Records Appraisal Report:
Department of Human Services

Contents of this report
Agency Contact | Agency History | Project Review | Record Series Reviews

Internal links to series reviews
Board meeting agendas and minutes
Executive administrative files
Legislative files
Biennial budget requests and supporting documentation
Reports -- administrative
Division uniform administrative subject/correspondence files - Legal Services
Department/Section administrative subject/correspondence files
Litigation files
Potential litigation
Attorney General opinions
Agency attorney opinions on cases and policy statements
Renovation projects files
Renovation and exclusion projects
Organizational charts
Group Insurance Advisory Committee (GIAC) files
Policies and procedures development files
Policy interpretations
Reports and studies -- final
E-Letters (Executive Letters)
I-Letters (Information Letters)
Handbook revisions for hardcopy handbooks
Microfilmed handbooks and revisions
Handbook revision cover letters
DHS Board meeting audio cassettes
Public service announcements and training videotape masters
Production files for video and related programs
Audiotape masters for slide show narrations and radio PSAs
Production files
Original art and photographs with releases
Intended Use Report and supporting documentation
Speeches
Press releases
Board meeting coordination files
Annual narrative report
Division uniform administrative subject/correspondence files - Management Information Systems
Division uniform administrative subject/correspondence files - Management Information Systems - Millennium Project
Division uniform administrative subject/correspondence files - Office of Program Integrity
Reports and studies -- final
Test files for NFA
Building plans/specifications
Life Safety Code/construction/inspection
Punitive action summaries
SLIAG -- administration and operational documentation
TANF (AFDC) Executive, Information, and cover Letters
Historical legislation and program development files
Policy Clearance Committee meeting notes
Strategic Plan
Manager's guide
Department/Section administrative files
Nutrition Education and Training (NET) program administrative files
Project 2001/Health Star
Policy and initiatives program development files
Policy and procedures manual
CCAD Caseworker Study (a.k.a. CCAD Caseload Study)
In-Home and Family Support Program administration
Hospice Program development files
Medicaid statistical reports
Nursing home calculations and supporting documentation
Reports, external -- special purpose
Management information focus report
Regional administrative records (Division uniform administrative subject/correspondence files)
Volunteer Services Program management files

Archival finding aids
Texas Department of Human Services: An Inventory of Meeting Files at the Texas State Archives, 1933-2001
Texas Department of Human Services: An Inventory of Organization Charts at the Texas State Archives, 1967-1968, 1970, 1972-1987, 1989-1990, 1993-2000

January 4, 2001, Tony Black, Appraisal Archivist

Agency Contact:

This agency contact information was current at the time of the report but may have changed in the interim. Please call (512-463-5455) for current contact information of the agency's records manager or records liaison for these records.

Mr. Lee Harsh
Records Management Officer
701 West 51st Street, E-207
Austin, TX 78751
(P.O. Box 149030)
Austin, TX 78714-9030

Agency History and Structure:

The Public Welfare Act of 1939 (Senate Bill 36, 46th Legislature, Regular Session) created the Department of Public Welfare. Previously, the Child Welfare Division of the Board of Control (established in 1931 but not funded until 1935), the Texas Relief Commission (1933-1934, later part of the Board of Control, 1934-1939), and the Old Age Assistance Commission (1936-1939) had performed parts of the new agency's functions. The Department of Public Welfare (DPW) became the Department of Human Resources (DHR) in 1977 (Senate Bill 1325, 65th Legislature, Regular Session), and the Department of Human Services (DHS) in 1985 (Senate Bill 351, 69th Legislature, Regular Session).

The department currently has the following broad functions:

It administers state and federal programs serving low-income families with children, and elderly or disabled persons, including the following:

temporary financial assistance for basic family needs;
nutritional assistance;
access to health care;
nursing home and community-based care.

It regulates long-term care facilities.
It administers programs for survivors of family violence and victims of natural disasters.

More specifically, a variety of programs have been administered by DHS over the years, including the following examples.

Financial assistance programs (utilizing both federal and state funding sources) have included the following:

Temporary Assistance for Needy Families (TANF), which is the current focus for DHS,
Aid to Families with Dependent Children (AFDC),
Old Age Assistance (OAA),
Aid to the Permanently and Totally Disabled (APTD),
Aid to the Blind and Disabled (ABD),
Food Stamp Program,
Commodity Distribution Program,
several Refugee Programs (the Office of Immigration and Refugee Affairs was transferred from the Governor's office in 1995),
Repatriation of U.S. Citizens Program,
Low-Income Home Energy Assistance Program (HEAP), and Temporary Emergency Relief Program (TERP), (transferred to the Department of Housing and Community Affairs in September 1992),
Disaster Assistance.

Medical assistance is (or has been) provided through the following:

Medicaid, which is financed through a combination of federal and state funding, and is state-administered;
purchased health, indigent health, and preventive health services, like Early and Periodic Screening, Diagnosis, and Treatment (EPSDT) (these programs were transferred to the Texas Department of Health in September 1993);
regulation (licensing and certification) of long-term care facilities (transferred from the Department of Health in September 1993).

Social services include (or have included) the following:

Child Care Program, Job Training Work Experience Program, Refocus Pilot Project, Employment and Training Program, and the Work Incentive (WIN) Program (all transferred to the Texas Workforce Commission in June 1996);
Child Protective Services (which includes adoption and foster care), Adult Protective Services, and Child-Care Licensing (transferred to the newly-created Department of Protective and Regulatory Services in September 1992);
Services for Runaways and At-Risk Youth Program (transferred to Protective and Regulatory Services in September 1993);
Child Support Enforcement (transferred to the Attorney General in 1985);
licensing and regulation of nursing home facility administrators (transferred to DHS in 1997 when the Texas Board of Nursing Facility Administrators was abolished).

The governing Board of Human Services (previously called Board of Human Resources and, before that, Board of Public Welfare) is composed of six members (expanded from three members in 1989), appointed by the governor with the advice and consent of the senate, for overlapping six-year terms. Board members must possess demonstrated interest in, and knowledge of, human services. The members elect a chair. The board appoints the chief administrative officer, called variously the Executive Director of Public Welfare, the Commissioner of Public Welfare (beginning in 1941), the Commissioner of Human Resources, or the Commissioner of Human Services.

Over the years the administrative structure of the Department has undergone significant and very frequent change. A consistent feature of the Department, however, has been the division of work between the State offices (which develop and coordinate programs) and the regional offices (which actually deliver the services). Texas is currently divided into 10 regions.

Currently (as of April 1999) the Department is organized into eleven offices. Six of them report directly to the Executive Deputy Commissioner:

Deputy Commissioner, Management Information Systems;
Deputy Commissioner, Program Integrity;
Associate Commissioner, Long Term Care Regulatory;
Deputy Commissioner, Regional Operations;
Deputy Commissioner, Office of Programs; and
Director, Executive Office of Planning, Evaluation, and Project Management.

Four offices report directly to the Commissioner:

Chief Financial Officer;
Associate Commissioner, Government Relations;
Associate Commissioner, Legal Services; and
Deputy Commissioner, Support Services.

One office reports directly to the Board:

Internal Auditor.

The Department employed 15,841.5 full-time equivalent employees in 1999.

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Project Review:

I was assigned to appraise the records of this agency on April 16, 1999. This agency has passed its fourth records schedule recertification, and is due for a fifth recertification in March 2001.

I reviewed the following: Guide to Texas State Agencies (7th-10th editions, 1992, 1994, 1996, 1999); the article on the Texas Department of Human Services in the New Handbook of Texas (online); the Texas Department of Human Services Strategic Plan, FY 1999-FY 2003; the statutes (V.T.C.A., Human Resources Code, Chapters 21 and 22); the rules (40 Texas Administrative Code, Chapters 1-98); and the Texas Department of Human Services web site (http://www.dhs.state.tx.us).

I also reviewed the numerous accessions of records from the Texas Department of Public Welfare/Human Resources/Human Services in the holdings of the Archives and Information Services Division of the Texas State Library and Archives Commission. Many of these are described in two binders of accession summaries in the Archives search room, although there is also a sizable backlog of unprocessed accessions (1,090 cubic ft., in 175 accessions).

I reviewed the records retention schedule, a recertification approved March 3, 1999.

Eleven series are coded "A," as archival:

Regional Human Resource Services Office

Group Insurance Advisory Committee (GIAC) files;

Commissioner's office

Board meeting agendas and minutes;
Executive administrative files;

Public Information

Board meeting coordination files;
Annual narrative report;

Budget Management Services

Biennial budget requests and supporting documentation;

Office of Program Integrity/Credentialing: Education

Test files for NFA;

Human Resource Services: Administrative Services

Employee lists;
Organizational charts;

Human Resource Services: Employee Benefits Services

Group Insurance Advisory Committee (GIAC) files); and

Administrative Services: Media & Policy Services

E-Letters (Executive Letters).

Seventy-nine series are coded "R," for archival review:

General agency schedule: all areas

Division uniform administrative subject/correspondence files;
Department/Section uniform administrative subject/correspondence files;
Department/Section administrative subject/correspondence files;
Planning records;
Reports - administrative;
Reports -- consultants and committees;
Reports & papers - conference;
Reports & studies - final;
Speeches;

Regional Business Office

Renovation projects files;

LTC [Long Term Care]: Policy and Programs: Institutional Policy

Hospice Program development files;
Medicaid statistical reports;

LTC: Regulatory: Architectural

Building plans/specifications;
Life Safety Code/construction/inspection;

LTC: Regulatory: Certification

Punitive action summaries;

LTC: Administrative Services: Administrative Management

Nursing home calculations and supporting documentation;
Reports, external -- special purpose;

Service Support: Program Implementation: Operations

Project Save files/reports;
Regional correspondence related to timeliness corrective action;
Management information focus report;
SLIAG -- administration and operational documentation;

Eligibility Services: Program Policy

TANF (AFDC) Executive, Information, and cover Letters;
Historical legislation and program development files;
Policy Clearance Committee meeting notes;
Targeted Assistance for Refugees program files;
Refugee studies;

Commissioner's office

Legislative files;

Regional operations

Regional administrative records;

Eligibility Services: Program Policy

Native American Restitutionary Program files and contracts;

Special Nutrition Programs: Food Distribution

Department/Section administrative files;

Special Nutrition Programs: Program Development

Nutrition Education and Training (NET) program administrative files;
Project 2001/Health Star;

Support Services: Educational Services

Manager's guide;

Management Information Systems: Office of Deputy

Planning reports for long and short range plans;
Planning reports: Studies and analysis;

Self-Support Services: Child Care Services

Child Care Program materials;

Self-Support Services: Employment Services

State Job Training Coordinating Council files;
Special studies;
Recidivism Study;
Refocus Pilot Project report;
Job Training Work Experience Program files;
WIN Program files;
Employment and Training Program material;

Purchased Health Services: Program Surveillance

Excluded provider;

Regional operations

Regional administrator policy and procedure memoranda;
Volunteer Services Program management files;

Public Information

Speeches;
Press releases;
Reports -- Annual and biennial agency (non-fiscal);

Government Relations: Operations

Report masters and copies;

Legal Services: General Counsel

Litigation files;
Attorney General opinions;
Agency attorney opinions on cases and policy statements;
Potential litigation;

Human Resource Services: Administrative Services

Employee surveys;

Human Resource Services: Employee Benefits Services

Policies and procedures development files;
Policy interpretations;

Human Resource Services: Office of the Director

Employee recognition;

Administrative Services: Media & Policy Services

Handbook revision cover letters;
I-Letters (Information Letters);
Handbook revisions for hardcopy handbooks;
DHS Board meeting audio cassettes;
Public service announcements and training videotape masters;
Audiotape masters for slide show narrations and radio PSAs;
Productions files for stock publications;
Art production files;
Production files for non-stock publications;
Microfilmed handbooks and revisions;
Original art and photographs with releases;
Production files for video and related programs;
Intended Use Report and supporting documentation;

Business Services: Facility Leasing

Renovation and exclusion projects;

Programs: Office of the Deputy Commissioner

Planning records;

LTC [Long Term Care]: Health Policy and Economics

Policy and initiatives program development files;
Policy and procedures manual;

LTC: Policy and Programs: Community Care

Statewide Long Term Care Case Management Task Force records;
CCAD Regional Nurses Workload Study;
CCAD Caseworker Study; and
In-Home and Family Support Program administration.

One additional series does not exist on their schedule, but needed to be reviewed: Strategic plan (which has an "A" code in the new State Records Retention Schedule).

One series was given an archival review code of "R" inadvertently (duplicating a similar error in the first edition of the State Records Retention Schedule): Employee recognition (Agency item number 648). This code should be removed. No Record series review is necessary on this series.

During the process of gathering information for this appraisal report, DHS records management staff discovered that the following 18 record series are empty of records:

General agency schedule: all areas: Department/Section uniform administrative subject/correspondence files (612), Planning records (618), Reports -- consultants and committees (621), Reports and papers - conference (633), Speeches (636) (each of these kind of records is found in another series);
Human Resource Services: Administrative Services: Employee lists (320); and Employee surveys (669);
Human Resource Services: Employee Benefits Services: Group Insurance Advisory Committee (GIAC) files (689R);
Public Information: Reports -- Annual and biennial agency (non-fiscal) (652);
Government Relations: Operations: Report masters and copies (167);
Management Information Systems: Office of Deputy: Planning reports for long and short range plans (440), and Planning reports: Studies and analysis (441);
Service Support: Program Implementation: Operations: Regional correspondence related to timeliness corrective action (786);
Eligibility Services: Program Policy: Targeted Assistance for Refugees Program files (471), and Native American Restitutionary Program files and contracts (476);
LTC: Policy and Programs: Community Care: Statewide Long Term Care Case Management Task Force records (409) and CCAD Regional Nurses Workload Study (426); and
Programs: Office of the Deputy Commissioner: Planning records (761).

These series should therefore be removed from the records retention schedule, and added later only if such records are created.

The following 9 series are also currently empty of records, due to the programs (and their records) having been transferred to other state agencies (most to Texas Workforce Commission, June 1, 1996; the last one to Texas Department of Health, September 1993). They are retained on the records retention schedule, however, so that if any stray records are found still in a DHS office, staff will be able to determine where to transfer them. These series include:

Self-Support Services: Child Care Services: Child Care Program materials (470N) [Yet on August 21, 2000, the Archives and Information Services Division received a request from DHS to transfer 1 cubic ft. of these records, dated 1991, for archival review; another 2 cubic ft. had been destroyed in October 1995];
Self-Support Services: Employment Services: State Job Training Coordinating Council files (478N), Special studies (479N), Recidivism Study (480N), Refocus Pilot Project report (481N), Job Training Work Experience Program files (482N), WIN Program files (493N), Employment and Training Program material (484N); and
Purchased Health Services: Program Surveillance: Excluded provider (716N).

No Record series reviews have been done for any of the preceding empty series.

In addition, it was discovered that the series titled Regional administrator policy and procedure memoranda (163) does not contain original records, but merely convenience copies of two other record series: Handbook revisions for hardcopy handbooks (360) and I-Letters (359). The archival review code of "R" should be replaced by the archival exception code of "E" for series number 163.

Another series, Refugee studies (474), also referred to as Immigrant in Texas documents, contains statistical reports created by the U.S. Immigration and Naturalization Service (INS). Still another series, Project SAVE (Systematic Alien Verification for Entitlements) files/reports (158) consists of an active database owned by the INS (DHS accesses this database to ensure alien status before issuing benefits). Thus neither is a state record, and neither will be appraised in this report. The archival review code of "R" should be replaced by the archival exception code of "E" for both of these series.

In mid-April 1999, I made an exploratory telephone call to Denise Pullen, Records Management Officer for the Department of Human Services, explaining the appraisal process and asking for her candid opinion as to whether it could be done at this time. She replied favorably and optimistically. On May 26, 1999, Chris LaPlante, Director, Archives and Information Services Division, Texas State Library and Archives Commission, mailed an introductory letter to Mr. Eric M. Bost, Commissioner of the Texas Department of Human Services, explaining the appraisal process.

I met with Denise Pullen on June 15, 1999 in the DHS offices in the Winters Building on West 51st Street. Also attending the meeting were Records Managers Debbie Tilbury and Alfredo Munoz, and Lee Harsh (Denise's supervisor). I gave Denise copies of the appraisal worksheets that I had compiled, and gave each of the three records managers a two-page set of instructions for completing the worksheets. Denise in turn provided me with a truncated copy of the schedule, listing only "A" and "R" series (generated electronically), plus a current copy of the agency's organization chart.

Denise and Mr. Harsh discussed how they would proceed. Denise explained that after some introductory meetings with appropriate staff to explain what they would be doing, they would need to actually physically examine records to compile the information we need. Mr. Harsh commented that he would provide the support necessary to accomplish that. No one seemed to think that two months was unreasonable for this task, provided all the divisions cooperate. Denise said that this process would also give her a chance to discover newly created records series, and eliminate obsolete series. They spoke of territoriality about records, and mentioned that although most divisions store records at the State Records Center, some divisions did not seem to want to relinquish control.

The State Archives' major gaps in minutes include all the years of the Department of Public Welfare (1930s-1977), plus Department of Human Services from 1991 to the present. Denise said they were going to look into microfilming the minutes, both for their own purposes as well as to provide us a copy. If DHS still has their planetary camera, they might do the microfilming themselves; Denise assured me that it would be up to American National Standards Institute (ANSI) standards. I asked whether it would be possible for the State Archives to be placed on the mailing list for minutes from this point on, and Denise said she would request that.

Denise mentioned that a number of series are of records that have mostly been transferred to the Texas Workforce Commission and the Department of Health, when the pertinent programs were transferred in 1996 and 1993 respectively. The reason they left these series on the schedule was for administrative reasons: when a file shows up in someone's office, they could then figure out where it should belong and offer it to the appropriate agency. I explained that if that was the case, there was no need to do record series reviews for those series.

DHS no longer operates their own records center (i.e., the one on Metric Blvd.). Instead they have outsourced some records storage, and are currently using Iron Mountain. In addition, they do utilize the State Records Center. Who gets which records depends on the date spans as well as the level of confidentiality. Denise related an unfortunate case in which a sizable amount of administrative correspondence was destroyed by Iron Mountain without DHS authorization, for which DHS got a letter of explanation and apology.

Mr. Harsh brought up the issue of whether appraisal applied to electronic records as well, and I explained that it did indeed, although there were thorny issues involved. Denise is a member of an electronic records focus group and predicted that agencies would be forced to maintain their own electronic records if they were archival. Our meeting ended shortly afterwards. That afternoon, at their request, I e-mailed the worksheets to Debbie Tilbury so they could fill them in electronically.

In late July, Denise reported that there had been a delay in issuing a memo to the various divisions explaining the project and enlisting everyone's support. At that time they had finished surveying the Commissioner's office. She commented that "the actual survey work is relatively straight-forward and not too time consuming. It has helped us check the records physically and improve our management of them." However, she also announced that she was leaving Texas to take a position as Senior Records Analyst for the Regional office of the National Archives and Records Administration in Boston, effective August 6. From this point on, I copied Lee Harsh in on all e-mail contacts concerning appraisal.

On October 6, Debbie Tilbury forwarded to me by e-mail the first batch of appraisal worksheets, totaling 22 series. In several more batches in October, she sent me worksheets for another 22 series.

On October 19, I requested that DHS staff fill out separate worksheets from each appropriate organizational unit for each of the nine record series that is listed as "General agency schedule."

On November 22, Debbie reported the following: "This project has slowed down due to my contacts not returning my calls or sending me on a wild goose chase that involves other people who don't get back in touch with me. It is quite frustrating."

On January 11, 2000, Chris LaPlante wrote a letter to Lee Harsh, requesting that the Department of Human Services continue to store 13 cubic ft. of records slated for archival review, until the State Archives can complete its archival appraisal on the entire agency's records. In this same letter, we listed the offices that had still not provided the necessary information (for slightly more than half the existing series). A similar letter was mailed May 22 concerning 2 cubic ft. of records. These requests for the State Archives to review records continued to come in throughout the appraisal process, totaling 258 cubic ft.

On March 6, 2000, I e-mailed Lee Harsh and Debbie Tilbury requesting a progress report; Debbie reported back that about 85% of the series were now completed. Mr. Harsh also mentioned that DHS had just hired a new Records Administrator.

On May 25, Debbie e-mailed the remaining worksheets. On July 11, I e-mailed Debbie a list of 20 or so questions regarding the information she had provided. I had not received answers to all the questions by mid-August, but I decided to circulate the appraisal report to the appraisal committee, hoping to receive answers in the interim. Several appraisal decisions could not be made because of incomplete information, and are so noted in the record series reviews that follow.

After the appraisal committee read the report, they had questions concerning nine of the series. I therefore requested and received from Debbie Tilbury additional information and clarification on these series, revised those record series reviews, and circulated the reviews on November 16 for revoting. On December 14, 2000, I received the final votes from the committee, and revised the appraisal report accordingly.

Archives Holdings:

Office of the Commissioner, Records of Raymond W. Vowell, 1949-1977, 1 cubic ft.
Office of Financial and Social Programs, Administrative files, 1976-1981, 4 cubic ft.; Assistant Director for Program Administration's files, 1957-1974 (bulk 1968-1972), 2 cubic ft.
Office of Programs, Correspondence, 1981-1983, 24 cubic ft.
Office of Financial and Social Programs, Research and Demonstration Branch, Project reports, 1975-1978, 2 cubic ft.
Office of Programs, Office of Research, Demonstration and Evaluation, General administrative files, 1980-1985, 1.84 cubic ft.; Projects files, 1981-1985, 4.16 cubic ft.; Project files, 1979-1984, 1.24 cubic ft.
Office of Programs, Volunteer Services Division, Administrative files, 1982-1984, 7 cubic ft.; Reports and correspondence, 1981-1984, 0.94 cubic ft.
Office of Financial and Social Programs, Disaster Assistance Programs, Administrative files, 1973-1982, 1.24 cubic ft.
Office of Financial and Social Services, Social Services Branch, Chief administrator's correspondence, 1973-1977, 1 cubic ft.
Office of Financial and Social Services, Social Services Branch, State Contracts Division, individual correspondence files, 1972-1977, 2.25 cubic ft.; Division correspondence files, 1972-1977, 0.5 cubic ft.; Subject files, 1975-1977, 0.72 cubic ft.
Office of Financial and Social Programs, Social Services Branch, Program and Evaluation Review Division, Correspondence, 1976, 1.47 cubic ft.
Office of Financial and Social Programs, Social Services Branch, Community Care for the Aged, Blind, and Disabled, Generation Connection Program, Administrative files, 1976-1978, 5 cubic ft.
Office of Programs, Services to Families and Children, Income Assistance Budget Section, Correspondence, 1982-1983, 1 cubic ft.
Office of Programs, Food Services Programs, Administrative files, program files, and correspondence, 1984-1986, 3 cubic ft.
Office of Programs, Services to Families and Children, Food Services Division, Nutrition Education Training Program, Administrative files, 1978-1983, 1.71 cubic ft.
Office of Programs, Child Support Enforcement Branch, State Office files, 1980-1985, 11 cubic ft.; County collection files, 1973-1985, 5 cubic ft.
Office of Programs, Office of Families and Children, Administrative files, 1983-1984, 1 cubic ft.
Office of Programs, Office of Families and Children, Family Self-Support Services, Administrative files, program files, regional files, & advisory committee files, 1981-1985, 6 cubic ft.
Office of Programs, Office of Families and Children, Community Resources Division, Administrative files, 1982-1983, 0.6 cubic ft.; Program files, 1982-1983, 2.3 cubic ft.; Regional files, 1982-1983, 0.1 cubic ft.
Office of Programs, Services to Families and Children, Family Self-Support Services, Program Management Division, Administrative files & Program files, 1982-1984, 4.47 cubic ft.
Office of Programs, Services to Families and Children, Family Self-Support Services, Service Integration Division, Unprocessed records, 1980-1981, ? cubic ft.
Office of Programs, Services to Families and Children, Protective Services for Children Branch, Working files, 1982-1984, 0.75 cubic ft.; Meeting files, 1982-1984, 0.5 cubic ft.; Pilot test design, 1983-1984, 0.25 cubic ft.; Proposed CAIIS model, 1983-1984, 0.25 cubic ft.; Reports, 1982-1984, 0.25 cubic ft.
Deputy Commissioner for Services to Families and Children, Administrative files, 1985-1987, 25.47 cubic ft.
Office of Programs, Services to Families and Children, Income Assistance Services, Energy Programs Section, Administrative files, 1981-1984, 5 cubic ft.
Office of Programs, Services to Aged and Disabled, Institutional Care Services, Provider Services Division, Nursing home billing services records, 1978-1983, 3 cubic ft.
Deputy Commissioner, Office of Medical Programs, Personal name correspondence, 1971-1977, 3 cubic ft.; Subject correspondence, 1970-1977, 1 cubic ft.; Administrative files, 1979-1980, 12 cubic ft.
Office of Deputy Commissioner for Medical Specialties, Administrative files, 1981-1983, 3.71 cubic ft.
Office of the Deputy Commissioner for Health Care Services, Correspondence files, 1983-1985, 1 cubic ft.
Office of Deputy Commissioner for Medical Specialties, Purchased Health Services Bureau, Administrative files, 1975-1983, 3 cubic ft.
Office of the Deputy Commissioner for Health Care Services, Quality Assurance Bureau, Administrative files, 1977-1985, 11.47 cubic ft.
Office for Information Systems, Subject files, 1978-1980, 7 cubic ft.
Office for Information Systems, Office for Systems Development, Administrative files, 1982-1984, 1 cubic ft.
Office for Information Systems, Office for Systems Development, Medical Systems Division, Administrative files, 1976-1982, 1.94 cubic ft.
Office for Information Systems, Executive Coordinator for Advisory Committees, Advisory committee files, 1980-1983, 2 cubic ft.
Office of Management Services, Financial Management Bureau, Central Budget Division, Budget records, 1974-1979, 5 cubic ft.
Office of Management Services, Management Assistance Bureau, Office files, 1972-1979, 10.47 cubic ft.
Office of Support Operations, Office for Budget, Planning, and Management Support, Budget and Planning Division, Administrative files, 1976-1983, 3.67 cubic ft.; June Hyer report, 1979, 1.33 cubic ft.
Civil Rights Division, Civil rights files, 1964-1973, 1 cubic ft.
Office of Support Operations, Civil Rights Division, Administrative files, 1985, 2 cubic ft.
Office of Planning and Management Systems, Special Projects Bureau, Administrative files, 1973-1974, 4.71 cubic ft.
Office of Planning and Management Systems, Fiscal Services Bureau, Assistant Commissioner's files, 1961-1977, 10 cubic ft.
Office of Planning and Management Systems, Deputy Commissioner's files, 1965-1977, 36.9 cubic ft.
Office of Policy Planning and Analysis, Administrative files, 1982-1983, 4 cubic ft.
Office of Assistant Commissioner for Coordination, Regional correspondence files, 1972-1975, 1.12 cubic ft.; Requests for information and records, 1974-1978, 2 cubic ft.; Subject files, 1971-1979, 3.88 cubic ft.
Field Operations Office, Administrative files, 1962-1979, 6.25 cubic ft.; Regional Administrators meeting files, 1968-1978, 1.75 cubic ft.; DHR Board meeting files, 1974-1977, 1 cubic ft.; Lawsuits [restricted], 1968-1973, 2 cubic ft.
Legal Services Division, Grant appeal, 1967-1980, 1.5 cubic ft.; Board meeting files, 1979-1982, 2.25 cubic ft.; Reading files, 1981, 0.25 cubic ft.
Medicaid Task Force, Reports, 1976-1977, 2.47 cubic ft.; Correspondence and working papers, 1976-1977, 2 cubic ft.
Office of the Inspector General, Administrative files, 1982-1984, 7.47 cubic ft.
Department of Human Resources, Microfilm of handbooks, historical files, 1953-1981, 3 cubic ft. [180 reels of microfilm]
Child Protective Services, Tyler-Smith County Child Welfare Board records, 1985-1991, 0.2 cubic ft.
Texas State Board of Control, Texas Relief Commission Division, Records, 1933-1935, 7.5 cubic ft.

In addition to the above list of processed records, which have finding aids in two notebooks in the Archives Search Room, there is a huge backlog of unprocessed records (another 176 accessions, totaling 1,095 cubic ft.). A detailed, 7-page list of these unprocessed records (with titles of series, dates, and volumes) is available upon request. Whenever appropriate, unprocessed and well as processed records have been included in the record series reviews that follow.

Neither the processed nor the unprocessed records of DHS and its predecessors held by the State Archives should be construed to be permanent records. Further analysis and perhaps future accessions from DHS may lead to their deaccessioning.

Previous Destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Texas Department of Human Services, and a huge number were found.

In 1943, two bills were passed by the 48th Legislature, Regular Session regarding the disposition of obsolete records of the Texas Department of Public Welfare and its predecessors. The first of these (House Bill 122) required all state agencies storing records in the Confederate Home for Men to offer those records to the Texas Library and Historical Commission, and then any remaining records to the Board of Control for disposal. The Department of Public Welfare reported approximately 14,000 cubic ft. of records so stored, described as follows: copies of project proposals and applications; project progress reports; purchasing materials; work cards, payroll copies, and cancelled checks; copies of narrative reports, statistical reports on case loads, and special reports on complaints; correspondence from all divisions, county and state offices; copies of disbursement vouchers, and cancelled disbursing orders. The absence of any accessioning documentation, and the silence of the Library and Historical Commission's biennial reports for this time period concerning this issue, imply that the State Archives declined to take any of these records.

Senate Bill 250, 48th Legislature, Regular Session, 1943 made provisions for records of the Texas Relief Commission (TRC), 1932-1939, and of the Old Age Assistance Commission (OAA), 1936-1938, that were being stored in vacated Works Progress Administration warehouses. These records were characterized as "of no value to the state or to the people," "very voluminous," and resulting in a "large and unnecessary expense to the Department of Public Welfare for storage." DPW was ordered to submit a list of these records to the Texas Library and Historical Commission, and then to sell all remaining records as salvage or to destroy them if not saleable. In June and July of 1943, these records were inventoried by their custodians, town by town in each of 41 geographic areas, giving the location of the records, the number of boxes, the estimated average weight per box, and a brief description of the material. The resulting total was approximately 10,000 cubic ft. of records, in a variety of containers (including apple boxes, prune boxes, and barrels). In addition to TRC and OAA records, there are also records from various federal relief agencies such as the Works Progress Administration (WPA), the Civilian Conservation Corps (CCC), the Federal Emergency Relief Administration (FERA), the Civil Works Administration (CWA), the Federal Surplus Commodity program (FSC), and the Federal Transient Bureau. The kinds of records included: case records, commodity disbursing orders, commodity lists, work assignments, work dismissals, reassignments, time reports, payroll forms, weekly progress reports and field reports, file letters and forms, daily reports of junior field workers, duplicates of food stamp records, old intake reports, social workers manuals, Social Security Law pamphlets, CCC pamphlets, clothing orders, milk tickets, grocery orders, obsolete forms, "junk," etc. As with the previous case, lack of evidence leads us to assume that these records were sold or destroyed rather than transferred to the State Archives.

A bit more evidence is available concerning a request in September 1944 from the Department of Public Welfare Supervisor in San Antonio concerning the disposal of 60,000 letter-size folders (possibly 400 cubic ft.) of "copies of clothing orders, work assignments, work dismissals, and reassignments of case records for Texas Relief Commission recipients." State Librarian Fannie Wilcox replied that while she and the State Archivist "are reluctant in letting the material go, owing to crowded condition and the lack of help, it will not be possible for the Texas State Library to accept the material." They even checked with the University of Texas Library, which also had no room. Similar requests for disposal of records from Texarkana and Waco in October 1946 bore no replies.

One final note on these New Deal-era records: Attorney General Opinion 0-5467 was issued by Attorney General Grover Sellers in response to a request from the Department of Public Welfare sometime after September 1, 1944 requesting broader authority to dispose of "future accumulations of these records as they become obsolete." The answer was no, primarily because the particular law cited was extremely specific as to the types and dates of the records under review.

No further destruction requests are on file at the Texas State Archives until 1986, from which point the legal authority cited is Chapter 403, 50th Legislature, Regular Session, 1947. (This law was replaced by V.T.C.A., Government Code, Section 441.035 in the 70th Legislature, Regular Session, 1989, and then amended by the 72nd Legislature, Regular Session, 1991.) Until 1992, the Department of Human Services had no certified records retention schedule and therefore had to specifically request permission to dispose of any of its records. Total annual volumes of requested records destructions during this time period (1986-1992) ranged from a low of approximately 1,129 cubic ft. in FY 1990 to a high of 6,316 cubic ft. in FY 1992; with one exception, the trend was a fairly steady increase each fiscal year. Most years also included requests to destroy microfilm as well, ranging between 712 reels in FY 1988 to 11,000 reels in FY 1987. Beginning in 1993 (FY 1994), the records retention schedule assumed its functions and the number of requests for destruction of records not on the schedule dwindled to a trickle, with 44 cubic ft. authorized in FY 1995, the last year DHS submitted any requests.

A 21-page list of destruction requests is available upon request. Specific destruction requests pertaining to any of the records being reviewed by this appraisal report are listed in the Record Series Reviews that follow.

