgoing correspondence would,
in itself, not be enough to make this an archival series. The incoming
correspondence in this series might be useful in documenting public
opinion toward an agency but, as stated in the appraisal decision for
the "Incoming Correspondence" series, the commission
actively solicits public opinion in public hearings. Comments from the
hearings are compiled by commission staff and included in the staff
reports. Thus, public opinion will be represented in the staff reports,
which are being recommended for archival retention, where it will organized
by agency and by topic. As with the incoming correspondence series,
to keep this series in the interests of documenting public opinion would
be superfluous and, considering the physical volume, documentation overkill.
This series should not be given archival status. No archival designation
is recommended.
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Record Series Review
Series Title: Executive Director's Correspondence
Dates: 1995-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: 0.5 cubic foot
Agency Holdings:
Retained in the office of the executive secretary. This series is
not on the agency's retention schedule. Actual holdings are 1995-[ongoing],
one cubic feet.
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Records in this series consist of outgoing correspondence signed by
the executive director of the Sunset Advisory Commission. This series
dates from 1995-[ongoing] and began when Mr. Joey Longley became executive
director. This series does include all correspondence signed by the
executive director and sent to the agency's ten commissioners, the agency's
policy-making body. Some of the correspondence with the commissioners
concerns routine administrative matters but other is policy-related
to the sunset review process and pertains to across-the-board matters
that affect all agencies. This series also includes general correspondence
with the public that does not deal with a specific agency up for sunset
review. Some of the pre-1995 correspondence of previous executive directors
is filed in with agency review material.
Purpose:
These records document the outgoing communications of the executive
director of the agency, especially with the members of the Sunset Advisory
Commission.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The Sunset Act
provides for automatic termination of such designated agencies on a
12-year basis unless the Legislature extends the life of theagency by
statute. The commission conducts performance evaluation of those agencies
and prepares written reports for the Legislature (V.T.C.A., Government
Code, Section 325.008). The performance evaluation is based on the criteria
provided in V.T.C.A., Government Code, Section 325.011. The commission's
report on an agency must include a recommendation to abolish or continue
the agency and may also contain recommendations to correct problems
identified during the review. The commission may also expand the scope
of sunset review to include agencies not under review that overlap or
duplicate the programs of the agency being reviewed.
The policy-making body of the agency is a ten-member commission. Membership
of the commission consists of four members of the Senate and one public
member appointed by the Lieutenant Governor, and four members of the
House and one public member appointed by the Speaker of the House. The
commissioners of the Sunset Advisory Commission employ the executive
director to act as the administrative head of the commission (V.A.T.C.
Government Code, 325.004).
Arrangement:
Filed chronologically by legislative session.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? This is a new series begun in 1995.
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Suggested record series:
- Title: Executive Director's Correspondence
- Series item number: 1.1.007
- Agency item number: to be assigned by the agency
- Archival code: A
- Retention: 10
Appraisal Decision:
This series only began in 1995 with the administration of the new
executive director. Correspondence of previous executive directors is
either alienated from the commission or, if it dealt with a specific
agency, may be filed in with that agency's review material.
This series contains all of the outgoing correspondence signed by
the executive director of the agency. This includes anything sent to
the agency's ten commissioners, the agency's policy-making body. Some
of this correspondence is routine but the rest would document policy-making
at the highest levels of the agency. Therefore, this series should be
given an archival designation of "A."
The executive director's correspondence is a new series not yet on
the agency's retention schedule. This series should be added to the
retention schedule with an archival code of "A." A series
number of 1.1.007 and a retention period of ten years is recommended.
The agency will need to assign an agency item number.
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Record Series Review
Series Title: Self-evaluation Report
Dates: 1977-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Biennial accumulation: 2-3 cubic feet
Agency holdings:
Retained by the agency in its offices for fourteen years under retention
schedule in effect during initial appraisal review. New retention schedule
as of December 1995 has reduced the retention period for this series
to ten years. Agency has from 1977-[ongoing], approximately 30 cubic
feet.
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
An agency's self-evaluation report is a narrative report prepared
by the agency and submitted to the Sunset Advisory Commission. The self-evaluation
report contains four major sections: background, policy issues, additional
data, and comments (optional). The background section provides a brief
overview of the agency's history, creation and powers, policy-making
body, funding and organization, and programs. Creation and powers includes
key events in the development of the agency such as major changes in
responsibilities or statutory authority, agency name changes, impact
of state or federal legislation and funding, and impact of any litigation
specifically affecting the agency's operations. Policy-making body includes
number of board or commission members and length of terms; method by
which board members are appointed and the chair is selected; current
board composition and any statutory qualifications for appointment;
and primary role and responsibilities of the board. Funding and organization
includes total budget for the fiscal year; expenditure by program, five-year
history of expenditure, and sources of revenue; an organizational chart;
an exhibit showing the percentage of minorities in the work force; location
of headquarters and any regional offices; and a description of any local
government entities that the agency may work with. Programs and functions
includes the name and purpose of the program, its annualbudget, and
number of employees involved; how this purpose is accomplished; whether
any fees are collected by the agency and a list of activities funded
by these fees or charges; a description and listing of the performance
measures, if available, used to track the program's effectiveness; a
listing of any similar programs performed by other state agencies. Additional
data can include a list of advisory committees, statutory citations
for all state statutes that grant authority or significantly impact
the agency, other agency liaisons, interest groups, national associations,
and complaint resolution.
Purpose:
The self-evaluation report is intended to give the Sunset Commission
members and staff a general understanding of the agency and its purpose.
