Records Appraisal Report:
State Board of Pharmacy

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

Internal links to series reviews
Biennial budget requests
Legal opinions and advice
Meeting agenda
Meeting minutes - board meetings
Meeting minutes - Meetings-supporting documentation
News or press releases
Organization charts - Original
Policies and procedures manuals
Publication files
Reports - Administrative
Reports, Annual and biennial agency reports - Non-fiscal
Reports, Consultants and committees
Speeches
Litigation files
Strategic plans
Exam administration file - Exam rosters
Deceased master list
Investigative weekly activity report
Disciplinary orders
Adjudication worksheets
Registers of pharmacists
Electronic licensing records (Pharmacist)

Archival finding aid
Texas State Board of Pharmacy: An Inventory of Records at the Texas State Archives, 1984-1987, 1989-1999

August 11, 1999, Tonia J. Wood, Appraisal Archivist

Agency Contacts

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.

Cathy Stella
Director of Administrative Services and Licensing
Texas State Board of Pharmacy
333 Guadalupe Street, Suite 3-600
Austin, TX 78701-3942

Robbi Polanco
Administrative Assistant
Division of Administrative Services and Licensing
Texas State Board of Pharmacy

Agency History and Structure

Statewide regulation of pharmacists in Texas began in 1907 with the passage of the Texas Pharmacy Act, creating the Texas State Board of Pharmacy. The purpose of the act is to promote, preserve and protect public health, safety and welfare through effective control and regulation of the practice of pharmacists and licensing of pharmacies engaged in the sale, delivery or distribution of prescription drugs and devices (Senate Bill 82, 30th Legislature, Regular Session). Before the Pharmacy Act was enacted, pharmacists were regulated locally by district boards, each composed of three pharmaceutical examiners, beginning in 1889 (House Bill 125, 21st Legislature, Regular Session).

The Texas State Board of Pharmacy is composed of nine members, appointed by the governor with the advice and consent of the Senate. Six members must be licensed pharmacists in practice for at least five years immediately preceding appointment, and three are members of the general public. Pharmacists must mainly represent community and institutional pharmacies, may not be salaried faculty of colleges of pharmacy, and may not be an officer or spouse of an officer of a trade association in health care. The board elects a president, vice-president, and treasurer, and selects an executive director who is a registered pharmacist to serve as secretary and ex-officio (non-voting) member of the board and to administer the agency. The board is responsible for enforcing the Texas Pharmacy Act and all laws pertaining to the practice of pharmacy, as well as cooperating with other state and federal agencies regarding violations of drug or drug-related laws.

The board's duties include: licensing pharmacists by examination or by reciprocity; licensing pharmacies; renewing pharmacists' licenses annually; maintaining a register of pharmacists; approving degree programs for colleges of pharmacy; investigating complaints of alleged violations of laws relating to the practice of pharmacy; disciplining pharmacists; specifying conditions for pharmacists administering medications (including immunizations and vaccinations); regulating the training, qualification, and employment of pharmacist-interns; and enforcing the Texas Pharmacy Act and rules adopted under the act.

In 1981 the Pharmacy Board began using ad hoc task forces composed of registered pharmacists to assist in the pre-rulemaking process. Currently two task forces are studying issues for the board: the Taskforce on Pharmacists Working Conditions and their Impact on the Public Health and the Task Force on Technician Training. The Board of Pharmacy is a member of the National Association of Boards of Pharmacy (NABP).

In 1998 the agency had approximately 42 FTE employees in the Office of the Executive Director and four divisions: Administrative Services and Licensing, Compliance, Investigations, and Adjudication and Legal Support Services with headquarters in Austin. The board licenses approximately 19,000 pharmacists and 5,400 pharmacies annually.

The Office of the Executive Director provides policy advice to the board, implements board policies, and manages the agency in a manner to accomplish the Pharmacy Board's mission, goals, and objectives. The executive director is a voting member of the Health Professions Council, which was created to coordinate administrative and regulatory efforts for health-related licensing agencies in Texas.