Project Outcome:

The appraisal of the records of the Texas Department of Human Services is complete. The following is a summary of appraisal decisions.

36 series have been appraised to be archival (including one series that needs to be added to the schedule).
24 series have been appraised to be non-archival.
6 series could not be appraised completely, and must retain the archival review code of "R."
9 series are empty, but need to remain on the schedule with the archival review code of "R" in case records do turn up to be transferred to other state agencies.
20 series should be removed from the schedule.

In addition to the following specific instructions, four more points are to be assumed when applicable:

For any archival ("A") series, transfer to the Archives and Information Services Division of the Library and Archives Commission all records that have fulfilled their retention period.
For any series without an archival code, or with a code of archival exemption ("E"), dispose of all records at the end of their retention period. The agency should take care to document each destruction (as well as each transfer to the State Archives) in the Records disposition logs (agency item number 819).
The Department of Human Services must be careful not to transfer archival records to the State Archives before they have been determined to be open to researchers. If removal of material due to attorney work product or attorney-client privilege is required, that must be done prior to transfer, although the agency is urged to waive those privileges in writing. If redacting of confidential information is required, DHS staff should accomplish that redacting prior to transfer of the records; whether or not the State Archives should also receive the original, un-redacted documents as well should be discussed with State Archives' appraisal staff, and will be decided on a case-by-case basis.
Series with an archival review code of "R" that are currently designated "General agency schedule: all areas" should be listed multiple times on the schedule, one for each division, department, or section they appear in, because not all such series have the same archival value. The following divisions did not report any Division uniform administrative subject/correspondence files (611): Internal Auditor Office; Government Relations Division; Office of Programs; Long Term Care - Regulatory; and Office of Planning, Evaluation, and Project Management. If any of these divisions, or any of the departments or sections within any of the divisions, discover that those records do actually exist, then the State Archives' appraisal staff must be contacted to conduct a supplemental appraisal. We strongly suspect that these divisions actually do have these kinds of records, especially the Office of Programs, which has transferred such records to the State Archives in the past. In fact, during the course of appraisal, the State Archivist received multiple requests from DHS to transfer such unreported generic records (currently retained in the State Records Center) for archival review.

Continue to use the archival code of "A" for these series:

Commissioner's office

Board meeting agendas and minutes (176)
Executive administrative files (177)

Budget Management Services

Biennial budget requests and supporting documentation (562) (Amend Remarks column by adding the following: "The archival requirement will be met by sending required copies of LARs to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.4(3))."

Human Resource Services: Administrative Services

Organizational charts (776)

Administrative Services: Media & Policy Services

E-Letters (Executive Letters) (358)

Public Information

Annual narrative report (661) (However, the record series Reports - annual and biennial agency (non-fiscal) (agency item number 652) should be deleted, as redundant.)

Replace the archival review code of "R" with the archival code of "A" for these series:

Commissioner's office

Legislative files (178)

Legal Services

Division uniform administrative subject/correspondence files (611)
Department/Section administrative subject/correspondence files (613)

Administrative Services: Media & Policy Services

I-Letters (Information Letters) (359)
Microfilmed handbooks and revisions (653)
Handbook revision cover letters (357)
Original art and photographs with releases (791)
Intended Use Report and supporting documentation (793) (Amend Remarks column by adding the following: "The archival requirement will be met by sending required copies of each report to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.2 and 3.3).")

Public Information

Speeches (592)
Press releases (593)

Office of Program Integrity

Division uniform administrative subject/correspondence files (611)
Reports and studies - final (635) (The title of this series should be changed to Program Integrity Reviews, and the agency item number should be changed from 635, which is used elsewhere for the generic series "reports and studies - final.")

LTC: Regulatory: Certification

Punitive action summaries (763)

Service Support: Program Implementation: Operations

SLIAG -- administration and operational documentation (794)

Eligibility Services: Program Policy

TANF (AFDC) Executive, Information, and cover Letters (463)
Policy Clearance Committee meeting notes (466)

Special Nutrition Programs: Food Distribution

Department/Section administrative files (703)

Special Nutrition Programs: Program Development

Nutrition Education and Training (NET) program administrative files (500)
Project 2001/Health Star (800)

LTC: Health Policy and Economics

Policy and initiatives program development files (452)
Policy and procedures manual (762)

LTC: Policy and Programs: Community Care

CCAD Caseworker Study (a.k.a. CCAD Caseload Study) (427)
In-Home and Family Support Program administration (430)

LTC: Policy and Programs: Institutional Policy

Hospice Program development files (534)
Medicaid statistical reports (550) (Remarks column should contain a note to the effect that "Statistical reports are accompanied by all documentation necessary to read and understand the computer printouts.")

LTC: Administrative Services: Administrative Management

Nursing home calculations and supporting documentation (568)
Reports, external -- special purpose (806) (For the series containing the final reports)

Planning, Evaluation, and Project Management: Management Analysis

Management information focus report (789)

Regional Operations

Volunteer Services Program management files (575)

Add the following series to the retention schedule, with an archival code of "A":

Strategic Plan (Add note to the Remarks column: "The archival requirement will be met by sending required copies to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.4(1)(C)).")

Continue to use the archival review code of "R" for these series:

Legal Services: General Counsel

Litigation files (488)
Potential litigation (548)
Agency attorney opinions on cases and policy statements (492)

LTC - Regulatory: Architectural

Building plans/specifications (737)

Regional Operations

Regional administrative records (162)
Department/Section administrative subject/correspondence files (613)

Change the archival code of "A" to the archival exception code of "E" for the following series, and add note to Remarks column: "Archival code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

Public Information

Board meeting coordination files (595)

Change the archival review code of "R" to the archival exception code of "E" for the following series, and add note to Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

Budget Management Services

Reports - administrative (620) (Or alternately, since the retention period has expired, the Department of Human Services should simply dispose of these obsolete records, and then remove the series from the records retention schedule.)

Legal Services: General Counsel

Attorney General opinions (493)

Regional Business Office

Renovation projects files (17)

Business Services: Facility Leasing

Renovation and exclusion projects (378)

Human Resource Services: Employee Benefits Services

Group Insurance Advisory Committee (GIAC) files (689)
Policies and procedures development files (687)
Policy interpretations (688)

Human Resource Services: Office of the Director

Employee recognition (648)

Support Services, Travel Management Section

Reports and studies - final (635) (Or alternately, since these records appear to have fulfilled their retention period and are an obsolete series, the records may be discarded and the series removed from the agency's records retention schedule.)

Administrative Services: Media & Policy Services

Handbook revisions for hardcopy handbooks (360)
DHS Board meeting audio cassettes (498A)
Public service announcements and training videotape masters (494)
Production files for video and related programs (792)
Audiotape masters for slide show narrations and radio PSAs (495)
Production files (496, 497, 498 to be combined into one series)

Management Information Systems

Division uniform administrative subject/correspondence files (611)

Management Information Systems -- Millennium Project

Division uniform administrative subject/correspondence files (611)

Office of Program Integrity/Credentialing: Education

Test files for NFA (826)

Eligibility Services: Program Policy

Historical legislation and program development files (464)

Service Support: Program Implementation: Operations

Project SAVE (Systematic Alien Verification for Entitlements) files/reports (158)
Refugee studies (474)

LTC: Administrative Services: Administrative Management

Reports, external -- special purpose (806) (For the series containing the computer printouts)

Regional operations

Regional administrator policy and procedure memoranda (163)

Remove the following series from the retention schedule:

General agency schedule: all areas (each of these kind of records is found in another series):

Department/Section uniform administrative subject/correspondence files (612)
Planning records (618)
Reports -- consultants and committees (621)
Reports and papers - conference (633)
Speeches (636)

Human Resource Services: Administrative Services:

Employee lists (320)
Employee surveys (669)

Human Resource Services: Employee Benefits Services:

Group Insurance Advisory Committee (GIAC) files (689R)

Public Information:

Reports -- Annual and biennial agency (non-fiscal) (652)

Government Relations: Operations:

Report masters and copies (167)

Management Information Systems: Office of Deputy:

Planning reports for long and short range plans (440)
Planning reports: Studies and analysis (441)

Service Support: Program Implementation: Operations:

Regional correspondence related to timeliness corrective action (786)

Eligibility Services: Program Policy:

Targeted Assistance for Refugees Program files (471)
Native American Restitutionary Program files and contracts (476)

Support Services: Educational Services:

Manager's guide (148)

LTC: Policy and Programs: Community Care:

Statewide Long Term Care Case Management Task Force records (409)
CCAD Regional Nurses Workload Study (426)

Programs: Office of the Deputy Commissioner:

Planning records (761)

LTC - Regulatory: Architectural:

Life Safety Code/construction/inspection (754) (merge with Facility licensing and certification (727), a series with no archival code)

Retain the following empty archival review ("R") series for programs that have been transferred from the Department of Human Services, for as long as deemed possible that records might turn up that need to be transferred to another agency:

Self-Support Services: Child Care Services:

Child Care Program materials (470N);

Self-Support Services: Employment Services:

State Job Training Coordinating Council files (478N)
Special studies (479N)
Recidivism Study (480N)
Refocus Pilot Project report (481N)
Job Training Work Experience Program files (482N)
WIN Program files (493N)
Employment and Training Program material (484N)

Purchased Health Services: Program Surveillance:

Excluded provider (716N).

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Record Series Reviews

Record Series Review
Series Title: Board meeting agendas and minutes

Agency: Texas Department of Human Services, Commissioner's Office

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
22.5 cubic ft. Retained by the agency permanently. Present holdings date 1933-2000.

Description:
These records consist of official minutes, agenda, and supporting documents of meetings of the Board of Human Services and its predecessor agencies, dating June 1, 1933-2000. The minutes themselves summarize the presentations, discussions and board actions on each agenda item. The supporting documents include full presentations, board action reports, commissioner's reports, advisory committee reports, and registrations and requests to appear before the board. The topics of these agenda items cover the full range of DHS policy and practice. Minutes are signed by the Board Secretary.

The Department of Human Services has mounted some of its recent minutes (June 18, 1999-March 19, 2000) and more of its agenda (June 18, 1999-May 19, 2000) on the agency web site. However, they eventually remove earlier items; when I first saw this site, it contained the agenda for the December 18, 1998 meeting, but that item had been removed sometime before March 9, 2000. Furthermore, the location (or even the existence) of minutes are not immediately apparent from the home page; one may find them currently by navigating to "About DHS" and then selecting the link "Board Agendas." This link was added during the time I was conducting the appraisal. (http://www.dhs.state.tx.us/about/board/index.html) [URL is no longer valid, November 2006.]

Related series are Administrative Services: Media and Policy Services: DHS Board meeting audio cassettes (agency item number 498A), and Public Information: Board meeting coordination files (agency item number 595), which are also reviewed in this appraisal report.

Purpose:
Minutes are created to document in a thorough fashion the official actions of the board in its meetings. Agenda inform the public as to what will be discussed and/or decided at each board meeting. Support documentation is created for distribution to the board members, to provide the basis for the discussions and decisions of the board at their meetings.

Agency Program:
The Public Welfare Act of 1939 created the Department of Public Welfare. Previously, the Child Welfare Division of the Board of Control (established in 1931), the Texas Relief Commission (1933-1934, then part of the Board of Control, 1934-1939), and the Old Age Assistance Commission (1936-1939) had performed parts of the new agency's functions. The Department of Public Welfare (DPW) became the Department of Human Resources (DHR) in 1977, and the Department of Human Services (DHS) in 1985. The department currently has the following broad functions. It administers state and federal programs serving low-income families with children, and elderly or disabled persons, including the following: temporary financial assistance for basic family needs, nutritional assistance, access to health care, and nursing home and community-based care. It regulates long-term care facilities. And it administers programs for survivors of family violence and victims of natural disasters.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.003, 21.0031, and 21.0032
See also 40 Texas Administrative Code, Part 1)
(V.T.C.A., Government Code, Chapter 551)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Files of the Texas Register, Secretary of State, which give notices of open meetings plus agenda.

Publications based on records:
Summaries of agenda are published in the Texas Register.

Series data from agency schedule:
Title: Board meeting agendas and minutes
Series item number: 1.1.058
Agency item number: 176
Archival code: A
Retention: PM

Archival holdings:
Minutes, September 1967, February, September, and October 1972 (Board of Public Welfare);
Minutes and agenda, September 1977-October 1986 (Board of Human Resources); and
Minutes and agenda, January 1987-August 1991 (Board of Human Services), total 7 cubic ft.
These unprocessed minutes were taken from the former Agency Minutes Collection.

Field Operations Office, Department of Public Welfare Board meeting files, 1974-1977, 1 cubic ft.
These files contain copies of meeting agenda, internal memoranda concerning meeting topics, external correspondence between the Commissioner and Board members concerning meeting topics, including items proposed to be discussed, and copies of materials discussed. They cover meetings January 1974-October 1977.

Legal Services Division, Department of Human Resources Board meeting files, 1979-1982, 2.25 cubic ft.
These files consist of minutes, meeting agenda, memoranda and correspondence concerning upcoming agenda items, and reports, statistics, and other materials concerning agenda items to be discussed. They comprise copies of DHR Board meeting files from April 1979 through June 1982, being the files of the General Counsel of the Legal Division.

Legal Division, Board meeting files, 1972-1979, 3 cubic ft.
Office for Information Systems, Meeting files and correspondence, 1978-1979, 5 cubic ft.
Legal Division, Board meeting files, July 1981-June 1982, 1 cubic ft.
Office of the Commissioner, General meeting files, 1982-1986, 5 cubic ft.
These last four groups of records are part of a backlog that has not been described in any Archives finding aid.

Archival holdings of related records:
Field Operations Office, Regional Administrators meeting files, 1968-1978, 1.75 cubic ft.
These records contain internal memoranda concerning meeting topics, agenda, minutes, copies of materials discussed (letters, reports, etc.), and notes, all of meetings of Regional Administrators, dating October 1968-August 1978.

Office of Programs, Office of Families and Children, Family Self-Support Services Branch, Advisory committee files, 1981-1985, 2.13 cubic ft.
These are files of DHR advisory groups for the Family Self-Support Services Branch. Materials consist of general memos sent to all DHS advisory groups/ committees, internal memoranda sent to group/committee members concerning upcoming meetings, meeting topics, and projects undertaken by the group, particularly the Teen Parent Project; minutes and agenda of several advisory groups, particularly the FSSB Advisory Council; and tapes of the FSSB Advisory Council meetings.

Office of Programs, Office of Services to Families and Children, Protective Services for Children Branch, Meeting files, 1982-1984, 0.5 cubic ft.
These files consist of minutes, agenda, subcommittee reports, and papers, reports, and statistical compilations presented and discussed at five meetings of the Coordinated Approach to Investigations and Information-Sharing (CAIIS) Advisory Committee and one meeting of the Texas Council of Child Welfare Boards (TCCWB), 1982-1984.

Protective Services, TCCWB meeting and correspondence files, 1977-1980, 1 cubic ft.
Office of Programs, Medical Care Advisory Committee minutes and correspondence, 1978-1983, 3 cubic ft.
These last two groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps? None

Appraisal Decision:
Meeting minutes provide what is probably the most important documentation of an agency's activities; they are thorough yet succinct. Meeting agenda are very helpful as an aid to research in meeting minutes, serving somewhat as a table of contents. The Archives and Information Services Division of the Texas State Library and Archives Commission has determined that agenda and minutes together are inherently archival. The Texas Department of Human Services should continue to use "A" as the archival code for these records. The existing statement in the Remarks column does not need to be changed, except that it is inaccurate.

Except for possibly 1982-1986, the Commissioner's office has apparently not sent board minutes and agenda directly to the Texas State Library and Archives Commission. All of the minutes in the former Agency Minutes Collection from the Department of Public Welfare and the Department of Human Resources came to the State Archives bound, from the Legislative Reference Library. The provenance of Department of Human Services minutes between October 1987 and August 1991 is uncertain, since they contain no receipt stamp and there is no existing documentation of transfer. And definitely no minutes have been sent from any source since August 1991.

Consequently, the State Archives is missing (and needs to be provided with) copies of minutes and agenda for the following meetings:

predecessors of the Board of Public Welfare: missing all meetings (1933-1939);
Board of Public Welfare: missing all but four meetings (September 1967, February, September, and October 1972);
Board of Human Resources: missing October 1984 and September 1985; and
Board of Human Services: missing all meetings since August 1991.

In addition to providing the State Archives with minutes and agenda for the missing meetings, the Department of Human Services should place us on the mailing list to automatically receive copies of minutes and agenda for all future meetings.

One final note: supporting documentation is likewise archival. Some state agencies include that supporting documentation in the copies of minutes and agenda that are sent to the State Archives on a regular basis. Other agencies (not including the Department of Human Services) create a separate series for supporting documentation, with a retention period of 2 years, and transfer the originals of those files to the State Archives upon the fulfillment of that retention period. The decision is a records management one, but does not affect the obligation to send both supporting documentation and minutes and agenda to the State Archives.

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Record Series Review
Series Title: Executive administrative files

Agency: Texas Department of Human Services, Commissioner's Office

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 20 cubic ft.

Agency holdings:
256 cubic ft. total (48 cubic ft. at the agency, plus an additional 208 cubic ft. at the State Records Center). Retained by the agency for one year after the end of the fiscal year, plus another 9 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1982-2000 (files up to 1997 at the State Records Center). On August 21, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1988-1989, 14 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of administrative correspondence to and from DHS Commissioners, planning records, reports of conferences, studies, and speeches, dating 1982-2000. The correspondence is between DHS Commissioners and the Executive Director, division directors, deputy directors, federal agencies, state agencies, the Governor's office, and outside groups.

Related series are Public Information: Speeches (agency item number 592), and Division uniform administrative subject/correspondence files (agency item number 611, for several divisions), which are also reviewed in this appraisal report.

Purpose:
Executive administrative files are created during the course of administrative actions of the Executive offices, and are maintained to document those administrative actions.

The Board of Human Services appoints the chief administrative officer, called variously the Executive Director of Public Welfare, the Commissioner of Public Welfare (beginning in 1941), the Commissioner of Human Resources, or the Commissioner of Human Services. Four offices report directly to the Commissioner: Chief Financial Officer; Associate Commissioner, Government Relations; Associate Commissioner, Legal Services; and Deputy Commissioner, Support Services. In addition, six offices report directly to the Executive Deputy Commissioner, who reports to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.004 and 21.005
See also 40 Texas Administrative Code, Part 1)

Arrangement:
Alpha-numeric, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983

Access Constraints:
Some of the documents in these files contain client information, which is confidential by law.
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Executive administrative files
Series item number: 1.1
Agency item number: 177
Archival code: A
Retention: FE + 10

Archival holdings:
Executive offices, Central files, 1943-1976, 69 cubic ft.
These records are restricted due to the confidentiality of many records (concerning personnel matters, adoption, welfare status, and child abuse and neglect); therefore they have not been described in any Archives finding aid. A cursory inspection indicates that they contain the following: subject files from Commissioners John Winters, 1943-[196-]; Burton Hackney, [196-]-1971; Jerome Chapman, [196-]-1976; and Randy Pendleton, 1973; files from the federal Department of Health, Education, and Welfare (HEW), 1960-1974; files from the Children's Bureau of HEW, 1943-1970; and Jean Cragen's files on the Youth Care and Rehabilitation Task Force, 1973-1976.

Executive administrative correspondence, 1978-1983, 125 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. A cursory inspection of the container lists suggests that they contain correspondence files; advisory committee reports; and subject files (both those organized alphabetically prior to fiscal year 1983, and others organized alpha-numerically, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983).

Office of the Commissioner, Speeches of Raymond W. Vowell, 1971-1977, 0.6 cubic ft.
These unprocessed records mostly contain speeches of Commissioner of Public Welfare Raymond Vowell, 1971-1977, dealing with social services generally and the administration of social service programs. The speeches were given to various audiences, including the agency itself, legislators, other social service professionals, and during investigations. Typescripts contain many marginal notes.

Executive Offices, Subject and correspondence files, 1976, 7 cubic ft.
Executive Offices, Administrative files, 1977, 12 cubic ft.
Office of the Commissioner, Administrative files, 1979, 13 cubic ft.
Office of the Commissioner, Administrative files, 1981-1982, 4 cubic ft.
Office of the Commissioner, Administrative files, 1982, 7 cubic ft.
State Office, Administrative and subject files, 1982-1989, 2 cubic ft.
These last six groups of records are also part of a backlog that has not been described in any Archives finding aid.

Gaps?
No records exist 1939-1943.

Appraisal Decision:
Executive administrative files are created at the highest level of the Department of Human Services, that of the executive head of the agency. Based on the unprocessed records that have already been transferred to the State Archives (1943-1989, 239 cubic ft.), these records are definitely archival. In fact, many of the records we hold at the division and department level are duplicative of these executive files. The Texas Department of Human Services should continue to use "A" as the archival code for these records.

One of the reasons that earlier archival transfers of these important records have not been described in any finding aid is their confidentiality; they would have to be heavily redacted. To repeat a statement made in the Project Outcome portion of this appraisal report, the Department of Human Services must be careful not to transfer archival records to the State Archives before they have been determined to be open records. If removal of material due to attorney work product or attorney-client privilege is required, that must be done prior to transfer, although the agency is urged to waive those privileges in writing. If redacting of confidential information is required, DHS staff should accomplish that redacting prior to transfer of the records; whether or not the State Archives should also receive the original, un-redacted documents should be discussed with State Archives' appraisal staff, and will be decided on a case-by-case basis.

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Record Series Review
Series Title: Legislative files

Agency: Texas Department of Human Services, Commissioner's Office

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2.5 cubic ft. (per biennium)

Agency holdings:
11.5 cubic ft. total (6.5 cubic ft. at the agency, plus an additional 5 cubic ft. at the State Records Center). Retained by the agency 3 years, plus another 2 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1991-2000 (1991-1992 at the State Records Center). All of the above information was reported by DHS staff. However, on August 21, 2000 the State Archivist received a request from DHS to transfer records for archival review from this series, 1989-1992, 22 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of legislative bill files relating to proposed state legislation affecting the Department of Human Services, dating 1989-1999. In addition to copies of the proposed bills, the files include correspondence to and from agency personnel regarding the proposed bills, reports, studies, etc.

A related series is Eligibility Services: Program Policy: Historical legislation and program development files (agency item number 464), which is also reviewed in this appraisal report.

Purpose:
Legislative files are created during the course of the Department of Human Services' involvement with legislative matters, especially to determine and to document the impact of approved legislation on the agency.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological/numerical by session, and then numerical by bill number

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Original bill files in the Legislative Reference Library (beginning 1973) and in the Archives and Information Services Division of the Texas State Library and Archives Commission (up to 1972).

House and Senate committee files in those committee offices, as well as in the Archives and Information Services Division of the Texas State Library and Archives Commission, especially:

House Committee on Human Services, records, 1985-1995;
Senate Committee on Health and Human Services, records, 1973-1992;
Senate Committee on Human Resources, minutes, 1979; and records, 1973;
Senate Investigating Committee re: old age assistance, records, 1941.

Previous destructions:
Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Texas Department of Human Services, and the following was found for this series or for equivalent or related series:
Personnel Office, copies of state bill files, 1985-1986, 2 cubic ft. (November 1991).

Publications based on records:
Laws published in Vernon's Statutes and the General and Special Laws.

Series data from agency schedule:
Title: Legislative files
Series item number: 1.1.067
Agency item number: 178
Archival code: R
Retention: 5

Archival holdings:
Office of the Commissioner, Legislative administrative files, 1986-1988, 2 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.
A cursory examination indicates correspondence, memoranda, minutes, reports, and reference material related to a wide variety of legislative committees and subcommittees, advisory committees, policy groups, work groups, and task forces, all dealing with human services issues. I found no copies of legislative bills.

Archival holdings of related records:
Legal Services, Federal legislation and program files, 1978-1981, 2 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
There are no DHS legislative files (for state legislation) prior to 1986.

Appraisal Decision:
If these legislative files contained only copies of legislative bills, they would not be truly archival, since the official bill files are maintained at the State Archives and the Legislative Reference Library. Their maintenance would be only a convenience, grouping together bills with the common subject area of human services. But these records also contain correspondence, reports, and studies, and as such they considerably augment the usefulness of the legislative files. These records are therefore archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Biennial budget requests and supporting documentation

Agency: Texas Department of Human Services, Budget Management Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.75 cubic ft.

Agency holdings:
18 cubic ft. total (1 cubic ft. at the agency, plus an additional 17 cubic ft. at the State Records Center). Retained by the agency until September 1 of odd-numbered calendar years, or the passage of the Appropriations Act, then an additional 6 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1962-2000. On August 21, 2000, the State Archivist received a request from DHS to transfer records from this series, 1988-1991, 9 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of legislative appropriations requests (LARs) from the Department of Human Services, plus supporting documentation, dating 1962-1999. The requests generally contain an administrator's statement of agency functions. The program objectives and/or strategies are listed, along with a description of each objective, a discussion of performance measures, statistics, efficiency measures, and expenses--expended, current, and projected, at different funding levels. Earlier LARs often contain an organizational chart as well (although the last eight years do not contain agency organizational charts). Also present is supporting documentation, work papers consisting of spreadsheets and narrative reports.

A related series is Budget Management Division: Reports - administrative (agency item number 620), which is also reviewed in this appraisal report.

Purpose:
These records are created to request specific appropriations from the legislature and to provide justification for the amounts requested.

Agency Program:
Biennial budget requests are a mandatory requirement of the state budgetary process.

The Public Welfare Act of 1939 created the Department of Public Welfare. Previously, the Child Welfare Division of the Board of Control (established in 1931), the Texas Relief Commission (1933-1934, then part of the Board of Control, 1934-1939), and the Old Age Assistance Commission (1936-1939) had performed parts of the new agency's functions. The Department of Public Welfare (DPW) became the Department of Human Resources (DHR) in 1977, and the Department of Human Services (DHS) in 1985. The department currently has the following broad functions. It administers state and federal programs serving low-income families with children, and elderly or disabled persons, including the following: temporary financial assistance for basic family needs, nutritional assistance, access to health care, and nursing home and community-based care. It regulates long-term care facilities. And it administers programs for survivors of family violence and victims of natural disasters.

The Budget Management Services (BMS) division of the Texas Department of Human Services controls and maintains the agency's budget and budget-related reports. As of April 1999, the Director of Budget Management reports to the Chief Financial Officer, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.010
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Regional Budget Office files, 1980, 6 cubic ft. (March 1986)
Budget and Planning Division, initial allocations, historical data requests, 1976-1980, 11 cubic ft. (October 1987)
Programs Budget and Statistics, administrative files, 1981-1983, 6 cubic ft. (October 1987)
Programs Budget and Statistics, workpapers, 1976-1981, 9 cubic ft. (October 1987)
Programs Budget, administrative files, 1984-1985, 2 cubic ft. (January 1988)
Families and Children budget files, 1983-1984, 4 cubic ft. (January 1988)
Budget statistics, reports, and administrative material, 1967-1978, 138 cubic ft. (December 1988)
Budget adjustments, 1977-1980; expenditure summaries, 1976-1977; budget reports, 1977-1979; budgeted job lists, 1975-1978, 49 cubic ft. (January 1989)
Budget details, 1979-1980, 75 cubic ft. (January 1989)
Budget administrative files, 1980-1982, 14 cubic ft. (February 1989)
Aged and Disabled Programs Budget Division administrative files, 1980-1982, 3 cubic ft. (February 1989)
Client Self-Support Program Budget reports on staffing, contract files, voucher files, budget planning files, 1979-1986, part of 234 cubic ft. (April 1991)
Programs Budget work papers, correspondence, 1984-1985, 10 cubic ft. (November 1991)
Family Self-Support Services Program budget files and vouchers, 1986-1987, 2 cubic ft. (November 1991)

Publications based on records:
Legislative Budget Board, Legislative Budget Estimates have been published since fiscal years 1954 and 1955. This publication, a compilation of data for all state agencies, summarizes the fiscal information found in agency-submitted budgets or appropriation requests, but omits most of the narrative.

Internet pages based on records:
The agency's FY 2001 Operating Budget and FY 2002-2003 Appropriation Request, including exceptional items, is located online at:
http://www.dhs.state.tx.us/publications/lar/index.html. [URL is no longer valid, November 2006.]

Series data from agency schedule:
Title: Biennial budget requests and supporting documentation
Series item number: 1.1.004
Agency item number: 562
Archival code: A
Retention: AC + 6

Archival holdings:
Office of Management Services, Financial Management Bureau, Central Budget Division records, 1974-1979, 5 cubic ft.
These records consist of a variety of budget records documenting requested appropriations, actual appropriations, and expenditures for the various programs of the Department of Public Welfare/Department of Human Resources, from 1974 through 1979. They take the form of statistical charts and tables, narrative reports, memoranda and correspondence, notes and work papers, forms, oral presentations, publications, etc. Typical types of documents include: Legislative Appropriations Requests (LARs), LAR Data Documentation Forms (which include need indicators, program performance measures, and activity workload measures), executive budget briefs and budget brief correspondence, Legislative Budget Board (LBB) and Governor's Budget Office (GBO) questions on LARs, summaries of LBB responses, operating budgets, copies of legislation affecting the Department, fiscal notes, impact statements, comparisons of House Appropriations Bills to Senate Appropriations Bills, House Health and Welfare Committee handouts, issue document material, method of finance plan material, a budget handbook, etc. Arrangement is roughly chronological, usually by fiscal year, with some overlapping.

Office of Support Operations, Office for Budget, Planning, and Management Support, Budget and Planning Division, Administrative files, 1976-1983, 3.67 cubic ft.
These records consist of correspondence, memoranda, reports, etc., relating to the agency's budget preparation and planning for the years 1976-1983.

Office of Support Operations, Office for Budget, Planning, and Management Support, Budget and Planning Division, June Hyer Report, 1979, 1.33 cubic ft.
These records consist of a series of service provider questionnaires compiled by the Special Committee on the Delivery of Human Services, reporting on expenditures of the various programs and activities of the Department of Human Resources for fiscal year 1978.

Associate Commissioner for Budget, Planning and Management Support, Budget and Planning Division, Analysis of President's budgetary proposals, 1983, 1 cubic ft.
Associate Commissioner for Budget, Planning and Management Support, Budget and Planning Division, Administrative files, 1983-1984, 3 cubic ft.
Associate Commissioner of Budget, Planning and Management Support, Budget and Planning Division, Administrative files, 1984-1985, 6 cubic ft.
Associate Commissioner for Budget and Economic Analysis, Budget Data and Analysis Division, Administrative files, 1985-1986, 3 cubic ft.
Deputy Commissioner for Support Operations, Fiscal Division, Administrative and correspondence files, 1983-1984, 2 cubic ft.
Deputy Commissioner for Programs, Program Budget and Statistics Division, Budget documents, 1982-1983, 3 cubic ft.
Associate Commissioner for Services to Families and Children, Budget Section, Administrative files, 1985-1986, 2 cubic ft.
Deputy Commissioner of Services to Aged and Disabled, Budget, Administrative files, 1985-1987, 2 cubic ft.
Deputy Commissioner for Services to Families & Children, Client Self-Support Services, Program and Budget Management Department, Program and budget management records, 1988-1989, 2 cubic ft.
Budget Management Services, Administrative files, 1988-1989, 3 cubic ft. [contains neither LARs nor supporting documentation]
Budget Management, Biennial budget requests support documentation, 1987-1989, 2 cubic ft.
Administrative Services Division, Library records: administrative and vertical files, reports, organizational charts, manuals, grant applications, 1940-1995, 13 cubic ft. [contains LARs for 1986-1991]
These 12 groups of records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that all of these records (totaling 52 cubic ft.) can be discarded.

Texas Documents Collection holdings:
Budget Requests/Budget Estimates and/or Legislative Appropriation Requests for the following biennia:
(Texas Department of Public Welfare, catalogued separately):
FY 1970 and 1971, FY 1972 and 1973, FY 1974 and 1975, FY 1976 and 1977, FY 1978 and 1979;
(Texas Department of Human Resources/Services):
FY 1980 and 1981 (dating July 1978), FY 1982 and 1983, FY 1984 and 1985, FY 1986 and 1987, FY 1988 and 1989, FY 1990 and 1991, FY 1992 and 1993, FY 1994 and 1995, FY 1996 and 1997, FY 1998 and 1999, and FY 2000 and 2001 (dating August 1998).

Gaps?
No legislative appropriation requests for the Department of Public Welfare are found anywhere prior to 1962. None are found at the State Archives (including the Texas Documents Collection) prior to 1969 (for FY 1970 and 1971).

Appraisal Decision:
Legislative appropriation requests (LARs) provide evidence of the agency's fiscal performance and needs. They are summary and yet thorough enough, making them archival records. The supporting documentation is not considered archival, however. It is necessary to retain that supporting documentation (working papers) for a brief period of time for accountability (currently 6 years after the passage of the Appropriations Act). But the massive volume and confusing nature of this documentation would probably hinder meaningful historical research, for example to analyze past spending patterns. The LAR is required to justify appropriations requests, so all significant supporting data is summarized in the LAR itself.

The Texas Department of Human Services should continue to use "A" as the archival code for this series on the agency's records retention schedule. But it should also amend the Remarks column by adding the following: "The archival requirement will be met by sending required copies of LARs to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.4(3))."