It is used by the Sunset staff in drafting the background section of
the staff evaluation report on the agency. The report is also intended
to give the Sunset Commission a basic overview of the major policy issues,
including both the pros and the cons, appropriate for resolution through
a change of law.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The commission
conducts performance evaluation of those agencies and prepares written
reports for the Legislature (V.T.C.A., Government Code, Section 325.008).
Self-evaluation reports assist the Sunset Advisory Commission in its
critical role of reviewing state agencies. These reports address the
thirteen specific criteria required by V.T.C.A., Government Code, Sec.
325.011, which are analyzed by the Sunset Commission staff and detailed
in the staff reports and in the recommendations given in the final report
(V.T.C.A., Government Code, Sec. 325.012).
Arrangement:
Filed chronologically by biennium, then alphabetically by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for, or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Staff Reports by the Sunset Advisory Commission on individual agencies
under review are partially based on each agency's self-evaluation review.
Copies of these Staff Reports are filed in the Texas State Publications
Depository Program of the Library and Archives Commission.
Scheduled record series? Yes
- Title: Self-evaluation Report
- Series item number: 1.1
- Agency item number: 1
- Archival code: A
- Retention: 10
Appraisal Decision:
The agency self-evaluation reports provide fundamental knowledge of
a state agency in a concise, standardized format. The information in
these reports has a vitality when initially filed which will continue
and provide a historical perspective when consulted in the future.
There is a question, assuming each agency keeps a copy of its own
report, whether the Sunset Advisory Commission's copy or the agency's
copy should be the record copy. As long as the Sunset Advisory Commission
can act as the central gathering point for reports then I recommend
that the Archives take advantage of that function and designate the
Sunset Advisory Commission's copy as the record copy, rather than rely
on getting it from each agency (especially from over a twenty year period).
Thus, the self-evaluation reports submitted to the Sunset Advisory Commission
should be considered archival with an archival designation of "A."
Self-evaluation reports that have met the ten year retention period
(from 1977-1986) should be transferred to the Archives and Information
Services Division. Thereafter, reports should be regularly transferred
once their retention period has been met.
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Record Series Review
Series Title: Staff Reports
Dates: 1978-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Approximately 0.5 cubic foot
Agency Holdings:
Staff reports are in the agency's offices. These records are retained
by the agency permanently. The agency's holdings are 1978-[ongoing],
an estimated 5 cubic feet.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
The State Publications Depository Program at the Texas State Library
and Archives Commission holds staff reports of the Sunset Advisory Commission
from 1978-[ongoing].
Description:
Staff reports are the narrative evaluations prepared by the Sunset
Advisory Commission staff for those agencies scheduled for termination.
Staff reports are divided into three sections: Background and Focus;
Across-the-Board Recommendations; and Findings and Recommendations.
The Background and Focus section describes the creation and powers of
an agency; its policy-making body; funding and organization; programs
and functions; and the focus of the sunset review. Across-the-Board
Recommendations is a short section of generalized remarks applicable
to all agencies. Findings and Recommendations is the lengthiest section
as specific functions of an agency are scrutinized. Under each function,
various issues are raised and considered. Discussion for each issue
includes a background report, a statement of the problem, the staff's
recommendation, and the fiscal impact of that recommendation.
Purpose:
Staff reports document the performance evaluation done by Sunset Commission
staff of an agency subject to sunset review and provide the basis for
the Final Report on an agency.
Agency program:
Staff reports fulfill V.T.C.A., Government Code, Section 325.008,
that requires the Sunset Commission to conduct a performance evaluation
and prepare a written report on agencies subject to sunset review. The
performance evaluation is based on the thirteen criteria provided for
in V.T.C.A., Government Code, Section 325.011. The thirteen stipulated
criteria are: the agency's efficiency of operation, the extent to which
statutory objectives have been achieved, the extent to which existing
advisory committees are needed and used, the extent of duplication or
overlapping jurisdictions and possibilities for consolidation with other
agencies, and an assessment of whether the agency has recommended statutory
changes that benefit the general public rather than the regulated entity.
Other criteria include the promptness and effectiveness with which the
agency handles complaints, the extent to which the agency has encouraged
participation by the public, the extent of compliance with federal and
state requirements regarding equality of employment opportunity and
the rights and privacy of individuals, its compliance with the Public
Information Act and Open Meetings Act, the degree to which the agency
conforms to its six-year strategic plan, and the effect of federal intervention
or loss of federal funds if the agency is abolished.
Arrangement: Alphabetical by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Sunset Advisory Commission's Final Report to Legislature and Governor
and Summary of Final Report.
Scheduled record series? Yes
- Title: Staff Reports
- Series item number: 1.1
- Agency item number: 1a
- Archival code: None
- Retention: PM
Appraisal Decision:
Staff reports follow-up the agency self-evaluation reports and are
the first publication by the commission documenting the performance
evaluation review. Staff reports provide valuable data not only on the
agency being reviewed (informational value) but also on the functions
and activities of the commission staff itself (evidentiary value). The
staff must conduct the performance evaluation according to the thirteen
criteria as prescribed by statute and their reports provide detailed
documentation of this process and their conclusions and recommendations.
The staff reports provide much more information on each recommendation
than in the subsequent publications by the commission - the Final Report
and the Summary of Final Report presented to the Legislature and Governor.
As a bonus, all this data is provided in a standard, summary format.
Thus, this series should be given an archival designation of "A."
The retention schedule for the Sunset Advisory Commission was changed
in December 1995 to list Staff Reports as a separate series. It was
given a permanent retention period and a note added in the Remarks column
to send copies to the Texas State Publications Depository Program. With
an archival code of "A" being added, the note in the Remarks
column should be amended to say - "The archival requirement is
met by sending the required number of copies of the Staff Report to
the Texas State Publications Depository Program, Archives and Library
Commission."
