Records Appraisal Report:
Optometry Board
Contents of this report
Agency Contact | Agency History | Project Review | Record Series Reviews
Internal links to series reviews
Archives
Board meeting records
Correspondence/reports
Opticianry matters
Policies and procedures manuals
Automated files - Licensee master files
Biennial budget requests
Strategic plans
Archival finding aid
Texas Optometry Board: An Inventory of Records at the Texas State Archives, 1921-2003
April 22, 1996, by Laura K. Saegert, 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.
Lois Ewald
Executive Director
333 Guadalupe, Suite 2-420
Austin, TX 78701
Agency History and Structure
The state of Texas began regulating the practice of optometry in 1921, through the creation of the State Board of Examiners in Optometry, Senate Bill 50, 37th Legislature, 2nd Called Session. The board was given the task of regulating, through examination and licensing, optometrists in Texas. The Board was composed of five members, later six, all licensed optometrists, appointed by the Governor to six year overlapping terms.
The Optometry Board was created in 1969 by Senate Bill 781, 61st Legislature, Regular Session, to replace the State Board of Examiners in Optometry. The Optometry Board was initially composed of six members, all licensed optometrists, appointed by the Governor with the advice and consent of the Senate, to six year overlapping terms. In 1981, the board was increased to nine members, all appointed by the Governor as previously. Six members must be Texas residents and practicing licensed optometrists for at least five years, three affiliated with the Texas Optometric Association, the other three with the Texas Association of Optometrists, Inc. The three remaining members are from the general public. The chair is elected by the Board members.
The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses. Licenses are renewed annually, and beginning in 1975, continuing education became a mandatory requirement for license renewals. The Board also makes available to the public information of consumer interest describing the regulatory functions of the Board, procedures for filing complaints, and how complaints are resolved. In 1981 the Board was given the authority to promulgate procedural rules and regulations. In 1991 the Optometry Act was changed to allow for the licensing of therapeutic optometrists, allowing optometrists to treat certain conditions of the eye, remove foreign materials from the eye, and prescribe certain medications.
The Board enforces the standards of conduct of optometrists and investigates complaints. Enforcement actions taken against optometrists include revoking, suspending, or refusing to issue licenses. An Investigative Committee, composed of Board members who are licensed or therapeutic optometrists, conduct the investigations, with the Executive Director supervising the proceedings. Informal conferences are held to determine the outcome of the complaint. Proposed orders re: disciplinary action are then presented to the Board for approval. Cases not resolved in the conferences are referred to the State Office of Administrative Hearings.
Staff of the Board consist of an Executive Director and several administrative and clerical staff. There are no formal divisions.
Project Review
I was assigned to review the records of this agency in October, 1995. I have reviewed the agency history in the Guide to Texas State Agencies (1972, 4th edition and 1993, 8th edition); Vernon's Ann. Civ. St., Article 4552; 22 Texas Administrative Code, Part XIV; several reports produced by the Optometry Board--Annual financial report for FY 1995, Request for Legislative Appropriations for FY 1996-97, and the Strategic Plan for 1995-1999; and the Sunset Commission report on the agency, 1980. I have reviewed the destruction requests from the Optometry Board, their records retention schedule, and the records of the Board already housed in the State Archives.
On the current schedule of the Board are four series designated as archival ('A' code), and four series designated for archival review ('R' code). The archival series are: Archives, Board meeting records, Automated files--Licensee master files, and Organization charts. The archival review series are Correspondence, development of policies and programs; Correspondence, Reports; Correspondence, Advertising permits; and Opticianry matters. There is also a series which should be scheduled for archival review on the schedule and was not, Policies and procedures manuals.