The Department of Human Services should transfer to the Archival and Information Services Division of the Texas State Library and Archives Commission all LARs (without the supporting documentation) dating 1962-1969, to fill gaps in our holdings.

Since none of the current archival holdings listed above fill any of the gaps in the holdings of the Texas Documents Collection, all of those records will be discarded (15 accessions, totaling 52 cubic ft.)

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Record Series Review
Series Title: Reports -- administrative

Agency: Texas Department of Human Services, Budget Management Services

Obsolete record series? Yes
Replaced by: Not applicable

Ongoing record series? No

Agency holdings:
1 cubic ft. Retained by the agency for 3 years, according to the agency's records retention schedule. However, present holdings date 1982-1992.

Description:
These records consist of budget management reports, dating January 1982-December 1992. Examples of these reports include expenditure reports, year-end reports, and performance reports, all relating to the management of the Department of Human Services' budget.

A related series is Budget Management Services: Biennial budget requests and supporting documentation (agency item number 562), which is also reviewed in this appraisal report.

Purpose:
The records were created as financial summaries to assist Budget Management in the creation and management of the agency's budget.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.010
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Regional Budget Office files, 1980, 6 cubic ft. (March 1986)
Budget and Planning Division, initial allocations, historical data requests, 1976-1980, 11 cubic ft. (October 1987)
Programs Budget and Statistics, administrative files, 1981-1983, 6 cubic ft. (October 1987)
Programs Budget and Statistics, workpapers, 1976-1981, 9 cubic ft. (October 1987)
Programs Budget, administrative files, 1984-1985, 2 cubic ft. (January 1988)
Families and Children budget files, 1983-1984, 4 cubic ft. (January 1988)
Budget statistics, reports, and administrative material, 1967-1978, 138 cubic ft. (December 1988)
Budget adjustments, 1977-1980; expenditure summaries, 1976-1977; budget reports, 1977-1979; budgeted job lists, 1975-1978, 49 cubic ft. (January 1989)
Budget details, 1979-1980, 75 cubic ft. (January 1989)
Budget administrative files, 1980-1982, 14 cubic ft. (February 1989)
Aged and Disabled Programs Budget Division administrative files, 1980-1982, 3 cubic ft. (February 1989)
Client Self-Support Program Budget reports on staffing, contract files, voucher files, budget planning files, 1979-1986, part of 234 cubic ft. (April 1991)
Programs Budget work papers, correspondence, 1984-1985, 10 cubic ft. (November 1991)
Family Self-Support Services Program budget files and vouchers, 1986-1987, 2 cubic ft. (November 1991)

Publications based on records: None

Series data from agency schedule:
Title: Reports -- administrative
Series item number: 1.1.067
Agency item number: 620
Archival code: R
Retention: 3

Archival holdings of related records:
Office of Management Services, Financial Management Bureau, Central Budget Division, Records, 1974-1979, 5 cubic ft.
These records consist of a variety of budget records, including statistical charts and tables, narrative reports, memoranda and correspondence, notes and work papers, forms, oral presentations, publications, etc. They document requested appropriations, actual appropriations, and expenditures for the various programs of the Department of Public Welfare/Department of Human Resources, from 1974 through 1979. Typical types of documents include Legislative Appropriations Requests (LARs), LAR Data Documentation Forms (which include need indicators, program performance measures, and activity workload measures), executive budget briefs and budget brief correspondence, Legislative Budget Board (LBB) and Governor's Budget Office (GBO) questions on LARs, summaries of LBB responses, operating budgets, copies of legislation affecting the Department, fiscal notes, impact statements, comparisons of House Appropriations Bills to Senate Appropriations Bills, House Health and Welfare Committee handouts, issue document material, method of finance plan material, a budget handbook, etc. Arrangement is roughly chronological, usually by fiscal year, with some overlapping.

Associate Commissioner for Budget, Planning and Management Support, Budget and Planning Division, Analysis of President's budgetary proposals, 1983, 1 cubic ft.
Associate Commissioner for Budget, Planning and Management Support, Budget and Planning Division, Administrative files, 1983-1984, 3 cubic ft.
Associate Commissioner of Budget, Planning and Management Support, Budget and Planning Division, Administrative files, 1984-1985, 6 cubic ft.
Associate Commissioner for Budget and Economic Analysis, Budget Data and Analysis Division, Administrative files, 1985-1986, 3 cubic ft.
Deputy Commissioner for Support Operations, Fiscal Division, Administrative and correspondence files, 1983-1984, 2 cubic ft.
Deputy Commissioner for Programs, Program Budget and Statistics Division, Budget documents, 1982-1983, 3 cubic ft.
Associate Commissioner for Services to Families and Children, Budget Section, Administrative files, 1985-1986, 2 cubic ft.
Deputy Commissioner of Services to Aged and Disabled, Budget, Administrative files, 1985-1987, 2 cubic ft.
Deputy Commissioner for Services to Families & Children, Client Self-Support Services, Program and Budget Management Department, Program and budget management records, 1988-1989, 2 cubic ft.
Budget Management Services, Administrative files, 1988-1989, 3 cubic ft. [contains Division correspondence, Texas Labor Force Statistics reports, the Operating Budget Executive Report, Legislative Budget Board briefing documents, among many other kinds of files]
These 10 groups of records are part of a backlog that has not been described in any Archives finding aid.

Texas Documents Collection holdings:
Department of Public Welfare, Performance report and fund transfers, FY 1976.

Gaps?
None. These kinds of reports have not been maintained as a separate series since 1992.

Appraisal Decision:
Budget management reports provide financial summaries designed to aid in the creation and administration of the Department of Human Services' budget. The small size of this obsolete series, 1 cubic ft. for an 11-year period, is an indication that only the reports are included, without extraneous matter. These records appear to more closely match the following series in the Texas State Records Retention Schedule (RRS) (2nd edition): Reports on performance measures (1.1.068) and/or Agency performance measures documentation (1.1.064). Item 1.1.067 in the RRS is given the title Reports and studies (non-fiscal). The Department of Human Services staff should consult with their assigned Records Consultant to insure the proper labeling and coding of this series.

Neither Reports on performance measures (1.1.068) nor Agency performance measures documentation (1.1.064) is considered an archival series. The information contained in these records is adequately summarized in the legislation appropriation requests (LARs), whose archival requirement is met by sending required copies of LARs to the Texas State Publications Depository Program, Texas State Library and Archives Commission.

Therefore the Department of Human Services should replace the archival review code of "R" with the archival exemption code of "E" for this series, and should add the following statement to the Remarks Column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

Alternately, since the retention period has expired, the Department of Human Services could simply dispose of the records and then remove the series from the records retention schedule. This is the only generic 620 series (Reports - administrative) on the agency's records retention schedule.

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Record Series Review
Series Title: Division uniform administrative subject/correspondence files

Agency: Texas Department of Human Services, Legal Services

Contact: Nora Schlueter, Legal Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 3 cubic ft.

Agency holdings:
15 cubic ft., according to agency staff. Retained by the agency for one year after the end of the fiscal year, then 4 years at the State Records Center. Present holdings date 1995-2000, according to agency staff.

However, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1985-1994, 14 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of correspondence, forms, and reports to and from attorneys regarding Legal Services Division programs, dating 1995-2000. They comprise the administrative correspondence of the office of the Associate Commissioner of Legal Services, at the divisional level.

A related series is Legal Services: Department/Section administrative subject/ correspondence files (agency item number 613), which is also reviewed in this appraisal report.

Purpose:
These records are created during the day-to-day administration of the Legal Services Division, and serve to fulfil the primary goals of the division, which is to provide legal advice and support to the Texas Department of Human Services.

The Legal Services Division consists of two units: the Office of General Counsel, and the Hearings Department. As of July 1999, the General Counsel and the Director of Hearings report to the Associate Commissioner of Legal Services, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 22.018
See also 40 Texas Administrative Code, Part 1, especially Chapter 79)

Arrangement: Alphabetical

Access Constraints:
None, according to the agency's current records retention schedule, confirmed by agency legal staff. However, past transfers to the State Archives of seemingly similar records are restricted, due to attorney-client privilege.
(V.T.C.A., Government Code, 552.107 and 552.111)

Furthermore, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1985-1994, 14 cubic ft. (currently retained in the State Records Center). Records dating 1991-1994, 7 cubic ft., are coded as confidential on these requests; records dating 1985-1992, 7 cubic ft., are coded as open.

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Legal Services Division, administrative files, personnel files, reading files, 1977-1981, 2 cubic ft. (October 1987)
Legal Division, inactive contracts (Title XIX Vendor Drug Program, Interagency cooperation, Food Stamp Outreach, Nursing Home, Social Services, 1969-1978, 77 cubic ft. (October 1987)
Legal Services, day care facility files, [19--]-1986, total 47 cubic ft. (April 1992)

Publications based on records: None

Series data from agency schedule:
Title: Division uniform administrative subject/correspondence files
Series item number: 1.1.007
Agency item number: 611
Archival code: R
Retention: FE + 5

Archival holdings:
Legal Services Division, Reading files, 1981, 0.25 cubic ft.
These records consist of internal memoranda and correspondence of the General Counsel, Simon Rodriquez, discussing program policies and procedures, some litigation (primarily against DHS or the Department of Health), and routine administrative and personnel affairs. They date January-December 1981. They are restricted due to attorney-client privilege.

Legal Services, Administrative files, 1973-1980, 3 cubic ft. (restricted)
Legal Services, Administrative files, 1973-1980, 2 cubic ft. (restricted)
These two groups of records are restricted due to attorney-client privilege.

Legal Services, Historical records on policies, laws, HEW projects, 1943-1969, 21 cubic ft.
Legal Services, Administrative files, 1979, 2 cubic ft.
Legal Services, Inactive reading files, 1977-1980, 1 cubic ft.
Legal Services, Federal legislation and program files, 1978-1981, 2 cubic ft.
Legal Services, Public information requests, 1983-1984, 2 cubic ft.
These five groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
Administrative files for the Legal Services Division, 1982-1994, are unaccounted for.

Appraisal Decision:
Division uniform administrative subject/correspondence files for Legal Services are records that help to document the work of a vital division of the Texas Department of Human Services. The DHS legal staff is larger and busier that that of most state agencies, because of the size and complexity of the agency, and the nature of the agency's work.

There are a couple of problems with appraising this series. One is an apparent gap of 13 years between the holdings of the State Archives and the reported holdings of DHS itself; I suspect they may not have included records stored at the State Records Center, but that is only a guess. Another problem is that, although the agency's records retention schedule (confirmed by agency legal staff) lists this series as Open, previous transfers to the State Archives of possibly similar records have contained confidential materials, restricted by the attorney-client privilege.

Despite these problems, I feel strongly that this series of records is almost assuredly archival, due to the importance of the Legal Services staff's involvement in so much of what the Department of Human Services does. With the proviso that these records may need reappraisal once transferred to the State Archives, this series is declared to be archival. Since this is a series which was originally a generic, agency-wide series that carried an archival review code, the Texas Department of Human Services should list this series (for this office) separately on the agency records retention schedule. The Texas Department of Human Services should then change the archival review code of "R" to the archival code of "A" for these records.

To repeat a statement made in the Project Outcome portion of this appraisal report, the Department of Human Services must be careful not to transfer archival records to the State Archives before they have been determined to be open records. If removal of material due to attorney work product or attorney-client privilege is required, that must be done prior to transfer, although the agency is urged to waive those privileges in writing. If redacting of confidential information is required, DHS staff should accomplish that redacting prior to transfer of the records; whether or not the State Archives should also receive the original, un-redacted documents should be discussed with State Archives' appraisal staff, and will be decided on a case-by-case basis.

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Record Series Review
Series Title: Department/Section administrative subject/correspondence files

Agency: Texas Department of Human Services, Legal Services

Contact: Nora Schlueter, Legal Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2 cubic ft.

Agency holdings:
10 cubic ft. Retained by the agency for one year after the end of the fiscal year, then another 2 years at the State Records Center. Present holdings date 1995-2000.

Description:
These records consist of administrative correspondence, forms, and reports regarding department programs of the Legal Services Division, dating 1995-2000. They comprise the administrative correspondence for the General Counsel and for the Hearings Department, both at the departmental level.

A related series is Legal Services: Division uniform administrative subject/ correspondence files (agency item number 611), which is also reviewed in this appraisal report.

Purpose:
These records are created during the day-to-day administration of each of the two departments of the Legal Services Division (the Office of General Counsel, and the Hearings Department). They serve to fulfil the primary goals of the division, which is to provide legal advice and support to the Texas Department of Human Services.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 22.018
See also 40 Texas Administrative Code, Part 1, especially Chapter 79)

Arrangement: Alphabetical

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Legal Services Division, administrative files, personnel files, reading files, 1977-1981, 2 cubic ft. (October 1987)
Legal Division, inactive contracts (Title XIX Vendor Drug Program, Interagency cooperation, Food Stamp Outreach, Nursing Home, Social Services, 1969-1978, 77 cubic ft. (October 1987)
Legal Services, day care facility files, [19--]-1986, total 47 cubic ft. (April 1992)

Publications based on records: None

Series data from agency schedule:
Title: Department/Section administrative subject/correspondence files
Series item number: 1.1.107
Agency item number: 613
Archival code: R
Retention: FE + 3

Archival holdings:
General Counsel, Administrative files, 1973-1984, 18 cubic ft. (restricted)
General Counsel, Reading files, 1981-1982, 1 cubic ft. (restricted)
These two groups of records are restricted because of attorney-client privilege.

General Counsel, Notebooks, Title XIX documents, action transmittals, and memoranda from U.S. Department of HEW, 1967-1970, 1985-1986, 1 cubic ft.
General Counsel, Administrative files, 1984-1985, 9 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.

General Counsel, Reference and historical files, 1962-1986, 5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. However, a cursory examination of these records indicates the following (among other records): Fair hearings statistics, 1977-1984; AFDC statistics, 1980-1986; AFDC fraud cases reports, 1978-1982; Medical assistance statistics, 1979-1981; E-Letters, 1979-1985; I-Letters, 1962-1983; etc.

(There are no archival holdings for the Hearings Department.)

Gaps?
Administrative files for the departmental level of the Legal Services Division for the years 1987-1994 are unaccounted for.

Appraisal Decision:
Department/section administrative subject/correspondence files for the Legal Services Division are records that help to document the work of two vital departments of the Texas Department of Human Services, the Office of Legal Counsel and the Hearings Department. The DHS legal staff is larger and busier that that of most state agencies, because of the size and complexity of the agency, and the nature of the agency's work.

As with the records of division-level administrative correspondence, there are several problems with appraising this series of department-level administrative correspondence. One is the vagueness of the description given by the division's staff to the records management staff of DHS, which could not be clarified in a reasonable time despite efforts to do so. Another is an apparent gap of 8 years between the holdings of the State Archives and the reported holdings of DHS itself; I suspect they may not have included records stored at the State Records Center, but that is only a guess. A third problem is that, although the agency's records retention schedule lists this series as Open, previous transfers to the State Archives of possibly similar records have contained confidential materials, restricted by the attorney-client privilege.

Despite these problems, I feel strongly that this series of records is almost assuredly archival, due to the importance of the Legal Services staff's involvement in so much of what the Department of Human Services does. Because the volume of department correspondence reported is less than the volume of division correspondence for the same time span, there is probably not much duplication of materials between the divisional series and the departmental series. With the proviso that these records may need reappraisal once transferred to the State Archives, this series is declared to be archival. Since this is a series which was originally a generic, agency-wide series that carried an archival review code, the Texas Department of Human Services should list this series (for departmental-level correspondence of Legal Services) separately on the agency records retention schedule. The Texas Department of Human Services should then change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Litigation files

Agency: Texas Department of Human Services, Legal Services -- General Counsel

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 16 cubic ft.

Agency holdings:
328 cubic ft. total (107 cubic ft. at the agency, plus an additional 221 cubic ft. at the State Records Center). Retained by the agency until the end of litigation, plus an additional 10 years at the State Records Center. The remarks column notes that "legal precedent or historical value cases are archival." Present holdings date 1981-2000.

Description:
These records consist of correspondence with appellants or plaintiffs, and with the Attorney General; internal memoranda, often between regional administrators and various DHS state offices; notes; case action reports; DHS case files of clients; interrogatories with witnesses; subpoenas; depositions; petitions; notices of hearing; motions; final judgements; etc. They comprise all litigation case files, and all accompanying documentation, for cases in which the Department of Human Services is either a defendant or a plaintiff, dating 1981-2000.

A related series is Legal Services -- General Counsel: Potential litigation (agency item number 548), which is also reviewed in this appraisal report.

Purpose:
Litigation files are created and used by Department of Human Services attorneys during law suits. They are retained to protect and support the agency against appeals.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological, which is also numerical

Access Constraints:
These litigation files most likely have client information that is confidential. Also some material may be confidential due to attorney-client privilege and/or attorney work product.
(V.T.C.A., Government Code, 552.107 and 552.111)
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Attorney General litigation files

Protective Services litigation material, [19--]-1985, part of 65 cubic ft. (August 1991).

Publications based on records: None

Series data from agency schedule:
Title: Litigation files
Series item number: 1.1.048
Agency item number: 488
Archival code: R
Retention: AC + 10

Archival holdings:
Field Operations Office, Lawsuits, ca. 1968-1973, 2 cubic ft. (restricted due to client privacy and attorney-client privilege)
These records consist of correspondence with the appellants or plaintiffs, and with the Attorney General; internal memoranda, often between regional administrators and various DPW state offices; notes; case action reports; DPW case files of clients; interrogatories with witnesses; subpoenas; depositions; petitions; notice of hearing; motions; final judgements; etc. They date approximately 1968-1973. They are files of lawsuits brought against the Department of Public Welfare after administrative appeal procedures were exhausted. When clients were denied assistance funds or had action taken against them by DPW, they could file an appeal with the Department. An appeal hearing would be held to review the case. If the appellants disagreed with the hearing result, they could bring the case to court, with some cases going to the U.S. District Court of Appeals. When the appellants filed suits against DPW, the state Attorney General was called in to provide opinions and handle the case for the Department. These cases were brought for a variety of reasons: denial of ADC or AFDC funds, denial of medical assistance or nursing home assistance, denial of foster care assistance, revoking licenses for operating day care facilities, and a few cases involving the removal of children from natural or adoptive parents due to child abuse or neglect charges. Most of these cases were brought to court; only a few seem to have stopped at the DPW administrative appeal stage. Some files indicate whether or not DPW won or lost, or whether the case was withdrawn. In many cases, however, no final decision is indicated.

Legal Services Division, Grant appeal, 1967-1980, 1.5 cubic ft.
These records consist of court records (briefs, motions, hearings, exhibits, decisions, and others); correspondence between DHR legal staff, the State Attorney General and staff, and the federal agencies involved; reports; copies of federal and state statutes and regulations; and other background materials. The records date 1967-1981. They are materials covering the initial Health Care Financing Administration (HCFA) reports, the court cases in U.S. courts, including the U.S. District Court for the Western United States, the U.S. Fifth Circuit Court of Appeals, the U.S. Supreme Court; and the appeal before the HEW Grant Appeals Board.
In the mid-1970s, the Health Care Financing Administration (HCFA) began disallowing federal Title XIX Medicaid funds to Texas because the state had improperly received funds (for the period July 1, 1970-June 30, 1972) for nursing home services in facilities (state schools for the mentally retarded) not meeting state or federal standards for certification as a Medicaid provider. The State Department of Public Welfare filed suit against the U.S. Department of Health, Education, and Welfare (HEW) over these funds. After a series of court trials and appeals, which the state lost, the state appealed to the HEW Grant Appeals Board. The initial decision of the HCFA to disallow funds to the state was upheld and the HCFA was authorized to recover over 8 million dollars in federal funds from the state.

Archival holdings of related records:
Legal Services Division, Reading files, 1981, 0.25 cubic ft.
These records consist of internal memoranda and correspondence of the General Counsel, Simon Rodriquez, discussing program policies and procedures, some litigation (primarily against DHS or the Department of Health), and routine administrative and personnel affairs. They date January-December 1981. They are restricted due to attorney-client privilege.

Attorney General, Litigation files:

AG 6207: Department of Public Welfare v. Estate of James Young Trammell, C. C. Youngman, Guardian [Old Age Assistance, 1943-1950]
56-439: C. L. Hardison, Sr. v. John H. Winters, et al. (State Department of Public Welfare) [tort, alleged failure to pay old age assistance]
56-268: Girlstown, U.S.A. v. State Department of Public Welfare, et al. [to restrain revoking of license] [wallet]
65-8-20: Welfare Department (Anti-Trust Investigations, 1965)

Gaps?
1939-1966

Appraisal Decision:
Litigation is a serious matter in the life of any state agency, but not all litigation files are of enduring value. Some cases set precedents, and/or involve issues that have more historical value than other cases. Because of the mixed nature of this series, it is not possible to determine whether the whole series merits archival retention without considering each file on a case-by-case basis.

In the case of the Texas Department of Human Services, there are some additional complications. One is the sheer size of this series, 328 cubic ft. for a 20-year period. Another is the higher-than-average incidence of items that are confidential because of privacy concerns (in addition to the standard issues of attorney-client privilege and attorney work product). These factors simply add to the need to determine archival value on a case-by-case basis. To date, there is no evidence that legal staff have attempted to make such determinations of long-term value.

Therefore the appraisal committee can make no blanket determination of archival value for this series. The Texas Department of Human Services must retain the archival review code of "R" for litigation files. Then when the retention period has expired, the legal staff (coordinating with the agency's records management staff) needs to contact the State Archives for archival appraisal of those files ready to be reviewed and possibly transferred. The legal staff should be ready to provide input on the possible value of each case file, which advice will be gratefully received by the appraisal staff. Since the retention period (10 years after closure of the litigation) has probably expired for at least a portion of the 20-years worth of litigation files, then this cooperative effort between DHS and the appraisal staff of the State Archives should begin as soon as possible.

The Department of Human Services is cautioned that any record in a record series coded "R" cannot be discarded or destroyed without first being reviewed by the Archives and Information Services Division of the Texas State Library and Archives Commission. (Texas State Records Retention Schedule, 2nd edition, effective January 1, 1998, pages viii and 4.) Nevertheless, DHS staff can be assured of the willingness and eagerness of archival appraisal staff to facilitate this important process.

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Record Series Review
Series Title: Potential litigation

Agency: Texas Department of Human Services, Legal Services -- General Counsel

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 6 cubic ft.

Agency holdings:
49 cubic ft. total (21 cubic ft. at the agency, plus an additional 28 cubic ft. at the State Records Center). Retained by the agency one year after the end of the calendar year in which litigation is no longer a potential, plus an additional 6 years at the State Records Center. Present holdings date 1990-2000.

Description:
These records consist of correspondence with potential plaintiffs and their attorneys, and with the Attorney General; internal memoranda, often between regional administrators and various DHS state offices; notes; case action reports; DHS case files of clients; etc. They comprise potential litigation files, including various documents that may be needed to defend the Department of Human Services if a lawsuit is brought against the agency, dating 1990-1999.

A related series is Legal Services -- General Counsel: Litigation files (agency item number 488), which is also reviewed in this appraisal report.

Purpose:
Potential litigation files are created and used by agency attorneys before and during law suits. They are maintained to protect and support the agency against appeals.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological, which is also numerical

Access Constraints:
Records most likely have client information that is confidential by law. Also some material may be confidential due to attorney-client privilege and/or attorney work product.
(V.T.C.A., Government Code, 552.107 and 552.111)
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Potential litigation files, [19--]-1986, part of 65 cubic ft. (August 1991).
Potential litigation files, [19--]-December 1984, part of 443 cubic ft. (March 1992).

Publications based on records: None

Series data from agency schedule:
Title: Potential litigation
Series item number: 1.1.048
Agency item number: 548
Archival code: R
Retention: AC + CE + 7

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
The agency has no potential litigation files prior to 1990.

Appraisal Decision:
Potential litigation files normally form part of the same series with Litigation files on most state agencies' records retention schedules. It does make sense, however, for the Texas Department of Human Services to maintain these as two separate series, given the massive amount of litigation involved. It is tempting to reason that if a potential litigation file is truly important, then it will eventually be litigated and become part of that other records series. But many an important piece of potential litigation has undoubtedly been settled out of court, without decreasing its significance for future research. Therefore there is really no difference between litigation and potential litigation in terms of archival appraisal.

Litigation is a serious matter in the life of any state agency, but not all potential litigation files are of enduring value. Some cases involve issues that have more historical value than other cases. Because of the mixed nature of this series, it is not possible to determine whether the whole series merits archival retention without considering each file on a case-by-case basis.

In the case of the Texas Department of Human Services, there is an additional complication, the higher-than-average incidence of items that are confidential because of privacy concerns (in addition to the standard issues of attorney-client privilege and attorney work product). These factors simply add to the need to determine archival value on a case-by-case basis. To date, there is no evidence that legal staff have attempted to make such determinations of long-term value.

Therefore the appraisal committee can make no blanket determination of archival value for this series. The Texas Department of Human Services must retain the archival review code of "R" for potential litigation files. Then when the retention period has expired, the legal staff (coordinating with the agency's records management staff) needs to contact the State Archives for archival appraisal of those files ready to be reviewed and possibly transferred. The legal staff should be ready to provide input on the possible value of each case file, which advice will be gratefully received by the appraisal staff. Since the retention period (7 years after the end of the potential for litigation) will probably soon expire for at least a portion of the potential litigation files, then this cooperative effort between DHS and the appraisal staff of the State Archives should begin as soon as possible.

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Record Series Review
Series Title: Attorney General opinions

Agency: Texas Department of Human Services, Legal Services -- General Counsel

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1 cubic ft.

Agency holdings:
24.5 cubic ft. Retained by the agency so long as administratively valuable. Present holdings date 1979-2000.

Description:
These records consist of the legal opinions of the Texas Attorney General concerning the Department of Human Services, plus all correspondence and other documentation needed for the Attorney General's office to render their opinion. Dates of these records are 1979-2000. This record series does not include agency litigation or other opinions offered for specific matters.

Purpose:
These records are created to get information and opinions from the current Attorney General's office regarding state related matters and other business matters that affect the Department of Human Services. These opinions are mainly asking if there are exceptions to existing laws or statutes.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological, which is also numerical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Attorney General's office, opinions

Publications based on records:
Index to Opinions of the Attorney General of Texas, 1982-
Digest of Opinions of the Attorney General of Texas, 1947-

Internet pages based on records:
Index to full texts of Attorney General Opinions: http://www.oag.state.tx.us/opinopen/opindex.shtml

Series data from agency schedule:
Title: Attorney General opinions
Series item number: 1.1.014
Agency item number: 493
Archival code: R
Retention: AV

Archival holdings:
Attorney General's Office:
Formal Opinions, 1870-1942, 16.22 cubic ft. (60 volumes)
Letter Opinions, 1868-1938, 71 cubic ft. (387 volumes)

Gaps?
The agency has no Attorney General opinions files prior to 1979.

Appraisal Decision:
Since these legal opinions and advice are from the Attorney General, the series should essentially be duplicated (or at least summarized) in the Attorney General's records. Therefore this series is not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Agency attorney opinions on cases and policy statements

Agency: Texas Department of Human Services, Legal Services -- General Counsel

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: Unknown

Agency holdings:
Unknown cubic ft. Retained by the agency for one year after superseded (at a minimum the end of the fiscal year), plus an additional 5 years at the State Records Center, according to the agency's records retention schedule. Present holdings cover an unknown date span. (See "Problems" in this records series review.) However, on August 21, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1974-1993, 4 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of Department of Human Services attorney opinions on cases, and legal policy statements. They do not include opinions regarding actual or pending litigation. Included in the files is correspondence from internal and external persons to agency attorneys regarding questions about legal matters that DHS is concerned with. Dates covered are likely 1974-2000.

Purpose:
Agency attorney opinions on cases and policy statements are created when persons both inside and outside the Department of Human Services ask questions about legal matters with which DHS is concerned.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Unknown

Access Constraints:
Confidential. Although the General Counsel would not specify, presumably part of the reason for confidentiality is attorney-client privilege, as well as personal privacy issues. However, since none of these files relate to real or potential litigation, the attorney work product exemption could not be invoked.
(V.T.C.A., Government Code, 552.107(1))
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

However, the recent request to transfer Agency attorney opinions on cases and policy statements, 1974-1993, 4 cubic ft., indicates that all of these records are Open (one request form was changed from Confidential to Open).

Use Constraints: None

Indexes or finding aids required for, or an aid to access? Unknown

Problems:
According to Paul Leche, head General Counsel for the Texas Department of Human Services, these records are kept for a long time, and the General Counsel's Office does not throw anything away until they run out of space. Also according to Mr. Leche, whatever records they have would be kept and not be candidates to go to the State Archives. Also, these records are filed intermittently in a large filing system that has many other record series in it. Mr. Leche would not show the records to Debbie Tilbury so that she could gather the information required for this record series review.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Agency attorney opinions on cases and policy statements
Series item number: 1.1.014
Agency item number: 492
Archival code: R
Retention: FE + US + 6

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? Unknown

Appraisal Decision:
The refusal of the Office of the General Counsel to cooperate with the Department of Human Services' records management staff prevents us from determining accurately the nature of this series. Normally a series titled "Agency attorney opinions on cases and policy statements" would be a candidate for archival review, and initially I believed that these records would not be offered to us for such a review. But on August 21, 2000 some of these records were formally offered to us for review.

Confidentiality is a concern, but not insurmountable so long as there is cooperation between legal staff and archival staff. The schedule lists these records as confidential, but the recent request to transfer Agency attorney opinions on cases and policy statements, 1974-1993, 4 cubic ft., indicates that all of these records are Open (one request form was changed from Confidential to Open).

For these reasons, this series cannot be appraised at this time. It must retain the archival review code of "R," as mandated by the Texas State Records Retention Schedule, 2nd edition, effective January 1, 1998 (13 Texas Administrative Code, 6.10). The Department of Human Services is cautioned that any record in a record series coded "R" cannot be discarded or destroyed without first being reviewed by the Archives and Information Services Division of the Texas State Library and Archives Commission. (Texas State Records Retention Schedule, 2nd edition, effective January 1, 1998, pages viii and 4.)

However, since 4 cubic ft. have been offered to us for archival review, we will accept this transfer and review the records at that time. At that point we will notify the Department of Human Services of our appraisal decision.

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Record Series Review
Series Title: Renovation projects files

Agency: Texas Department of Human Services, Regional Business Office

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
12 cubic ft. total; each region (there are ten regions) has its own files.
Retained by the agency one year after completion of the project, then stored in the State Records Center an additional 9 years, according to the agency's records retention schedule. However, present holdings date 1980-2000.

Description:
These records consist of renovation projects files for the ten (previously eleven) regional business offices, dating 1980-2000. A file can include planning, design, and construction records; bids; contracts; surety bonds; inspection records; correspondence; etc. These small renovation projects to existing office space do not require architectural drawings.

A related series is Business Services -- Facility Leasing: Renovation and exclusion projects (agency item number 378), which is also reviewed in this appraisal report.

Purpose:
These records are created as a result of the planning and completion of small renovation projects to existing office space, construction work exempt from General Services Commission control under Texas Government Code Title 10, Sub Title D, Chapter 2166.003 and .004. The projects are so small they do not require architectural drawings and thus are only viable on a local procurement basis.

There are currently 10 regional offices in Texas. All have a Regional Administrator who reports to the Deputy Commissioner of Regional Operations, who reports to the Executive Deputy Commissioner. Regional Operations links regional staff and the state office by providing leadership, advocacy, and supervision for regional administration staff who deliver services at local levels.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.006
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical by name of town

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
The General Services Commission retains the record copy of these records. The records retention schedule of the General Services Commission lists the following record series, all of them requiring archival review ("R"):

SS-23 (AC+10) Construction records copies of journal vouchers, draws (other than cost folders);
SS-24 (AC+75) Building construction project folders; and
SS-26 (LA) Building plans and specifications.

Building renovation records, [19--]-1983, 17 cubic ft. (April 1988)

Publications based on records: None

Series data from agency schedule:
Title: Renovation projects files
Series item number: 5.2.002
Agency item number: 17
Archival code: R
Retention: AC+10

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
Renovation projects files document the planning and completion of small renovation projects to existing office space, requiring no architectural drawings. The General Services Commission maintains the record copies of these records. Even if it did not, these projects are too transitory to merit permanent documentation. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Renovation and exclusion projects

Agency: Texas Department of Human Services, Business Services: Facility Leasing

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
3.5 cubic ft. total (0.5 cubic ft. at the agency, plus an additional 3 cubic ft. at the State Records Center). Retained by the agency for one year after the completion of the project, then an additional 9 years at the State Records Center (which also matches the 10 year amortization time frame). Present holdings date 1991-2000.

Description:
These records consist of correspondence between regional offices and the State Office of the Department of Human Services, and correspondence between the General Services Commission and the State Office, concerning renovation and exclusion projects of DHS facilities. Dates covered are 1991-2000.

A related series is Regional Business Office: Renovation projects files (agency item number 17), which is also reviewed in this appraisal report.