The Administrative Services and Licensing Division is responsible for administering agency operations including personnel, accounting, budgeting, purchasing, property management, and information technology. The division also conducts a pharmacy and pharmacist licensure system, initial licensing by exam, and ongoing renewal of licenses.

The Compliance Division promotes voluntary compliance with pharmacy laws and rules, monitors compliance with pharmacy laws and rules, enforces provisions, and provides information and compliance services to agency customers. The division is responsible for creating the newsletter that is sent to all licensed pharmacists.

The Investigations Division investigates alleged violations and transfers swiftly to adjudication substantial violations of the Texas Pharmacy Act, Dangerous Drug Act, Controlled Substances Act, and rules promulgated pursuant to the acts.

The Adjudication and Legal Support Services Division monitors complaints and prosecutes violations of the Texas Pharmacy Act, Dangerous Drug Act, Controlled Substances Act, and rules promulgated by the agency. The division monitors compliance with board orders and provides adjudicative information to agency customers and legal support to the agency.

Texas Pharmacy Act, Vernon's Ann. Civ. St., Article 4542a-1
Texas Dangerous Drug Act, V.T.C.A., Health and Safety Code, Chapter 483
Texas Controlled Substances Act, V.T.C.A., Health and Safety Code, Chapter 481

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Project Review

I was assigned to appraise the records of the Texas State Board of Pharmacy on January 11, 1999. The agency completed its third retention schedule re-certification in July 1997 and is due for its fourth re-certification in July 1999. [The records consultant assigned to the Pharmacy Board agreed to extend the due date for re-certification so that recommended changes in the appraisal report could be applied to the retention schedule.]

I reviewed the Guide to State Agencies (9th ed., 1996 and 10th ed., 1998), statutes, and agency publications, including the strategic plan for 1999-2003, annual report for FY 1996, annual financial report for FY 1998, biennial budget request for fiscal years 2000-2001, and the agency's web site (http://www.tsbp.state.tx.us/).

In November, 1995 Chris LaPlante, State Archivist, appraised Pharmacists' Original Application and Pharmacists' Renewal record series, which had been assigned archival review code R, and determined they were not archival.

There are five series on the agency's retention schedule with archival code A: Biennial budget requests, Meeting agenda, Meeting minutes, Meetings-supporting documentation, and Organization charts.

There are eleven series with archival review code R: Administrative correspondence, Legal opinions and advice, News or press releases, Policies and procedures manuals, Publication files, Reports, Administrative, Reports, Consultants and committees, Conference reports and papers, Reports, Studies & surveys-final data, Speeches, and Examination file, exam roster.

Two series that the State Archives has determined are archival are on the TSBP retention schedule: Reports, Annual and biennial agency reports-non-fiscal and Strategic plans.

Five other series need appraisal due to the length of retention period or series title: Litigation files, Adjudication worksheets, Disciplinary orders, Investigative weekly activity report, and Deceased master list.

After meeting with the records management officer, I determined that a report needed to be extracted annually from the Electronic licensing records series and that one obsolete series existed: Registers of pharmacists. There is a box of other "old" material that cannot be located, possibly including a history of the board and an old organization chart.

As part of the current appraisal project, I mailed an introductory letter on January 20, 1999 from Chris LaPlante to Executive Director Gay Dodson and Cathy Stella, Records Management Officer and Director of Administrative Services and Licensing, along with the list of record series to be appraised. I contacted Cathy Stella on January 27, 1999. After changing the meeting date several times, we settled on March 22, 1999.