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Record Series Review
Series Title: Final Report
Dates: 1978-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Fractional
Agency Holdings:
Final Reports are in the agency's offices. These records are retained
by the agency permanently. The agency's holdings are 1978-[ongoing],
an estimated 2 cubic feet.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
The State Publications Depository Program at the Texas State Library
and Archives Commission holds Final Reports of the Sunset Advisory Commission
from 1978-[ongoing].
Description:
Final Reports are the biennial narrative reports issued by the Sunset
Advisory Commission to the Legislature and the Governor that include
the commission's recommendations for the state agencies that underwent
sunset review for that biennium. These reports date from 1978-[ongoing].
Each report includes a letter of transmittal, an introduction, an overall
summary of Sunset Commission actions, and the commission's findings
and recommendations for each agency, which comprise the bulk of the
report. The final reports include background information on each agency
- its governing body, creation and powers, functions, and funding -
and an assessment of the need for agency functions and programs and
for organizational alternatives. For each agency, the commission presents
its major recommendations, with a background statement and discussion
of the fiscal impact, followed by a complete list of all the recommendations
made by the commission for that agency.
Purpose:
The final report documents the commission's recommendations to the
Legislature and Governor to abolish or continue an agency and any other
recommendations to correct problems identified during the review.
Agency program:
The Sunset Advisory Commission is required by law, V.T.C.A., Government
Code, Section 325, to review the agencies scheduled for termination.
The commission's report on an agency must include a recommendation to
abolish or continue the agency and may also contain recommendations
to correct problems identified during the review. For each regular legislative
session, the Sunset Advisory Commission prepares an overall Final Report
to the Legislature and Governor on the agencies and advisory committee
scheduled to be abolished (V.T.C.A., Government Code Section, 325.010).
In the Final Report the commission must include: its specific findings
regarding each of the thirteen review criteria prescribed by V.T.C.A.,
Government Code, Section 325.011 in determining whether a public need
exists for the continuation of a state agency or its advisory committees;
its recommendations based on the matters in Section 325.012; and any
other information the commission considers necessary for a complete
evaluation of the agency. V.T.C.A., Government Code, Section 325.012
requires the commission's report to: make recommendations on the abolition,
continuation, or reorganization of each affected state agency and its
advisory committees and on the need for the performance of the functions
of the agency and its advisory committees; make recommendations on the
consolidation, transfer, or reorganization of programs within state
agencies not under review when the programs duplicate functions performed
in agencies under review; to recommend appropriation levels for each
state agency and advisory committee for which abolition or reorganization
is recommended; and to includes drafts of legislation necessary to carry
out the commission's recommendations.
Arrangement: Chronological by legislative session, then alphabetical
by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Summary of Final Report by Sunset Advisory Commission.
Scheduled record series? Yes
- Title: Final Report
- Series item number: 1.1
- Agency item number: 1b
- Archival code: None
- Retention: PM
Appraisal Decision:
The Final Report is based on the Staff Reports (which, in their turn,
are largely based on the agency self-evaluation reports). There is some
duplication of information among these records but the function and
types of information found in each separates them enough to recommend
the archival retention of each series. Staff Reports represent
the working papers of the commission. The Final Reports are the
end result. Final Reports may also contain information not in the staff
reports such as the suggested appropriation levels for those agencies
recommended for abolition or reorganization and drafts of legislation
prepared by the commission to carry out its recommendations. This series
should be given an archival designation of "A."
The retention schedule for the Sunset Advisory Commission was changed
in December 1995 to list the Final Report as separate series.
It was given a permanent retention period and a note added in the Remarks
column to send copies to the Texas State Publications Depository Program.
With an archival code of "A" being recommended, the note in
the Remarks column should be amended to say - "The archival requirement
is met by sending the required number of copies of the Final Report
to the Texas State Publications Depository Program, Archives and Library
Commission."
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Record Series Review
Series Title: Summary of Final Report
Dates: 1978-1989
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes, although none have been produced since
1989.
Annual accumulation: fractional
Agency Holdings:
Summaries of Final Reports are in the agency's offices. These records
are retained by the agency permanently. The agency's holdings are 1978-1989,
an estimated one-half cubic foot.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
The State Publications Depository Program at the Texas State Library
and Archives Commission holds the Summary of Final Reports from
1978-1989.
Description:
A Summary of Final Report is a biennial narrative report submitted
to the Legislature and Governor as a companion volume to the commission's
Final Report. These reports date from 1978-1989. The Summary
highlights the major recommendations made by the commission on each
agency undergoing sunset review. For each agency, the report includes
a discussion of the agency function, a list of the commission's major
recommendations, and a statement of the fiscal impact of those recommendations.
Purpose:
The Summary of Final Report documents in a condensed format
the major recommendations made by the Sunset Advisory Commission to
the Legislature and Governor for agencies undergoing Sunset Review.
Agency program:
For each regular legislative session, the Sunset Advisory Commission
prepares a Final Report to the Legislature and Governor on the agencies
and advisory committee scheduled to be abolished (V.T.C.A., Government
Code Section, 325.010). The Summary of Final Report accompanies the
Final Report and highlights for the Legislature and Governor the major
recommendations in the Final Report. In its reports the commission includes:
its specific findings regarding each of the thirteen review criteria
prescribed by V.T.C.A., Government Code, Section 325.011 in determining
whether a public need exists for the continuation of a state agency
or its advisory committees; its recommendations based on the matters
in V.T.C.A., Government Code, Section 325.012, and any other information
the commission considers necessary for a complete evaluation of the
agency. Section 325.012 requires the commission's report to: make recommendations
on the abolition, continuation, or reorganization of each affected state
agency and its advisory committees and on the need for the performance
of the functions of the agency and its advisory committees; make recommendations
on the consolidation, transfer, or reorganization of programs within
state agencies not under review when the programs duplicate functions
performed in agencies under review; recommend appropriation levels for
each state agency and advisory committee for which abolition or reorganization
is recommended; and to includes drafts of legislation necessary to carry
out the commission's recommendations.