Purpose:
These records document construction work that is exempt from General Services Commission rules under Texas Government Code Title 10, Sub Title D, Chapter 2166.003 and .004. The projects are so small they do not require architectural drawings and thus are only viable on a local procurement basis.

The Support Services Division administers facilities leasing and management. As of April 1999, the Director of Business Services reports to the Deputy Commissioner of Support Services, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.006
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical by name of facility

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Copies are at the General Services Commission, and also in Department of Human Services regional offices.

Building renovation records, [19--]-1983, 17 cubic ft. (April 1988)

Publications based on records: None

Series data from agency schedule:
Title: Renovation and exclusion projects
Series item number: 5.2.002
Agency item number: 378
Archival code: R
Retention: AC + 10

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
Renovation and exclusion projects files document the planning and completion of small renovation projects to existing office space, requiring no architectural drawings. The General Services Commission maintains the record copies of these records. Even if it did not, these projects are too transitory to merit permanent documentation. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Organizational charts

Agency: Texas Department of Human Services, Human Resource Services: Administrative Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
0.5 cubic ft. at the agency. Retained by the agency until superseded, according to the agency's records retention schedule. However, present holdings date 1980-2000.

Description:
These records consist of organization charts showing the organizational structure of the Department of Human Services from the Executive Director to the Deputy Directors, including the names of individual staff members. They date 1980-2000.

Purpose:
Organizational charts are created to indicate agency staff organization in a graphic format, to indicate office/division/section/program hierarchies, and to show changes of organization over time.

Currently (as of April 1999) the Department is organized into eleven offices. Six of them report directly to the Executive Deputy Commissioner: Deputy Commissioner, Management Information Systems; Deputy Commissioner, Program Integrity; Associate Commissioner, Long Term Care Regulatory; Deputy Commissioner, Regional Operations; Deputy Commissioner, Office of Programs; and Director, Executive Office of Planning, Evaluation, and Project Management. Four offices report directly to the Commissioner: Chief Financial Officer; Associate Commissioner, Government Relations; Associate Commissioner, Legal Services; and Deputy Commissioner, Support Services. One office reports directly to the Board: Internal Auditor. The Department employed 15,841.5 full-time equivalent employees in 1999.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.005
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records:
Legislative appropriation requests (LARs) up to the early 1990s contained copies of the DHS organization chart. Strategic Plans also usually contain truncated organization charts.

Internet pages based on records:
The DHS Executive Staff Organization for March 2000 is reproduced as a part of the agency's web site, at: http://www.dhs.state.tx.us/about/staff.html. [URL is no longer valid, November 2006.]

Series data from agency schedule:
Title: Organizational charts
Series item number: 1.1.023
Agency item number: 776
Archival code: A
Retention: US

Archival holdings:
Organization charts, 1967-1990 and 1999-2000, 0.1 cubic ft.
There are approximately 26 charts, with the following dates: September 1967, July 1968, July 1970, October 1972, July 1973, September 1974, September 1975, February 1976, November 1976, April 1977, October 1977, May 1978, September 1978, January 1979, September 1980, November 1980, May 1981, February 1982, December 1983, July 1984, October 1985, December 1986, October 1987, March 1989, August 1990, April 1999, and March 2000.

Administrative Services Division, Library records: administrative and vertical files, reports, organizational charts, manuals, grant applications, 1940-1995, 13 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. A cursory examination suggests that the organizational charts in this accession date 1973-1976, 1984-1989, and 1992.

Gaps?
Charts for 1970-1979 were accidentally discarded at the agency (according to the agency), but not before copies were sent to the State Archives.
Charts are missing in the holdings of the State Archives for 1991 and 1993-1998.
No charts have been found (at either location) dating prior to September 1967.

Appraisal Decision:
Organizational charts provide a convenient way of tracking the evolution of an agency's structure over time. Organizational charts are inherently archival. The Texas Department of Human Services should continue to use "A" as the archival code for these records. It should transfer those organizational charts dating 1991-1998 to the Archives and Information Services Division of the Texas State Library and Archives Commission, to fill in the gaps in our holdings. Then in the future, it should transfer charts when they become superseded.

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Record Series Review
Series Title: Group Insurance Advisory Committee (GIAC) files

Agency: Texas Department of Human Services, Human Resource Services: Employee Benefits Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
3 cubic ft. total (1 cubic ft. at the agency, plus an additional 2 cubic ft. in storage at the State Records Center). Retained by the agency until closed, then another 20 years at the State Records Center. Present holdings date 1974-2000.

Description:
These records consist of convenience copies of correspondence between the Department of Human Services and the Group Insurance Advisory Committee (GIAC), dating 1974-2000. Topics of this correspondence include the Uniform Group Insurance Program, the Retirement Program, the Deferred Compensation Program, and the Flex Benefits Program.

Purpose:
The records are created in order to inform the agency of changes in employee benefits offered to all state employees by the Employee Retirement System.

Agency Program:
The Group Insurance Advisory Committee (GIAC) is the committee responsible for advising the Employee Retirement System (ERS) Board of Trustees, which is in turn responsible for making decisions regarding the Uniform Group Insurance Program, the Retirement Program, the Deferred Compensation Program, and the Flex Benefits Program. The Group Insurance Advisory Committee was succeeded in 1991 by the Group Benefits Advisory Committee of the Texas Employees Uniform Group Insurance Program.

The Director of Human Resources reports to the Deputy Commissioner of Support Services, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Employees Retirement System of Texas, Group Insurance Advisory Committee records

Publications based on records: None

Series data from agency schedule:
Title: Group Insurance Advisory Committee (GIAC) files
Series item number: NA
Agency item number: 689
Archival code: A
Retention: AC + 20

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
The record copies of these Group Insurance Advisory Committee records should be at the Employees Retirement System of Texas. Convenience copies are rarely archival, and in this case the functions documented are of a purely ordinary kind, involving personnel benefits. Therefore they are not archival, and the Texas Department of Human Services should change the archival code of "A" to the archival exception code of "E," and should add the following to the Remarks column: "Archival code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Policies and procedures development files

Agency: Texas Department of Human Services, Human Resource Services: Employee Benefits Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
0.25 cubic ft. at the agency. Retained by the agency until superseded. Present holdings date 1996-2000.

Description:
These records consist of Department of Human Services instructions for the administration of the Uniform Group Insurance Program, dating 1996-2000.

Purpose:
These records are created to instruct the staff of the various divisions and offices of the Department of Human Services concerning the administration of the Uniform Group Insurance Program provided by the Employees Retirement System of Texas.

The Director of Human Resources reports to the Deputy Commissioner of Support Services, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures development files
Series item number: NA
Agency item number: 687
Archival code: R
Retention: US

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
These Policies and procedures development files document purely ordinary functions common to all state agencies, that of personnel insurance benefits. Therefore they are not archival, and the Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Policy interpretations

Agency: Texas Department of Human Services, Human Resource Services: Employee Benefits Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 3 cubic ft.

Agency holdings:
27 cubic ft. total (3 cubic ft. at the agency, plus an additional 24 cubic ft. in storage at the State Records Center). Retained by the agency until the end of the fiscal year after completion, then another 10 years in the State Records Center, according to the agency's records retention schedule. However, present holdings date 1976-2000.

Description:
These records consist of policy statements written by the Department of Human Services staff for agency insurance coordinators, to interpret benefits to agency employees. Dates covered are 1976-2000. These benefits include COBRA (Consolidated Omnibus Budget Reconciliation Act) information, Employee Retirement System (ERS), Health Select, leave without pay, and Tex Flex.

Purpose:
These records are created to help administer the Department of Human Services' benefits program. In particular, they involve how DHS interprets the Texas Employee Retirement System rules, regulations, and policy, and how that policy will be administered in DHS.

The Director of Human Resources reports to the Deputy Commissioner of Support Services, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policy interpretations
Series item number: 3.3.024
Agency item number: 688
Archival code: R
Retention: AC + FE + 10

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Archival holdings of related records:
Deputy Commissioner of Support Operations, Personnel Division, Historical files, 1976-1980, 5 cubic ft.; Administrative records, 1977-1981, 1 cubic ft.; Administrative files, 1981-1982, 4 cubic ft.; Administrative files, 1984-1985, 8 cubic ft.
Deputy Commissioner of Support Operations, Assistant Commissioner of Personnel Management, Personnel Division, Administrative files, 1986-1987, 9 cubic ft.
Deputy Commissioner of Support Operations, Assistant Commissioner of Personnel Management, Staff Development Division, Administrative files (Director's files), 1986-1987, 2 cubic ft.
These six groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps? None

Appraisal Decision:
These Policy interpretations records document purely ordinary functions common to all state agencies, that of personnel benefits. Therefore they are not archival, and the Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

As time permits, appraisal staff will review the related records in the holdings of the State Archives, to determine archival value.

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Record Series Review
Series Title: Reports and studies -- final

Agency: Texas Department of Human Services, Support Services, Travel Management Section

Obsolete record series? Yes
Replaced by: Not applicable

Ongoing record series? No

Agency holdings:
8 cubic ft. Retained by the agency for one year, then another 2 years at the State Records Center. Present holdings date 1995-1996.

Description:
These records consist of a one-time study of travel vendors (rental cars and airlines), dating September 1995-May 1996.

Purpose:
These records were created to determine which rental car and airline companies could provide the best and most economical travel for staff of the Department of Human Services.

The Travel Management Section is a unit of the Support Services Division, the Deputy Commissioner of which reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical (?)

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Reports and studies -- final
Series item number: 1.1.067
Agency item number: 635
Archival code: R
Retention: 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
None; this was a one-time study.

Appraisal Decision:
These records document a routine function common to many state agencies, that of determining the most economical travel for staff. Therefore they are not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

Alternately, since the records appear to have fulfilled their retention period and are an obsolete series, the records may be discarded and the series removed from the agency's records retention schedule.

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Record Series Review
Series Title: E-Letters (Executive Letters)

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
0.5 cubic ft. at the agency. Retained by the agency for 5 years after they are superseded. Present holdings date 1987-2000.

Description:
These records consist of official memoranda (usually 1 to 4-pages long), sometimes with attachments, from the commissioner of the Department of Human Services to selected levels of staff (e.g. regional administrators, regional directors for Income Assistance, AFDC staff, and Food Stamp staff; or, all field staff; or, field staff for Regions 5, 8, 9, and 11). Dates covered are 1987-2000. E-Letters typically bear a specified effective date and also an expiration date (often December 31 of the year the letter is written). Subjects of E-Letters include such things as "food stamp lawsuit settlement," "AFDC lump-sum policy," "food stamp changes required by recent legislation," "medical necessity for hospital admissions and discharges." Attachments include such items as new forms and tables.

A related series is Eligibility Services: Program Policy: TANF (AFDC) Executive, Information, and cover Letters (agency item number 463), which is also reviewed in this appraisal report.

Purpose:
Executive Letters are created as official explanations of, and notification to, DHS staff members of changes in, or clarification of, DHS policy. They include detailed instructions to allow staff to correctly carry out this policy.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Numerical, which is also chronological (e.g. 98-24)

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: E-Letters (Executive Letters)
Series item number: 1.1.011
Agency item number: 358
Archival code: A
Retention: US + 5

Archival holdings:
Executive letters, 1975-1986, 0.5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. Routine distribution has meant that E-Letters are also found among other DHS files in our holdings, dating from the early 1980s onward.

General Counsel, Reference and historical files, 1970-1986, 5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. However, a cursory examination of these records indicates the following (among other records): E-Letters, 1979-1985.

Gaps?
No E-Letters can be located prior to 1975.

Appraisal Decision:
Executive Letters (E-Letters) are succinct explanations of policy changes at the highest level, and give detailed instructions on the implementation of those policy changes at the operational level. Although their routine distribution has made them commonly duplicated in many of the holdings of the Texas State Archives, there is a distinct advantage in having those records in one place. This series constitutes the record copy. They are therefore archival. The Texas Department of Human Services should continue to use "A" as the archival code for these records.

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Record Series Review
Series Title: I-Letters (Information Letters)

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.2 cubic ft.

Agency holdings:
2 cubic ft. at the agency. Retained by the agency for one year, according to the agency's records retention schedule. However, present holdings date 1991-2000.

Description:
These records consist of official memoranda (usually 1 to 2-pages long), rarely with attachments, from the commissioner of the Department of Human Services to selected levels of staff (e.g. all DHR employees; or, all field staff). Dates covered are 1991-2000. Subjects of I-Letters include such things as "managed staff development model," "family planning message on June Forms 3087/3088," "April ATP stuffer message and attachment to Form 1010, Application for Assistance."

A related series is Eligibility Services: Program Policy: TANF (AFDC) Executive, Information, and cover Letters (agency item number 463), which is also reviewed in this appraisal report.

Convenience copies of this series are also contained in a record series originally coded for archival review, Regional administrator policy and procedure memoranda (163).

Purpose:
Information Letters are created to inform DHS staff members of changes in DHS policy and practice. If necessary, they include brief instructions to allow staff to correctly carry out this policy. The level of significance of I-Letters is considerably less than that of E-Letters. For example, a large percentage of them deal with the content of stuffers included in DHS mailings to clients.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: I-Letters (Information Letters)
Series item number: 1.1.008
Agency item number: 359
Archival code: R
Retention: 1

Archival holdings:
Information letters, 1976-1990, 1 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. Routine distribution has meant that I-Letters are also found among other DHS files in our holdings, dating from the early 1980s onward.

General Counsel, Reference and historical files, 1970 [sic]-1986, 5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. However, a cursory examination of these records indicates the following (among other records): I-Letters, 1962-1983.

Gaps?
No I-Letters have been located prior to 1962.

Appraisal Decision:
Information Letters (I-Letters) are succinct communications to various levels of Department of Human Services employees, originating at the highest level. They are perhaps less important than Executive Letters (E-Letters), but still often document significant aspects of DHS policy and practice, especially since many of them contain the contents of stuffers included in DHS mailings to clients. Their total volume (3 cubic ft. from 1976-2000) is rather small. Although their routine distribution has made them commonly duplicated in many of the holdings of the Texas State Archives, there is a distinct advantage in having those records in one place. They are therefore archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

The Series Item Number assigned to this record series (1.1.008) is the number reserved for "general correspondence," which is clearly a mismatch. The Texas Department of Human Services should change the Series Item Number to 1.1.025, which is reserved for "agency rules, policies, and procedures" (defined in the Texas State Records Retention Schedule, 2nd edition, as "manuals, guidelines, administrative rules, or similar records distributed internally for the use of employees or externally to the public or those individuals or entities regulated by an agency that sets out the rules, policies, and procedures that govern an agency's programs, services, or projects."

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Record Series Review
Series Title: Handbook revisions for hardcopy handbooks

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 22 cubic ft.

Agency holdings:
100 cubic ft. at the agency. Retained by the agency in microfilm, for 10 years after a revision is completed. The master is kept at the State Records Center, a duplicate copy at the agency. Present holdings date 1996-2000.

Description:
These records consist of revisions of Department of Human Services handbooks, which serve as agency policy and procedures for DHS employees. Records date 1996-2000.

Related series are Administrative Services: Media and Policy Services: Microfilmed handbooks and revisions (agency item number 653), and Administrative Services: Media and Policy Services: Handbook revision cover letters (agency item number 357), which are also reviewed in this appraisal report.

Convenience copies of this series are also contained in a record series originally coded for archival review, Regional administrator policy and procedure memoranda (163).

Purpose:
Handbook revisions serve to update employees on any changes of policy and procedure.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical by title of handbook

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Backup to handbook revisions, 1976-1982, 4 cubic ft. (March 1988)
Personnel Office, handbook revisions, 1986-1988, 3 cubic ft. (November 1991)

Publications based on records: None

Internet pages based on records:
The following handbook is currently available online: Automation and Telecommunications Handbook (http://mis.dhs.state.tx.us/OutSideLinks/ath/f_ath_00.htm). [URL is no longer valid, November 2006.]

Series data from agency schedule:
Title: Handbook revisions for hardcopy handbooks
Series item number: 1.1.025
Agency item number: 360
Archival code: R
Retention: AC + 10

Archival holdings:
Deputy Commissioner for Programs, Office of Services to Families and Children, Assistant Commissioner for Protective Services, Handbook development materials, 1972-1984, 6 cubic ft.
Deputy Commissioner for Programs/Services to Families and Children, Assistant Commissioner for Income Assistance Services, Policy Development Division, Handbook revisions and administrative files, 1974-1981, 15 cubic ft.
Program and Policy Development Division, Handbook materials, 1976-1982, 17 cubic ft.
Associate Commissioner for Programs, Assistant Commissioner for Research, Demonstration and Evaluation, Research and Demonstration Division, Handbooks, 1982-1985, 1 cubic ft.
These four groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
Hardcopy handbook revisions are apparently missing prior to 1972, and for the period 1986-1995. However, microfilm is present at the State Archives for 1953-1981, and at DHS for 1988-2000, making only 1986-1987 totally missing.

Appraisal Decision:
Handbooks contain some of the most detailed documentation of the essential functions of the Department of Human Services, on a program-by-program level; handbook revisions trace changes in those functions over time. Therefore both handbooks and handbook revisions are archival.

From an archival standpoint, the chief disadvantage of retaining hardcopy handbooks for an agency as massive and as complex as DHS is their bulk. An annual accumulation of 22 cubic ft. is discouraging, when one has the alternative of microfilm (with an annual accumulation of 3 cubic ft.). Therefore the hardcopy handbooks should not be considered the preferred archival medium. Another argument for preferring microfilm over hardcopy is that microfilm fills all but 2 years of the 10-year gap in hardcopy. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

Because there is apparently a gap in microfilm that is partially covered by hardcopy handbooks in the holdings of the State Archives, those hardcopy handbooks will not be purged, unless any can be determined to be duplicated on microfilm.

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Record Series Review
Series Title: Microfilmed handbooks and revisions

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 3 cubic ft.

Agency holdings:
46 cubic ft. total (6 cubic ft. at the agency, plus an additional 40 cubic ft. at the State Records Center). Retained by the agency on microfilm for 10 years (master kept at the State Records Center, copy is at the agency). Present holdings date 1988-2000.

Description:
These records consist of the microfilm copies of Department of Human Services handbooks and handbook revisions. Dates covered are 1988-2000. They explain agency policy and procedures for agency employees.

Related series are Administrative Services: Media and Policy Services: Handbook revisions for hardcopy handbooks (agency item number 360), and Administrative Services: Media and Policy Services: Handbook revision cover letters (agency item number 357), which are also reviewed in this appraisal report.

Purpose:
Handbooks are created to update Department of Human Services employees on any changes of policy and procedures. They are microfilmed quarterly and distributed statewide. They are maintained 10 years due to potential litigation support.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical by the title of the handbook

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Draft handbooks, cover letters, executive summaries, project status reports, etc., 1967-1978, 56 reels (microfilm) (June 1994)

Publications based on records: None

Series data from agency schedule:
Title: Microfilmed handbooks and revisions
Series item number: 1.1.025
Agency item number: 653
Archival code: R
Retention: 10

Archival holdings:
Records (microfilm of handbooks, historical files), 1953-1981 (bulk 1975-1981), 3 cubic ft. [180 reels MF]
Records consist of 180 reels of 16mm microfilm. Archives staff has not viewed any of this microfilm and the following summary is based on microfilm labels and a card index. The dates of the records on the microfilm range from 1953-1981 with the bulk from the 1970s. The microfilm is divided between duplicate reels and master negative reels and each kind is arranged in the same order: administrative handbooks and policy manuals, public comments, and historical files. There are also two master negative microfilm reels, without reel numbers, that are filed separately.

Most of the microfilm, a total of 144 reels, is of administrative handbooks and policy manuals and their frequent revisions. The handbooks are primarily for use by the agency staff but some are also for private contractors. There are over twenty-five handbooks from various programs on microfilm. These include: AFDC (Aid to Families with Dependent Children), APH (Administrative Procedures Handbook), CEH (Continuing Education Handbook), CSH (Child Support Handbook), DPW-VR (Department of Public Welfare-Vocational Rehabilitation), FSHR (Financial Services Handbook), FMR (Forms Manual), FSH (Food Stamp Handbook), MCM (Medical Care Manual), PH (Personnel Handbook), PA-I (Public Assistance Information Letters), PA-M (Public Assistance Management Letters), RC (Reports Catalog), SSH (Social Service Handbook), SSIM (Supplemental Security Income Manual), TDCI (Texas Drug Code Index), and WIN (Work Incentive Program).

There are a total of five reels of microfilm, three duplicate and two master negative reels, of public comments and petitions dating from 1977-1984. Topics of the public comments appear to include medical care, Medicaid, and other state agencies. The historical files consist of 29 reels of older revisions and retakes of handbooks and manuals, and cover many of the same programs as the administrative handbooks and policy manuals microfilm. The two master reels without numbers contain unique records that date from 1953-1976.

The microfilm is divided between duplicate reels and unique master reels. The duplicate microfilm is arranged in three numbered sequences: Handbook and Procedures, Reels #1-136; Public Comments, Reels #501-503; and, Historical Files, Reels #A-1 thru A-29. For some of the reels in these sequences there is only a master negative copy available. These master reels are listed at the end, in the same three sequences with the corresponding numerical sequences: Handbooks and Procedures #30, 34-36, 43, 62, 86, 88, 90, 117, 137-140, 144, 146-148, Public Comments #504-505, and Historical Files #A-24. There is also a fourth master negative series, Masters without Reel Numbers, for the two reels that apparently were never assigned a number. None of the master reels are filed with the duplicate microfilm. Instead, the master reels are stored offsite from the Archives. Researchers are warned that a duplicate use copy must be made, at the researcher's expense, before viewing any of the master reels. There is a card index available in Box 1994/040-2 that is arranged alphabetically by name of the program.

Gaps?
Microfilm of handbooks and handbook revisions is missing prior to 1953, and for the period 1982-1987. However, hardcopy handbooks exist at the State Archives for 1972-1985, accounting for four out of the six missing years. Thus only those for 1986-1987 are apparently missing in both media.

From an archival standpoint, the chief disadvantage of retaining microfilm rather than hardcopy records is some loss of convenience; some people prefer hardcopy over microfilm, and microfilm readers are currently not available in the State Archives search room. However, DHS microfilm does meet ANSI standards, and the advantages of reduced bulk (an annual accumulation of 3 cubic ft. for microfilm, compared with 22 cubic ft. for hardcopy) outweighs the disadvantages of inconvenience in this particular case, given the likely frequency of research use. Therefore the microfilm handbooks should be considered the preferred archival medium. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

In transferring this and future microfilm to the Archives and Information Services Division of the Texas State Library and Archives Commission, the Department of Human Services needs to include both the master copy and a use copy.

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Record Series Review
Series Title: Handbook revision cover letters

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
3 cubic ft. at the agency. Retained by the agency for 10 years, according to the agency's records retention schedule. However, present holdings date 1978-2000.

Description:
These records consist of cover memos to DHS staff explaining new versions or revisions of handbook changes, dating 1978-2000.

Related series are Administrative Services: Media and Policy Services: Handbook revisions for hardcopy handbooks (agency item number 360), Administrative Services: Media and Policy Services: Microfilmed handbooks and revisions (agency item number 653), and Eligibility Services: Program Policy: TANF (AFDC) Executive, Information, and cover Letters (agency item number 463), which are also reviewed in this appraisal report.

Purpose:
Handbook revision cover letters are created and distributed to sum up handbook changes for DHS employees.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: By subject, then chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Draft handbooks, cover letters, executive summaries, project status reports, etc., 1967-1978, 56 reels (microfilm) (June 1994)

Publications based on records: None

Series data from agency schedule:
Title: Handbook revision cover letters
Series item number: 1.1.025
Agency item number: 357
Archival code: R
Retention: 10

Archival holdings:
Administrative Services (?), Handbook revision cover letters, 1978-1981, 2.5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
No cover letters for handbook revisions exist prior to 1978. Those dating 1967-1978 were destroyed.

Appraisal Decision:
Under normal circumstances, I would think that cover letters of any kind were rarely archival. Furthermore, we have determined that the handbooks to which these cover letters refer are themselves archival. But these handbooks are so massive and so numerous, and the policies which they explain are so complex, that cover letters announcing changes in these policies are a welcome tool to the researcher. The volume of the cover letters (3 cubic ft. for 1978-2000) is extremely manageable, especially when compared to the volume of the handbooks themselves (100 cubic ft. of hardcopy for the five years 1996-2000, or 46 cubic ft. of microfilm for the twelve years 1988-2000). An additional consideration is a possible gap in the handbooks themselves, for 1982-1987, a time period that is covered by the cover letters. Therefore these cover letters are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: DHS Board meeting audio cassettes

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
6 cubic ft. at the agency. Retained by the agency as long as administratively valuable. Present holdings date 1983-2000.

Description:
These records consist of original audio cassettes recording Department of Human Services board meetings, dating 1983-2000.

Related series are Commissioner's Office: Board meeting agendas and minutes (agency item number 176), and Public Information: Board meeting coordination files (agency item number 595), which are also reviewed in this appraisal report.

Purpose:
DHS Board meeting audio cassettes are created as a record of the minutes of the board meetings, and are used to generate transcripts.

Transcripts themselves are part of the series Public Information: Board meeting coordination files (agency item number 595), but are not found in the series Commissioner's Office: Board meeting agendas and minutes (agency item number 176).

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.003, 21.0031, and 21.0032
See also 40 Texas Administrative Code, Part 1)
(V.T.C.A., Government Code, Chapter 551)

Arrangement: Chronological

Access Constraints: None

Use Constraints:
Listening to audio cassettes requires access to playback equipment.

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Audio cassettes of board meetings, 1976-1978, 1 cubic ft. (February 1989).

Publications based on records: None

Series data from agency schedule:
Title: DHS Board meeting audio cassettes
Series item number: NA [should be 1.1.060]
Agency item number: 498A
Archival code: R
Retention: AV

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
No audio cassettes of board meetings are found at the agency (or the State Archives) prior to 1983. Audio cassettes dating 1976-1978 were approved for destruction in 1989, and likely destroyed.

Appraisal Decision:
Audio cassettes are not considered a permanent medium, because of their fragility and tendency to degrade. The minutes of Board of Human Services meetings (agency item number 176), which also contain support documentation, are the official (and archival) record of those meetings. Therefore the Department of Human Services should replace the archival review code of "R" with the archival exemption code of "E" for this series, and should add the following statement to the Remarks Column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

However, the Department of Human Services should also be reminded that they have an obligation to deposit copies of all minutes and agenda of board meetings with the Archives and Information Services Division of the Texas State Library and Archives Commission, both past and future.

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Record Series Review
Series Title: Public service announcements and training videotape masters

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2 cubic ft.

Agency holdings:
40 cubic ft. at the agency. Retained by the agency as long as administratively valuable. Present holdings date 1984-2000.

Description:
These records consist of videotape masters describing programs, processes and procedures of the Department of Human Services, dating 1984-2000. These masters are produced from the series called Production files for video and related programs, which is unedited field video (agency item number 792), also reviewed in this appraisal report. Video formats include primarily Betacam FP, but also 1-inch (C-format) and -inch (U-matic). Examples of programs covered by this video include Long Term Care, Government Relations, Office of Program Integrity, and Management Information Systems.

Purpose:
Public service announcements and training videotape masters are created to describe the programs, processes and procedures of the Texas Department of Human Services, both for the general public and for DHS employees.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical by title

Access Constraints: None

Use Constraints:
Viewing videos in various formats requires access to a variety of playback equipment, some of which is not available at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Public service announcements and training videotape masters
Series item number: NA
Agency item number: 494
Archival code: R
Retention: AV

Archival holdings:
Deputy Commissioner for Services to Families and Children, Family Health Resources Division, Motion picture film and soundtrack tape for Family Planning films First Things First and Another Half, 1987, 4 cubic ft.
Administrative Services, Library, Films (16mm), filmstrip, slides, presentations prepared by DHS or other state agencies, 1971-1989 and n.d., 14 cubic ft.; Videotapes and slides, n.d., 5 cubic ft.; Videotapes and films, 1991-1992, 3 cubic ft.
These four groups of records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that all of these records can be discarded.

Gaps? None

Appraisal Decision:
Public service announcements and training videotape masters are media produced by the Texas Department of Human Services, designed for public outreach and employee training. Public outreach is well documented by press releases and speeches, both series that have been determined to be archival. Employee training is also extremely well documented by several archival series: microfilmed handbooks and handbook revisions, handbook revision cover letters, Executive Letters, and Information Letters. It is unlikely that either video public service announcements (PSAs) or training videos would add anything other than visual enhancement to our understanding of either of these functions. In addition, the media is unstable and impermanent, and requires playback equipment that may not always be available. Original art and photographs with releases, another archival series, may provide visual enhancement if desired. Still photography has obvious advantages over video in terms of conservation and use, given the obsolescence of much of the video technology. For all of these reasons, this series of videos is not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Production files for video and related programs

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 4 cubic ft.

Agency holdings:
86 cubic ft. of video, plus 6 cubic ft. of paper records. Retained by the agency for one year after the useful life of the program, then an additional 2 years at the State Records Center. Present holdings date 1984-2000.

Description:
These records consist mostly of unedited field video taken by Department of Human Services staff, and used to produce masters, with smaller amounts of related paper records. For those masters, see the series Public service announcements and training videotape masters (agency item number 494), also reviewed in this appraisal report. This video dates 1984-2000. Video formats include primarily Betacam FP, but also 1-inch (C-format) and -inch (U-matic). Examples of programs covered by this video include Long Term Care, Government Relations, Office of Program Integrity, and Management Information Systems.

Purpose:
Unedited field video is created to produce masters. See agency item number 494.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Production files for video and related programs
Series item number: 1.3.002
Agency item number: 792
Archival code: R
Retention: AC + 3

Archival holdings:
Chief of Information Services, Media Services Division, Production files (slides and videotapes?), 1987-1988, 1 cubic ft. [selected from 10 cubic ft.]
These records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that these records can be discarded.

Gaps? None

Appraisal Decision:
Production files for video and related programs is the unedited field video created to produce masters for another series, Public service announcements and training videotape masters, that has been appraised to be non-archival. Even if the final product were archival, the raw footage would have limited value, since it consists of extraneous, unsuitable, and/or duplicative visual material that is edited out in the final product. For both of these reasons, this series is not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Audiotape masters for slide show narrations and radio PSAs

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
2 cubic ft. at the agency. Retained by the agency as long as administratively valuable. Present holdings date 1975-1988 for slide show narrations, and 1984-2000 for radio public service announcements (PSAs).

Description:
These records consist of audio cassettes and reel-to-reel tape recordings describing the programs, processes and procedures of the Department of Human Services for public outreach. Dates covered include 1975-1988 for slide show narrations, and 1984-2000 for radio public service announcements (PSAs). Some examples of the topics of the slide shows include family violence, a DHS overview, and the Commissioner's office. Examples of the PSAs include food stamps and Alzheimers.

Purpose:
Audiotape masters for slide show narrations and radio PSAs are created to describe programs, processes and procedures of the Texas Department of Human Services for public outreach.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints:
Listening to audio cassettes requires access to playback equipment.

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Audiotape masters for slide show narrations and radio PSAs
Series item number: NA
Agency item number: 495
Archival code: R
Retention: AV

Archival holdings:
Chief of Information Services, Media Services Division, Audio recordings, 1974-1976, 25 audio cassettes, 17 reel-to-reel audio tapes
These records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that these records can be discarded.

Gaps?
At the agency, no slide show narrations are present prior to 1975 or since 1988; no radio public service announcements are present before 1984. The State Archives' holdings (whichever they are) date only 1974-1976.

Appraisal Decision:
Audiotape masters for slide show narrations and radio public service announcements (PSAs) are media produced by the Texas Department of Human Services, designed for public outreach and employee training. Public outreach is well documented by press releases and speeches, both series that have been determined to be archival. Employee training is also extremely well documented by several archival series: microfilmed handbooks and handbook revisions, handbook revision cover letters, Executive Letters, and Information Letters. It is unlikely that either radio PSAs or the soundtracks to slide presentations would add anything to our understanding of either of these functions. In addition, the media is unstable and impermanent, and requires playback equipment that may not always be available. For all of these reasons, this series of videos is not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Production files

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
4 cubic ft. according to agency staff (but see next paragraph). Retained by the agency until superseded or no longer used, then another 3 years at the State Records Center. Present holdings date 1991-2000, according to agency staff.

On September 5, 2000, the State Archivist received two requests from DHS to transfer records for archival review from a portion of this series, Production files for non-stock publications, 1989-1993, 12 cubic ft., and 1994 Annual Report, 1994-1995, 2 cubic ft. (both currently retained in the State Records Center).

Description:
These records consist of brochures, leaflets, booklets, posters, certificates, document covers, etc.; in other words, almost any printed product for the agency; excluding forms. The series includes "mechanicals" and other production masters including those stored and created through Macintosh software package. This series also includes production files for the annual reports. It does not include original art or photographs. Most are letter-size, but some are larger production dummies.

NOTE: This series had previously been listed as three separate series: Art production files (agency item number 496), Production files for stock publications (497), and Production files for non-stock publications (498).