I met with Cathy Stella on March 22, 1999 to discuss the appraisal process and record series that had possible archival value. Cathy mentioned some older records that weren't on the schedule and we agreed on a future meeting to review those records. On April 7, 1999, I returned to the TSBP offices to review the "old" records and discuss how to save a register of pharmacists electronically. I looked at two registers, five volumes of minute books, and an index to the microfilm dating from December 1976 to present. Cathy thought the box of other old materials was stored off-site. I left some blank record series review forms to cover those records and volunteered to come back if she couldn't describe them sufficiently. Cathy asked if we could grant her an extension to the end of May so that her assistant who was out could assist in the process. Re-certification was due in July, which would have given us just enough time to complete the appraisal report so the recommended changes could be implemented. I asked if she would like to drop the appraisal and try in a year or two and she said no. They might be interested in sending us the old registers and minute books, possibly after they are microfilmed. I told her TSBP staff would always be welcome to come use the materials and that they could refer questions about early licensed pharmacists to the Archives. We touched on electronic licensing records. I suggested computer output microfilm listing pharmacists annually. She suggested including the entire database the first time and new additions after that. Revocations, suspensions, etc. would show up in the minutes. Early minutes (through November 1976) include the disciplinary action, after that the minutes refer to the order for the action taken by the board. Cathy Stella didn't think an annual listing of pharmacies was important, names of pharmacists aren't included, since pharmacies change hands often, a list would simply include pharmacy name, address, and license number. If a pharmacy is disciplined, it's often because of a pharmacist's actions and any information about the pharmacy would be included in the disciplinary action information in the minutes or orders.

After several e-mail messages and phone calls, I had enough information to complete the report. After discovering that press releases were filed in the investigation file for Mexican drugs, I asked Cathy Stella and Robbi Polanco, Administrative Assistant in the Administrative Services and Licensing Division, if there were other cases that might contain public information in confidential files and if this series merited appraisal. The answer was "no." On July 29, I spoke with Carol Fisher, Director of Adjudication and Legal Support Services, regarding litigation files and disciplinary orders.

Previous Destructions

Destruction requests on file in the Archives and Information Services Division date from September 1986 to September 1993 and cover grade cards (dates unknown); financial records for fiscal years 1964 to 1986 (including vouchers, journals, ledgers, bank statements, deposits, retirement reports, insurance reports, fines, lease car information, vehicle bids, social security reports, allocation reports, a hot check folder, and end of month reports); and deteriorating microfilm that was replaced.

Archival Holdings

Meeting minutes, 1984-1987, 0.24 cubic ft.
Records are minutes, including some attachments, of board business meetings, disciplinary hearings, and annual policy meetings for the Texas State Board of Pharmacy, dating from March 1984 to November 1987. The minutes were received from the Legislative Reference Library. The agency plans on sending microfiche of minutes beginning in 1907 and agenda beginning in 1976 to the Archives and Information Services Division.

Policy and procedure manual, 1995, fractional
The record is a portion of the Texas State Board of Pharmacy board members' responsibilities manual dating October 1995.

Letter, 1922 Apr. 24, fractional
The record is a letter, dating April 24, 1922, requesting information on how an out-of-state druggist can practice his profession in Texas. This letter is considered general correspondence, which is not archival and will be destroyed.

Project Outcome

The appraisal of the Texas State Board of Pharmacy is complete.

Continue to use archival code A for these series:

Biennial budget requests-Add note to Remarks column: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(3))."
Meeting agenda-Combine with Meeting minutes and rename the series "Meeting agenda and minutes".
Meeting minutes-Combine with Meeting agenda and rename the series "Meeting agenda and minutes" with new series item number 1.1.058. Add note to Remarks column: "Agency retains permanent record copy. The archival requirement will be met by sending a copy to the Archives and Information Services Division, Texas State Library and Archives Commission." The Pharmacy Board needs to send meeting minutes to the Archives and Information Services Division, dating from 1907 to the present. Copies of agenda for the board from 1976 to present also need to be sent to the Archives. Agenda and minutes should then continue to be sent to the Archives on a regular basis.
Meeting minutes-supporting documentation-Are filed and filmed with minutes and agenda and so will be received as agenda and minutes are received. Since supporting documentation is filed and filmed with the minutes, the retention period for the meetings supporting documentation microfiche should match that of the minutes microfiche (permanent).
Organization charts-Add note to Remarks column: "Included in annual report. The archival requirement for this series will be met by sending required copies of the annual report to the Publications Depository Program, Texas State Library and Archives Commission." [Otherwise, the agency could send a complete set of loose organization charts to the Archives and Information Services Division, Texas State Library and Archives Commission, and then send new ones when they are superseded.]