Arrangement: Chronological by legislative session, then alphabetical
by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? Summary of Final Reports were last prepared in 1989.
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Summary of Final Report
- Series item number: 1.1
- Agency item number: 1c
- Archival code: None
- Retention: PM
Appraisal Decision:
The Summary of Final Report is based on the Final Report,
which, in turn, was based on the Staff Reports (which, in their
turn, are largely based on the agency self-evaluation reports). There
is some duplication of information among these records but the function
and types of information found in each separates them enough to recommend
the archival retention of each series.
The Summary of Final Report is indeed a "summary"
so there is duplication between it and the Final Report. Yet,
the information found in a Summary of Final Report documents
what the commission thinks were its major recommendations for each agency.
And, it's a small amount of material, is in a convenient format for
research, and is presented to the Governor and Legislature as the commission's
final say on an agency. This series should be given an archival designation
of "A."
The Summary of Final Report was a report produced by the commission
from 1978-1989. The series is still on the schedule as the agency retains
them permanently and is not considered obsolete as the agency believes
they may produce them again in the future. The retention schedule for
the Sunset Advisory Commission was changed in December 1995 to list
the Summary of Final Report as a separate series. It was given
a permanent retention period and a note added in the Remarks column
to send copies to the Texas State Publications Depository Program. With
an archival code of "A" being recommended, the note in the
Remarks column should be amended to say - "The archival requirement
is met by sending the required number of copies of the Summary of
Final Report to the Texas State Publications Depository Program,
Archives and Library Commission."
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Record Series Review
Series Title: Legislative Tracking Documents
Dates: 1991-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: One cubic foot or less.
Agency Holdings:
Records are in the agency offices and are to be retained for a 10
year period. Actual holdings are only from 1991-[ongoing], approximately
three cubic feet.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
Description:
These are working files created by Sunset Advisory Commission staff
analysts to keep track of any legislation introduced in the Texas Legislature
that might affect an agency undergoing sunset review. Dates covered
are 1991-[ongoing]. In 1995, for example, during the 74th Legislature,
there were twenty-five pieces of legislation introduced that the Sunset
Commission staff followed day-to-day as the bills made their way through
the legislative process. Information in the tracking documents can include
the bill number, sponsoring legislator, committee assignment, the status
of the bill in committee or on the floor, voting records, and copies
of the proposed bills. A weekly progress report on all of the bills
being followed is also done every Monday by Commission staff but, since
the previous week's progress report is then out-of-date, these are usually
discarded. Legislative Tracking Documents is a fairly new series,
done for only the past couple of legislative sessions, although Commission
staff indicated that other records may have been created earlier for
the same purpose but were either not maintained as a separate series
or not retained at all.
Purpose:
Records are created by the staff of the Commission to keep track of
all legislation proposed or introduced during a Legislative session
that might affect an agency undergoing sunset review and, consequently,
the Commission's review and report on that agency.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
Commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute and to prepare
a report to the Legislature (V.A.T.C., Government Code, Section 325.008).
The Commission's report on an agency must include a recommendation to
abolish or continue the agency and may also contain recommendations
to correct problems identified during the review. The Sunset Commission
must be aware of any changes in legislation concerning an agency as
it may affect the Commission's review, recommendations, and report.
Any changes mandated by the Legislature might also affect the agency's
report to the Commission (V.A.T.C., Government Code, Section 325.007).
Arrangement: Chronological by legislative session.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? This series began in 1991. Any earlier records with similar
information were discarded.
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Legislative Tracking Documents
- Series item number: 1.1
- Agency item number: 2
- Archival code: R
- Retention: 10
Appraisal Decision:
These are working files, created and maintained by the Sunset Commission
staff to track legislation during a legislative session. They are also
used as reference tools to compare previous legislative efforts with
current bills and to see what a particular legislator may have done
in the past. They are considered so relevant to the Commission's work
they have been marked as a "vital" record. However, this information
begins to get dated quickly and is referred to less and less by the
Commission staff as it ages. Indeed, the weekly progress reports are
thrown out as soon as the next one is produced. As working files and
current reference tools, these records have the greatest merit as internal
files. But there is little archival value in such internal records whose
research value fades before the next Legislature even begins. More important,
actions of the Legislature are well documented in other sources such
as the bill files and the House and Senate Journals. Researchers interested
in legislative history would be better advised, and more inclined, to
look at the record copy produced by the Legislature itself then that
done by the Sunset Commission. Considering then that these are working
files, with information of limited duration which is duplicated in other
sources, the archival designation of "R" on the retention
schedule should be dropped for this series.
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Record Series Review
Series Title: Special Legislative Projects - Proprietary Schools
Dates: 1988
Agency: Sunset Advisory Commission
Obsolete record series? Yes
Ongoing record series? No
Annual accumulation:
Agency Holdings:
Records are in the agency's offices and are to be retained for a four
year period. All records were created in 1988 and total less than one
cubic foot.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Types of records include correspondence and research materials. These
records date from 1988. The records were compiled by Sunset Advisory
Commission staff as part of their sunset review evaluation of the Texas
Education Agency (TEA). Specifically, the records concern the role of
the TEA in the certification and regulation of proprietary schools,
the enforcement of the Texas Proprietary School Act (Texas Education
Code, Chapter 32), and the Proprietary School Advisory Commission. The
commission's work on proprietary schools became part of the Sunset Advisory
Commission's 1988 Final Report on the Texas Education Agency.