Purpose:
These records are created to get information to the public and to internal staff in a manner that is aesthetically pleasing.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological, which is also numerical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Art production files
Series item number: 1.3.002
Agency item number: 496
Archival code: R
Retention: AV

Title: Production files for stock publications
Series item number: 1.3.002
Agency item number: 497
Archival code: R
Retention: AC + 3

Title: Production files for non-stock publications
Series item number: 1.3.002
Agency item number: 498
Archival code: R
Retention: AC + 3

Archival holdings:
Communication Services, Media and Policy Services, Production files for non-stock publications (annual reports), 1991-1993, 4 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that these records can be discarded.

Archival holdings of related records:
Administrative Services Division, Library records: administrative and vertical files, reports, organizational charts, manuals, grant applications, 1940-1995, 13 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. A cursory examination indicates the presence of a wide variety of DHS publications. E.g., "various pre-1977 agency pamphlets;" quarterly blue books, 1974-1995; annual reports, 1940, 1944; training manuals; reports on grants received, internal project reports; studies from within and outside the agency; some publications; etc.

Texas Document Collection holdings:
Publications produced by the Texas Department of Human Services are found in abundance, and include Annual Reports, Strategic Plans, Legislative Appropriation Requests, a Self-evaluation report to the Sunset Advisory Commission, and numerous other more specific publications. Examples of the last category include:
Public help for private people : a guide to services of the Texas Department of Human Resources (1978);
Directory of social workers certified by the Texas Department of Human Resources/ Human Services (1984, etc.);
You and the Texas Department of Human Services (1986);
Special report on issues related to the contract between the Texas Department of Human Services and the National Heritage Insurance Company for administration of Medicaid claims (1990);
A guide for volunteers (1991);
Contracting with the Texas Department of Human Services, Department of Business Services : a guide for businesses (1993).

Gaps?
No production files are identified prior to 1989.

Appraisal Decision:
Production files contain the layouts, mechanicals, and other production masters required to produce a wide variety of agency publications, which are widely disseminated. This series contains no original artwork or photographs. Although the publications themselves may have enduring value (many if not most are located in the holdings of either the Texas Document Collection or the State Archives), the files used to produce them do not. They are not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Original art and photographs with releases

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2 cubic ft.

Agency holdings:
49 cubic ft. at the agency. Retained by the agency for the useful life of the photograph or original artwork. Present holdings date 1973-2000.

Description:
These records consist of photographs for Department of Human Services publications, with related documentation (such as releases giving DHS permission to use images, and copyright waivers for DHS). They also include contact sheets, slides, negatives, prints and oversized prints. Dates covered are 1973-2000.

Purpose:
Photographs were created and collected to document the agency's history, programs, and staff. Releases were created to give permission to use images for publications, and to waive copyright.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological, which is also numerical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Original art and photographs with releases
Series item number: 1.3.002
Agency item number: 791
Archival code: R
Retention: AV

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
Still photographs are an ever-popular research item, documenting the work of a state agency in a way no textual records can. They add the human dimension to human services. The series under review here covers more than a quarter of a century. An added factor encouraging a positive appraisal decision is the existence of accompanying releases and waivers, although these are unfortunately specific to use by DHS. For all of these reasons, this series is archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

Because of the vagueness of the description given by agency staff concerning the topics of the photographs, the State Archives may weed through the images transferred by the Department of Human Services if it finds any not to be archival.

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Record Series Review
Series Title: Intended Use Report and supporting documentation

Agency: Texas Department of Human Services, Administrative Services: Media and Policy Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
1 cubic ft. at the agency, according to agency staff (but see the next paragraph). Retained by the agency for one year after the end of the federal fiscal year, then another 4 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1983-2000. If any grant is used to buy equipment, then the file is retained through the life of the equipment, plus three years (45 Code of Federal Regulations 74.20).

On September 5, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1983-1993, 2 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of Intended Use Reports written by the Texas Department of Human Services, for federal grants under Title XX, Social Services Block Grants, dating 1983-2000. They include proposed (i.e. draft) reports and supporting files.

Other state agencies (in addition to the Texas Department of Human Services) who are required by the federal government to create Intended Use Reports are: the Texas Department of Health, the Texas Department of Protective and Regulatory Services, the Texas Workforce Commission, the Texas Department of Mental Health and Mental Retardation, and the Texas Education Agency.

To quote from the FFY 1999 report: "This report shows how the funds received through the Title XX block grant for the 1997 program year may be used and explains how Title XX social services may be provided. The report includes program goals, descriptions of the services to be provided, the categories or characteristics of individuals to be served, and the geographic areas to be served."

Purpose:
Intended Use Reports and supporting documentation are created to describe what the Department of Human Services plans to do with federal Social Services Block Grants.

Agency Program:
The Texas Department of Human Services (DHS) is mandated by the Texas Legislature to provide medical, financial, and social services for children, adults, and low-income families in Texas. In conjunction with other health and human services agencies in Texas, the department attempts to meet the needs of these groups. The Governor has designated DHS to administer Title XX of the Social Security Act, Block Grants to States for Social Services. Although DHS is the Title XX block grant agency, actual expenditures for these services are, in some cases, the responsibility of other health and human service agencies.

Title XX was made a block grant by the Omnibus Budget Reconciliation Act of 1981, PL 97-35. Under this block grant, the state can provide social services directed at the goals of Title XX and can make expenditures for administration and training.

The department's provision of the services is subject to the availability of state and federal funds. In the event funds are totally or partially unavailable, the department will reduce the described services accordingly. In some service descriptions, reference is made to activities which are funded from other federal funding sources, such as Title IV-A, Title V, Title X, Title XIX, Title IV-E, or Title IV-B. These references to non-block grant services are to give the reader additional information on programs using more than one funding source.

Administrative Services (now a part of Business Services) is a part of Support Services Division, whose Deputy Commissioner reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records:
The Intended Use Reports are published.

Internet pages based on records:
Intended use reports for FFY 1996, FFY 1997, FFY 1998, and FFY 1999 are published on the Internet by the Budget Management Services Division of the Texas Department of Human Services: http://bms.dhs.state.tx.us/Reports/r&s.htm#TitleXX. [URL is no longer valid, November 2006.]

Series data from agency schedule:
Title: Intended Use Report and supporting documentation
Series item number: 1.1.067
Agency item number: 793
Archival code: R
Retention: FFE + 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Texas Document Collection holdings:
Texas Department of Human Resources. Intended Use Report for Low-Income Home Energy Assistance Program Block Grant, FFY 1984.
Texas Department of Human Resources. Intended Use Reports, Title XX Social Services Block Grant, FFY 1986 thru FFY 1994

Gaps? None

Appraisal Decision:
Intended Use Reports document a very important relationship between the federal and the state administrations of welfare programs. They are significant enough to publish online as well as in print. The relatively small size of this series suggests to me that the supporting documentation is minimal. For all of these reasons, the reports in this series are archival; the supporting documentation is not archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records. But it should also amend the Remarks column by adding the following: "The archival requirement will be met by sending required copies of each report to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.2 and 3.3)."

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Record Series Review
Series Title: Speeches

Agency: Texas Department of Human Services, Public Information

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
0.5 cubic ft. Retained by the agency as long as they are administratively valuable, plus 2 additional years. Present holdings date 1989-2000.

Description:
These records consist of written texts of speeches given by the Commissioner of Human Services and other executive staff, or by the board chairman, to the public during public meetings or during conferences, or to other human services groups. They date 1989-2000.

Additional speeches are found in the series Commissioner's office: Executive administrative files (agency item number 177), 1982-2000, which is also reviewed in this appraisal report.

Purpose:
Speeches are created to inform and educate the general public and interested citizens and human services professionals regarding the work of the Department of Human Services.

As of April 1999, Public Information is one of six departments under the Associate Commissioner of Government Relations, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.015
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Speeches
Series item number: 1.1.040
Agency item number: 592
Archival code: R
Retention: AV + 2

Archival holdings:
Office of the Commissioner, Speeches of Raymond W. Vowell, 1971-1977, 0.6 cubic ft.
These unprocessed records mostly contain speeches of Commissioner of Public Welfare Raymond Vowell, 1971-1977, dealing with social services generally and the administration of social service programs. The speeches were given to various audiences, including the agency itself, legislators, other social service professionals, and during investigations. Typescripts contain many marginal notes.

Gaps?
No speeches are found as a separate series prior to 1971, or between 1978 and 1989.

Appraisal Decision:
Perhaps more than most state agencies, the Department of Human Services is the target of intense public interest and scrutiny by politicians and citizens alike. Speeches by persons at the top of the DHS administration help to document the ways in which the agency attempts to positively affect public perceptions of its goals, tactics, size, and organization. Those speeches are therefore archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Press releases

Agency: Texas Department of Human Services, Public Information

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
4 cubic ft. Retained by the agency for 2 years after no longer useful (according to the Remarks column). Present holdings date 1993-2000.

Description:
These records consist of news or press releases issued by the Department of Human Services concerning the agency's programs and activities, dating 1993-1999.

Purpose:
Press releases are created to inform the public of the programs and activities of the Department of Human Services.

As of April 1999, Public Information is one of six departments under the Associate Commissioner of Government Relations, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.015
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: Retention period should be changed to "AV + 2" to reflect agency practice.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Press releases
Series item number: 1.1.019
Agency item number: 593
Archival code: R
Retention: 2

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission as a separate series. Press releases are often found as part of other archival accessions, however.

Gaps?
No press releases are found as a separate series prior to 1993; earlier press releases are probably to be found in other record series, as for example Commission's office: Executive administrative files.

Appraisal Decision:
Press releases outline and illuminate the outreach efforts of the Department of Human Services, a function that (as we have argued with speeches) is particularly important to document for this agency. The press releases of such a high-profile state agency are therefore archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Board meeting coordination files

Agency: Texas Department of Human Services, Public Information

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
10 cubic ft. Retained by the agency permanently. Present holdings date 1972-2000.

Description:
These records consist of Department of Human Services board meeting files, containing agenda, agenda items, transcripts of meetings, and coordination copies (written materials presented at each board meeting), dating 1972-2000. "Coordination copies" appears to refer to supporting documentation, although that is unclear.

Related series are Commissioner's Office: Board meeting agendas and minutes (agency item number 176), and Administrative Services: Media and Policy Services: DHS Board meeting audio cassettes (agency item number 498A), which are also reviewed in this appraisal report.

Purpose:
Board meeting coordination files are created in preparation for the meetings of the Board of Human Services, and are retained permanently as a backup to board meeting minutes.

As of April 1999, Public Information is one of six departments under the Associate Commissioner of Government Relations, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.003, 21.0031, and 21.0032, and 21.015
See also 40 Texas Administrative Code, Part 1)
(V.T.C.A., Government Code, Chapter 551)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Board meeting coordination files
Series item number: 1.1.062
Agency item number: 595
Archival code: A
Retention: PM

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
No Board meeting coordination files are found prior to 1972.

Appraisal Decision:
Board meeting coordination files appear to correspond to supporting documentation, and are therefore partially duplicative of the minutes of Board of Human Services meetings (agency item number 176), which also contain supporting documentation, and are the official (and archival) record of those meetings. (The purpose of coordination files is stated as including a "backup" function.)

Transcripts of meetings (which are included in the description of coordination files) are not included in the agendas and minutes series. Transcripts (if produced) are occasionally considered archival, but normally not if the minutes thoroughly document the meetings of a board. Minutes and approved and signed, and therefore authoritative. Minutes are also usually easier to consult than transcripts.

Therefore the Department of Human Services should replace the archival code of "A" with the archival exemption code of "E" for this series, and should add the following statement to the Remarks Column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

It should be emphasized that this appraisal decision is based on the fact that support documentation is considered part of the minutes and agenda, and that the agency must transfer copies of those records (both past and future) to the Archives and Information Services Division of the Texas State Library and Archives Commission.

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Record Series Review
Series Title: Annual narrative report

Agency: Texas Department of Human Services, Public Information

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
3 cubic ft. Retained by the agency permanently. However, present holdings date 1970-1999.

Description:
These records consist of the annual reports of the Department of Human Services, dating 1970-1999. These reports present data and information regarding the agency's activities and progress of programs that affect its constituents/customers.

The 1999 annual report is divided into the following sections: board chair's message; agency history; welfare reform; long-term care; legislation, projects, and administration; services provided; commissioner's report; and statistics.

Agency retains a permanent copy for its historical file and sends required copies to the Texas State Publications Depository Program, Texas State Library and Archives Commission.

Purpose:
These records are created to present an annual report of the fiscal and non-fiscal activities of the Department of Human Services to the Governor and the Legislature, as required by law.

Agency Program:
The Department of Human Services is required by law to submit to the governor and legislature annually "a full report on the operation and administration of the department together with … recommendations for changes."

As of April 1999, Public Information is one of six departments under the Associate Commissioner of Government Relations, who reports directly to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.011, and 21.015
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publication development files, initial drafts, Annual Report, 1993, 2 cubic ft. (destruction request initiated by Texas State Archives, approved January 1999).

Publications based on records: None; the annual report is a publication.

Internet pages based on records:
The 1999 annual report of the Department of Human Services is located online, at:
http://www.dhs.state.tx.us/publications/AnnualReport/index.html. [URL is no longer valid, November 2006.]

Series data from agency schedule:
Title: Annual narrative report
Series item number: 1.1.066
Agency item number: 661
Archival code: A
Retention: PM

Archival holdings:
Texas Relief Commission (Division of State Board of Control), Report of Works Division Activities, April 1, 1934-July 1, 1935 (catalogued in Texana Collection of books)

Administrative Services Division, Library records: administrative and vertical files, reports, organizational charts, manuals, grant applications, 1940-1995, 13 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. A cursory examination suggests that there are annual reports in this accession dating 1940 and 1944, plus some for the Board of Control from the late 1930s.

Legal Services, Old DPW annual reports, 1942-1969, 1 cubic ft. (out of a larger accession of 37 cubic ft.)
Media and Policy Services, Production files for non-stock publications (annual reports), 1991-1993, 4 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that all of these records can be weeded, and any annual reports duplicated in the Texas Documents Collection can be discarded.

Texas Documents Collection holdings:
Texas Department of Public Welfare, Annual Reports (catalogued separately from DHS), 1943-1976. (Those for 1943-1948 cover fiscal years; those for 1949-1976 cover calendar years.)
Texas Department of Human Resources, Annual Reports, 1977-1985.
Texas Department of Human Services, Annual Reports, 1986, 1988-1998.

(The records retention schedule has the following incorrect remark under Reports - annual and biennial agency (non-fiscal) (agency item number 652): "Publications Clearinghouse has these from 1947 to present." They actually begin in 1943. This series, however, should be deleted from the agency's schedule as redundant.)

Gaps?
No annual report for the Department of Public Welfare exists for1939 or 1941. The Texas Documents Collection is missing a report from 1987.

Appraisal Decision:
Annual narrative reports provide an excellent source of summary information about an agency's activities over time, and are considered archival. The Texas Department of Human Services should continue to use "A" as the archival code for these records. The Remarks column should be corrected, from "Agency retains permanent copy for historical file and sends required copies to the Publications Clearinghouse, Texas State Library" to the following: "Agency retains permanent copy for historical file. The archival requirement will be met by sending required copies to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.4(1)(A)." However, the record series Reports - annual and biennial agency (non-fiscal) (agency item number 652) should be deleted, as redundant.

If possible, the Texas Department of Human Services should transfer one extra copy of the annual report dated 1987 to the Archives and Information Services Division of the Texas State Library and Archives Commission, to fill in gaps in the Texas Documents Collection.

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Record Series Review
Series Title: Division uniform administrative subject/correspondence files

Agency: Texas Department of Human Services, Management Information Systems

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2-3 cubic ft.

Agency holdings:
2 cubic ft., according to agency staff. Retained by the agency for one year after the end of the fiscal year, then 4 years at the State Records Center. Present holdings date 1998-2000, according to agency staff.

Description:
These records consist of administrative correspondence and information, both internal between Management Information Services (MIS) staff and other DHS division staff, and interagency, dating September 1998-2000. The correspondence and information concerns projects, applications development, feasibility studies, problems with existing software/ hardware/systems, network services, and production services.

Purpose:
These records are created in the process of the daily administration of the business of the Office of Management Information Systems, which supports effective, efficient service delivery and agency administration by providing systems development, data network, and computer operation services for 20,000 users in DHS and other health and human service agencies.

Agency Program:
The Department of Human Services' Office of Management Information Systems supports effective, efficient service delivery and agency administration by providing systems development, data network, and computer operation services for 20,000 users in DHS and other health and human service agencies.

The Deputy Commissioner of Management Information Systems reports to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alpha-numerical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Access Constraints: None

However, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1990-1994, 37 cubic ft. (currently retained in the State Records Center). Records dating 1990-1994, 32 cubic ft., are coded as confidential on these requests; records dating 1990-1991, 5 cubic ft., are coded as open.

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Financial Management Information System administrative files, 1987-1988, 1 cubic ft. (November 1991);
Management Information Systems purchase, inventory, and distribution documentation, [19--]-1983 (January 1992);
Request for Management Information Systems services, 1974-1983 (February 1992).

Publications based on records: None

Series data from agency schedule:
Title: Division uniform administrative subject/correspondence files
Series item number: 1.1.007
Agency item number: 611
Archival code: R
Retention: FE + 5

Archival holdings:
Office of Planning and Management Systems, Deputy Commissioner's files, 1965-1977 (bulk 1972-1976), 36.9 cubic ft.
Records consist of correspondence and memoranda; reports (especially status, activity, budget, statistical, conference and trip reports for the various bureaus); agenda and minutes of meetings; and copies of both federal and state legislative bills. Also present are newsclippings, manuals, brochures, proposals, newsletters and bulletins. Records range in date from 1965 to 1977 with the bulk of the records being dated from l972 to l976 coinciding with Deputy Commissioner Robert Nakamoto's tenure at the DPW. (A few 1977 records from his successor Dave England are also present.) Records are largely the subject files of Mr. Nakamoto and reflect intradepartmental, executive level activity between the Commissioner, the Deputy Commissioner, and the Chiefs and executive staff of the various Bureaus and Divisions as well as communications on a federal level, with comparable departments in other states and with other organizations and individuals. Records document technical developments within the department (especially the acquisition and implementation of computer systems), budgetary matters and the administration and status of DPW programs and projects.

Office for Information Systems, Subject files, 1978-1980, 7 cubic ft.
These records consist of correspondence and memoranda; reports (especially status reports, activity reports, budget reports, statistical reports, and trip reports for the various Bureaus); agenda and minutes of meetings of advisory committees, task forces, the Executive Committee of the American Public Welfare Association, etc.; mailing lists; newspaper clippings; brochures, newsletters, and other publications; copies of legislation and administrative rules; etc. These files are alphabetical subject files relating to the work of the Office for Information Systems, for fiscal years 1979 and especially 1980 (September 1978-August 1980). Arrangement is alphabetical by subject.

Deputy Commissioner for Information Systems, Assistant Commissioner for Systems Development, Administrative files, 1982-1984, 1 cubic ft.
These records consist of memoranda and correspondence, especially concerning the five divisions; status reports, feasibility studies, and planning documents for the Office of Advanced Office Systems; the Office of Information Systems (OIS) Long-Range Plan submitted to the Automated Information Systems Advisory Council in September 1982; the State Auditor's Annual Report to Budget Authorities for FY 1983; monthly OIS training statistics; copies of legislation; and memos and newsletters for the American Public Welfare Association, the Texas Association of State Supported Computer Centers, and USE, Inc. Dating 1982-1984, they are the administrative files of the Office for Systems Development, mainly for fiscal year 1983. Arrangement is topical according to the Uniform Administrative Filing System which the agency adopted in fiscal year 1983.

Deputy Commissioner for Information Systems, Assistant Commissioner for Systems Development, Medical Systems Division, Administrative files, 1976-1982, 1.94 cubic ft.
These records consist of correspondence and memoranda to and from, and to the attention of, Medical Systems Division staff; reports, both narrative and statistical; copies of federal regulations; forms; printouts; etc., dating 1976-1982. They are the administrative files of the Medical Systems Division. The contents of the records seem to include both complex systems documentation and routine systems housekeeping records. Of particular interest are action item requests (1980-1982); weekly status reports for the Office of Information Systems' Office for Systems Development and Office for Information Processing (1981-1982); and weekly status reports for the Medical Systems Division (1982). Arrangement is topical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Deputy Commissioner for Information Systems, Administrative files, 1973-1978, 15 cubic ft.; Library files, [19--]-1979, 3 cubic ft.; Administrative files, 1980-1981, 7 cubic ft.; Administrative files, 1981-1982, 16 cubic ft.; Administrative files and correspondence, 1983, 9 cubic ft.; Administrative files, 1985-1986, 8 cubic ft.
Deputy Commissioner for Information Systems, Office of Information Management, Administrative files, 1985-1989, 2 cubic ft.
These seven groups of records are part of a backlog that has not been described in any Archives finding aid.

The Archives' appraisal of the records of the Texas Department of Human Services concludes that this series (as it now exists) is not archival. However, there is concern that earlier records of this series, now in the holdings of the State Archives, may contain archival material, particularly since DHS was a pioneer and innovator in the use of automation to accomplish its goals. Consequently, the records listed above (totaling more than 106 cubic ft.) will not be discarded automatically, but will be carefully reviewed and appraised by appraisal staff as time permits.

Gaps?
Records for 1990-1997 are unaccounted for.

Appraisal Decision:
Division uniform administrative subject/correspondence files for the Office of Management Information Systems documents the everyday business of the office in charge of information technology at the Department of Human Services. Because of its size and complexity, DHS has relied on automation probably more than most agencies for meeting its goals and carrying out its overall mission. Nevertheless, the documentation of automation in any given agency (except for the Department of Information Resources) does not merit permanent retention; the archival focus should be on the programs themselves, not the mechanics. Therefore these records are not archival.

Since this is a series which was originally a generic, agency-wide series that carried an archival review code, the Texas Department of Human Services should list this series (for this office) separately on the agency records retention schedule. The Texas Department of Human Services should then change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Division uniform administrative subject/correspondence files

Agency: Texas Department of Human Services, Management Information Systems - Millennium Project

Obsolete record series? Yes
Replaced by: Not applicable

Ongoing record series? No

Agency holdings:
94 cubic ft. Retained by the agency for one year after the end of the fiscal year, then 4 years at the State Records Center. Present holdings date 1996-2000.

Description:
These records consist of documents and correspondence associated with the Department of Human Services' agency level Y2K (Year 2000 Problem) remediation effort. These records date January 1996-March 2000. They document contract management, programming standards, test management, and problem resolution for the enterprises trading partner interaction.

Purpose:
These records were created in the course of the Department of Human Services' Y2K remediation effort, to make sure that all agency software and systems operated properly after January 1, 2000, when a widely-predicted set of problems could occur due to improper coding of dates to include only two digits for the year.

The Year 2000 (Y2K) Program, also known as the "Millenium bug," has been defined as "The pervasive problem that many applications are designed to handle only 20th-century dates -- dates that begin with "19." For example, most programs represent dates in the form MM-DD-YY, so the date 10-05-96 is October 5, 1996. But what about the date 10-05-05. Is that 1905 or 2005? There is no way to distinguish between these two dates." (http://webopedia.internet.com/TERM/Y/Year_2000_problem.html) [URL is no longer valid, November 2006.]

The Deputy Commissioner of Management Information Systems reports to the Executive Deputy Commissioner.

The Millennium Project closed March 30, 2000.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alpha-numerical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Division uniform administrative subject/correspondence files
Series item number: 1.1.007
Agency item number: 611
Archival code: R
Retention: FE + 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
It seems incomprehensible that an issue so ubiquitous and so controversial as the Millenium computer crisis of the year 2000 would not be adequately documented in a multitude of different archival records. In fact, the Department of Human Services' Annual Report for 1999 contains a very brief summary. Executive administrative files and Press releases are two other likely sources of summary information. Perhaps one would feel differently if the chaos that some predicted had ensued, but it did not. At any rate, 94 cubic ft. of records does not seem to be necessary to permanently commemorate the remediation effort for one agency, even if that agency is the biggest and most complex in the state. These records are not archival.

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Record Series Review
Series Title: Division uniform administrative subject/correspondence files

Agency: Texas Department of Human Services, Office of Program Integrity

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 6 cubic ft.

Agency holdings:
10 cubic ft. Retained by the agency for one year after the end of the fiscal year, then 4 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1998-2000.

Description:
These records consist of correspondence, assignments, and other records comprising the administrative files of the Deputy Commissioner for Program Integrity, dating 1998-2000. The correspondence is between the deputy commissioner and agency staff and other agency commissioners regarding reports, both narrative and statistical. Also included are agenda, discussions, and recommendations of meetings of the Board of Human Services.

Purpose:
These records are created in the process of the daily administration of the business of the Office of Program Integrity (OPI). OPI works to provide a comprehensive, integrated approach to service excellence by preventing errors and fraud in DHS programs and by strengthening quality, accountability, and public confidence in the delivery of human services.

Agency Program:
The Department of Human Services' Office of Program Integrity (OPI), created in 1997, ensures the integrity of benefits provided through data collection and analysis, fraud investigation, and claims establishment and collection. Program Integrity is also responsible for fostering quality care in long-term care facilities through the licensing and regulation of nursing facility administrators, nurse aides, and medication aides. The Office of Program Integrity consists of three units: Office of the Inspector General (OIG) Field Investigations, Quality Assurance, and Credentialing. The credentialing function was transferred from the Texas Department of Health effective September 1, 1997 (Senate Bill 84, 75th Legislature, Regular Session).

In 1974, the Texas Department of Human Resources created an Investigations Division, to conduct investigations concerning alleged abuse of persons subject to the Department's protective services, and concerning alleged welfare fraud. The Administrator of the Investigations Division was redesignated Investigator General in 1981; the Department also created an Auditor General, who operated separately. In 1984, both functions were combined in the Office of the Inspector General, composed of an Investigation Division and an Audit Division. By January of 1983, the Investigations Division maintained 16 units, located in 12 major Texas cities, with an average size of five investigators per unit. During fiscal year 1983, the Office conducted over 10,400 investigations of suspected fraud, of which approximately two-thirds were in the Food Stamp program. About 30-40% of the investigations determined that no fraud had occurred.

The Quality Assurance Bureau of the Office of the Deputy Commissioner for Health Care Services was created in December 1981. Its Chief supervised three divisions: the Fraud and Abuse Division, the Compliance Monitoring Division, and the Explanation of Benefits Monitoring Division.

As of April 1999, the Deputy Commissioner of Program Integrity reports to the Executive Deputy Commissioner, who reports to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 22.026-22.028; Chapter 31, 31.0325; Chapter 32, 32.032; Chapter 33, 33.0022-33.0023; Chapter 36
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alpha-numerical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Investigations: case records closed, [19--]-1983; with no fraud found, closed pre-1981, unknown volume (February 1986)
Office of Inspector General, correspondence, 1973-1982, 5 cubic ft. (October 1987);
Quality Assurance Bureau, SURS Reports, 1981-1982, 50 cubic ft. (October 1987)
Quality Assurance Bureau, Program Review Council records, 1978-1981, 20 cubic ft. (October 1987)
Fraud investigation case record files, 1983-1984, 1 cubic ft. (January 1990)
Quality Assurance surveillance and utilization review system reports, 1984-1985 (April 1991)
Quality Assurance surveillance and utilization review reports, [19--]-1986 (August 1991)
Quality Assurance fraud investigations, [19--]-1985 (August 1991)
Health Care Services fraud investigations, [19--]-1986 (August 1991)
Client Self-Support Services quality control and other automation files, 1981-1984, 4 cubic ft. (December 1991)
Investigation Division fraud cases, [19--]-1986 (December 1991)
Program Review and Evaluation, Quality Control AFDC, food stamp, and Medicaid cases, [19--]-1985 (January 1992)
Medical investigation cases on client fraud and abuse, 1985-1987 (January 1992)
Inspector General fraud disqualification records, [19--]-1986 (February 1992)
Medicaid quality control positive and negative cases and universe lists, [19--]-1987 (February 1992)

Publications based on records: None

Series data from agency schedule:
Title: Division uniform administrative subject/correspondence files
Series item number: 1.1.007
Agency item number: 611
Archival code: R
Retention: FE + 5

Archival holdings:
Office of the Inspector General, Administrative files, 1982-1984, 7.47 cubic ft.
These records contain memoranda and correspondence, with attachments; reports, both narrative and statistical; agenda, discussions, and recommendations of meetings of the Board of Human Resources; publications; forms; etc. They consist of administrative files of the Office of the Inspector General for fiscal years 1983 and 1984 (1982-1984). Arrangement is first by fiscal year, and then by topic according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Office of the Inspector General, Administrative files, 1984-1985, 5 cubic ft.; Administrative files, 1986, 5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Office of Deputy Commissioner for Health Care Services, Quality Assurance Bureau, Administrative files, 1977-1985, 11.47 cubic ft.
These records include memoranda and correspondence to and from, and copies directed to, William D. Medford, Jr., and his staff; reports, both narrative and statistical; copies of federal and state laws and regulations; interagency contracts and memoranda of understanding; agenda, summaries, and minutes of meetings; newsletters and other publications; etc., all either reflecting or affecting the activities of the Quality Assurance Bureau and its divisions. They consist of administrative files of the Quality Assurance Bureau of the Office for Health Care Services, primarily for fiscal years 1982 (1981-1982), 1983 (1982-1983) and 1985 (1984-1985). The records are arranged roughly chronologically (by fiscal year), and therein topically, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983. Of particular interest in records for fiscal year 1982 are management reports of the Quality Assurance Bureau (1979-1982, also in fiscal year 1983); surveillance and utilization review subsystem (SURS) reviews (1979-1982); restitution and recoupment monthly reports (1979-1982, and also in fiscal year 1985); lists of providers on review (1977-1982); and correspondence concerning the federal Omnibus Reconciliation Act (1981). Of particular interest in records for fiscal year 1983 is a voluminous review of utilization control activities for Title XIX services, prepared by the Compliance Monitoring Division of the Quality Assurance Bureau (June 1, 1983); and provider summary sheets for fraud and abuse cases presented to the Provider Review Council (1982-1983). Of particular interest in records for fiscal year 1985 (which also contain some records dating back to 1979) are the hyperalimentation files (1979-1984); cost containment/ avoidance files; reprocess and pay system (RAPS) reports (1984); case action request tracking system (CARTS) weekly status reports (1984-1985); the National Heritage Insurance Company (NHIC) reports; and its surveillance and utilization review subsystem (SURS) reports.

Office of Deputy Commissioner for Health Care Services, Quality Assurance Bureau, Administrative files, 1985, 6 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Fraud and Surveillance Division, Central files, 1985-1987, 5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
Records for 1988-1997 are unaccounted for. (Archival holdings end in 1987, and agency holdings supposedly begin in 1998.)

Appraisal Decision:
Division uniform administrative subject/correspondence files for the Office of Program Integrity document several of the key functions of the Department of Human Services, namely to maintain the highest quality of services, to keep errors to a minimum, and to prevent fraud in the administration of its programs. One of the major criticisms of public welfare programs, at both the federal and the state levels, is their vulnerability to fraud. Public accountability requires that efforts be made to achieve welfare reform, and these records document those efforts. Therefore they are archival.

Once the Department of Human Services transfers to the State Archives the series of Program Integrity Reviews called Office of Program Integrity: Reports and studies - final (agency item number 635), which are also appraised as archival in this appraisal report, the appraisal staff may reappraise the administrative correspondence to determine whether this office's functions are not sufficiently documented by those Program Integrity Reviews.

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Record Series Review
Series Title: Reports and studies -- final

Agency: Texas Department of Human Services, Office of Program Integrity

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 6 cubic ft.

Agency holdings:
10 cubic ft. Retained by the agency for one year, then another 2 years at the State Records Center. Present holdings date 1998-2000.

Description:
These records consist of Program Integrity (PI) Reviews which are sent to regional administrators, regional directors, deputy commissioners, Regional Operations, and Service Improvement Plan (SIP) coordinators; plus related correspondence, dating September 1998-2000. There are 20 reports done every fiscal year. The review of each office is a narrative report; accompanying notes and case readings are mainly statistical. One report is compiled for each regional office, and one combined report is compiled and maintained at the state office in Austin. PI Reviews are not summarized anywhere else.

Purpose:
These records are created to complete an independent assessment of program performance in local TDHS offices. Program Integrity (PI) Reviews are conducted by Risk Assessment staff in the Office of Program Integrity. In addition to providing a means to examine statewide priority review areas, PI reviews comply with Food Stamp program regulations established by the Food and Nutrition Service (FNS) of the United States Department of Agriculture.

Agency Program:
The Office of Program Integrity (OPI), created in 1997, ensures the integrity of benefits provided through data collection and analysis, fraud investigation, and claims establishment and collection. Program Integrity is also responsible for fostering quality care in long-term care facilities through the licensing and regulation of nursing facility administrators, nurse aides, and medication aides. The Office of Program Integrity consists of three units: Office of the Inspector General (OIG) Field Investigations, Quality Assurance, and Credentialing. The credentialing function was transferred from the Texas Department of Health effective September 1, 1997 (Senate Bill 84, 75th Legislature, Regular Session).

As of April 1999, the Deputy Commissioner of Program Integrity reports to the Executive Deputy Commissioner, who reports to the Commissioner.