I discussed questions about the retention schedule with the records consultant assigned to the Optometry Board, Kay Steed. I prepared a list of questions concerning series on the retention schedule with archival codes of 'R' or 'A' and mailed these along with our letter of introduction to the Executive Director, who is also the records administrator of the Board. On December 14, 1995, the records consultant, Kay Steed, and myself met with the records administrator of the Board, Lois Ewald, and her assistant, Joy Crum, to ask questions about the archival status of several records series and explain about the appraisal process. I went over the questions I had prepared regarding the 'A' and 'R' series, and was able to gather some of the information I needed for preparing this report. During the meeting it was discovered that several 'R' series were empty series. Action taken concerning these series is detailed in the Project Outcome section of this report. I also inquired into the possible existence of fairly common series which do not appear on the schedule--Speeches, Press releases, and Executive orders. The Board does not produce records for the first two series. Any orders of the Board produced will concern a complaint resolution, which are filed in the Licensee files.
After the meeting I made several follow-up calls to the agency to get enough information to complete the appraisal report.
In addition to the scheduled 'A' and 'R' series, I have prepared an appraisal series report for a series already deemed as permanent--Biennial budget requests, but which should be coded as archival on the retention schedule. Another series, Strategic plans, is also deemed permanent and needs to be added to the schedule with an Archival code of 'A'. The archival mandate of these series is fulfilled by sending copies to the Publications Clearinghouse.
The agency is sending us copies of the microfilm of the older meeting files of the agency.
Archives holdings
Minutes, January, 1975, September-December, 1995, fractional.
Previous destructions
Destruction requests, or RMDs, were submitted by the Board in 1987 and 1988 for the destruction of exam applications, financial records, and continuing education correspondence, dating 1982-1986. These were approved. Other records listed only on the 1988 RMD which had been microfilmed were Board meeting folders, 1970-1985; advertising permits, 1969-1975; cancelled licenses, 1980-1988; lease exemptions, 1969-1985; miscellaneous general correspondence, 1981-1985; and renewal forms, 1983-1986. This was approved. In 1989 an RMD was submitted which listed these same microfilmed series, covering the same years, which was approved.
Project outcome
The appraisal of the agency has been completed. A summary of actions for the agency to take is given for the series reviewed.
I am recommending we keep the following series on the schedule as archival, Archives, and Board meeting records. These series already have an Archival code of 'A'.
Series 1.01 Archives - The Board has plans to microfilm most of the materials in this series. The Archives requests a copy of the microfilm when this is done or else have the paper records transferred.
Series 1.02 Board meeting records - Send copies to the Archives, preferably on a annual basis, or else regularly after the board meetings. Since Meeting agendas is not a series on the schedule, include copies of the meeting agenda when sending paper copies of the minutes.
Two other archival series have their archival requirement met by sending copies of publications to the Publications Clearinghouse. These series are Biennial budget requests and Strategic plans, a series to be added to the schedule.
Series 4.09 Biennial budget requests. Add an Archival code of 'A' to the schedule. Revise the note in the remarks section to "Agency retains permanent Record Copy and sends required copies to the Publications Clearinghouse, which fulfills the archival mandate." The Clearinghouse does not hold copies of this report prior to 1978/79 and is missing 1979/80-1982/83. Send copies of past reports to the Clearinghouse.
No series number Strategic plans - This series needs to be added to the schedule, with an Archival Code of 'A', a 'PM' retention, and this note in the Remarks section, "Copy sent to Publications Clearinghouse fulfills the archival mandate."
One of the archival review series has been determined to have archival value - Correspondence/Reports. One series reviewed which was not coded for archival review on the schedule also has been determined to have archival value, Policies and procedures manuals.
Series 1.04 Correspondence/Reports - Revise the Archival code from 'R' to 'A'. The Board has plans to microfilm these materials in the near future, and destroy the hard copy when done. The Archives requests copies of the materials in this series which are not sent to the Publications Clearinghouse be transferred after the records have been microfilmed.
Series 1.13 Policies and procedures manuals - Revise the Archival Code from 'R' to 'A'. Send a copy of the manual and updates yearly or as it is revised to the Archives.
The following 'R' series should be considered as non-archival and the 'R' code removed from the records retention schedule. These series are Opticianry matters, and Automated files--Licensee master files.