Purpose:
These records are part of the documentation of the sunset review evaluation
of the Texas Education Agency.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
commission is required by the Sunset Act to review state agencies that
have a date for review or abolishment set in statute. The Sunset Act
provides for automatic termination of such designated agencies on a
12-year basis unless the Legislature extends the life of the agency
by statute. The commission conducts performanceevaluation of those agencies
and prepares written reports for the Legislature (V.T.C.A., Government
Code, Section 325.008). The performance evaluation is based on the criteria
provided in V.T.C.A., Government Code, Section 325.011. The Commission's
report on an agency must include a recommendation to abolish or continue
the agency and may also contain recommendations to correct problems
identified during the review. The Commission may also expand the scope
of sunset review to include agencies not under review that overlap or
duplicate the programs of the agency being reviewed.
Arrangement: Alphabetically with agency review material.
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Final Report on Texas Education Agency, Sunset Advisory Commission,
1988.
Scheduled record series? Yes
- Title: Special Legislative Projects - Proprietary Schools
- Series item number: 1.1
- Agency item number: 4
- Archival code: R
- Retention: 4
Appraisal Decision:
These records should not be a separate series on the retention schedule.
After the records administrator consulted with Ken Levine, a staff analyst
at the Sunset Commission, it was determined that these records are really
part of the overall agency review material for the Texas Education Agency.
The records were used during the sunset review of the Texas Education
Agency (TEA) in 1988 and are filed in the Sunset Commission's agency
review material for TEA. In addition, the 1988 Sunset Advisory Commission's
Final Report on the TEA discusses the Texas Proprietary School Act and
the Proprietary School Advisory Commission and their relationship with
the TEA. A copy of this Final Report is already in the Texas State Publications
Depository Program.
Thus, with these records misidentified as a separate series and are
actually part of another series on the retention schedule, it is recommended
the series "Proprietary Schools" be deleted entirely
from the schedule.
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Record Series Review
Series Title: Special Legislative Projects - Final Report
Dates: 1989-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes but only as produced.
Annual accumulation: Fractional, if any.
Agency Holdings:
Agency retains records in its offices until purpose served. Actual
holdings date from 1989 and the total volume is fractional.
Archival Holdings:
Task Force on Public Utility Regulation - Final Report to the Governor
and Legislature, 1989, fractional.
Description:
Currently, records consist of one report: Task Force on Public
Utility Regulation - Final Report to the Governor and Legislature.
This report was completed in 1989. This final report includes an overview
of the Task Force on Public Utility's actions, its recommendations,
a list of the witnesses at the public hearings, and a detailed summary
of issues and comments from these hearings. The Task Force's recommendations
were divided into six general areas: jurisdiction of cities, structure
of the Public Utility Commission (PUC) and its staff, operation of the
agency, the Office of Public Utility Counsel and the PUC general counsel,
staffing and funding, and other general recommendations.
Purpose:
This record was created to document the work and the recommendations
of the Task Force on Public Utility Regulation and to fulfill its executive
order in presenting a final written report to the Governor and the Legislature.
Agency program:
The Task Force on Public Utility Regulation was established by Executive
Order WPC-89-6 of Governor Clements on July 25, 1989. The Sunset Advisory
Commission provided clerical support to the Task Force. This staff support
was outside the normal duties of the commission as defined by itsstatutory
authorization, V.T.C.A. Government Code, Chapter 325. A series of public
hearings were held by the Task Force, with assistance from Sunset Advisory
Commission staff, to receive comments from interests concerned with
public utility regulation. After the Task Force issued its final report,
its records remained at the Sunset Commission offices.
Arrangement: Filed with agency review material which is in alphabetical
order.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Special Legislative Projects - Final Report
- Series item number: 1.1.038
- Agency item number: 19
- Archival code: R
- Retention: PS
Appraisal Decision:
There are three series on the Sunset Advisory Commission's retention
schedule with an "R" designation which are listed as Special
Legislative Projects: Public Utility Commission, Proprietary
Schools, and Final Report. The Proprietary Schools
series should be deleted from the schedule (SEE the previous series
review) and the Public Utility Commission series does not belong
on the Sunset Advisory Commission's retention schedule as these are
actually records of the Task Force on Public Uitlity Regulation and
are appraised in a separate, attached report.
The Final Report series should be retained on the Susnet Commission's
retentin schedule, however, as it contains a record copy of a report
and since more reports may be filed here if and when the Legislature
requests the commission's help in future special legislative projects.
Furthermore, any Final Report produced and filed in this series should
be considered an archival record as it would provide summary documentation
of commission involvement in legislative projects. The archival code
for this series be changed from "R" to "A." As a
final report may or may not considered a publication, a copy should
be sent to the Archives and Information Services Division, rather than
to the State Publication Depository Program, at the Library and Archives
Commission.
As the Archives and Information Services Division already has a copy
of the only Final Report currently in this series there is no need for
anything to be sent to the Archives at this time. Final Reports produced
in the future should be sent to the Archives and Information Services
Division after the retention period has been fulfilled.
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Record Series Review
Series Title: Sunrise Process
Dates: 1985-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: Estimated at 0.5 cubic foot.