Replace archival review code R with archival code A for the following series:

Policies and procedures manuals-The board members responsibilities manual and the old agency manual are archival. The old agency manual should be transferred immediately since it has long been superseded. The agency should send sections of the board members' policies and procedures manual as they are superseded. The agency's employee handbook and job instruction manuals for each division are not archival and belong in other series: Personnel policies and procedures (Item no. 3.3.024), with a retention period of US+3 and Job procedure records (Item no. 3.3.025), with a retention of US+3.
Legal opinions and advice-Change the security code from open to confidential and cite the exception to public disclosure in the "Remarks" column. The series item number should be changed from 1.1.015 to 1.1.014. Change retention period from PS (purpose served) to AV (administratively valuable). Transfer legal opinions and advice when they are no longer administratively valuable. Redact confidential material before transfer, and transfer both the original and redacted versions.
News or press releases-Begin filing the record copy in a separate series. At the end of 1999, transfer the press releases regarding the Mexican drug investigation and any others as they are discovered to the Archives and Information Services Division. Future transfers of all news releases should be done yearly as the releases fulfill their retention period.
Reports, Consultants and committees-Add note in Remarks column: "Record copy
filed with Meetings-supporting documentation." Reports will be transferred as microfiche of minutes is transferred.
Speeches-Print out and transfer speeches that have reached the retention period of two years plus annual review. Future transfers should be done yearly as the speeches fulfill their retention period.

Add archival code A to the following series:

Agency strategic plan-Add note to Remarks column: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(1)(C))." Transfer a copy of the 1992 plan to the Archives and Information Services Division to fill in a gap in Texas Documents Collection holdings.
Annual and biennial agency reports-Non-fiscal-Add note to Remarks column under annual report: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(1)(A))." Change the item number to 1.1.066.
Disciplinary orders-Transfer disciplinary orders beginning in 2051.
Electronic licensing records-Computer output microfilm should be created annually after the electronic database is updated at the end of each fiscal year, according to microfilming and electronic standards set by the State and Local Records Management Division (13 TAC, Sections 6.91-6.99). Computer output microfilm should then be transferred to the Archives and Information Services Division. The output should contain basic information about each pharmacist, but should not include any confidential information. Upon transfer of the first microfilm, this appraisal decision will be reviewed.

Obsolete series determined to be archival that does not appear on the agency's retention schedule:

Registers of pharmacists-Transfer registers to the Archives and Information Services Division.

Add archival review code R:

Litigation files-Add archival review code R to retention schedule. The series should remain on the schedule as long as there are case files that have not been appraised and transferred or discarded. Transfer the narrow therapeutic drug case once the retention period has been fulfilled. Contact the Texas State Library and Archives Commission, Archives and Information Services Division for review of other litigation files after the cases are closed.

Change archival review code R to archival exception code E for the following series:

Reports, Administrative
Publication files
Exam administration file, Exam roster-Correct the retention period to AV+3

Add note to Remarks column for above series: "Archival review code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, August 11, 1999."

Other series reviewed which have been appraised as non-archival:

Deceased master list
Investigative weekly activity reports
Adjudication worksheets--Correct the retention period to AV (administratively valuable)

Series which should be removed from the agency's retention schedule because they do not exist:

Administrative correspondence
Conference reports and papers
Reports, studies and surveys-Final data

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Record Series Reviews

Record Series Review
Series Title: Biennial budget requests

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

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

Agency holdings:
Retention period for biennial budget requests is after completion plus six years. Actual agency holdings date from 1982 to 1998, covering fiscal years 1984 to 2001; size is approximately 0.7 cubic ft. Requests are located in the Director of Administration's office.