Series 1.08 Opticianry matters - Remove the Archival code of 'R' and change the Medium code to 'P' from 'M' since these materials have not been microfilmed.
Series 2.04 Automated files--Licensee master files - Remove the Archival code of 'R' and change Medium code to 'E', as this is an electronic record. To reflect the fact that this information is also kept long-term in microfilm, a second series needs to be added - Licensee master files, with a Medium code of 'M' for the microfilm copy.
Several series with the Archival Code of 'A' or 'R' were determined to be either empty or miscoded series. A summary of action to be taken regarding series in these categories follows.
Series 1.03 Correspondence/development of policies and program procedures - This is an empty series. Remove the series from the schedule.
Series 1.05 Correspondence/advertising permits - This is an empty series. The advertising permits, which are non-archival, have been microfilmed and the associated correspondence was discarded several years ago. Remove this series from the schedule.
Series 4.05B Organization charts - This is not a separate series. A copy of the chart is filed in the Annual financial report and the Strategic plan. As long as a copy of the chart is filed in the Annual financial report, the archival mandate is fulfilled. Remove this series from the schedule.
Series 4.06 Reports, Annual and biennial - This is an empty series. The Board only produces the Annual financial report. Remove this series from the schedule and reinstate if the Board begins issuing an annual narrative report.
Record Series Reviews
Records Series Review
Series Title: Archives
Dates: 1925-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices permanently. The present holdings are 1925-[ongoing], 1.5 cubic feet.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Description: This series contains folders of minutes, 1950-1992; optometric manpower survey, 1976; guidelines prior to 1983; certified board rules and regulations filed with the Secretary of State, 1961-1963; continuing education guidelines and enabling law; professional responsibility rules, 1959; rule making procedures, 1950s to 1969 law; miscellaneous rules prior to 1969; apprenticeship rules, 1925-1946; optometry law booklets, 1925-current; legislation and amendments, 1969 to date; code of ethics, 1947-1952; Federal Communications Commission on Price Advertising; reports to the Texas Optometric Association, 1949; Secretary of State reports, 1953-1967; basic competency rule--correspondence to licensees; public hearing on rules, 1955; and a 1954 petition to the Attorney General regarding reinstatement rules--public hearing, 1955. There are a variety of records present, largely concerning rules and guidelines. The earliest records date back to 1925, with the optometry law booklets and copies of legislation kept current.
Purpose: This series serves as a repository for rules, guidelines, and legislative materials concerning the functions of the Optometry Board.
Agency Program: The state of Texas began regulating the practice of optometry in 1921, through the creation of the State Board of Examiners in Optometry, Senate Bill 50, 37th Legislature, 2nd Called Session. The board was given the task of regulating, through examination and licensing, optometrists in Texas. In 1969, the Optometry Board was created, Senate Bill 781, 61st Legislature, Regular Session, to replace the State Board of Examiners in Optometry. The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses.
Vernon's Ann. Civ. St., Article 4552.
Arrangement: By type of material.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? None
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
Title: Archives
Series item number: none
Agency item number: 1.01
Archival code: A
Retention: PM
Recommendation: This series serves as a repository for rules, guidelines, and legislative materials concerning the functions of the Optometry Board. Many of these materials are archival, some are not. The memo folders of minutes are already being microfilmed for transfer to the Archives. Other materials of interest archivally are guidelines, especially pre-1969 for which the Clearinghouse does not have published materials, and the continuing education guidelines; rule-making procedures, 1950s; the survey in 1976; copies of the earliest rules and optometry law booklets, dating back to 1925; code of ethics, 1947-1952; and the 1954 petition to the Attorney General. Copies of published rules in the Texas Register and of legislation are not archival, nor is the correspondence to licensees, professional responsibility rules, Secretary of State reports, or the FCC material on price advertising.
We are interested in obtaining the items of archival value. I recommend this series remain as archival on the retention schedule, with an Archival code of 'A'. The records administrator has plans to microfilm most of the materials in this series. When this is done, we would like to have a copy of the microfilm for our records or else have the paper records transferred. The agency views this series as a permanent inhouse series. That can be maintained, but we do want either paper or microfilm copies of the materials mentioned above.
