October 20, 2003, Laura K. Saegert, Appraisal Archivist
Agency contact
Alicia Mallory, Records Retention Analyst, 512-542-6620
Project background
This is a minimal appraisal of three series of records transferred
to the Archives and Information Services Division of the Texas State
Library and Archives Commission by the Teacher Retirement System of
Texas (TRS). TRS contacted appraisal archivist Laura Saegert and asked
for advice and a review of several series of records. Prior to 2003,
TRS had not transferred any records to the State Archives. I talked
with the Records Retention Analyst, Alicia Mallory, about their retention
schedule, A and R archival series, and other series she had questions
about. The agency was cleaning out storage and office areas, and wanted
to send over their old, valuable records to the State Archives.
Initially, they sent us a large list of litigation cases files (over
400 cubic ft.), giving the dates and style of the case and a brief synopsis
of most cases. We selected a few cases for permanent transfer to the
Archives. Next, they transferred records from eight "R" series
on their retention schedule for us to review. Records in series we considered
archival would be kept at the Archives; non-archival records would either
be returned to TRS or discarded if the agency did not wish to have them
back. All the records have fulfilled their retention requirements.
Series we are transferring without an appraisal review are:
Administrative correspondence - several subseries:
EXC001 - Executive letters to TRS Board of Trustees, 1992-1998,
4 cubic ft.
TCA002 - TRS-Care correspondence, 1985-1997, about 1.5 cubic
ft.
MDSO18 - Member Data Services Correspondence, 1978-1979, fractional
Meeting supporting documentation:
CIO010 - Chief Investment Officer Correspondence (letters to bd.),
1998-1999, fractional
Reports, TCA013 - TRS Annual Care Reports, 1985-1995, fractional
Organization charts, HRS027 - Organization charts, 1988-1997, fractional
News releases, COM003 - News releases, 1997-1998, about 0.25
cubic ft.
Litigation, LEG016 - Litigation (4 cases), 1970s-1990s, 1 cubic
ft.
Ongoing record series: All the series being reviewed are still ongoing.
Annual accumulation of each ranges from fractional to 1-2 cubic ft.
Description
There are three series of records being described in this report:
Customer surveys, 1985-2000
EEO employee complaint files, 1978-1994
Publication development files, 1977-2001
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Agency program
In 1936 a group of Texas teachers became determined to establish a
program of retirement benefits for educators throughout the state. The
Legislature proposed an amendment to the Constitution on the November
1936 ballot. Voters passed the amendment and the Legislature passed
enabling legislation in 1937 (Senate Bill 47, 45th Legislature, Regular
Session), establishing the Teacher Retirement System of Texas. The original
responsibility of the System was to provide service and disability retirement
benefits to teachers and administrators of public schools in Texas,
including institutions of higher education. The51st Legislature passed
legislation in 1949 expanding membership eligibility to all employees
of public education institutions (Senate Bill 333, Regular Session).
In 1985, TRS was assigned the responsibility for administering a health
insurance program for public school retirees (Senate Bill 387, 69th
Legislature, Regular Session). The 74th Legislature in 1995 authorized
TRS to offer a health insurance program for active school employees
(Senate Bill 9, Regular Session). In 2001, TRS was given the responsibility
of administering a new statewide health care program for eligible public
school employees and dependents called TRS-Active Care (House Bill 3343,
77th Legislature, Regular Session).
Article 16, Section 67, of the Texas Constitution charters the System
to provide retirement and related benefits for those employed by the
public schools, colleges, and universities supported by the State of
Texas. The System is responsible for investing funds under its stewardship
and for delivering benefits to members as authorized by the Texas Legislature.
TRS is a defined benefit plan, with retirement benefits determined by
a pre-established formula. The trust fund is sustained principally by
three sources--contributions by members during their working careers,
contributions by the state, and investment revenues.
The Board of Trustees is responsible for the administration of the
Teacher Retirement System. The board is composed of nine trustees who
are appointed by the governor to staggered terms of six years. Three
trustees are direct appointments of the governor. Two trustees are appointed
by the governor from a list prepared by the State Board of Education.
Two trustees are appointed by the governor from the three public school
district active member candidates who have been nominated for each position
by employees of public school districts. One trustee is appointed by
the governor from the three higher education active member candidates
nominated by employees of institutions of higher education. One trustee
is appointed by the governor from the three retired member candidates
who are nominated by retired TRS members.
As of August 31, 2002, TRS is the state's largest public retirement
system in both membership and assets. TRS serves more than 1,000,000
members--847,000 are public education employees and 201,000 are annuitants.
System net assets total approximately $72 billion.
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Records Series Reviews
Records Series Review
Customer surveys
Description
Customer surveys are compilation of data from surveys returned by clients
rating the performance of the Teacher Retirement System of Texas. Dates
covered are 1985-2000. There are results from several surveys; the University
of Texas School of Social Work conducted the surveys. The data consists
of summary reports of responses and compilations of comments by retirees,
either to the agency in general or in response to specific questions.