Description:
These records are the legislative appropriation requests of the Texas State Board of Pharmacy submitted to the Legislative Budget Board and others. The records date from 1982-[ongoing]. The requests generally contain narrative statements of agency functions or programs. Program objectives are listed, along with a description of each objective, discussion of performance measures, statistics, program need indicators, and expenses-expended, current, and projected, at different funding levels. The Pharmacy Board began creating biennial budget requests in 1982 when its funding became part of the general appropriations bill. Until then, the board did not have to justify to the Legislature its spending of licensing and other fees the board collected.

Purpose:
The purpose of this series is to request 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.

Statewide regulation of pharmacists in Texas began in 1907 with the passage of the Texas Pharmacy Act, creating the Texas State Board of Pharmacy. The purpose of the act is to promote, preserve and protect public health, safety and welfare through effective control and regulation of the practice of pharmacists and licensing of pharmacies engaged in the sale, delivery or distribution of prescription drugs and devices (Senate Bill 82, 30th Legislature, Regular Session). Before the Pharmacy Act was in place, pharmacists were regulated locally by district boards, each composed of three pharmaceutical examiners, beginning in 1889 (House Bill 125, 21st Legislature, Regular Session).

The board's duties include licensing pharmacists by examination or by reciprocity; licensing pharmacies; renewing pharmacists' licenses annually; maintaining a register of pharmacists; approving degree programs for colleges of pharmacy; investigating complaints of alleged violations of laws relating to the practice of pharmacy; disciplining pharmacists; specifying conditions for pharmacists administering medications (including immunizations and vaccinations); regulating the training, qualification, and employment of pharmacist-interns; and enforcing the Texas Pharmacy Act and rules adopted under the act.

In 1981 the Pharmacy Board began using ad hoc task forces and advisory committees composed of registered pharmacists to assist in the pre-rulemaking process. Currently two task forces are studying issues for the board: the Taskforce on Pharmacists Working Conditions and their Impact on the Public Health and the Task Force on Technician Training.

The executive director of the Board of Pharmacy is a voting member of the Health Professions Council, which was created to coordinate administrative and regulatory efforts for health-related licensing agencies in Texas. The Board of Pharmacy is a member of the National Association of Boards of Pharmacy (NABP).

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 Texas State Library and Archives Commission were checked for the Texas State Board of Pharmacy and none were found for this series or the 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 appropriations requests, but omits most of the narrative.

Series data from agency schedule:
Title: Biennial budget requests
Series item number: 1.1.004
Agency item number: 11002
Archival code: A
Retention: AC+6

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

Texas Documents Collection holdings:
The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(3)). The Texas Documents Collection has biennial budget requests dating from 1982 to 1998 covering fiscal years 1984-2001.

Gaps? None created before 1982

Appraisal Decision:
Biennial budget requests prepared by state agency boards and/or commissions provide evidence of an agency's fiscal performance and needs. The Texas State Board of Pharmacy's records retention schedule is correct and sufficient. The archival requirement for these records is fulfilled by sending the required copies to the Publications Depository Program of the Texas State Library and Archives Commission. Add note to Remarks column: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(3))."

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Record Series Review
Series Title: Legal opinions and advice

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Legal opinions and advice are retained by the agency until their purpose is served. Actual agency holdings date from May 1992-[ongoing]. Size is fractional. Legal opinions and advice are located in the TSBP general counsel's office.

Description:
Records include correspondence, dating from May 1992-[ongoing], from the Texas State Board of Pharmacy's general counsel to board members, the executive director, or staff regarding agency laws and rules, agency policy and procedure manuals, open records, and open meetings.