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? 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 Texas Department of Human Services, and none were found for this series or for equivalent or related series (other than those listed in the Record Series Review for Division uniform administrative subject/correspondence files of the Office of Program Integrity).

Publications based on records: None

Series data from agency schedule:
Title: Reports and studies -- final
Series item number: 1.1.067
Agency item number: 635
Archival code: R
Retention: 3

Archival holdings of related records:
Office of the Inspector General, Administrative files, 1982-1984, 7.47 cubic ft.
Office of Deputy Commissioner for Health Care Services, Quality Assurance Bureau, Administrative files, 1977-1985, 11.47 cubic ft.
Both of these groups of records, described in an earlier Record Series Review under archival holdings of Division uniform administrative subject/ correspondence files of the Office of Program Integrity, contain reports.

Gaps?
No records are apparently found for 1997, the year the Office of Program Integrity was created.

Appraisal Decision:
Program Integrity Reviews document most of the major functions of the Office of Program Integrity. The public has a genuine and legitimate concern for the effectiveness of the programs of the Department of Human Services, and the agency's ability to avoid and/or correct welfare fraud. These reports address those issues, and contain information that is not summarized elsewhere. These records are open, whereas Regional administrative records (agency item number 162) are confidential. Therefore, for all of these reasons, these records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

The title of this series should be changed to Program Integrity Reviews, and the agency item number should be changed from 635, which is used elsewhere for the generic series "reports and studies - final."

Once the Department of Human Services transfers to the State Archives this series of Program Integrity Reviews, the appraisal staff may reappraise them to determine whether all of the regional reports are archival, or perhaps simply the combined report. In addition, the appraisal staff may reappraise another series appraised as archival in this appraisal report, Office of Program Integrity: Division uniform administrative subject/correspondence files (agency item number 611), to determine whether this office's functions are not sufficiently documented by the Program Integrity Reviews.

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Record Series Review
Series Title: Test files for NFA

Agency: Texas Department of Human Services, Office of Program Integrity/ Credentialing: Education

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
3 cubic ft. at the agency. Retained by the agency until purpose is served. Present holdings date 1994-2000, according to agency staff.

However, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1977, 1983-1987, 3 cubic ft. (currently retained in the State Records Center).

In addition, on November 10, 2000, the State Archivist received a request from DHS to transfer records for archival review from a related series (currently retained in the State Records Center), for which no appraisal information was submitted: Administrative correspondence files for NFA [Nursing Facility Administrators], 1969-1996, 31 cubic ft. These records seem to include name files, meeting files (1969-1989), exams (1989-1992), and investigations.

Description:
These records consist of test materials from a test created by the Texas Department of Human Services for applicants seeking to become Nursing Home (or Facility) Administrators (NFAs). Dates covered are 1994-2000. The files include test results, sign-in sheets, original test copies, keys, pass/fail letters, and scores from a national exam.

Purpose:
These test files are created to test the necessary knowledge and skills of individuals who want to become Nurse Home Administrators.

Agency Program:
The Office of Program Integrity (OPI), created in 1997, consists of three units: Office of the Investigator General (OIG) Field Investigations, Quality Assurance, and Credentialing. The credentialing function, which was transferred from the Texas Department of Health effective September 1, 1997 (Senate Bill 84, 75th Legislature, Regular Session), includes licensing nursing facility administrators (NFAs) and issuing credentials to nurse aides and medication aides working in long-term care facilities.

The Texas Board of Nursing Facility Administrators (originally created in 1969 as the Board of Licensure for Nursing Home Administrators, and administrated by the Texas Department of Health) gave the Texas State Standards Examination and the National Board of Examiners for Nursing Facility Administrators, Inc., Examination four times a year, until 1997, when the board was abolished and the functions transferred to the Department of Human Services. (40 Texas Administrative Code, 18.5(c))

As of April 1999, the Deputy Commissioner of Program Integrity reports to the Executive Deputy Commissioner, who reports to the Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22; Chapter 32, 32.043
See also 40 Texas Administrative Code, Part 1, especially Chapter 18)

Arrangement: Chronological/numerical

Access Constraints:
Test items developed by a licensing agency are confidential (V.T.C.A., Government Code, 552.122). Social Security Numbers of applicants for a license are confidential (V.T.C.A., Occupation Code, 51.251).

However, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1977, 1983-1987, 3 cubic ft. These records had originally been coded as Confidential, but are now coded as Open.

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Test files for NFA
Series item number: NA
Agency item number: 826
Archival code: R
Retention: 12

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
The agency has no test files prior to 1994.

Appraisal Decision:
The Nursing Facility Administrators (NFA) test items themselves are confidential, and there is nothing else in this series that would have any long-term, archival value. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Building plans/specifications

Agency: Texas Department of Human Services, LTC: Regulatory: Architectural

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 2 plans

Agency holdings:
5 roll boxes at the agency, plus an additional 662 roll boxes at the State Records Center. Retained by the agency until no longer administratively valuable, then another 50 years at the State Records Center; purged 3 years after a facility closes. Present holdings date 1971-2000.

Description:
These records consist of copies of blueprints of Long Term Care (LTC) facilities: adult day care facilities, nursing homes, personal care homes, maternity homes, and mental retardation facilities. Dates covered are 1971-2000. The originals are owned by the architects (all non-DHS employees).

Purpose:
These records are created in the process of building a Long Term Care facility; they are used afterwards for renovations and to help rectify any structural problems.

Agency Program:
The Long-Term Care Regulatory (LTC-R) Office operates to license, survey, and certify long-term care facilities for Medicaid and Medicare funding. Its regulation applies to nursing facilities, intermediate care facilities for mentally retarded persons, adult daytime health care facilities, and personal care homes. LTC-R staff members investigate reports of unlicensed facilities, and complaints of abuse, neglect, and noncompliance with quality-care requirements, and may impose penalties and sanctions.

As of April 1999, the Associate Commissioner of Long Term Care Regulatory reports to the Executive Deputy Commissioner, who reports to the Commissioner. The office has three departments, headed by the following: Director of Central Operations, Director of Field Operations, and Liaison of Intergovernmental Relations. The Architectural program was merged into LTC Regulatory.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 22.014
V.T.C.A., Health and Safety Code, Chapter 242, 242.037(e)(1)
See also 40 Texas Administrative Code, Part 1, especially 96.1-96.8)

Arrangement:
According to agency staff, these files are in no particular order.

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Building renovation records, [19--]-1983, 17 cubic ft. (April 1988)

Publications based on records: None

Series data from agency schedule:
Title: Building plans/specifications
Series item number: 5.2.003
Agency item number: 737
Archival code: R
Retention: AV + 50 (LA + 3)

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
This series, consisting of copies of blueprints of Long Term Care facilities, presents an appraisal dilemma. On the surface it would seem that historical preservationists would rarely be interested in the rather large number of adult day care facilities, nursing homes, personal care homes, maternity homes, and mental retardation facilities under the regulatory jurisdiction of the Department of Human Services. (There are 1,300 nursing facilities alone.) The majority of these buildings are probably not old, nor architecturally interesting, nor historically significant. Furthermore, the buildings are not owned by the state, and the architects own the original blueprints (which are not being appraised here).

On the other hand, old buildings were once new. Historians and historical preservationists are increasingly interested in utilitarian buildings, even ugly ones. And some of these buildings may even now be older, significant buildings with a new purpose. Given the long retention period of these building plans and specifications (50 years after no longer administratively valuable, or three years after the facility is closed), it is unlikely that there will be a massive number at any one time ready for transfer to the State Archives and further appraisal.

For all of the reasons in the preceding paragraphs, the appraisal committee can make no blanket determination of archival value for this series. The Texas Department of Human Services must retain the archival review code of "R" for building plans and specifications. Then when the retention period has expired, the Long Term Care Regulatory staff (coordinating with the agency's records management staff) needs to contact the State Archives for archival appraisal of those files ready to be reviewed and possibly transferred. The LTC staff should be ready to provide input on the possible value of each set of building plans, advice which will be gratefully received by the appraisal staff.

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Record Series Review
Series Title: Life Safety Code/construction/inspection

Agency: Texas Department of Human Services, LTC: Regulatory: Architectural

Obsolete record series? Yes
Replaced by: (Merged with) Facility licensing and certification

Ongoing record series? No
Annual accumulation: 1 cubic ft. (prior to merger)

Agency holdings:
8 cubic ft. at the agency. Retained by the agency for 3 years after the expiration or revocation of a license, according to the current agency records retention schedule. The series with which these records are being merged, however, are retained for 5 years after the end of the calendar year. Present holdings date 1994-2000. Although the agency's records retention schedule indicates microfilm as the medium, microfilming of these records stopped in 1993.

Description:
These records consist of inspection reports containing structural surveys of facilities regulated by the Department of Human Services, Long Term Care - Regulatory Division's Architectural section, dating 1994-2000. These records are being merged with another series, Facility licensing and certification (agency item number 727), which is not being reviewed in this appraisal report.

Related series are Construction records (initial survey) (agency item number 752) and Life Safety Code surveys/construction (agency item number 753), neither of which is being reviewed in this appraisal report.

Purpose:
These records are created by state mandate, to ensure that each long term care facility is structurally safe for all residents; those that are so certified continue to receive Medicaid and Medicare funding.

Agency Program:
In 1993 the Board of Human Services was given the following authority: "The board shall adopt rules necessary to specify the edition of the Life Safety Code of the National Fire Protection Association that will be used to establish the life safety requirements for an institution licensed under this chapter."

The Long-Term Care Regulatory (LTC-R) Office operates to license, survey, and certify long-term care facilities for Medicaid and Medicare funding. Its regulation applies to nursing facilities, intermediate care facilities for mentally retarded persons, adult daytime health care facilities, and personal care homes. LTC-R staff members investigate reports of unlicensed facilities, and complaints of abuse, neglect, and noncompliance with quality-care requirements, and may impose penalties and sanctions.

(V.T.C.A., Human Resources Code, Chapters 21-22
V.T.C.A., Health and Safety Code, Chapter 242, 242.037-242.039
See also 40 Texas Administrative Code, Part 1, especially 96.1-96.8)

Arrangement: Chronological/numerical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
None is indicated by DHS staff, but there must be some way of determining which numbers match which facilities, given that the arrangement is chronological/numerical.

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 Texas Department of Human Services, and none were found for this series or for equivalent or related series. However, according to agency staff, the earlier microfilm of these records (prior to 1993) has been destroyed.

Publications based on records: None

Series data from agency schedule:
Title: Life Safety Code/construction/inspection
Series item number: 5.2.028
Agency item number: 754
Archival code: R
Retention: AC + 3
(This series has been deleted by being merged with the following series, which has no archival code and is not included in this review):
Title: Facility licensing and certification
Series item number: NA
Agency item number: 727
Archival code: None
Retention: CE + 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
According to agency staff, the earlier microfilm of these records (prior to 1993) has been destroyed.

Appraisal Decision:
Inspection reports with structural surveys of long term care facilities are obviously important records, designed to ensure the safety of persons living and working in those facilities. But any violations of the Life Safety Code would surely be documented in the series Punitive action summaries, which is reviewed in this appraisal report, and appraised to be archival. Therefore I can see no long-term research value in the inspection reports themselves; they are not archival. Since the record series into which these records are being merged currently has no archival code, no action is necessary besides deleting series number 754, which currently has an archival review code of "R."

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Record Series Review
Series Title: Punitive action summaries

Agency: Texas Department of Human Services, LTC: Regulatory: Certification

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1 cubic ft.

Agency holdings:
6 cubic ft. at the agency. Retained by the agency for 3 years, according to the agency's records retention schedule. However, present holdings date 1995-2000.

Description:
These records consist of internal reports and reports that are submitted to other agencies or entities, containing summaries of penalties against long term care facilities that receive Medicaid funding, dating 1995-2000.

Purpose:
The records are created to alert and inform elderly advocates, nursing home care providers, etc., of penalties against long term care facilities that receive Medicaid funding. The penalties are due to a variety of reasons that could affect the health and well being of its patients. Termination of the facility's Medicaid contract could result if corrective action is not taken by facility.

Long Term Care (LTC) Regulatory -- Certification is no longer a unit. It was absorbed into Central Operations Department. The Associate Commissioner for LTC Regulatory is under the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
V.T.C.A., Health and Safety Code, Chapter 242, 242.001, 242.037, 242.040-242.041
See also 40 Texas Administrative Code, Part 1, especially 96.1-96.8)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
State Auditor's Office, Audit Report on the Long-Term Care Regulatory Program at the Department of Human Services, June 1997 (http://www.sao.state.tx.us/Reports/1997/97-066.html) [URL is no longer valid, November 2006.]

Publications based on records: None

Series data from agency schedule:
Title: Punitive action summaries
Series item number: 1.1.067
Agency item number: 763
Archival code: R
Retention: 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
No punitive action summaries are found prior to 1995.

Appraisal Decision:
Punitive action summaries document one of the primary purposes of the Long-Term Care Regulatory Program, to report conditions that adversely affect the residents of those facilities, and to encourage if not force corrections for those conditions. Both for purposes of accountability, and for long-term research potential, they are archival records. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: SLIAG -- administration and operational documentation

Agency: Texas Department of Human Services, Service Support: Program Implementation: Operations

Obsolete record series? Yes
Replaced by: Not applicable

Ongoing record series? No

Agency holdings:
102 cubic ft. Retained by the agency 3 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1988-1995.

On September 5, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1986-1995, 61 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of policy and operational files, possibly with some diskettes, for the State Legalization Impact Assistance Grant (SLIAG) program, dating 1988-1995. This rather vague description was as much as DHS staff provided on the records of this obsolete program.

Purpose:
The records were created to support the State Legalization Impact Assistance Grant (SLIAG) program.

Agency Program:
State Legalization Impact Assistance Grants (SLIAG) were authorized in 1986 by the federal Immigration Reform and Control Act (IRCA). This temporary program was created to defray some of the costs that state and local governments incur in providing services to aliens granted amnesty under IRCA. Almost 2.8 million previously illegal aliens adjusted to legal status under this amnesty program. The SLIAG program terminated in September 1994.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Alphabetical

Access Constraints:
Marked Confidential on the agency's records retention schedule, but no staff were available to explain why, since this is an obsolete program.

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
In the holdings of the Archives and Information Services Division of the Texas State Library and Archives Commission:
Governor Ann Richards, Records, 19xx-19xx: SLIAG related files are included in several series of administrative correspondence.
Texas Cancer Council, Administrative correspondence (State Legalization Impact Assistance Grant -- SLIAG), 1990-1993, fractional.

Publications based on records:
United States. Congress. Senate. Committee on Appropriations. Subcommittee on Departments of Labor, Health and Human Services, Education, and Related Agencies. State Legalization Impact Assistance Grants program (SLIAG) : hearing before a subcommittee of the Committee on Appropriations, United States Senate, One Hundred First Congress, second session: special hearing, 1990.

Texas. Office of the State Auditor. Texas should maximize federal reimbursement from the State Legalization Impact Assistance Grant, 1991.

Series data from agency schedule:
Title: SLIAG -- administration and operational documentation
Series item number: NA
Agency item number: 794
Archival code: R
Retention: 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission for the Department of Human Services.

Gaps? None

Appraisal Decision:
The records of the State Legalization Impact Assistance Grant (SLIAG) program document an obsolete but very important program of the Texas Department of Human Services. The issue of providing welfare benefits to illegal aliens (including those to whom amnesty was granted) is a highly controversial facet of the department's history, and should be documented. The State Archives apparently has never received any records for this program. Approximately 100 cubic ft. for an eight-year period seems to be a lot of material, and there may be cause for further appraisal once the records are transferred to the State Archives. Some of the records may also be confidential. But the series itself is essentially archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

Alternately, since the retention period has expired, the Department of Human Services should simply transfer these records to the Archives and Information Services Division of the Library and Archives Commission, and then remove the series from the records retention schedule.

The recent request to transfer 61 cubic ft. of these records for archival review will be approved. When this transfer has been accomplished, appraisal staff will carefully review those records, and may possibly determine that some of them are not archival.

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Record Series Review
Series Title: TANF (AFDC) Executive, Information, and cover Letters

Agency: Texas Department of Human Services, Eligibility Services: Program Policy

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 4 cubic ft.

Agency holdings:
20 cubic ft. Retained by the agency 2 years, plus an additional 3 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1993-2000.

Description:
These records consist of policy background material regarding Executive letters (E-letters), Information letters (I-letters), and cover letters issued for the Temporary Assistance for Needy Families (TANF) program, formerly called Aid to Families with Dependent Children (AFDC). These records date 1993-2000.

Related series are Administrative Services: Media and Policy Services: E-Letters (Executive Letters) (agency item number 358), Administrative Services: Media and Policy Services: I-Letters (Information Letters) (agency item number 359), Administrative Services: Media and Policy Services: Handbook revision cover letters (agency item number 357), and Eligibility Services: Program Policy: Historical legislation and program development files (agency item number 464), which are also reviewed in this appraisal report.

Purpose:
The background material is created during the process of developing and disseminating policy, and is maintained on file to show the origins and final outcomes of those policies.

Agency Program:
Temporary Assistance for Needy Families (TANF), formerly called Aid to Families with Dependent Children (AFDC), provides basic financial assistance to needy children and their parents or caretakers, with time limits established by both federal and state law. The program was first created in 1979.

During the 1980s, the Office of Families and Children, often termed the OFC, provided services through three branches--Income Assistance, Family Self-Support Services, and Protective Services for Children, each branch headed by an Assistant Commissioner. Income assistance services included the issuance of food stamps, food services programs, and Aid to Families with Dependent Children (AFDC) program; family self-support services included family planning, employment services, foster care, child day care services, temporary emergency relief for families, refugee services, and EPSDT services (Early, Periodic, Screening, Diagnosis, and Treatment); protective services included foster care, services to victims of family violence, services to truants and runaways, and protection for abused and neglected children.

The Family Self-Support Services Branch, often termed the FSSB, aided families dependent on government assistance to become more self-sufficient. Services provided through this branch included employment services; day care for children in AFDC-related employment programs; foster care for AFDC-related cases and children in DHS conservatorship; family planning services--to limit family size, space children, and prevent out-of-wedlock births; temporary emergency relief for families; EPSDT (Early, Periodic Screening, Diagnosis and Treatment) services; and social, supportive, and resettlement services for refugees. The Branch consisted of three divisions to carry out its functions--Family Support Services Division, Community Resources Division, and the Program Management Division.

"Texas Works" is an initiative created in the fall of 1997, designed "to bury once and for all the old culture of welfare dependency," to quote Commissioner Eric Bost. "The message is we at DHS will do all we can to help families become self-sufficient, but adults must also take the initiative to help themselves." Under Texas Works, DHS staff opened Resource Rooms in most of the agency's 500 field offices. The rooms contain computers with Internet access to job listings, information on job search and interview technique tips, lists of available child care and transportation, and other local resources. DHS Texas Works advisors, have also changed the focus of their work from merely determining eligibility for more than 30 public assistance programs to helping adults overcome barriers to employment. The agency's employees have also worked with a wide assortment of community groups to provide local support for welfare recipients seeking work.

Eligibility Services is a section in the Texas Works program, which is headed by a Director who reports to the Assistant Deputy Commissioner of the Office of Programs, who reports directly to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 31
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

AFDC correspondence, 1984, part of 21 cubic ft. (January 1990)
AFDC correspondence, [19--]-1985, part of 1,050 cubic ft. (September 1988)

Publications based on records: None

Series data from agency schedule:
Title: TANF (AFDC) Executive, Information, and cover Letters
Series item number: NA
Agency item number: 463
Archival code: R
Retention: 5

Information letters, 1976-1990, 1 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. Routine distribution has meant that I-Letters are also found among other DHS files in our holdings, dating from the early 1980s onward.

Administrative Services (?), Handbook revision cover letters, 1978-1981, 2.5 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Archival holdings of related records:
Office of Programs, Office of Families and Children, Administrative files, 1983-1984, 1 cubic ft.
These records focus on the overall operations of the OFC rather than the day-to-day operations. Goals and objectives of the OFC and its various programs are discussed, as well as policies and procedures for programs within the OFC. These records consist primarily of internal memoranda and correspondence, with attachments, directed to/from the Associate Commissioner of the OFC, with some communiques from the Deputy Commissioner of Programs or Assistant Commissioners subordinate to the Associate Commissioner. Types of materials found in these files include goals and objectives of the OFC and its branch areas, including quarterly reviews of the objectives and progress made towards their attainment; DHR (DHS) Board files, and one Commissioner file.

Board files, which generally focus on areas specific to the OFC or its divisions, consist of Board action reports--reports prepared by the Associate Commissioner describing an action within the OFC (new policy, etc.), action taken by the Board (approved, etc.), and what the division/branch is doing to implement the action; information requests from the Board; Board meeting files--contain memos giving background on topics specific to the OFC, proposed agenda, notes, and briefs prepared for the Board. The Commissioner file contains memoranda generally issued to all employees or a specific group, such as executive staff.

Office of Programs, Office of Families and Children, Family Self-Support Services Branch, Administrative files, 1982-1985, 0.75 cubic ft.
These records concern the routine and overall operations of the Family Self-Support Services Branch. Goals and objectives are discussed, as well as policies and procedures affecting specific programs within the FSSB. These records consist primarily of internal memoranda and correspondence, with attachments. Types of materials found in the files include goals and objectives of the FSSB and the OFC, including performance reviews; agenda items for the DHS Board relative to the FSSB and its functions; proposed legislation relative to the FSSB or its functions; files pertaining to support operations of the FSSB, such as personnel office type files, fiscal and business management materials, and files of government and non-government organizations, and materials pertaining to automation systems.

Office of Programs, Office of Families and Children, Family Self-Support Services Branch, Program files, 1982-1985, 2.9 cubic ft.
These are files of the various programs in the Department of Human Services, primarily those programs operating through the Office of Families and Children and the Family Self-Support Services Branch. The materials discuss policies and procedures concerning these programs and are composed primarily of internal memoranda and correspondence, with attachments--generally outgoing memos from the Assistant Commissioner or other FSSB staff to regional directors or to higher officials. Also present are weekly reports of the FSSB and materials from regional directors' meetings.

Office of Programs, Office of Families and Children, Family Self-Support Services Branch, Regional files, 1982-1985, 0.22 cubic ft.
These files consist of internal memoranda, primarily from the Assistant Commissioner of FSSB or other FSSB staff, to regional directors or other regional staff. The files concern procedures, upcoming visits, and other actions, affecting either all regions or specific regions. Materials are foldered by region.

Deputy Commissioner for Services to Families and Children, Administrative files, 1985-1987, 25.47 cubic ft.
These records consist of administrative files of the office of the Associate/Deputy Commissioner for Services to Families and Children for fiscal years 1986 and 1987. These files contain correspondence and interoffice memoranda, with attachments, which include such documents as reports (both narrative and statistical, e.g., weekly and monthly status reports, audit reports, feasibility studies, position papers, financial status reports, affirmative action reports, etc.), staff briefings, meetings materials (including agenda, minutes, summaries of meetings, public hearings testimony, presentations, committee and task force membership lists, etc.), newspaper clippings, newsletters, budget documents, legal documents (e.g. contracts, requests for proposals, etc.), copies of federal legislation, copies of proposed and adopted rules from the Federal Register, etc. The interoffice memoranda were exchanged between all levels of administration, from the Commissioner through Deputy, Associate, and Assistant Commissioners, Administrators, and other staff. The incoming correspondence, written by state and federal officials as well as by the general public, tended to be addressed to Commissioner Marlin W. Johnston, with the outgoing correspondence usually bearing his signature. This material documents the major activities of the Office of Services to Families and Children and its various divisions, from policy-making down to day-to-day implementation.

Services to Families and Children, Administrative files, 1983-1985, 17 cubic ft.; 1984-1985, 10 cubic ft.; 1984-1985, 21 cubic ft.; 1986-1987, 2 cubic ft.; 1987-1988, 14 cubic ft.
Services to Families and Children, Budget Section, Administrative files, 1985-1986, 2 cubic ft.
Family Self-Support Services Branch, Administrative files, 1982-1983, 3 cubic ft.; 1985-1986, 6 cubic ft.; 1986-1987, 7 cubic ft.
Family Self-Support Services Branch, Program Management Division, Administrative files, 1975-1983, 7 cubic ft.
These ten groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
None; these records were not maintained as a separate series prior to 1993.

Appraisal Decision:
Temporary Assistance for Needy Families/Aid to Families with Dependent Children (TANF/AFDC) has been one of the core programs of the Department of Human Services. This seems to be the primary record series that documents this particular area. Although E-letters and I-letters are archival series independent of this more focused series, these records go beyond the final product, to explain the background leading to changes of policy. Therefore TANF (AFDC) Executive, Information, and cover Letters is an archival series. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Historical legislation and program development files

Agency: Texas Department of Human Services, Eligibility Services: Program Policy

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
1.25 cubic ft. at the agency. Retained by the agency 5 years. Present holdings date 1995-2000.

Description:
These records consist of copies of legislation, bill analyses, and some regulations that tie into the legislation, dating 1995-2000. All of these files relate to the Eligibility Services section of the Texas Works program. The series should probably be renamed simply "Historical legislation files."

Related series are Commissioner's Office: Legislative files (agency item number 178); and Eligibility Services: Program Policy: TANF (AFDC) Executive, Information, and cover letters (agency item number 463), which are also reviewed in this appraisal report.

Purpose:
These records are created during the course of the drafting of legislation, and are maintained to assist in the development of program policy for Eligibility Services, to ensure that applicable legislative guidelines are followed.

Agency Program:
"Texas Works" is an initiative created in the fall of 1997, designed "to bury once and for all the old culture of welfare dependency," to quote Commissioner Eric Bost. "The message is we at DHS will do all we can to help families become self-sufficient, but adults must also take the initiative to help themselves." Under Texas Works, DHS staff opened Resource Rooms in most of the agency's 500 field offices. The rooms contain computers with Internet access to job listings, information on job search and interview technique tips, lists of available child care and transportation, and other local resources. DHS Texas Works advisors, have also changed the focus of their work from merely determining eligibility for more than 30 public assistance programs to helping adults overcome barriers to employment. The agency's employees have also worked with a wide assortment of community groups to provide local support for welfare recipients seeking work.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies:
Original bill files (including bill analyses) in the Legislative Reference Library (beginning 1973) and in the Archives and Information Services Division of the Texas State Library and Archives Commission (up to 1972).

Eligibility monitoring (draft regulations), 1976-1981, 1 cubic ft. (June 1986)

Publications based on records:
Published in Vernon's Statutes and General and Special Laws (law), and in the Texas Register and the Texas Administrative Code (rules).

Series data from agency schedule:
Title: Historical legislation and program development files
Series item number: NA
Agency item number: 464
Archival code: R
Retention: 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Archival holdings of related records:
Legal Services, Federal legislation and program files, 1978-1981, 2 cubic ft.
Office of the Commissioner, Legislative administrative files, 1986-1988, 2 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.
A cursory examination of the second group of records indicates correspondence, memoranda, minutes, reports, and reference material related to a wide variety of legislative committees and subcommittees, advisory committees, policy groups, work groups, and task forces, all dealing with human services issues. I found no copies of legislative bills.

Gaps?
No historical legislation files (containing strictly copies of bills) are apparent for DHS prior to 1995.

Appraisal Decision:
Unlike the broader series, Commissioner's Office Legislative files (already reviewed in this appraisal report and determined to be archival), these legislative files apparently contain only copies of legislative bills, bill analyses, and administrative regulations. The record copies of legislative bill files (with bill analyses) are maintained in the State Archives and the Legislative Reference Library. Therefore these are convenience copies only, and are not truly archival. Their maintenance would be only a convenience, grouping together bills with the common topic of eligibility for human services. The Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Policy Clearance Committee meeting notes

Agency: Texas Department of Human Services, Eligibility Services: Program Policy

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
2.5 cubic ft. Retained by the agency 2 years, plus an additional 3 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1990-2000.

Description:
These records consist of notes of the quarterly meetings of the Policy Clearance Committee, dating 1990-2000.

Purpose:
These records are created as a result of meetings held to review existing policies and to discuss upcoming changes to policy in the development stages.

Agency Program:
The Policy Clearance Committee is made up of policy specialists from each region within the Department of Human Services, plus several key people from the Office of Program Integrity division, and employees from Program Policy. The committee gives input, shares information, reviews existing policy, and discusses upcoming changes to policy in the development stages.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policy Clearance Committee meeting notes
Series item number: 1.1
Agency item number: 466
Archival code: R
Retention: 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
Policy Clearance Committee meeting notes document the Department of Human Services' sharing of information on policy changes across the divisions and across the regions. Such interdepartmental cooperation involves the entire agency in the formulation and revision of those policies. As with the minutes of committee meetings for most agencies, these records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Strategic Plan

Agency: Texas Department of Human Services, Programs: Office of the Deputy Commissioner

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
5 cubic ft. at the agency. Retained by the agency 6 years after the date the implementation decision was made. However, present holdings date 1992-2000.

Description:
These records consist of all of the Strategic Plans produced so far by the Texas Department of Human Services, plus supporting documents, dating 1992-2000. Strategic plans are long-range planning tools prepared biennially by the agency in which the goals and objectives of the agency are presented along with performance measures for 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, outcome measures, strategies, output measures, efficiency measures, and explanatory measures for measuring and achieving that goal. Among a number of appendices is usually a basic (truncated) agency organizational chart.

Support documents maintained by the agency include revisions of past strategic plans by each division, demographic statistics produced by Texas A&M University, and related correspondence to and from the Legislative Budget Board, Governor's Office, Health and Human Services Commission, and the DHS executive board.

Planning records (agency item number 761) are listed on the agency's records retention schedule, but staff believes this best refers to Strategic plans and supporting documents.

Purpose:
Strategic plans are created as long-range planning tools prepared by the agency, setting forth goals and objectives of the agency over a multi-year period.

Agency Program:
Strategic plans are prepared in accordance with V.T.C.A., Government Code, 2054.095 and 2056.002.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Internet pages based on records: None
The DHS Strategic Plan for the Fiscal Years 2001-2005 period is located online at:
http://www.dhs.state.tx.us/publications/StrategicPlan/index.html. [URL is no longer valid, November 2006.]

Suggested series from state Records Retention Schedule:
Title: Strategic Plan
Series item number: 1.1.055
Agency item number: to be assigned [possibly 761?]
Archival code: A
Retention: AC + 6

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Texas Documents Collection holdings:
Strategic Plans for the following time periods: 1984, 1986-1991, 1990-1995, 1992-1993, 1992-1998 (revised), 1995-1999, 1997-2001, and 1999-2003.

Gaps?
None. Earlier strategic plans (prior to 1992) have been sent to the State Publications Depository Program, and are now part of the Texas Documents Collection.

Appraisal Decision:
Strategic plans document the long-range planning activities of the agency and are considered archival. The Texas Department of Human Services should add this record series to their records retention schedule, with an archival code of "A," and should include the following note in the Remarks column: "The archival requirement will be met by sending required copies to the Texas State Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, 3.4(1)(C))."

The supporting documentation is not archival, and should be discarded at the end of the retention period.

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Record Series Review
Series Title: Manager's guide

Agency: Texas Department of Human Services, Support Services: Educational Services

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.1 cubic ft.

Agency holdings:
1 cubic ft. at the agency. Retained by the agency for 3 years after superseded. Present holdings date 1992-2000.

Description:
These records consist of a reference manual for Texas Works managers, with updates, dated June 1992-2000. The manual is divided into sections by functionality. Sections are: Fundamentals (which includes Philosophy and Legal Basis of Texas Works program); Office Management; Personnel Management; Program Management; Appendix; and Index.

Related series are Administrative Services: Media and Policy Services: Handbook revisions for hardcopy handbooks (agency item number 360), Administrative Services: Media and Policy Services: Microfilmed handbooks and revisions (agency item number 653), and Administrative Services: Media and Policy Services: Handbook revision cover letters (agency item number 357), which are also reviewed in this appraisal report.

Purpose:
These records are created to serve as a reference manual for local Texas Works office managers, to aid in day to day decision making.

Educational Services provides assistance in day to day management of local offices for Texas Works supervisors. Educational Services is a unit within Texas Works, whose director reports to the Deputy Commissioner of Office of Programs, who reports to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 31, 31.0126
See also 40 Texas Administrative Code, Part 1, especially Chapter 3)

Arrangement: Alphabetical (in sections)

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Manager's guide
Series item number: 1.1.025
Agency item number: 148
Archival code: R
Retention: US + 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Texas Document Collection holdings:
Texas. Department of Human Services. Keys to independence: How Texas Works can work for you (Las llaves de la independencia : cmo hacer que le funcione Texas Trabaja), 1998.
(Also available on-line at: http://www.dhs.state.tx.us/programs/TexasWorks/keys.html) [URL is no longer valid, November 2006.]
Not a reference manual for managers, this 8-page publication explains the Texas Works program to the average citizen.

Gaps? None

Appraisal Decision:
I'm not sure why this reference manual for Texas Works managers is a separate series, since handbooks are a series on the schedule (or rather two series: hardcopy and microfilm). When questioned specifically about this, agency staff indicated that this manual is included in the other series (agency item numbers 360 and 653). Either way, this manual is definitely archival, dealing as it does with what is currently the primary focus of DHS. But it should be eliminated as a separate series.