Agency Holdings:
These records are in the agency's offices and are retained by the
agency for ten years. The agency's holdings are 1985-[ongoing], approximately
six cubic feet.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Records include correspondence, memos, copies of legislative bills,
and bill analyses. Records date from 1985-[ongoing]. Since 1985 the
commission has been required to comment on the proposed creation of
regulatory agencies or advisory committees. In this "sunrise"
process, the commission reviews proposed legislation creating regulatory
agencies or advisory committees and sends a written response to the
bill's author and to the chair of the committee hearing the bill. These
records are also used by commission staff analysts as a reference tool
to check on earlier legislation efforts in previous legislatures.
Purpose:
These records are created by the Sunset Advisory Commission to oversee
and maintain the sunrise process, which is a program to ensure that
the creation of unnecessary or overlapping regulatory agencies and advisory
committees is avoided. The sunrise process enables the Legislature to
use the commission's experience in considering the need for regulatory
agencies.
Agency program:
V.T.C.A., Government Code, 325.022 requires that each bill filed in
the Texas legislature that would create a state regulatory agency, or
an advisory committee to a regulatory agency, be forwarded to the Sunset
Advisory Commission. The commission then reviews the bill to determine
if thefunctions of the proposed agency could be administered by existing
state agencies or advisory committees; if any form of regulation proposed
by the bill is the least restrictive form of regulation that will adequately
protect the public; if the bill provides for adequate public input regarding
any proposed regulatory function; and, if the bill provides for adequate
protection against conflicts of interest within the agency or committee.
After reviewing the bill, the commission forwards a written comment
on the legislation to the author of the bill and to the presiding officer
of the committee considering the bill.
Arrangement: Chronological by legislative session; then, alphabetical
by agency name.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Sunrise Process
- Series item number: 1.1
- Agency item number: 5
- Archival code: R
- Retention: 10
Appraisal Decision:
Overall, these records are necessary to document the sunrise process,
an ongoing function of the Sunset Commission. The Commission must review
and comment on any proposed legislation creating a new regulatory agency
or advisory committee. At a minimum, the Archives and Information Services
Division of the Library and Archives Commission would be interested
in the written comments that the commission sends to the author of the
bill and to the presiding officer of the committee considering the bill
as summary documentation of the sunrise process. It is foreseeable that
these files may contain duplicate copies of bills and other extraneous
records that the Archives and Information Services Division would not
desire, so some weeding may be required. Nevertheless, the archival
code for this series should be changed from an "R" to an "A".
Records that have reached the end of their retention period should be
transferred to the Archives and Information Services Division.
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Record Series Review
Series Title: Budget Request
Dates: 1992-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency Holdings:
These records are in the offices of the Sunset Advisory Commission,
a fractional amount in volume, and dating from 1992-[ongoing]. They
are retained by the agency for six years after passage of the Appropriations
Act.
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Budget requests from the Sunset Advisory Commission consist
of a one page statement submitted biennially to the Legislative Budget
Board. These requests date from 1992-[ongoing]. Previously, appropriations
for the Sunset Advisory Commission had been included in the overall
appropriations for the Legislature. The one-page budget request consists
of types of expenses and then columns of figures for the funds expended
during the past three years, budgeted funds for the current year, and
requested funds for the next two years. Expenses include salary requirements,
professional fees, travel, operating expenses, master lease purchase,
and capital outlay. There is no narrative description of agency programs
or justification given for the amounts requested.
Purpose:
The purpose of these records is to request appropriations from the
legislature.
Agency program:
Biennial budget requests are a mandatory requirement of the state
budgetary process but from the beginning of the Sunset Advisory Commission
until 1992 its budget had been included with the Legislature's and no
separate request was made.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? Agency has been in existence since 1977 but separate budget
requests were first filed beginning in 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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Budget Request
- Series item number: 1.1.004
- Agency item number: 6
- Archival code: A
- Retention: AC + 6
Appraisal Decision:
The retention schedule for this series is correct and sufficient.
These one-page requests are not considered a publication so copies should
not be sent to the Publication Clearinghouse. Instead, the budget requests
should be sent directly to the Archives and Information Services Division
after the six-year retention period has been reached.
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Record Series Review
Series Title: Commission Appointments
Dates: 1977-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency Holdings:
These records are in the offices of the Sunset Advisory Commission.
They are to retained by the agency for three years but actual holdings
are from 1977-[ongoing], and total approximately one-half cubic foot
in total volume.
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Description:
Records consist of letters of appointment to the Sunset Advisory Commission
and a list of all appointees. Records date from 1977-[ongoing] and include
the appointment letters for all appointments ever made to the commission.
The appointment letters are sent out from the Offices of the Lieutenant
Governor and the Speaker of the House to the appointees and to the commission.
A list of the appointed commissioners is compiled and updated by the
staff of the commission as an in-house reference tool.
Purpose:
These records document the appointments of commissioners to the Sunset
Advisory Commission.
Agency program:
The policy-making body of the Sunset Advisory Commission is a ten-member
commission. Membership of the commission consists of four state senators
and one public member appointed by the Lieutenant Governor, and four
members of the House and one public member appointed by the Speaker
of the House. Public members serve two-year terms, and legislative members
serve four-year terms staggered so that half the membership from each
house expires every two years (V.T.C.A., Government Code, Section 32.003).
Arrangement: Alphabetical
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Commission Appointments
- Series item number: 1.1.007
- Agency item number: 8
- Archival code: R
- Retention: 3
Appraisal Decision:
The Secretary of State's Statutory Documents Section reported in a
telephone conversation on March 14, 1996 that their office does receive
the appointment letters to the Sunset Advisory Commission from the Lieutenant
Governor and the Speaker but retains them only for a couple of years
as a courtesy filing before destroying them since, unlike the filing
of gubernatorial appointments, the Secretary of State is under no obligation
to retain appointments made by the Lieutenant Governor or the Speaker.