Purpose:
According to the agency, legal opinions and advice interpret agency authority and advise on pending litigation.

Agency Program:
Statewide regulation of pharmacists in Texas began in 1907 with the passage of the Texas Pharmacy Act, creating the Texas State Board of Pharmacy. The purpose of the act is to promote, preserve and protect public health, safety and welfare through effective control and regulation of the practice of pharmacists and licensing of pharmacies engaged in the sale, delivery or distribution of prescription drugs and devices (Senate Bill 82, 30th Legislature, Regular Session). Before the Pharmacy Act was enacted, pharmacists were regulated locally by district boards, each composed of three pharmaceutical examiners, beginning in 1889 (House Bill 125, 21st Legislature, Regular Session).

Arrangement: Subject

Access constraints:
Legal opinions and advice are confidential due to attorney-client privilege (Texas Rules of Evidence, Rule 503. Texas Government Code, Title 2, Subtitle G, Appendix A, Article 10, 9, Rule 1.05.); open records exemption-certain legal matter (V.T.C.A., Government Code, Section 552.107); open meetings exemption-closed meetings-consultation with attorney (V.T.C.A., Government Code, Section 551.071); and attorney work product (Texas Rev. Civ. P., Rule 192.5; V.T.C.A., Government Code, Section 552.111). Legal opinions and advice cannot be used unless the agency waives confidentiality.

Use constraints: None

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

Problems: The security code on the retention schedule should be confidential rather than open.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Legal opinions and advice
Series item number: 1.1.015
Agency item number: 11015
Archival code: R
Retention: PS

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

Gaps? None before May 1992

Appraisal Decision:
Legal opinions and advice provide information about the legal ramifications of agency policies and procedures, rules and laws. Decisions of the board based on legal opinions and advice are made in open meetings and are documented in the series Meeting minutes. However, a fuller picture of the decision-making process would be gained if researchers had access to the legal opinions and advice. According to the Open Records Act, portions of agency memoranda containing strictly factual information are open and can be made available to the public as long as confidential information is redacted. Also, the board may release to the public information that is protected under the Open Records Act's exceptions to disclosure but not deemed confidential by law. I recommend this series be appraised as archival. Since there are multiple exceptions to disclosure, only the agency can waive the exceptions. Once the legal opinions and advice are no longer administratively valuable, the records should be transferred to the Archives and Information Services Division. The agency should redact confidential material before transfer, and should send both the original uncut version and the redacted version for use by researchers. The agency plans to change the security code from open to confidential when the retention schedule is submitted for re-certification. The series item number should be changed from 1.1.015 to 1.1.014 to comply with the State Records Retention Schedule, 2nd edition. Change retention period from PS (purpose served) to AV (administratively valuable). Replace archival review code R with archival code A. Legal opinions and advice concerning litigation should be filed in the series Litigation files, according to the State Records Retention Schedule.

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Record Series Review
Series Title: Meeting agenda

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Retention by the agency is permanent. Actual agency holdings date from 1976 to present, size is fractional. Agenda from 1976 to present are available on paper; agenda from 1982 through fiscal year 1996 are also available on microfiche; agenda from August 1998 to present are also currently available at the agency web site (http://www.tsbp.state.tx.us/). Agenda are filed and filmed with the meeting minutes.

Description:
Records are meeting agenda of the Texas State Board of Pharmacy, dating from 1976-[ongoing]. Agenda list the date, time, and location of meetings and describe the topics that will be discussed by the board.

Purpose:
Meeting agenda inform the public of topics to be discussed at board meetings.

Agency Program:
Governmental bodies are required to provide written notice of the date, hour, place, and subject of each meeting held by the governmental body. (V.T.C.A., Government Code, Section 551.041)

Arrangement: Chronological

Access constraints: None

Use constraints: None

Indexes or finding aids required for/or an aid to access?
The agency has a notebook listing dates of board meetings that includes copies of agenda and identifies the corresponding microfiche.