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Record Series Review
Series Title: Department/Section administrative files

Agency: Texas Department of Human Services, Special Nutrition Programs: Food Distribution

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 9 cubic ft.

Agency holdings:
43 cubic ft. Retained by the agency for one year after the end of the federal fiscal year, then an additional 2 years 3 months at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1992-2000. On October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1994-1995, 11 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of routine administrative files (leave, training, travel, purchasing, assignments, etc.); inter-agency correspondence, reports of agreements (state and federal); contractor, legislative, and U.S. Department of Agriculture correspondence; Special Nutrition Programs Advisory Committee agendas, minutes, and reports; miscellaneous reports and mailing lists; program applications and/or review forms; conference and/or outreach material. Dating 1992-2000, the records reflect ongoing activities of the Director's office, Food Distribution, and Financial Services of Special Nutrition Programs.

Purpose:
These records are created during the course of everyday administrative activities of the Special Nutrition Programs division, and are kept to maintain organization, efficiency, and accountability with the program section, and to track purchased items and maintain employees' leave.

Agency Program:
Included in the Office of Programs are Special Nutrition Programs, which (like the Food Stamp Program) are 100 percent federally-funded. These consist of the Child and Adult Care Food Program, the National School Lunch and Breakfast Programs, the Special Milk Program, the Summer Food Service Program (SFSP), and the Texas Commodity Assistance Program. These furnish USDA commodities to schools (public and private), SFSP contractors, summer camps, and charitable institutions, as well as to low-income families and individuals through food banks.

As of April 1999, the Director of Special Nutrition Programs reports to the Deputy Commissioner of the Office of Programs, who reports to the Executive Deputy Commissioner, who reports to the Commissioner.

(V.T.C.A., Human Resources Code, Chapter 33
See also 40 Texas Administrative Code, Part 1, especially Chapters 11-12)

Arrangement:
Chronological, and therein alpha-numerical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Food Distribution Division, Inventories, shipping orders, status reports, 1988-1989, 10 cubic ft. (March 1995)
Client Self-Support Services, Nutrition Education and Training reports and budget files, [19--]-1988; part of 47 cubic ft. (April 1992)
Nutrition Assistance Financial Management, Summer Food Services Program files, 1984-1986, part of 165 cubic ft. (January 1992)
Commodity requisitions and receipts and commodity tracking reports, [19--]-1988, total 443 cubic ft.
Claim files (Summer Food Service Program, Breakfast/Lunch Program, Temporary Emergency Food Assistance, Child Care Food Program), [19--]-1988, part of 443 cubic ft.
Commodity distribution records, [19--]-1986, part of 158 cubic ft. (September 1991)
Food and Nutrition Services forms and letters to USDA (claims due), 1985-1986, 2 cubic ft. (January 1990)
Child Care Food Program audits, 1979-1985; part of 157 cubic ft. (June 1989)
Commodity application files, 1979-1984; commodity allocations, 1984-1985, 56 cubic ft. (February 1989)
Closed commodity distribution records, 1985; Texas Education Agency eligibility data printouts, 1984-1985; eligibility lists, 1983-1984; delivery orders by commodity, 1983-1984; part of 224 cubic ft. (January 1989)
Closed commodity distribution records, 1983-1984, part of 41 cubic ft. (November 1988)
Child Care Food Program and Summer Food Program, administrative files, 1977-1982, 8 cubic ft. (April 1988)
Food Services Division, Administrative records and leave records, 1983-1984, 3 cubic ft. (October 1987)
Food Services Division records, 1977-1983, 88 cubic ft. (October 1987)
Food Distribution Division files, correspondence, completed assignments, 1984, 4 cubic ft. (October 1987)
Butter and Cheese Giveaway Program, contracts and correspondence, 1982-1983, 9 cubic ft. (October 1987)
Food Services Division, delivery orders, claims correspondence, shipping notices, 1979-1980, 9 cubic ft. (October 1987)
Food Distribution Programs administrative files, 1981-1982, 2 cubic ft. (April 1986)
USDA Commodities Program records, 1977-1981, 33 cubic ft. (April 1986)
USDA Child Care Food Program, institution contract files, and USDA Summer Food Services Program, sponsor contract files, 1978-1981, 76 cubic ft. (April 1986)
Texas Relief Commission disbursing orders for clothing and food, school lunch (Paris), undated, 33 cubic ft.
Texas Relief Commission commodity distribution orders for food and clothing (Kaufman), undated, 3 cubic ft.; (Rockwall) 1 cubic ft.
Commodity Distribution Project records (Brownsville), undated, 7 cubic ft.
Commodity disbursing orders, commodity lists, Texas Relief Commission work assignments, WPA weekly progress reports and field reports, MCC cards, Texas Relief Commission file letters and forms, duplicate copies of Texas Relief Commission and OAA case records, Texas Relief Commission payroll forms (Wichita Falls), undated, 367 cubic ft.
Texas Relief Commission transient files, duplicate OAA records, commodity records (Amarillo), undated, 400 cubic ft. ("average weight per box: cannot lift them")
Disbursing orders, payroll bulletins, medical vouchers, CWA vouchers and work relief cards, statistical reports, surplus commodity vouchers, Texas Relief Commission file cards (El Paso), 1934-1936, 756 cubic ft.
Disbursement orders, commodity certifications, old forms manuals, correspondence (Quitman), undated, 10 cubic ft. [including one barrel]
Texas Relief Commission commodity orders, work orders (Brenham), undated, 2 cubic ft.
Obsolete manuals, CCC records, commodity certifications, file letters (Decatur), undated, 6 cubic ft.
Texas Relief Commission records, old Commodity Warehouse records, County Relief records (Texarkana), 1932-1939, 8 cubic ft.
Old Texas Relief Commission, WPA, CCC, and Surplus Commodity records (Linden), undated, 6 cubic ft.
Complete records of the District Surplus Commodity Office (Houston), 1935-1939, 88 cubic ft.
Blank commodity reports, commodity receipts (Wharton), undated, 2 cubic ft.
Office records of the WPA Commodity Distribution Project for Cooke County (Gainesville), undated, 7 cubic ft.; for Denton County (Denton), 6 cubic ft.; for Grayson County (Sherman), 18 cubic ft.; for Collin County (McKinney), 3 barrels; for Fannin County (Celeste), 11 cubic ft. [apple boxes]; for Hunt County (Celeste) 59 cubic ft. [prune boxes]; for Rains County (Emory), 12 cubic ft.
Commodity distribution records (Corsicana), undated, 4 cubic ft. ("All Texas Relief Commission and WPA records for Navarro County were destroyed by fire in the county office, 1942.")
Commodity distribution records (Mexia), undated, 20 cubic ft.
Copies of commodity disbursing orders, identification cards (Beeville), undated, 4 cubic ft.
Work orders, commodity disbursing orders (George West), undated, 2 cubic ft.
Commodity disbursing orders, inventories (Corpus Christi), undated, 12 cubic ft.
Duplicate copies of Texas Relief Commission and commodity accounting forms (San Antonio), undated, 115 cubic ft.
Old commodity records and unused forms printed for the use of District and Local Commodity projects (Laredo), undated, 343 cubic ft.
Records of the Commodity Distribution Project (Rio Grande City), undated, 13 cubic ft.

Publications based on records: None

Series data from agency schedule:
Title: Department/Section administrative files
Series item number: 1.1.007
Agency item number: 703
Archival code: R
Retention: FFE + 3 + 3 mo.

Archival holdings:
Office of Programs, Food Services Division, Administrative files, 1984-1985, 0.75 cubic ft.
These records consist of memoranda and correspondence, with attachments of the Food Services Division for fiscal year 1985 (1984-1985). They cover some overall and routine operations, focusing primarily on the commodity distribution program. Topics discussed include food distribution policies and procedures, excess and contaminated commodities, availability of commodities, USDA evaluations and visits, routine management issues, and other topics. Other materials include budget preparation and review materials, general memoranda distributed to all or many DHR divisions, summaries of executive staff meetings, audit reports and procedures, correspondence (including fact sheets) with the USDA, internal correspondence files of the Assistant Commissioner of Food Services and other Food Services staff, and weekly reports of the Food Services Division and the Food Services Program. Arrangement is topical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Office of Programs, Food Services Division, Program files, 1984-1985, 0.25 cubic ft.
These records consist of internal memoranda and correspondence, with attachments, minutes of senior staff meetings, quarterly reviews, correspondence with food distributors and recipients, and a survey of schools concerning commodities. They are the files of various programs operated by the Food Services Division, 1984-1985. They discuss policies and procedures of the distribution process; problems, such as excess and contaminated commodities, availability of and preferences for certain types of commodities; routine management issues, and other topics.

Office of Programs, Food Distribution Division, Program files, 1985-1986, 0.67 cubic ft.
These records consist of internal memoranda and correspondence, with attachments; correspondence with food processors, distributors and recipients; quarterly processing reports; statistical compilations; a mini-review of the Food Services Program; a commodity survey; and several files of the Temporary Emergency Food Assistance Program (TEFAP), including a status report, correspondence with TEFAP contractors, procedures of reviews of TEFAP contractors, and the TEFAP state plan. They are the files of the commodity distribution program of the Food Distribution Division, 1985-1986. They discuss policies and procedures of the distribution process; claims, excess and contaminated commodities, availability of and preferences for certain types of commodities, specific cases involving commodities, the Temporary Emergency Food Assistance Program (TEFAP), routine management issues, and other topics.

Office of Programs, Food Distribution Division, Correspondence files, 1985-1986, 0.33 cubic ft.
These records consist of internal memoranda and correspondence, with attachments, to/from the Director of Food Distribution, the Administrator of the Food Distribution Division, other Food Distribution or Food Services Programs staff, and regional commodity distributors. They date 1985-1986, and cover the distribution process, claims concerning contaminated commodities, federal funding and evaluations, routine management issues, and other topics.

Office of Programs, Food Distribution Division, Administrative files, 1985-1986, 1 cubic ft.
These records consist of memoranda and correspondence, with attachments (mainly reports) of the Food Distribution Division for fiscal year 1986 (1985-1986). They parallel the Food Services Division's administrative files previously described (for fiscal year 1985). Of particular interest are the weekly reports of the Administrator of Food Distribution (Wayne Kuykendall) to the Assistant Commissioner of Food Services (Lewis Zegub), and of Zegub to various Deputy Commissioners. Arrangement is topical, according to the Uniform Administrative Filing System adopted by the agency in fiscal year 1983.

Deputy Commissioner for Programs, Assistant Commissioner for Food Services, Operations Division, Family Day Home Sponsor administrative files, 1984, 1 cubic ft.
Deputy Commissioner for Programs, Assistant Commissioner for Food Services, Budget and administrative files, 1984-1985, 1 cubic ft.
Deputy Commissioner for Programs/Services to Families and Children, Assistant Commissioner for Food Services, Financial Management Division, Administrative files, 1984-1986, 6 cubic ft.
Deputy Commissioner for Services to Families and Children, Assistant Commissioner for Food Services, Administrative files, 1986-1987, 2 cubic ft.
Deputy Commissioner for Services to Families and Children, Assistant Commissioner for Food Services, Operations Division, Administrative files, 1986-1987, 3 cubic ft.
Deputy Commissioner for Services to Families and Children, Assistant Commissioner for Food Services, Food Distribution Services Division, Financial Management, Administrative files, 1987, 2 cubic ft.
Deputy Commissioner for Programs, Special Nutrition Programs, Records, 1990-1992, 1 cubic ft.
Deputy Commissioner for Programs, Special Nutrition Services, Food Distribution, Administrative files, 1991-1992, 3 cubic ft.
These eight groups of records are part of a backlog that has not been described in any Archives finding aid.

As time permits, appraisal staff will carefully review the records listed above, and will weed out routine materials (such as personnel leave, travel, and purchasing files).

Gaps?
No records exist prior to 1984; 1988-1989 are apparently also missing.

Appraisal Decision:
The administrative files of Special Nutrition Programs/Food Distribution document a key program, for which the State Archives already has previous records. These records need to be weeded for routine materials relating to such things as personnel leave, travel, and purchasing. But for the most part they contain correspondence, state and federal agreements, advisory committee minutes, reports, outreach material, and other records that are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Nutrition Education and Training (NET) program administrative files

Agency: Texas Department of Human Services, Special Nutrition Programs: Program Development

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
2 cubic ft. Retained by the agency for one year after the end of the federal fiscal year, then an additional 2 years 3 months at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1988-1996.

On September 5, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1993-1994, 1 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of administrative files, fiscal year State Plans, and interagency contracts, all of the Nutrition Education and Training (NET) program, dating 1988-1996. An example of a typical interagency contract would be with the School for the Deaf.

Purpose:
These records have been created in the course of normal administration of the Nutrition Education and Training (NET) program.

Agency Program:
The NET Program has not been funded by the USDA in the last 3 years, according to DHS staff providing information on this series. However, the Nutrition Education and Training Program (NET) Fact Sheet (http://www.dhs.state.tx.us/programs/snp/net.html) on the DHS web site indicates that 1,206 participants representing 259,213 children attended 75 workshops conducted by NET staff in FY 1999.

Nutrition Education and Training Program works with teachers, parents, and school administrators/ cafeteria managers to ensure children from kindergarten to twelfth grade get good nutritious meals. This is accomplished by recommending healthy menus to nutrition education.

The State Plan is based on needs assessment which is mandated by law (7 Code of Federal Regulations, Part 250).

Prior federal legislation relating to this program includes the National School Lunch Act of 1946, and the Child Nutrition Act of 1966. In 1977, by Public Law 95-166, the U.S. Congress authorized programs to "provide children with better learning opportunities regarding food and nutrition, the relationship of nutrition to health, and experiences to use this knowledge to develop food and nutrition attitudes and practices fundamental to their health and well-being throughout life." The Texas Education Agency (TEA) submitted a plan for nutrition education to the U.S. Department of Agriculture (USDA) in August 1978, and the Texas Department of Human Resources in turn submitted a plan to TEA in September 1978 to cover the nutrition education component for providers served by the Child Care Food Program (CCFP) in Texas. This plan created the Nutrition Education [and] Training (NET) Program. The Department contracted with nutritionists, trainers, and translators to conduct workshops statewide. An NET Advisory Council was created and held its first meeting in August 1983.

(V.T.C.A., Human Resources Code, Chapter 33
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Nutrition Education and Training files, 1979-1984, 15 cubic ft. (October 1987)

Publications based on records: None

Series data from agency schedule:
Title: Nutrition Education and Training (NET) program administrative files
Series item number: NA
Agency item number: 500
Archival code: R
Retention: FFE + 3 + 3 mos.

Archival holdings:
Office of Programs, Associate Commissioner of Services to Families and Children, Income Assistance--Food Services Division, Nutrition Education Training Program, Administrative files, 1978-1983, 1.71 cubic ft.
These records consist of administrative files for the Nutrition Education Training Program, 1978-1983. They include: requests for proposals; records relating to the selection of nutritionists, trainers, translators, and other staff (including applications, job descriptions, resumes, oral interviews, written exercises, and contracts); lists of personnel; agenda, minutes, recommendations, and other items relating to meetings; lists of participants, abstracts of presentations, and other workshop materials; cost allocation plan reports, budget reports, management reports, audit reports, and various other reports; correspondence; memoranda; copies of legislation; discussion notes; etc. Arrangement is alphabetical by subject.

Deputy Commissioner for Programs/Services to Families and Children, Assistant Commissioner for Food Services, Nutrition Education and Training Program files, 1985-1986, 10 cubic ft.; Administrative files, 1985-1986, 3 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.

As time permits, appraisal staff will carefully review the records listed above, and will weed out routine materials.

Gaps?
There are apparent gaps for 1984 and 1987. Furthermore, according to DHS staff, the NET Program has not been funded by the USDA for the past three or four years; consequently there are no records for 1996-2000. However, the Nutrition Education and Training Program (NET) Fact Sheet (http://www.dhs.state.tx.us/programs/snp/net.html) on the DHS web site indicates activity in FY 1999.

Appraisal Decision:
Nutrition Education and Training (NET) program administrative files document a program that, while now possibly dormant due to lack of funding, has been important in the past. Consisting of administrative files, state plans, and interagency contracts, they are archival records, although they could probably use some weeding of routine materials. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Project 2001/Health Star

Agency: Texas Department of Human Services, Special Nutrition Programs: Program Development

Obsolete record series? Unknown

Ongoing record series? Possibly
Annual accumulation: fractional

Agency holdings:
0.25 cubic ft. Retained by the agency for one year after no longer administratively valuable, plus an additional 2 years at the State Records Center. Present holdings date 1993-1995.

Description:
These records consist of enrollment forms, reports, and similar materials, plus a Project 2001/Health Star manual, which contains the following: Criteria and Menu Plan, Menu Plan Tools, Health Star Education and Promotion Plan, Education and Promotion Plan Tool, Health Evaluation, Health Star Recipes, and Menus. The records date 1993-1995.

According to agency staff, the manual is not included in the series Administrative Services: Media and Policy Services: Handbook revisions for hardcopy handbooks (agency item number 360) or Microfilmed handbooks and revisions (agency item number 653).

Purpose:
These records are created as a part of the outreach program. The program implements U.S. dietary guidelines in schools. Health Star provides nutritional information from the American Heart Association.

Agency Program:
Program Development helps write policies and handbooks for the Special Nutrition Programs; they send policies to contractors (such as private schools and residential child care institutions), and child and adult care sponsors; they manage the Summer Food Service Program, and Food Distribution Program; and provide training to contractors.

In 1977, by Public Law 95-166, the U.S. Congress authorized programs to "provide children with better learning opportunities regarding food and nutrition, the relationship of nutrition to health, and experiences to use this knowledge to develop food and nutrition attitudes and practices fundamental to their health and well-being throughout life." The Texas Education Agency (TEA) submitted a plan for nutrition education to the U.S. Department of Agriculture (USDA) in August 1978, and the Texas Department of Human Resources in turn submitted a plan to TEA in September 1978 to cover the nutrition education component for providers served by the Child Care Food Program (CCFP) in Texas. This plan created the Nutrition Education [and] Training (NET) Program. The Department contracted with nutritionists, trainers, and translators to conduct workshops statewide. An NET Advisory Council was created and held its first meeting in August 1983.

(V.T.C.A., Human Resources Code, Chapter 33
See also 40 Texas Administrative Code, Part 1)

Arrangement: Not applicable

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records:
Texas Department of Human Services, Nutrition Education and Training Program, Project 2001/Health Star: Guidelines for Healthy School Meal Planning, 1994

Series data from agency schedule:
Title: Project 2001/Health Star
Series item number: NA
Agency item number: 800
Archival code: R
Retention: AV + 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Texas Documents Collection holdings:
None

Gaps?
The NET Program has not been funded by the USDA for the past three or four years; consequently there are no records for 1996-2000.

Appraisal Decision:
The Project 2001/Health Star manual is apparently not one of the DHS handbooks that are microfilmed (agency item number 653), and which have been determined to be archival. Nor is the publication Project 2001/Health Star: Guidelines for Healthy School Meal Planning (1994) in the holdings of the Texas Documents Collection. Furthermore, other materials are apparently included in this series, which is very small in volume. Although dormant due to lack of funding, this project was significant, implementing U.S. dietary guidelines in Texas schools. Records concerning it are (for all these reasons) archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

Once transferred to the Texas State Archives, appraisal staff will review these records, possibly weeding out non-archival materials, such as enrollment forms.

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Record Series Review
Series Title: Policy and initiatives program development files

Agency: Texas Department of Human Services, LTC: Health Policy and Economics

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 4 cubic ft.

Agency holdings:
30 cubic ft. at the agency. Retained by the agency for 3 years after no longer administratively valuable. Present holdings date 1993-2000.

Description:
These records consist of correspondence to and from agency attorneys and program heads, legislative background material, work group minutes, rule development files, and reports, dating 1993-2000. All of these files are created and/or maintained by the Long Term Care Health Policy and Economics section.

Purpose:
These records are created in the course of development of rules for the following programs: the nursing facility program; Intermediate Care Facility Serving Persons with Mental Retardation; Assisted Living Facilities; Home and Community Support Services Agencies; Hospice; the Pre-Admission Screening, and Annual Resident Review (PASARR) program; and the Alzheimer's project.

Agency Program:
The Office of Program's LTC (Long Term Care) Department is responsible for the administration and distribution of Medicaid funds. Medicaid is a state-administered program that helps pay the costs of certain medical services for eligible individuals. It is funded through a combination of federal and state funds, and provides an array of benefits based upon financial and medical needs.

The director of the LTC (Long Term Care) -- Policy Section reports to the Deputy Commissioner of the Office of Programs, who reports to the Executive Deputy Commissioner. The Policy Section writes and researches various rules and regulations, all for the benefit of the state's aged and disabled citizens.

(V.T.C.A., Human Resources Code, Chapters 21-22, 32
See also 40 Texas Administrative Code, Part 1, especially Chapters 18, 19, 30, 90, and 97)

Arrangement: Chronological/numerical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Public hearing tapes for rules and regulations, 1976-1990; work files for abandoned rules and regulations, 1989-1991; work files for adopted rules and regulations, 1988-1990, total 11 cubic ft. (March 1992)
Eligibility monitoring (draft regulations), 1976-1981, 1 cubic ft. (June 1986)

Publications based on records:
Texas Department of Human Services Rules (published in the Texas Register and the Texas Administrative Code).

Series data from agency schedule:
Title: Policy and initiatives program development files
Series item number: NA
Agency item number: 452
Archival code: R
Retention: AV + 3

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
These files begin in 1993.

Appraisal Decision:
Policy and initiatives program development files for the Long Term Care office are substantial records, documenting substantial functions of the Department of Human Services. The files consist of types of records which are normally considered archival (administrative correspondence, legislative background material, work group minutes, rule development files, and reports). For these reasons the records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

These records will be carefully reviewed upon receipt, however, for possible weeding to remove non-archival material (particularly the legislative background material and rule development files).

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Record Series Review
Series Title: Policy and procedures manual

Agency: Texas Department of Human Services, LTC: Health Policy and Economics

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.5 cubic ft.

Agency holdings:
12 cubic ft. at the agency. Retained by the agency for 3 years after it is superseded, according to the agency's records retention schedule. However, present holdings date 1978-2000.

Description:
These records consist of a policy and procedures manual, with updates, developed by the Long Term Care (LTC) Policy Section, dating 1978-2000. The manual includes the following sections: regional survey (how to survey nursing facilities) and certification information (certification or licensure of nursing facilities); provider (nursing home facilities) letters; policy interpretations; and a list of requirements for facilities.

Related series are Administrative Services: Media and Policy Services: Handbook revisions for hardcopy handbooks (agency item number 360), Administrative Services: Media and Policy Services: Microfilmed handbooks and revisions (agency item number 653), and Administrative Services: Media and Policy Services: Handbook revision cover letters (agency item number 357), which are also reviewed in this appraisal report.

Purpose:
These records are created to inform nursing home surveyors of State and Federal standards, to provide additional interpretation of survey protocol, and to explain policies and procedures for nursing home surveyors.

(V.T.C.A., Human Resources Code, Chapters 21-22, 32
See also 40 Texas Administrative Code, Part 1, especially Chapter 96)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policy and procedures manual
Series item number: 1.1.025
Agency item number: 762
Archival code: R
Retention: US + 3

Archival holdings:
Records (microfilm of handbooks, historical files), 1953-1981 (bulk 1975-1981), 3 cubic ft. [180 reels MF]
Records consist of 180 reels of 16mm microfilm. Archives staff has not viewed any of this microfilm and the following summary is based on microfilm labels and a card index. The dates of the records on the microfilm range from 1953-1981 with the bulk from the 1970s. The microfilm is divided between duplicate reels and master negative reels and each kind is arranged in the same order: administrative handbooks and policy manuals, public comments, and historical files. There are also two master negative microfilm reels, without reel numbers, that are filed separately.

Gaps? None

Appraisal Decision:
These records consist of a Long Term Care (LTC) Policy Section policy and procedures manual, with updates, and is one of the DHS handbooks that are an archival series on the schedule (or rather two series: hardcopy and microfilm, agency item numbers 360 and 653). 12 cubic ft. might seem extraordinarily large for one manual, even for 23 years of updates, but one of the appraisal archivists who has indexed DHS handbooks in the past believes this to be an accurate measurement. The functions that this manual documents are very significant, involving the surveying, certification and licensing of nursing facilities. For both of these reasons, these records are archival. However, they are already included in a series that has been determined to be archival: Administrative Services: Media and Policy Services: Microfilmed handbooks and revisions (agency item number 653).

Because this handbook is included in an existing series on the agency's records retention schedule, it seems to be redundant, and can therefore be eliminated.

If, however, the Texas Department of Human Services decides to retain this series on their schedule, they should change the archival review code of "R" to the archival code of "A" for these records. But they should also add the following note to the Remarks column: "Archival requirement is fulfilled by transferring microfilm to the Archives and Information Services Division of the Texas State Library and Archives Commission."

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Record Series Review
Series Title: CCAD Caseworker Study (a.k.a. CCAD Caseload Study)

Agency: Texas Department of Human Services, LTC: Policy and Programs: Community Care

Obsolete record series? Yes
Replaced by: Not applicable

Ongoing record series? No

Agency holdings:
0.1 cubic ft. at the agency. Retained by the agency until the completion of the study, and then reviewed annually to determine continuing value. Present holdings date 1994.

Description:
These records consist of reports, instructional material, and memoranda (from Administrative Services, Office of Programs, to DHS Aged and Disabled regional contacts), dating 1994. These records pertain to a Community Care for the Aged and Disabled (CCAD) caseload study conducted in that year.

Purpose:
These records were created as a result of a Community Care for the Aged and Disabled (CCAD) caseload study, designed to identify workload measurements used for equitable service funds to regions. The study data was also used for the Legislative Appropriations Request for that biennium.

Agency Program:
The Community Care for the Aged, Blind, and Disabled (ABD) Division was created in 1976, as part of the Social Services Branch of the Department of Human Resources. This division provided social services to aged, blind, and disabled recipients, including health and home health services, protective services, self-support services, assistance with community services, and services to meet special needs. Special programs existed from time to time to administer or enhance the activities of this division, such as the Generation Connection Program.

By 1980, the Assistant Commissioner of Community Care Services reported to the Associate Commissioner for Services to the Aged and Disabled, who in turn reported to the Deputy Commissioner for Programs.

The Office of Program's LTC (Long Term Care) Department is responsible for the administration and distribution of Medicaid funds. Medicaid is a state-administered program that helps pay the costs of certain medical services for eligible individuals. It is funded through a combination of federal and state funds, and provides an array of benefits based upon financial and medical needs.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1, especially Chapters 48-49)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Statistical reports on child abuse and neglect, CANRIS, CCAD clients, etc., undated, 26 cubic ft. (October 1987)
Contracted Client Services case records (Community Care for the Aged and Disabled, Primary Home Care), [19--]-1987, unknown volume (FY1991)
Generation Connection Program, Community Care for Aged, Blind and Disabled Division, forms, 1976-1977, 0.47 cubic ft.; computer printouts, 1976-1978, 0.47 cubic ft. (January 1989)

Publications based on records: None (according to the agency)

Series data from agency schedule:
Title: CCAD Caseworker Study
Series item number: 1.1.038
Agency item number: 427
Archival code: R
Retention: AC + AV

Archival holdings of related records:
Office of Financial and Social Programs, Social Services Branch, Community Care for the Aged, Blind, and Disabled Division, Generation Connection Program, Administrative files, 1976-1978, 5 cubic ft.
Records consist of correspondence, reports, state office and regional administrative files, media presentations, and other materials documenting the activities of the Generation Connection Program, including the First Lady's Task Force and the Co-Sponsors Steering Committee. Files date 1976-1978. Records contain interdepartmental memoranda, correspondence, proposals for projects, meetings, budgets, and training; monthly activity proposals and reports; tracking activity reports; reports on field visits, programs, and projects; drafts for topical reports and articles; summary plans of core groups; resource files; transparencies; and semi-annual and project ending reports of the program. The goals of the program (which began in June 1976 and ended August 1977) were to increase public awareness of the needs of resources of older Texans through the dissemination of information at seminars, workshops, public meetings, and the news media; to promote the utilization of existing services; and to develop new opportunities and services for older Texans.

Deputy Commissioner for Programs, Associate Commissioner for Services to Aged and Disabled, Institutional Care Services Branch, Provider Services Division, Nursing home billing services records, 1978-1983, 3 cubic ft.
These records consist of memos, correspondence, updated sheets for policy manuals, and reports. The records date from 1978-1983 but most are from FY 1983, September 1, 1982- August 31, 1983. The correspondence includes executive and information letters from the Department of Human Resources Commissioner, Marlin Johnston, containing policy announcements, changes in administrative procedures, updates to manuals, and other administrative matters. Correspondence of Thomas McClinton, director of Nursing Home Billing Services, and the NHBS staff concerns insurance claims, payment of accounts, patient identification and eligibility, reimbursements from insurance companies, refunds for payments, complaints, investigations and fines against nursing homes for fraud and abuse of medicaid contracts, and appeals by nursing homes against fines. Reports include billing control totals, monthly progress and monitoring reports, billing schedules, credit collections, and a number of other recurring records.

Deputy Commissioner for Programs, Associate Commissioner for Services to Aged and Disabled, Institutional Care Services, Administrative files, [19--]-1981, 5 cubic ft.
Deputy Commissioner for Programs, Associate Commissioner for Services to Aged and Disabled, Provider Services Division, Auditor's report on examination of long-term care facilities, 1980, 1 cubic ft.; Nursing Home Billing Services administrative files, 1984-1985, 5 cubic ft.
These three groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
A caseload study has not taken place since 1994.

Appraisal Decision:
The files of the CCAD Caseworker (Caseload) Study constitute a very small, and obsolete, series. It documents a one-time study that apparently produced no publications, concerning a significant program within the Department of Human Services, Community Care for the Aged and Disabled. It contains record types that are potentially archival (reports, memoranda, and perhaps instructional material). For all of these reasons it is archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records. Once it is transferred to the Archives and Information Services Division of the Texas State Library and Archives Commission, this series may be deleted from the agency's records retention schedule.

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Record Series Review
Series Title: In-Home and Family Support Program administration

Agency: Texas Department of Human Services, LTC: Policy and Programs: Community Care

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1 cubic ft.

Agency holdings:
8 cubic ft. at the agency. Retained by the agency at least 3 years, then until no longer administratively valuable. Present holdings date 1994-2000.

Description:
These records consist of administrative records of the In-Home and Family Support program, dating 1994-2000, including quarterly statistics such as how many clients have received benefits and how many are on the waiting list, quarterly monitoring, a memorandum of feedback data to regions informing them if they are following the policies, tape match data from the Texas Department of Mental Health and Mental Retardation (MHMR) to make sure they are not serving the same client twice (MHMR has same program), and memos from DHS commissioners regarding policy clarifications.

Purpose:
These records are created during the administration of the In-Home and Family Support program, to monitor enforcement and determine effectiveness of the program, to provide feedback to the regional offices, to ensure that clients are not served twice (due to Texas Department of Mental Health and Mental Retardation overlap), and to clarify policies.

The In-Home and Family Support program awards grants to persons with permanent physical disabilities for the purchase of services, architectural modifications, and special equipment that allow them to stay in their homes.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1, especially Chapter 48, Subchapter F)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: In-Home and Family Support Program administration
Series item number: NA
Agency item number: 430
Archival code: R
Retention: AC + AV

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
None; the program was not created until 1994.

Appraisal Decision:
In-Home and Family Support Program administration records document a relatively new and significant program that aims at avoiding the unnecessary institutionalization of elderly and/or disabled persons, a program for which the State Archives has no records as yet. The series contains record types that are potentially archival (quarterly statistics and monitoring reports, feedback data, and policy memoranda). The kinds of statistics maintained in the quarterly reports seem to be reported in the legislative appropriation request (LAR) on an annual basis, but this is unclear. For all of these reasons the records (or some of the records) are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records. Once transferred to the State Archives, however, there will be a reappraisal of the archival value of these records.

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Record Series Review
Series Title: Hospice Program development files

Agency: Texas Department of Human Services, LTC: Policy and Programs: Institutional Policy

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 5 cubic ft.

Agency holdings:
5 cubic ft. at the agency. Retained by the agency until no longer of administrative value, after the end of the fiscal year. Present holdings date 1999-2000.

Description:
These records consist of correspondence to and from providers of hospice care and federal Health Care Financial Administrators (HCFAs), dating January 1999-2000.

Purpose:
The records are created during the day-to-day administration of the Hospice Program, and reflect rule writing and policy interpretations.

The Hospice Program provides palliative care consisting of medical, social, and support services for a period of six months to persons who are terminally ill. Funding is partially federal, partially state. The Health Care Financing Administration (HCFA) is the federal agency that administers Medicare and Medicaid programs (including the Hospice program).

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1, Chapter 30)

Arrangement: Alphabetical by name of correspondent

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Hospice Program development files
Series item number: NA
Agency item number: 534
Archival code: R
Retention: FE + AV

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
Pre January 1999: the employee who held the position prior to January 1999 reportedly stole or destroyed the documents.