If the Secretary of State's copy is not retained, that makes the appointment
letter at the Sunset Commission the record copy. Thus, the archival
code for this series should be changed from an "R" to an "A"
and those appointment letters that have fulfilled their retention period
should be transferred to the Archives and Information Services Division
of the Library and Archives Commission.
Also, the records administrator and records consultant discussed and
agreed to change the retention period to AC + 2, with a comment in the
Remarks column that AC equals the term of appointment.
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Record Series Review
Series Title: Press Releases
Dates: 1987-1993
Agency: Sunset Advisory Commission
Obsolete record series? Yes
Ongoing record series? No
Annual accumulation:
Agency Holdings:
Records are in the Sunset Advisory Commission's offices. They are
to be retained by the agency for two years and purpose served. The actual
holdings at the agency date from 1987-1993 and total about one-half
cubic foot in volume.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
Description:
These "press releases" included only notices and agenda
of upcoming Commission meetings. They were issued only for a six year
period, from 1987-1993. The time, date, place, and agenda of the meeting
was given. There is no narrative account of Commission meetings or other
Commission actions in these records. Agenda are also available in the
Commission's minutes series.
Purpose:
Press releases were created to increase public awareness of Commission
meetings.
Agency program:
The Sunset Advisory Commission meets at the call of the chairman at
times and places determined by the chairman and vice-chairman. The focus
of these meetings is on, but not limited to, the review of state agencies
undergoing sunset process, especially the thirteen review criteria as
specified in V.T.C.A., Government Code, 325.011 used in determining
whether a public need exists for the continuation of an agency or for
the performance of the functions of the agency or its advisory committees.
The press releases also fulfilled the requirement to post a notice of
each meeting under the "Open Records Act," Vernon's Ann. Civ.
St., Art. 6252-17. This requirement is regularly met by the commission
in filing open records notices with the Secretary of State.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? No
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Texas Register Open Meetings notices.
Scheduled record series? Yes
- Title: Press Releases
- Series item number: 1.1.019
- Agency item number: 13
- Archival code: R
- Retention: 2 + PS
Appraisal Decision:
Calling these records "press releases" is misleading. The
agency is not producing press releases. The records in this series are
really notices of upcoming meetings and the agenda. This information
is sent regularly to the Secretary of State to be in compliance with
the Open Records Act. (The Secretary of State microfilms these open
meeting notices from agencies and retains them for twenty years.) There
is no need to retain the duplicate information in this series. These
records are not archival. This series is obsolete and should be deleted
from the schedule. The records have surpassed their retention period
and should be destroyed.
If the agency should happen to produce actual press releases in the
future, a series appropriately titled "Press Releases"
can always be added back to the schedule. In the meantime, this series
should be dropped from the schedule.
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Record Series Review
Series Title: Policies and Procedures Manual
Dates: 1981-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency Holdings:
The agency retains copies of its personnel manual and a policy manual,
Summary of Process and Procedure, until superseded. The agency's
actual holdings of Summary of Process and Procedure are 1981-[ongoing]
and total volume is about .25 cubic foot.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
The Texas State Publications Depository Program in the Library and
Archives Commission has copies of Summary of Process and Procedure
from 1981-[ongoing].
Description:
The Sunset Advisory Commission produces both a personnel manual and
a policy manual. The personnel manual is concerned with routine office
procedures and internal operations. The policy manual is published biennially
and entitled Summary of Process and Procedure. Dates of this
manual are 1981-[ongoing]. It does define agency policies and program
procedures. The Summary of Process and Procedure manual provides
an explanation of the sunrise concept, the enabling legislation, the
elements in the sunset review process, the results of previous reviews,
a preview of agencies to be reviewed, and a list of all past and current
members of the Sunset Advisory Commission. The manual provides a summary
of the review criteria used by commission staff to evaluate each agency;
across-the-board recommendations made to all agencies by the commission;
the time sequence for reviews, and an overview of the review process.
Purpose:
The policy manual, in a succinct format, explains why the Sunrise
Commission exists, how it operates, what agencies it has reviewed, the
recommendations it has made for those agencies, who has been its leadership,
and what it hopes to accomplish in the future. The Summary of Process
and Procedure manual complements the commission's Final Report
by providing a policy statement and historical overview of the commission
and its activities.
Agency program:
The Sunset Advisory Commission reviews all agencies scheduled for
termination in a particular year under the Texas Sunset Act. The commission
applies specific criteria, as set out in V.T.C.A., Government Code,
Section 325.011, in determining whether a need for the agency exists.
The commission staff prepare a detailed report on each reviewed agency.
The commission then prepares an overall Final Report to the Legislature
and Governor, as required by V.T.C.A., Government Code Section, 325.010.
The Final Report lists the commission's specific criteria findings on
agencies, its recommendations, and any other information necessary for
evaluations of agencies.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
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 Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
- Title: Policies and Procedures Manual
- Series item number: 1.1.026
- Agency item number: 16
- Archival code: R
- Retention: US
Appraisal Decision:
This series currently contains two distinct and incompatible manuals:
a personnel manual and the Summary of Process and Procedure manual.
The personnel manual is not considered archival while Summary of
Process and Procedure is recommended for archival status. It is
succinct in its coverage of the purpose and actions of the Sunset Advisory
Commission. The old catch-all series for agency publications, into which
Summary of Process and Procedure might have been placed, has
been deleted from the retention schedule as of December 1995. Instead,
those agency reports - Final Report to the Legislature and Governor,
Staff Reports, and Summary of Final Report - that had
been in the "Publications" series, each of these has
its own series. The Summary of Process and Procedure manual should
also be its own series on the retention schedule. The current "Policies
and Procedures Manual" series should be renamed "Summary
of Process and Procedure." The personnel manual should be in
its own series with other personnel records.