Record Series Review
Series Title: Board meeting records
Dates: 1921-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency permanently, the meeting files in microfilm, and the official board minutes in paper copy. Microfilmed meeting files are dated 1921-1989 and consist of 1 cubic foot of 35mm microfilm reels. Paper copies of minutes are 1977-[ongoing], and consist of two large bound volumes, one containing 499 pages, the other 435 pages.
Archival holdings: Minutes, January, 1975, September-December, 1995, fractional.
Description: These files contain minutes, meeting agenda, and documents presented to the Board. Dates covered are 1921-[ongoing]. Topics discussed include issuing licenses, examinations, complaints, continuing education, correspondence to the Board, and rule changes. Meeting files through 1989 have been microfilmed, files after that point are scheduled for microfilming.
Purpose: This series documents the decisions of the Optometry Board and its predecessor, the State Board of Examiners in Optometry, formulated at their board meetings.
Agency Program: The state of Texas began regulating the practice of optometry in 1921, through the creation of the Texas State Board of Examiners in Optometry, Senate Bill 50, 37th Legislature, 2nd Called Session. The board was given the task of regulating, through examination and licensing, optometrists in Texas. The Board was composed of five members, later six, all licensed optometrists, appointed by the Governor to six year overlapping terms. In 1969, the Optometry Board was created to replace the State Board of Examiners in Optometry, Senate Bill 781, 61st Legislature, Regular Session. The Optometry Board was initially composed of six members, all licensed optometrists, appointed by the Governor with the advice and consent of the Senate, to six year overlapping terms. In 1981, the board was increased to nine members, all appointed by the Governor as previously. Six members must be Texas residents and practicing licensed optometrists for at least five years, three affiliated with the Texas Optometric Association, the other three with the Texas Association of Optometrists, Inc. The three remaining members are from the general public. The chair is elected by the Board members.
The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses. Licenses are renewed annually, and beginning in 1975, continuing education became a mandatory requirement for license renewals. The Board also makes available to the public information of consumer interest describing the regulatory functions of the Board, procedures for filing complaints, and how complaints are resolved. In 1981 the Board was given the authority to promulgate procedural rules and regulations. In 1991 the Optometry Act was changed to allow for the licensing of therapeutic optometrists, allowing optometrists to treat certain conditions of the eye, remove foreign materials from the eye, and prescribe certain medications.
Vernon's Ann. Civ. St., Article 4552-2.01.
Arrangement: Chronological by date of meeting.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? The agency is sending copies of minutes missing from the Archives holdings, 1921-1995.
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board. Paper copies of meeting files were approved for destruction in 1988 and 1989, covering the years 1970-1985. The Board maintains microfilm copies of these meeting files, and paper copy of the minutes from 1977 to present.
Publications based on records: None
Scheduled record series? Yes
Title: Board meeting records
Series item number: 1.1.017
Agency item number: 1.02
Archival code: A
Retention: PM
Recommendation: Minutes of state agency board meetings provide primary evidence of the functions and policy formulation of the highest echelon of the agency. A note needs to added to the Remarks section of the retention schedule; "Agency of origin retains permanent Record Copy. The archival requirement will be met by sending a copy to the State Archives". There is not a separate series on the schedule for meeting agenda, so a copy of the agenda needs to be included with the minutes. Copies of the minutes and agenda can be sent to the Archives on a annual basis, or regularly after the board meetings.
The staff of the agency will be sending microfilm copies of all the Board's meeting files, as well as a microfilm copy of the official minute books--the two volumes dating from 1977-present.
Record Series Review
Series Title: Correspondence/reports
Dates: c. 1990-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices for three years after the end of the fiscal year. The present holdings are c. 1990-[ongoing], 3 cubic feet.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Description: These are reports, surveys, etc. with cover letters, such as annual reports, agency surveys, questionnaires, and requests for information from other state agencies. Dates covered are c. 1990-[ongoing]. Some of the reports, such as annual reports, are filed in the Publications Clearinghouse. The surveys, questionnaires, and requests concern a variety of topics and are generated at the request of the Legislature or another state agency.