Problems: None

Known related records in other agencies: Texas Register, Secretary of State

Publications based on records: Summarized in Texas Register, Secretary of State

Series data from agency schedule:
Title: Meeting agenda
Series item number: 1.1.016
Agency item number: 11037
Archival code: A
Retention: PM

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

Gaps? None before 1976

Appraisal Decision:
Board meeting agenda provide a table of contents for and an overview of the board meeting minutes. These agenda are appraised as archival because they provide information about the board meeting minutes and enhance access to the minutes. The Pharmacy Board should combine this series with the board meeting minutes as recommended in the 1998 State Records Retention Schedule under the new title Meeting agenda and minutes with the new item number 1.1.058. Add note to Remarks column: "Agency retains permanent record copy. The archival requirement will be met by sending a copy to the Archives and Information Services Division, Texas State Library and Archives Commission." The agency plans on having the State and Local Records Management Division microfilm the agenda from 1976-1981 and fiscal years 1997 to present and have copies of all agenda from 1976 to present sent to the Archives on microfiche. The agency should then continue to send minutes and agenda to the Archives on a regular basis.

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Record Series Review
Series Title: Meeting minutes - board meetings

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: approx. 0.7 cubic ft.

Agency holdings:
The retention for meeting minutes is permanent. Actual agency holdings date 1907-[ongoing], size is approximately 12 cubic ft. Meeting minutes are located in the agency library (agenda are filed with the minutes); meeting minutes from 1982 to fiscal year 1996 are also available on microfiche; minutes for the November 1998 and February 1999 board meetings are also currently available on the agency's web site (http://www.tsbp.state.tx.us/).

Description:
Records are meeting minutes of the Texas State Board of Pharmacy dating from 1907-[ongoing]. Minutes include summaries of board discussion and approval of various reports (i.e., financial, committee, activities, policies and procedures); election of officers; proposed and adopted new rules and rule amendments; legislative matters; notes on the beginning and ending of executive sessions; board orders; personnel issues; and litigation. Minutes may also include a record of public hearings before the board.

Purpose:
Meeting minutes summarize discussions and record decisions made at board meetings.

Agency Program:
Governing bodies of state agencies are required to create meeting minutes under the Open Meetings Act. (V.T.C.A., Government Code, Section 551.021) The 1907 Texas Pharmacy Act required the board to make a record of the proceedings of board meetings.

Arrangement: Chronological

Access constraints: None

Use constraints: None

Indexes or finding aids required for/or an aid to access?
The agency has a notebook listing dates of board meetings that includes copies of agenda and identifies the corresponding microfiche.

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes
Series item number: 1.1.017
Agency item number: 11011
Archival code: A
Retention: PM

Archival holdings:
Meeting minutes, 1984-1987, 0.24 cubic ft.
Records are minutes of the Texas State Board of Pharmacy for board business meetings, disciplinary hearings, and annual policy meetings, dating from March 1984 to November 1987. A few attachments from March to August 1984 such as committee reports and board orders are included. The minutes were received from the Legislative Reference Library.

Gaps? None

Appraisal Decision:
Minutes of governing boards and commissions have been appraised as archival because they provide evidence of the governing body's decisions. The board should combine this series with the board's meeting agenda as recommended in the 1998 State Records Retention Schedule under the new item number 1.1.058 and title Meeting agenda and minutes. Add note to Remarks column: "Agency retains permanent record copy. The archival requirement will be met by sending a copy to the Archives and Information Services Division, Texas State Library and Archives Commission." The Pharmacy Board plans on having the State and Local Records Management Division prepare microfiche for the minutes from 1907-1981 and fiscal years 1997 to present and will send microfiche copies of minutes dating 1907 to present to the Archives and Information Services Division. The agency should then continue to send agenda and minutes to the Archives on a regular basis.