The archival code for the "Summary of Process and Procedure"
series should be changed from an "R" to an "A."
Copies are being sent to the Texas State Publications Depository Program
but a note does need to be added to the Remarks column of the retention
schedule - "The archival requirement is met by sending the required
number of copies of the Summary of Process and Procedure to the
Texas State Publications Depository Program of the Library and Archives
Commission."
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Record Series Review
Series Title: Organizational Charts
Dates: 1992-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency Holdings:
Organizational charts are in the agency's offices, printed in Annual
Financial Reports (FY 1992-1995) and in the Strategic Plan
(1995-1999). These records are retained by the agency until superseded.
The agency's actual holdings are 1992-[ongoing], and the total volume
is a fractional amount.
Archival Holdings:
None at the Archives and Information Services Division of the Library
and Archives Commission.
The archival requirement for this series is fulfilled by sending the
required number of copies to the Texas State Publications Depository
Program, Texas Library and Archives Commission (13 Texas Administrative
Code, Chapter 3, Section 3.3(a)(3)). The Publications Depository Program
holds organizational charts printed in the Sunset Advisory Commission's
Annual Financial Reports from 1992-[ongoing].
Description:
These records consist of charts showing the organizational structure
of the Sunset Advisory Commission, dating 1992-[ongoing], included in
the annual financial report (FY 1992-1995) and the strategic plan (1995).
Purpose:
Organization charts indicate agency staff organization in a graphic
format.
Agency program:
The Texas Sunset Advisory Commission was created by the Texas Sunset
Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The
Sunset Act is a comprehensive law that provides for automatic termination
of state agencies that have a date for review or abolishment set in
statute. The Sunset Advisory Commission reviews all agencies scheduled
for termination in a particular year by gathering self-evaluation reports
from the agencies, conducting public hearings, and preparing reports
to the legislature with recommendations to continue or abolish the agencies.
The staff of the Sunset Advisory Commission is divided into three
sections in 1995: review projects, administrative services, and support
projects. Administration of the agency is provided by a director and
an assistant director.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? None
Gaps? 1979-1991
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or for
equivalent or related series.
Publications based on records:
Organizational charts are found in two agency publications: Annual
Financial Reports (1992-1995) and Strategic Plan, 1995-1999.
Scheduled record series? Yes
- Title: Organizational Charts
- Series item number: 1.1.023
- Agency item number: 14
- Archival code: A
- Retention: US
Appraisal Decision:
Continue to use "A" as the archival code. The archival requirement
is fulfilled by sending copies of the Sunset Advisory Commission's Annual
Financial Report to the Texas State Publications Depository Program
of the Library and Archives Commission, so long as those charts are
published in them. The Remarks column in the agency's records retention
schedule should state: "Included in Annual Financial Report
[if that is the document the commission chooses]. The archival requirement
will be met by sending the required number of copies to the Texas State
Publications Depository Program, Library and Archives Commission."
As an alternative, the agency may simply wish to send to the Archives
and Information Services Division 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 Plan
Dates: 1995-[ongoing]
Agency: Sunset Advisory Commission
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency Holdings:
The agency completed their first strategic plan in 1995. Retained
by the agency in its offices permanently. Present holdings of the agency
are the 1995 plan, fractional.
Archival Holdings:
None in the Archives and Information Services Division of the Library
and Archives Commission.
Archival requirement for this series is fulfilled by sending the required
number of copies to the Texas State Publications Depository Program,
Library and Archives Commission (13 Texas Administrative Code, Section
3.3 (1) (C)). The Publications Depository Program does not yet have
any copies of the 1995 plan.
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 of each. 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, strategies,
and output measures for measuring and achieving the goals. Also present
is an organization chart of the agency. The Sunset Advisory Commission
prepared its first strategic plan in 1995 for the time from of 1995-1999.
Purpose:
The strategic plan is a long-range planning tool prepared by the agency
which sets forth goals and objectives of the agency over a multi-year
period.
Agency program:
The Sunset Advisory Commission is required by law, V.T.C.A., Government
Code, Section 325, to review the agencies scheduled for termination.
The Sunset Advisory Commission reviews all agencies scheduled for termination
in aparticular year by gathering self-evaluation reports from the agencies,
conducting public hearings, and preparing reports to the legislature
with recommendations to continue or abolish the agencies.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? The State Publications Depository Program does not have a copy
of the 1995 plan.
Problems: None
Known related records in other agencies: None
Previous destructions:
Destruction requests on file in the Archives and Information Services
Division of the Library and Archives Commission were checked for the
Sunset Advisory Commission and none were found for this series or equivalent
or related series.
Publications based on records: None
Suggested record series:
- Title: Strategic Plans
- Series item number: 1.1.055
- Agency item number: to be assigned
- Archival code: A
- Retention: PM
Appraisal Decision:
The strategic plans document the long-range planning activities of
the commission and are considered archival. Their archival mandate is
fulfilled by the agency sending the required number of copies to the
Texas State Publications Depository Program. This series needs to be
added to the records retention schedule, with an Archival code of "A."
The state recommended retention schedule will be revised to carry an
Archival Code of "A" for this series. Also, a note should
be put in the Remarks column, "The archival requirement will be
met by sending the required number of copies of the Strategic Plan
to the Texas State Publications Depository Program, Library and Archives
Commission." Copies of the 1995 plan have not been sent to the
Texas State Publications Depository Program.
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