Purpose: This series serves as a repository for agency-produced reports and requests from other agencies.
Agency Program: The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses.
Vernon's Ann. Civ. St., Article 4552.
Arrangement: Chronological by fiscal year.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? None are present prior to about 1990.
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series?
Title: Correspondence/reports
Series item number: 1.1
Agency item number: 1.04
Archival code: R
Retention: FE+3
Recommendation: These are administrative reports and related records which reflect the functioning of the Optometry Board. Most of these items are not filed in the Publications Clearinghouse. Most of these do have archival value in documenting the functions of this agency, such as through summation of activities not covered extensively in the annual financial report, and responses to requests from other agencies, such as a legislative study. I recommend this series be considered as archival, and the Archival code be changed from 'R' to 'A'. The series item number on the schedule should be changed to that of administrative reports, 1.1.031, and the title should be changed to Reports, Administrative, which more accurately reflects the nature of this series. The Board has plans to microfilm these materials in the near future, and destroy the hard copy when done. The Archives requests copies of the materials in this series which are not sent to the Publications Clearinghouse be transferred after the records have been microfilmed.
Record Series Review
Series Title: Opticianry matters
Dates: 1976-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices until purpose served. The actual holdings of the agency are 1976-[ongoing], 1.5 cubic feet.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Description: This series contains copies of injunctions filed against opticians and closed case files, 1976-present; general mailings to dispensing opticians; optician lists; and general correspondence with opticians, 1984-1995.
Purpose: This series documents agency transactions with opticians.
Agency Program: The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. The Board also enforces the separation of the practices of optometrists and opticians. The practices of optometrists and therapeutic optometrists are to remain completely and totally separated from the business of any dispensing optician. This includes separation of offices within the same building, and maintaining separate records by the opticians and optometrists, even if the latter is also a practicing optician.
Vernon's Ann. Civ. St., Article 4552-5.15.
Arrangement: By type of material.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? No records are present prior to 1976.
Problems: None Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series?
Title: Opticianry matters
Series item number: none
Agency item number: 1.08
Archival code: R
Retention: PS
Recommendation: This series concerns the Board's routine dealings with opticians. The records present--mailing lists, general correspondence, lists of opticians, copies of injunctions, and case files are not archival materials. Rules are present in the statutes which concern the agency's dealings with opticians, which sufficiently covers this regulatory activity of the board. I recommend this series be considered as non-archival and the Archival code of 'R' be removed from the retention schedule. The current Medium code on the schedule needs to be changed to 'P' from 'M' since these materials have not been microfilmed. If these records are microfilmed, the code can be changed back to 'M' with a note in the Remarks column, "Microfilmed after 3 (or however many) years, then hard copy destroyed".
Record Series Review
Series Title: Policies and procedures manuals
Dates: c. 1993-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices until superseded according to the retention schedule. The present holdings of the agency are c. 1993-[ongoing], fractional.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Description: This series consists of a manual describing the procedures for carrying out the Board's primary functions, including conducting examinations, issuing and renewing licenses, handling complaints, and continuing education responsibilities. The current manual is dated c. 1993-[ongoing].
Purpose: This manual documents agency procedures with regard to carrying out the Board's licensing and regulation activities.
Agency Program: The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses. Licenses are renewed annually, and beginning in 1975, continuing education became a mandatory requirement for license renewals. The Board enforces the standards of conduct of optometrists and investigates complaints. Enforcement actions taken against optometrists include revoking, suspending, or refusing to issue licenses.
Vernon's Ann. Civ. St., Article 4552.
Arrangement: Topically
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? The Board does not keep copies of superseded sections, so no records are present prior to the date of the current manual, c. 1993.