Publications based on records: None known
Internet pages based on records: None known
Series data from agency schedule:
Title: Customer surveys
Series item number: 1.1.038
Agency item number: TCA010 and COM006 (same series, different divisions)
Archival code: R
Retention: AV
Archival holdings:
None in the holdings of the Archives and Information Services Division
of the Library and Archives Commission.
Texas Documents Collection holdings:
None
Appraisal decision:
There is not any long-term value is retaining client (retirees) comments
on the performance of the agency. This series has the R because an R
is listed on the state records retention schedule for this series based
on the series # it has - 1.1.038 used to be Reports and studies. The
series number was changed for the reports series, which is an R series,
and R was left for the Customer surveys series. We have made previous
appraisal decisions that Customer surveys are not archival and do not
need an archival code of R.
The agency will be informed to remove this R from their retention schedule.
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Records Series Review
Equal Employment Opportunity Complaint files
Description
EEO complaints files are personnel records documenting discrimination
complaints filed by employees of the Teacher Retirement System of Texas.
Dates covered are 1978-1994. Types of records present include memos,
notes, interview questions (for jobs or promotions), correspondence,
promotion reports, performance evaluations, job application scores,
and other personnel records.
Publications based on records: None known
Internet pages based on records: None known
Access restrictions:
Yes, some of the information on the job application is restricted, likely
other of the personnel records are restricted. The retention schedule
lists numerous restrictions.
Series data from agency schedule:
Title: EEO complaint records
Series item number: 1.1.048
Agency item number: HRS007
Archival code: R
Retention: AC+FE+5
Archival holdings:
None in the holdings of the Archives and Information Services Division
of the Library and Archives Commission.
Texas Documents Collection holdings:
None
Appraisal decision:
Employee discrimination complaint files are personnel files that do
not have long-term archival value and should not have been sent over
for archival review. These are not archival and will either be returned
to the agency or else shredded if the agency does not want them back.
The agency will be informed to remove this R from their retention schedule.
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Records Series Review
Publication development files
Description
This series consists of drafts, notes, publication proofs, background
research, and transcripts of agency publications, both printed publications
and videos. Dates covered are 1977-2000. There are two groups of files
- the page proofs, drafts, notes, transcripts, and research files; and
the oversize publication mock-ups or page proofs. The first group is
legal/letter size files, largely consisting of drafts, notes, and research
files for all types of publications. There are often two or more edited
drafts of the publication present. The oversize files, the mockups,
are largely present for various editions of newsletters and annual reports.
Types of publications covered in these files include annual reports,
annual financial reports, strategic plans, laws and rules, newsletters,
handbooks, manuals, investment reports, retirement planning publications,
directories, instructions for retirees, brochures, and videos about
TRS programs. A list of the publications as listed on the agency supplied
container inventory is attached.
Publications based on records: Too many to list. All of the publication
development files resulted in publications. Titles of some of the more
important publications include:
Annual reports
Annual financial reports
Strategic plans
TRS Laws and Rules
TRS News
Planning Your Retirement
TRS Benefits Handbook
Investment Report
TRS-Care Pulse
Investment Manual
Internet pages based on records: A list of current TRS publications
is at http://www.trs.state.tx.us/global.jsp?page_id=/global/publications_all.
Newsletters date back to 1998.
Series data from agency schedule:
Title: Publication development files
Series item number: 1.3.002
Agency item number: COM010
Archival code: R
Retention: AV
Archival holdings:
None in the holdings of the Archives and Information Services Division
of the Library and Archives Commission.
Texas Documents Collection holdings:
As these are all state agency publications, the Documents Collection
should have copies of all of these. The TRS retention schedule states
that copies of all agency publications are sent to the Texas Documents
Collection. Titles of some of the more important series they hold are:
Annual reports, 1972 forward
Annual financial reports, 1995 forward
Strategic plans, 1992 forward
TRS Laws and Rules, 1980 forward
TRS News, 1979 forward
Planning Your Retirement, 1992-forward
TRS Benefits Handbook, 1997 forward
Investment Report, 1991 forward
TRS-Care Pulse, 1987 forward
TRS Pocket Guide, 1993 forward
Teacher Retirement in Texas, 1981 forward
Appraisal decision:
These are state agency publications, mostly generic publications, such
as newsletters, strategic plans, and annual reports. The Documents Collections
has the printed copy of what I consider to be the significant publications
- annual reports, strategic plans, investment guides, and newsletters.
I do not know if all of the brochures and mail outs are present, in
my opinion, those are not important enough to retain publication development
files for (mockups, drafts, etc.) The only publications I did not find
and would like to have are the few agency manuals. In those cases, I
think we should keep the editorial files for the manuals (Administrative
manual, Investment manual, Facilitator's guide) - but not the oversize
mockups or page proofs. The rest of the files, both the edited files
and the oversize files can be offered back to the agency or discarded.
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