Appraisal Decision:
Hospice Program development files contain correspondence between hospice providers and administrators, relating to the policies of this significant program to improve the quality of life of the terminally ill. Earlier records are unaccountably missing from the agency, and the State Archives has no records of this program either. Especially for these latter reasons, the existing records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

Once they are transferred, these records will be carefully reviewed by appraisal staff to determine if they need to be weeded for non-archival materials.

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Record Series Review
Series Title: Medicaid statistical reports

Agency: Texas Department of Human Services, LTC: Policy and Programs: Institutional Policy

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1.25 cubic ft. (yet there are 17 cubic ft. for 1989-1990)

Agency holdings:
25 cubic ft. Retained by the agency for 2 years after the end of the calendar year, then an additional 3 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1986-2000.

On September 5, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1989-1990, 17 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of reports in computer printout form, representing a compilation of client and provider data from the Community Care of the Aged and Disabled (CCAD) program, dating 1986-2000. Data consists of number of clients, money spent on providers, budgetary, statistical and client information.

Prior to the mid-1990s some of these reports were generated with client names and Social Security Numbers, mainly for Mental Health and Mental Retardation facilities (at the request of MHMR). However, in the mid 1990s this section changed payment systems from output reports (which captured any and all information) to a claims management system which uses relational databases and does not contain confidential information.

Purpose:
These records are created to report statistical information on Medicaid clients served, by amount, by service. The data are used in preparing budget and staffing documents. The reports are sent to regional offices.

Agency Program:
The Office of Program's LTC (Long Term Care) Department is responsible for the administration and distribution of Medicaid funds. Medicaid is a program of medical assistance for low-income individuals and families that originated as part of the federal Social Security Amendments of 1965. Medicaid is financed jointly with state and federal funds and administered by each state within broad federal requirements and guidelines. The states have latitude in determining eligibility requirements and the scope of services. Texas enacted legislation to authorize participation in Medicaid through the Medical Assistance Act of 1967 (Vernon's Ann. Civ. St., Article 695j-1). The Department of Public Welfare (DPW) was designated the state agency to write and administer the state plan.

(V.T.C.A., Human Resources Code, Chapters 21-22 and 32
See also 40 Texas Administrative Code, Part 1, especially Chapters 1, 4, 5, 15, 40)

Arrangement: Chronological/numerical

Access Constraints:
Originally listed as confidential, these records are no longer considered confidential, according to agency staff. However, on September 5, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series (currently retained in the State Records Center), and they were still coded as confidential.

Prior to the mid-1990s some of these reports were generated with client names and Social Security Numbers, mainly for Mental Health and Mental Retardation facilities (at the request of MHMR). Those records are therefore confidential.
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

However, in the mid-1990s this section changed payment systems from output reports (which captured any and all information) to a claims management system that uses relational databases and does not contain confidential information.

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Medicaid quality control positive and negative cases and universe lists, [19--]-1987, total 310 cubic ft. (February 1992)
Medicaid eligibility deceased/denied client case records, [19--]-1987, unknown volume (FY1991)
Medicaid claims processing review files, [19--]-1983; medical services provider files and recipient files, [19--]-1983, 106 cubic ft. (November 1988)
Medicaid accounts for MHMR facilities, 1982-1983; Medicaid/Medicare client lists and client counts by institution, 1983; statistical bulletins 1973-1983 (January 1989)
Medicaid/Medicare client lists and client counts by institution, 1980-1982; expected payment for services rendered, 1980-1981; dismissal files, 1978 (February 1989)
Utilization Control Division, files generated from inquiries concerning Medicaid recipients' explanation of benefits, or medical care received under the Medicaid program, 1975, 24 cubic ft. (July 1987)
Retroactive Medicaid decisions, [19--]-1977, 18 cubic ft. (July 1987)
Medicaid Task Force records, copies of testimony, worksheets, correspondence and envelopes, 1976-1977, 3 cubic ft. [summarized in multi-volume report] (January 1989)

Publications based on records:
Some basic Medicaid statistics are reported in the Annual Reports of the Department of Human Services.

Internet pages based on records:
Texas Medicaid HCFA 2082 Reports (for 1995, 1996, and 1997) (formatted in Microsoft Excel 5.0 for Windows) are located on: http://www.hhsc.state.tx.us/med/2082.htm. [URL is no longer valid, November 2006.]
The HCFA-2082 is an annual hard-copy report designed to collect State-reported statistical summary data on Medicaid eligibles, recipients, services, and expenditures during a Federal fiscal year (i.e., October l through September 30). The data reported for a given year represent recipients of services and the amount of payments for claims processed during a given year. The data reflect bills adjudicated rather than services used during the year. States summarize and report the data processed through their own Medicaid claims processing and payment operations.

Statistics for Medicaid eligibles by county are reported in the 1999 Annual Report of the Department of Human Services, available online at: http://www.dhs.state.tx.us/publications/AnnualReport/1999/7STATS.PDF. [URL is no longer valid, November 2006.]
For each county in Texas, the total numbers are listed for two categories: families and children, and aged and disabled.

Series data from agency schedule:
Title: Medicaid statistical reports
Series item number: 1.1.067
Agency item number: 550
Archival code: R
Retention: CE + 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission, except for what is found in the following related records.

Archival holdings of related records:
Medicaid Task Force (Blue Ribbon Task Force for the Evaluation of Medicaid in Texas), Reports, 1976-1977, 2.47 cubic ft.
These records consist of a report detailing the issues and final recommendations of a study to evaluate Medicaid in Texas; a multi-volume report titled "Resource Document," and subcommittee reports, 1976-1977. The recommendations report defines the purpose and goals of the Task Force, notes the issues researched, and discusses recommendations made. The Resource Document reiterates the purpose and goals of the study, discusses the Medicaid program as it currently exists, and contains copies of testimony, interviews, and letters gathered during the evaluation. It concludes with a fiscal analysis, containing recommendations, key assumptions, and estimated cost savings. Subcommittee reports are composed of worksheets, each listing an issue in question, a recommendation, and the rationale supporting the recommendation. The March 15-16 reports contain the final recommendations of the subcommittees.

Medicaid Task Force (Blue Ribbon Task Force for the Evaluation of Medicaid in Texas), Correspondence and working papers, 1976-1977, 2 cubic ft.
These records consist of correspondence, memos, agenda, speeches, testimony, questionnaires, drafts of subcommittee reports, and research material. They comprise the files of the Blue Ribbon Task Force for the Evaluation of Medicaid in Texas, 1976-1977. Correspondents include task force members, support staff, providers and recipients of Medicaid services, other members of the medical community, government officials, and concerned citizens. Research material includes background reports, journal articles, and statistical data on health costs. Records are in order as received.

Purchased Health Services Division, Diagnosis Related Group Project, 1983-1987, 20 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. However, a cursory examination of some of the records showed numerous reports, many of them computer printouts, giving an impressive amount of statistics for hospitals. It remains to be seen if this accession, which is rather large, contains the necessary codes to interpret those statistics. Some codes seem intuitive (based on other information available in a 1985 Medicaid Hospital Payment System Study); e.g. ICUBEDS = intensive care unit beds; ICAVLDYS = intensive care available days; NEWBDAYS = newborn days; INRESALR = intern and resident salaries. But most are not that clear.

Administrative Services Division, Library records: administrative and vertical files, reports, organizational charts, manuals, grant applications, 1940-1995, 13 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid. A cursory examination indicates the inclusion of an unbroken series of quarterly blue books, 1974-1995, containing DHS statistics.

Gaps?
No statistical reports are found prior to 1979, although Texas began to participate in Medicaid in 1967.

Appraisal Decision:
Medicaid statistical reports are particularly important records concerning one of the Department of Human Services' primary functions. Although readily available for the most recent years, the earlier statistics may be harder to locate from other sources. The agency appears to have an unbroken run of these reports for the past 15 years. While there is some concern with the format of these reports (computer printouts), they should be usable so long as all fields and codes are defined and labeled. For all of these reasons, these are archival records. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

The Remarks column should contain a note to the effect that "Statistical reports are accompanied by all documentation necessary to read and understand the computer printouts."

Before transferring these to the Texas State Archives, however, DHS staff needs to redact client names and Social Security Numbers found in the older records.

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Record Series Review
Series Title: Nursing home calculations and supporting documentation

Agency: Texas Department of Human Services, LTC: Administrative Services: Administrative Management

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 0.25 cubic ft.

Agency holdings:
2 cubic ft. at the agency. Retained by the agency for 10 years after the completion of reports using the data. Present holdings date 1993-2000.

Description:
According to DHS staff, these records consist of sectional, departmental, and regional reports, comprising documentation for the calculated budget and staffing of Long Term Care, dating 1993-2000. The reports include client and dollar counts of many LTC programs including Day Activity and Health Services (DAHS), Emergency Response Systems (ERS), Title XIX, Qualified Medicare Beneficiary (QMB) applications/denials, etc. The series is a compilation of client and provider data from the Community Care of the Aged and Disabled program. Data consists of number of clients using certain programs, number of units served, money spent on providers, budgetary and statistical information.

According to DHS staff, the raw data used to prepare these reports constitutes another series: LTC: Administrative Services: Administrative Management: Reports, external -- special purpose (agency item number 806), which is also reviewed in this appraisal report.

Purpose:
These records are created for distribution to regional administrators and legislators, to achieve equitable distribution of funding to regions based on need and workflow.

The director of Administrative Management reports to the Deputy Commissioner of Office of Programs (which used to be Long Term Care), who reports to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None.

In the mid-1990s, Long-Term Care's Administrative Management section changed payment systems from output reports (which captured any and all information) to a claims management system that uses relational databases and does not contain confidential information.

The agency's records retention schedule is therefore incorrect in listing this series as confidential. This discrepancy was pointed out by DHS staff.

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records:
Some basic nursing home statistics are reported in the Annual Reports of the Department of Human Services.

Internet pages based on records:
Statistics are reported in the 1999 Annual Report of the Department of Human Services, available online at: http://www.dhs.state.tx.us/publications/AnnualReport/1999/7STATS.PDF. [URL is no longer valid, November 2006.]
There are three charts pertinent to this series, listing:
(1) estimated expenditures for each program for fiscal year 1999;
(2) estimated expenditures for each of the 11 regions in Texas for fiscal year 1999, for four program areas: TANF, Food Stamps, Nursing Home Care, and Community Care Services for Aged and Disabled;
(3) the average monthly number of Nursing Home recipients of Medicaid (in hundreds) for 1992-1999.

Series data from agency schedule:
Title: Nursing home calculations and supporting documentation
Series item number: 1.1.067
Agency item number: 568
Archival code: R
Retention: AC + 10

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps?
1986-1992, if the earlier holdings of the State Archives contain such documentation; otherwise, there are no records in this series prior to 1993.

Appraisal Decision:
According to DHS staff, this series, Nursing home calculations and supporting documentation, comprises the formal reports based on another series of raw data, called Reports, external -- special purpose. Common sense seems to say that the labels are reversed. However, the size of the agency's holdings, as well as the annual accumulation, of this series are small enough to suggest that perhaps only the final reports are included.

If this series (whatever it is called) does represent the final reports, then these records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

The Department of Human Services should also change the security code for this series from "C" (for confidential) to "O" (for open).

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Record Series Review
Series Title: Reports, external -- special purpose

Agency: Texas Department of Human Services, LTC: Administrative Services: Administrative Management

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 4 cubic ft.

Agency holdings:
30 cubic ft. Retained by the agency for 2 years after the end of the fiscal year, then an additional 3 years at the State Records Center, according to the agency's records retention schedule. However, present holdings date 1993-2000.

Description:
These records consist of mainframe reports (computer printouts) used to prepare sectional, departmental, and regional reports, dating 1993-2000. Records include client and dollar counts of many LTC programs including Day Activity and Health Services (DAHS), Emergency Response Systems (ERS), Title XIX, Qualified Medicare Beneficiary (QMB) applications/denials, etc. The series is a compilation of client and provider data from the Community Care of the Aged and Disabled program. Data consists of number of clients using certain programs, number of units served, money spent on providers, budgetary and statistical information.

This series consists of the raw data used to produce final reports, namely the series designated as LTC: Administrative Services: Administrative Management: Nursing home calculations and supporting documentation (agency item number 568), which is also reviewed in this appraisal report.

Purpose:
These records are created on the sectional, departmental, and regional levels, to provide data to assist in preparing budget and staffing documents.

The director of Administrative Management reports to the Deputy Commissioner of Office of Programs (which used to be Long Term Care), who reports to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1, especially Chapter 48)

Arrangement: Chronological/alphabetical

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Nursing home system reports, [19--]-1984 (February 1992)
Nursing home cost reports, [19--]-1983; nursing home analyses, 1978-1980; nursing home rate runs, 1980-1982 (October 1988)
Nursing home staffing survey and tax survey, 1982; nursing facility cost analysis and questionnaire, 1976 (December 1988)
Nursing home contracts, 1969-1984 (June 1989)
Nursing home material, 1978-1979, 96 cubic ft. (June 1986)

Publications based on records:
Some basic Community Care statistics are reported in the Annual Reports of the Department of Human Services.

Internet pages based on records:
Statistics are reported in the 1999 Annual Report of the Department of Human Services, available online at: http://www.dhs.state.tx.us/publications/AnnualReport/1999/7STATS.PDF. [URL is no longer valid, November 2006.]
There are three charts pertinent to this series, listing:
(1) estimated expenditures for each program for fiscal year 1999;
(2) estimated expenditures for each of the 11 regions in Texas for fiscal year 1999, for four program areas: TANF, Food Stamps, Nursing Home Care, and Community Care Services for Aged and Disabled;
(3) the average monthly number of Community Care recipients (in hundreds) for 1992-1999.

Series data from agency schedule:
Title: Reports, external -- special purpose
Series item number: 1.1.067
Agency item number: 806
Archival code: R
Retention: FE + 5

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Gaps? None

Appraisal Decision:
According to DHS staff, this series, called Reports, external -- special purpose, consists of the raw data upon which formal reports are based, called Nursing home calculations and supporting documentation. Common sense seems to say that the labels are reversed.

Special purpose reports for Long Term Care programs are important records concerning one of the Department of Human Services' primary functions. Although summary statistics are available in the annual reports, they do not include the detail that these special reports have. However, the raw data (computer printouts) from which the reports were created are not archival; the final reports are sufficient documentation.

For the series containing the raw data/printouts (whatever it is labeled), the Texas Department of Human Services should change the archival review code of "R" to the archival exception code of "E," and should add the following to the Remarks column: "Archival review code removed subsequent to appraisal by the Archives and Information Services Division, Texas State Library and Archives Commission, January 4, 2001."

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Record Series Review
Series Title: Management information focus report

Agency: Texas Department of Human Services, Planning, Evaluation, and Project Management: Management Analysis

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1 cubic ft.

Agency holdings:
6 cubic ft. Retained by the agency for one year after records become inactive, then at least 10 additional years at the State Records Center; records are then reviewed every ten years before disposal. Present holdings date 1994-2000.

Description:
These records consist of monthly reports on key measures for Texas Works (TANF, Food Stamps, Medicaid), Fair Hearings, and Special Nutrition Programs, dating February 1994-2000. These reports can also be described as executive summaries of Client Support Service (CSS) Programs performance standards.

Purpose:
These records are created to assist staff in identifying issues and solutions. They provide Regional and State Office managers with monthly and historical information on the Texas Works (TANF, Food Stamps, Medicaid), Fair Hearings, and Special Nutrition Programs. The report is also sent to the Texas Department of Human Services Board, the Governor's Office, the Legislative Budget Board, Health and Human Services Commission, Texas Workforce Commission, regional U.S. Department of Agriculture, Administration for Children and Families, Texas Department of Health, consulting firms, and client advocates.

Agency Program:
The Management Analysis unit conducts work measurement studies. They do studies in the areas of Texas Works/Client Support Service, Medicaid Eligibility, and Long Term Care Regulatory. Management Analysis is the focal point for gathering the information and putting it into the Focus Report, but they don't "own" the data. The Management Analysis unit is in Planning, Evaluation and Project Management, which is headed by a Deputy commissioner, who reports directly to the Executive Deputy Commissioner.

(V.T.C.A., Human Resources Code, Chapters 21-22
See also 40 Texas Administrative Code, Part 1)

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Management information focus report
Series item number: NA
Agency item number: 789
Archival code: R
Retention: AC + 11

Archival holdings:
None at the Archives and Information Services Division of the Texas State Library and Archives Commission.

Archival holdings of related records:
Associate Commissioner for Programs, Assistant Commissioner for Research, Demonstration and Evaluation, Project files, 1982-1984, 3 cubic ft.
Deputy Commissioner for Services to Families and Children, Client Self-Support Services, Centralized Administrative Management Resources, Project data reports, 1984-1988, 1 cubic ft.
Associate Commissioner for Strategic Management, Research and Development, Research and Evaluation Division, Project files, 1981-1986, 4 cubic ft.; Project files, 1986-1987, 3 cubic ft.; Project files (Transportation for Indigent Cancer Patients), 1986-1987, 2 cubic ft.
These five groups of records are part of a backlog that has not been described in any Archives finding aid.

Gaps?
No Management information focus reports are found as a separate series prior to 1994.

Appraisal Decision:
Management information focus reports serve as executive summaries of Client Support Service Programs performance standards. They provide a good overview of a number of Department of Human Services programs, including their monthly progress. They are therefore archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

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Record Series Review
Series Title: Regional administrative records (Division uniform administrative subject/correspondence files)

Agency: Texas Department of Human Services, Regional Operations

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 4 to 8 cubic ft.

Agency holdings:
14 to 30 cubic ft. Retained by the agency for one year after the end of the fiscal year, plus another 4 years at the State Records Center. Present holdings date 1997-2000, according to agency staff.

However, on October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1990-1991 and 1993-1994, 3 cubic ft. (currently retained in the State Records Center).

Description:
These records consist of administrative correspondence, forms, and reports between the regions and the State Office, regarding various operational procedures for regional offices and related documentation, dating September 1997-2000.

Purpose:
Regional administrative records are created during the course of the normal administration of the Regional Operations Division, and are maintained to help maintain those functions.

Agency Program:
The Office of Regional Operations, which reports directly to the executive deputy commissioner, allocates resources to the ten DHS regions in Texas, establishes performance expectations, and holds regional administrators accountable for results. Field staff members determine client eligibility for programs and services. They are crucial to the DHS "welfare-to-work" initiative (Texas Works), making sure that applicants and recipients understand that Temporary Assistance for Needy Families (TANF) benefits are indeed temporary and require a commitment to find jobs; at the same time, staff assists in surmounting barriers to employment. Regional Operations also is responsible for the Volunteer Services, Adopt-a-Nursing Home, and Individual and Family Grant programs.

As of April 1999, the Deputy Commissioner of Regional Operations reports to the Executive Deputy Commissioner, who reports to the Commissioner. The following report to the Deputy Commissioner of Regional Operations: 10 Regional Administrators; Operations Officers and Support Services Liaisons; the Quality Control, Texas Works, and Program Evaluation programs; the Volunteer Services, Charitable Choice, and Adopt-a-Nursing Home programs; and the IFG & Disaster Program.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.006; also 11.003;
See also 40 Texas Administrative Code, Part 1)

Arrangement:
Alphabetical/numerical according to the agency's Uniform Administrative Filing System. The files are purged annually, so the purge files are in chronological order.

Access Constraints:
Some files contain client information, which is confidential by law.
(V.T.C.A., Human Resources Code, 21.012)
(42 Code of Federal Regulations, 431.301-431.307, and 45 Code of Federal Regulations, 5b.1-5b.13).

On October 23, 2000, the State Archivist received a request from DHS to transfer records for archival review from this series, 1990-1991 and 1993-1994, 3 cubic ft. (currently retained in the State Records Center). The records dating 1990-1991 are listed as confidential on the request, but the records dating 1993-1994, 2 cubic ft., are coded as open.

Use Constraints: None

Indexes or finding aids required for, or an aid to access?
The Uniform Administrative Filing System, adopted by the agency in fiscal year 1983

Problems: None

Known related records in other agencies: None

Austin Regional Office administrative files, 1985-1986, 1 cubic ft. (December 1991)
Hotline daily logs for regions, 1982-1983, part of 157 cubic ft. (June 1989)
Financial Services Branch, regional files, 1976-1977; monthly activity reports, correspondence, regional files, food stamp contracts and audits, 1976-1978, 23 cubic ft. (October 1987)
Regional administrators' files, 1983-1985, 3 cubic ft. (May 1988)
Region 06 administrative files, 1984-1985, 2 cubic ft. (May 1988)
Regional Director Aged and Disabled, Region 6, administrative files, 1982-1983, 3 cubic ft. (May 1988)
Regional Director of Medical Services, Institutional Utilization Control Division, administrative files (research and historical), 1975-1981, 15 cubic ft. (May 1988)
Regional Director for Aged and Disabled (Region 6, Austin), correspondence and administrative files, 1983-1984, 4 cubic ft. (May 1988)
FY 1980 Regional Budget Office files, 1980, 6 cubic ft. (March 1986)
Fiscal inventory printouts, Regions 1-12, 1980-1981, 3 cubic ft. (June 1986)
HEAP casefolders (Austin Region), 1982, 106 cubic ft. (September 1986)

Publications based on records: None

Series data from agency schedule:
Title: Regional administrative records
Series item number: 1.1.067
Agency item number: 162
Archival code: R
Retention: FE + 5

Title: Division uniform administrative subject/correspondence files
Series item number: 1.1.007
Agency item number: 611
Archival code: R
Retention: FE + 5

Archival holdings:
Field Operations Office, Administrative files, 1962-1979, 6.25 cubic ft.
These records consist of internal memoranda, with attachments (contracts and amendments; audits; budget information; program reviews; reports and statistics on several programs; caseload statistics; E-letters discussing policies and procedures for specific functions or topics; PA-letters, very similar to E-letters; I-letters, providing routine or general information concerning staff activities; proposed legislation and legislative updates; HEW materials, mainly action transmittals; surveys; statistical profiles of regions; etc.), dating 1962-1979. They comprise the communications between regional administrators, the Director of the Field Operations Division, other state office administrators, the various Deputy Commissioners who oversaw the activities of the regional administrators, and regional directors.

Field Operations Office, Regional Administrators meeting files, 1968-1978, 1.75 cubic ft.
These records contain internal memoranda concerning meeting topics, agenda, minutes, copies of materials discussed (letters, reports, etc.), and notes, all of meetings of Regional Administrators, dating October 1968-August 1978.

Office of the Deputy Commissioner for Field Management, Administrative files, 1982-1985, 2.44 cubic ft.
These records consist of internal memoranda and correspondence, with attachments, performance reviews, audits, fiscal and business management materials, legal materials, proposed legislation, personnel files, files of government and non-government organizations, and materials concerning special projects. Dating 1982-1985, they cover the administrative and management operations of the Office of Field Management.

Office of the Deputy Commissioner for Field Management, Administrative files, 1980-1981, 5 cubic ft.; Administrative files, 1982-1985, 5 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.

Office of the Deputy Commissioner for Field Management, Program files, 1982-1985, 2.03 cubic ft.
These records consist of internal memoranda and correspondence between the Deputy Commissioner for Field Management and other deputy commissioners or executive staff in the program areas, regional directors, and regional administrators. Dating 1982-1985, they document policies and procedures of the various programs within the Department of Human Resources.

Office of the Deputy Commissioner for Field Management, Regional files, 1982-1985, 8.18 cubic ft. (most files restricted due to client and personnel privacy concerns)
These records consist of monthly reports of the Deputy Commissioner for Field Management, goals and objectives for the regions and the state office, data on the Statewide Communication Access Network (SCAN), budget information, audits, and special projects files, dating 1982-1985. All of these general files are open. The bulk of this accession is closed, however, consisting of complaints by program recipients and by staff, and closed internal investigations of agency personnel, also dating 1982-1985.

Archival holdings of related records:
Office of the Deputy Commissioner for Field Management, Contracted Services, Administrative files, 1987-1988, 3 cubic ft.
Office of the Deputy Commissioner for Field Management, Reports Reduction Steering Committee, 1989, 2 cubic ft.
These two groups of records are part of a backlog that has not been described in any Archives finding aid.

Office of Assistant Commissioner for Coordination, Regional correspondence files, 1972-1975, 1.12 cubic ft.
These records consist of correspondence and memoranda (with attachments: reports, notes, agenda, minutes, presentations, lists of participants, newsletters, newspaper clippings, contracts and memoranda of agreement, etc.), dating 1972-1975. They comprise the regional correspondence files to and from the various Regional Human Resources Coordinators, Regional Administrators, and other staff of the Department of Public Welfare, and Executive Directors of Councils of Governments, Associations of Governments, and Regional Planning Commissions. Some of the items are to or from, and all have been directed to the attention of, the Assistant Commissioner for Coordination or his Assistant. Of particular interest are various recurring Regional Overall Program Design reports for 1976-1978. The first file in this series contains oversized Council of Government (COG) Worksheets, which indicate frequency of participation of each COG in a list of "common activities," grouped under the following general headings: health, aging, criminal justice, youth, manpower, transportation, and general, and further broken down by specific programs.

Office of Programs, Office of Families and Children, Family Self-Support Services, Community Resources Division, Regional files, 1982-1983, 0.1 cubic ft.
These records consist of internal memoranda, primarily between regional directors or other regional personnel, and Community Resources Division (CRD) staff--the Administrator, program directors, and others, with some items from the Assistant Commissioner of FSSB or other senior staff. The files date 1982-1983, and concern procedures, specific incidents, and other items, generally concerning a specific region.

Deputy Commissioner for Programs, Associate Commissioner for Services to Families & Children, Assistant Commissioner of Family Self-Support Services, Regional files, 1982-1985, 0.22 cubic ft.
These records consist of internal memoranda, primarily from the Assistant Commissioner of FSSB or other FSSB staff, to regional directors or other regional staff. They date 1982-1985. The files concern procedures, upcoming visits, and other action, affecting either all regions or specific regions. Materials are arranged by region.

Gaps?
Administrative/correspondence files for the Regional Operations Division, 1986-1996, are unaccounted for.

Appraisal Decision:
Division uniform administrative subject/correspondence files of the Regional Operations Division pose several dilemmas for the archival appraiser.

One of these dilemmas is to decide whether to focus on records at the central office level (where policies are formulated), or the regional level (where implementation of those policies occur). It is unclear from the information provided so far by the staff of the Department of Human Services, but the records under review seem to be at the central office level (communications between the Deputy Commissioner of Regional Operations and both (1) other divisions of DHS and (2) regional administrators). The records actually kept at the regional level (at each of the State of Texas' 10 Human Services Regions) are more likely to be the client files and other records that are not considered archival.

If these Division records are indeed the files of the Regional Operations office (in Austin) rather than the files of each of the Regions, then they document policies, procedures, and programs at the higher level. In addition, they will probably also document the actual implementation of those policies at the regional level. So the focus is actually both central and regional, rather than either/or.

Another factor to consider is the apparent absence of any equivalent record series (division administrative subject/correspondence files) from several key divisions in the Texas Department of Human Services: the Internal Auditor Office; the Government Relations Division; the Office of Programs; the Long Term Care - Regulatory Division; and the Office of Planning, Evaluation, and Project Management. At least one of these divisions, the Office of Programs, has transferred this kind of record to us abundantly in the past. At any rate, the lack of these kinds of records might increase the value of equivalent records from the division that serves as a link between the central office and the regions.

All this having been said, the appraisal committee regretfully cannot make a decision on the value of these records until we receive further clarification. Therefore the Texas Department of Human Services must continue to retain the archival review code of "R" for this series of Regional administrative records. When any of these records are ready for that archival review, the agency staff should then contact the appraisal staff at the State Archives, and an appraisal can be done in earnest, with the cooperation of DHS staff.

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Record Series Review
Series Title: Volunteer Services Program management files

Agency: Texas Department of Human Services, Regional Operations

Obsolete record series? No

Ongoing record series? Yes
Annual accumulation: 1 cubic ft.

Agency holdings:
12 cubic ft. Retained by the agency for one year, plus another 2 years in the State Records Center, according to the agency's records retention schedule. However, present holdings date 1986-2000.

Description:
These records consist of management files for the Volunteer Services Program, 1986-2000. Types of records in the files include miscellaneous reports, correspondence to and from volunteers, event information, records of who volunteered, volunteer award ceremony materials, planning documentation and other related documentation.

Purpose:
These files are created during the course of normal business of the Volunteer Services Program, and are maintained to help manage the agency's volunteer program.

Agency Program:
In 1993, Senate Bill 248, 73rd Legislature, Regular Session (among many other things) made the following legislative mandate: "A governmental entity that provides human services shall use volunteers, if feasible, to assist in providing human services of a high quality." Each such volunteer program is required to include training for both paid staff and prospective volunteers, a system for evaluating the work of the volunteers and the cooperation between paid staff and volunteers, and follow-up studies of the effectiveness of the volunteer program.

V.T.C.A., Government Code, 2109.001-2109.006; also 7 Code of Federal Regulations, 272.4; 42 Code of Federal Regulations, 432.32; 45 Code of Federal Regulations, 225.2; etc.

(V.T.C.A., Human Resources Code, Chapters 21-22, especially 21.006
See also 40 Texas Administrative Code, Part 1)

Arrangement: Appear to be in random order

Access Constraints: None

Use Constraints: None

Indexes or finding aids required for, or an aid to access? None

Problems: None

Known related records in other agencies: None

Personnel Administration, volunteer records, employee conference notes, leave records, selection and promotion files, [19--]-1987, unknown volume. (FY 1991)
Volunteer Services, administrative files, [19--]-1982, 5 cubic ft. (October 1987)
Volunteer Services, administrative files, 1977-1982, 2 cubic ft. (October 1987)
Volunteer Services Division, purchase requests, requests of printing/distribution, orders for stock supplies or forms, numbered equipment transfers, 1981-1984, 0.25 cubic ft. (initiated by Archives) (January 1990)

Publications based on records: None

Series data from agency schedule:
Title: Volunteer Services Program management files
Series item number: NA
Agency item number: 575
Archival code: R
Retention: 3

Archival holdings:
Office of Programs, Associate/Assistant Deputy Commissioner for Programs, Volunteer Services Division, Reports and correspondence, 1981-1984, 0.94 cubic ft.
These records consist of monthly volunteer activity reports and memoranda from the director and the assistant director of the Volunteer Services Division of the Office of Programs, many of them to Regional Volunteer Specialists, dating 1981-1984.

Office of Programs, Associate/Assistant Deputy Commissioner for Programs, Volunteer Services Division, Administrative files, 1982-1984, 7 cubic ft.
These records consist of correspondence and memoranda, concept papers, policy summaries, progress reports, discussion papers, drafts, planning documents, reports of weekly meetings with deputy commissioners, yearly activity reports, procedures manuals, booklets and pamphlets, newspaper clippings, newsletters, copies of the Congressional Record, agenda, schedules of events, work plans, analyses of budget public hearings, summaries of testimony, summaries of meetings, mailing lists, organizational charts, maps of regions, briefings for board members, drafts of speeches, press releases, notes, blueprints of the new Department of Human Resources building, registration forms, travel authorizations and vouchers, etc. Dated 1982-1984, they comprise the records of the daily administration of the Volunteer Services Division of the Office of Programs.

Deputy Commissioner for Programs, Associate Commissioner for Programs, Volunteer Services Division, Administrative files, 1982-1985, 7 cubic ft.; Administrative files, 1985-1986, 2 cubic ft.
Client Self-Support Services, Volunteer Services, Administrative files, 1986-1987, 3 cubic ft.
These three groups of records are part of a backlog that has not been described in any Archives finding aid.

Archival holdings of related records:
Associate Commissioner for Services to Families and Children, Assistant Commissioner for Income Assistance Services, Home Energy Assistance Program, Volunteer Program files, 1985, 2 cubic ft.
These records are part of a backlog that has not been described in any Archives finding aid.

Gaps? None

Appraisal Decision:
The Volunteer Services Program management files document a critical (and legislatively-mandated) program to increase the economic efficiency of the Department of Human Services through the use of volunteers. This is especially important for a state agency that currently has the third-largest legislative appropriation in the State of Texas. Records from this program that have been transferred to the State Archives in the past appear to include records of enduring value. For all of these reasons these records are archival. The Texas Department of Human Services should change the archival review code of "R" to the archival code of "A" for these records.

Records Appraisal Report: Department of Human Services

Contents of this report Agency Contact | Agency History | Project Review | Record Series Reviews

Archival finding aids Texas Department of Human Services: An Inventory of Meeting Files at the Texas State Archives, 1933-2001 Texas Department of Human Services: An Inventory of Organization Charts at the Texas State Archives, 1967-1968, 1970, 1972-1987, 1989-1990, 1993-2000

Agency Contact:

Agency History and Structure:

Project Review:

Archives Holdings:

Previous Destructions:

Project Outcome:

Record Series Reviews

Records Appraisal Report:
Department of Human Services

Contents of this report
Agency Contact | Agency History | Project Review | Record Series Reviews

Archival finding aids
Texas Department of Human Services: An Inventory of Meeting Files at the Texas State Archives, 1933-2001
Texas Department of Human Services: An Inventory of Organization Charts at the Texas State Archives, 1967-1968, 1970, 1972-1987, 1989-1990, 1993-2000