Problems: None
Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
Title: Policies and procedures manuals
Series item number: 1.1.025
Agency item number: 1.13
Archival code: none
Retention: US Recommendation: This manual documents the implementation of licensing and regulation activities of the board, making this a valuable record. I recommend that this series be made archival. It should carry an Archival Code of 'A'. Send a copy of the current manual and updates yearly or as it is revised to the Archives.
Record Series Review
Series Title: Automated files - Licensee master files
Dates: c. 1975-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices until purpose served, plus three years according to the retention schedule. The present holdings of the agency are c. 1975-[ongoing], size of the database is approximately 78 million bytes.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Description: This series is a database of active licensing files, serving primarily as a cumulative roster of licensed optometrists. Data contained includes names, dates, license numbers, test scores, and addresses. Dates are c. 1975-[ongoing]. This information is available through the database, and on paper or microfilm. Paper records are regularly microfilmed, then destroyed. The Board does not produce an annual roster, but does regularly file a list of applicants taking the exam, noting those passing and failing, with the Secretary of State's office. This covers candidates in a calendar year only, it is not cumulative.
When a license is cancelled, the paper record is transferred to a different series, Cancelled licensee records. These are regularly microfilmed and the paper copy destroyed. The microfilmed cancelled files date back to 1922. A similar series exists for deceased individuals - Deceased licensee records. Both of these series are maintained by the Optometry Board.
Purpose: This database serves as a cumulative roster of licensed optometrists.
Agency Program: The Optometry Board was created in 1969 by Senate Bill 781, 61st Legislature, Regular Session, to replace the State Board of Examiners in Optometry (created in 1921). The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses. Licenses are renewed annually, and beginning in 1975, continuing education became a mandatory requirement for license renewals.
Vernon's Ann. Civ. St., Article 4552-3.01 - 3.10.
Arrangement: N/A - This is a database and arrangement varies depending on the field a sort is done for. The paper output, the roster, is alphabetical.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? No records are present prior to the mid 1970s.
Problems: None
Known related records in other agencies: The Board files a list of applicants who passed and failed the examination with the Secretary of State. This is not a cumulative roster.
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series? Yes
Title: Automated files - Licensee master files
Series item number: 2.1.002
Agency item number: 2.04
Archival code: A
Retention: PS+3
Recommendation: This is an electronic record, serving primarily as a cumulative roster of licensed optometrists. This information is also available in hard copy, either in paper or microfilm. Licensing rosters are not archival records, therefore I recommend this series be considered as non-archival and the Archival code of 'A' be removed from the retention schedule. The Medium code on the schedule needs to be changed to 'E', as this is an electronic record. To reflect the fact that is information is also kept long-term in microfilm, a second series needs to be added - Licensee master files, with a Medium code of 'M' for the microfilm copy. The current note in the Remarks column, "Paper maintained until no longer of Administrative value, microfilmed, and hard copy destroyed", should be added to the new series - Licensee master files, and deleted from the current series, Automated files--Licensee master files.
Record Series Review
Series Title: Biennial budget requests
Dates: 1971-[ongoing]
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices for six years after passage of the Appropriation Act according to the retention schedule. Actual holdings of the agency are FY 1971-[ongoing], fractional.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Archival requirement for this series is fulfilled by sending copies to the Publications Clearinghouse. The Clearinghouse holds 1978/79, 1983/84-[ongoing]. Two copies of Requests for Legislative Appropriations must be sent to the Publications Clearinghouse (13 Texas Administrative Code, Section 3.3 (c)).
Description: These records are legislative appropriation requests of the Optometry Board submitted to the Legislative Budget Board and others. The records date from FY 1971-[ongoing]. The requests generally contain narrative statements of agency functions or programs. Program objectives are listed, along with a description of each objective, discussions of performance measures, statistics, program need indicators, and expenses--expended, current, and projected, at different funding levels.
Purpose: The purpose of these records is 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 Optometry Board was created in 1969 by Senate Bill 781, 61st Legislature, Regular Session, to replace the State Board of Examiners in Optometry (created in 1921). The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses.
Vernon's Ann. Civ. St., Article 4552.
Arrangement: Chronological by fiscal year.
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? The Clearinghouse holds copies from 1978/79, 1983/84-[ongoing]. The Board holds copies back to FY 1971. There are not any requests prior to FY 1971.
Problems: None
Known related records in other agencies: No
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: Legislative Budget Board, Legislative Budget Estimates have been published since fiscal years 1954 and 1955. This publication, a compilation of data for all state agencies, summarizes the fiscal information found in agency-submitted budgets or appropriation requests, but omits most of the narrative.
Scheduled record series? Yes
Title: Biennial budget requests
Series item number: 1.1.004
Agency item number: 4.09
Archival code: none
Retention: AC+6
Recommendation: Biennial budget requests prepared by state agency boards and/or commissions provide evidence of an agency's fiscal performance and needs. The archival requirement for these records is fulfilled by sending copies to the Publications Clearinghouse of the Texas State Library. An Archival code of 'A' needs to be added to the retention schedule and the note in the Remarks column revised to read "Agency retains Record Copy and sends required copies to the Publications Clearinghouse, which fulfills the archival mandate." The Clearinghouse does not hold copies of this report prior to 1978/79 and is missing 1979/80-1982/83. Send copies of past reports to the Clearinghouse.
Record Series Review
Series Title: Strategic plans
Dates: 1992, 1994
Agency: Optometry Board
Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional
Agency holdings: Retained by the agency in its offices permanently. The present holdings of the agency are 1992, 1994, fractional.
Archival holdings: None in the Archives and Information Services Division of the Texas State Library.
Archival requirement for this series is fulfilled by sending copies to the Publications Clearinghouse. The Clearinghouse holds copies of the 1994 plan. (13 Texas Administrative Code, Section 3.3 (a)(3).)
Description: Strategic plans are long-range planning tools prepared by the agency in which the goals and objectives of the agency are presented along with performance measures for each. Plans contain a mission statement, a statement of philosophy, and external/internal assessment of the agency, and the goals of the agency. Each goal contains objectives, strategies, and output measures for measuring and achieving the goals. Also present is an organization chart of the agency. The Optometry Board has prepared two plans, in 1992, 1994, with the planning time frames 1992-1998 and 1995-1999, respectively.
Purpose: These plans are long-range planning tools prepared by the agency which set forth goals and objectives of the agency over a multi-year period.
Agency Program: The Optometry Board was created in 1969 by Senate Bill 781, 61st Legislature, Regular Session, to replace the State Board of Examiners in Optometry (created in 1921). The Optometry Board regulates the practice of optometry in Texas to ensure that the public is protected from incompetent services, fraud, and misrepresentation. Duties of the Board are to administer examinations, issue licenses, investigate and adjudicate complaints if possible, enforce advertising regulations and limitations, and renew licenses.
Vernon's Ann. Civ. St., Article 4552.
Arrangement: Chronological
Access Constraints: None
Use Constraints: None
Indexes or finding aids required for/or an aid to access? No
Gaps? The Clearinghouse only holds a copy of the 1994 plan.
Problems: None Known related records in other agencies: None
Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Optometry Board and none were found for this series or equivalent or related series.
Publications based on records: None
Scheduled record series? No
Suggested series from state Records Retention Schedule: Yes
Title: Strategic plans
Series item number: 1.1.055
Agency item number: to be assigned
Archival Code: A
Retention: PM
Recommendation: The strategic plans document the long-range planning activities of the board and are already considered archival. Their archival mandate is fulfilled by the agency sending copies of the reports to the Publications Clearinghouse. This series needs to be added to the records retention schedule, with an Archival code of 'A' and a Retention period of 'PM'. The state recommended retention schedule will be revised to carry an Archival Code of 'A' for this series. Also, a note should be put in the Remarks column, "Copies sent to the Publications Clearinghouse fulfill the archival mandate." A copy of the 1992 plan needs to be sent to the Publications Clearinghouse.