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Record Series Review
Series Title: Meeting minutes - Meetings-supporting documentation

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: filed with meeting minutes

Agency holdings:
Supporting documentation for meetings is retained by the agency until its purpose is served. Actual agency holdings date from 1976 to present and are filed with the meeting minutes, located in the agency "library". The supporting documentation is available on microfiche from fiscal years 1982 to 1996.

Description:
Supporting documentation for meeting minutes of the Texas State Board of Pharmacy date from 1976-[ongoing] and include copies of the previous meeting's minutes for approval by the board, reports to the board, correspondence, memoranda, and other material related to agenda items. Materials are descriptive attachments that supplement or explain agenda topics.

Purpose:
Supporting documentation for meetings clarify agenda topics before the board and assist the board in making decisions by providing background material.

Arrangement: Chronological, then by agenda item.

Access constraints: None

Use constraints: None

Indexes or finding aids required for/or an aid to access?
The agency has a notebook listing dates of board meetings that includes copies of agenda and identifies the corresponding microfiche.

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes - Meetings-supporting documentation
Series item number: 1.1.052
Agency item number: 11011
Archival code: A
Retention: PS

Archival holdings:
The Archives and Information Services Division has attachments to minutes for board meetings and disciplinary hearings dating March to August 1984 included in the series Meeting minutes. These were received from the Legislative Reference Library.

Gaps? None present before 1976

Appraisal Decision:
The series Meetings-supporting documentation has been appraised as archival because it supplements the meeting minutes by providing material referred to in the board's minutes. The supporting documentation contains background information that can be used to understand the reasoning behind the board's decisions. The Texas State Board of Pharmacy files Meetings-supporting documentation with the minutes and includes the series on the microfiche made by the State and Local Records Management Division. Microfiche that includes Meetings-supporting documentation from 1976 to present as part of the minutes will be sent to the Archives and Information Services Division by the Pharmacy Board. The agency should continue to send supporting documentation to the Archives on a regular basis. Since supporting documentation is filed and filmed with the minutes, the retention period for the meetings supporting documentation microfiche should match that of the minutes microfiche (permanent).

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Record Series Review
Series Title: News or press releases

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
News or press releases are to be retained by the agency for two years. Dates of agency holdings are 1997 and unknown; size is fractional. Releases are located in individuals' personnel files, and two are located in the Director of Investigation's file on Mexican drugs.

Description:
Records are press releases dating from 1997 and unknown that provide information on the appointment of new staff and board members, and sometimes may relate to an unusual investigative case, such as drugs manufactured in Mexico and sold by mail order in the United States.

Purpose:
Press releases notify interested parties of personnel changes regarding the executive director and board members and notify the general public of results of other important pharmacy issues.

Arrangement: Scattered in relevant files

Access constraints: None

Use constraints: None

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

Problems:
The press releases regarding Mexican drugs are included in the investigative files series which is confidential.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: News or press releases
Series item number: 1.1.019
Agency item number: 11012
Archival code: R
Retention: 2

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

Gaps? Unknown

Appraisal Decision:
Press releases are not created often and generally concern personnel changes and appointments to the board. Two press releases were created concerning an investigation of Mexican prescription drugs in which the Pharmacy Board assisted the federal government. These releases document intergovernmental cooperation. I recommend this series be appraised as archival. The agency should begin filing the record copy of press releases in a separate series as they are created. Convenience copies can continue to be included in relevant files. At the end of 1999, the Pharmacy Board should transfer the press releases regarding the Mexican drug investigation and other releases as they are discovered to the Archives and Information Services Division. Archival review code R should be replaced by archival code A on the retention schedule.

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Record Series Review
Series Title: Organization charts - Original

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Retention of organization charts is until superseded. Actual agency holdings date 1982 to present; size is fractional. Charts from 1982-[ongoing] are located in the agency's biennial budget requests, strategic plans, or annual reports; charts from 1996 to present are also kept electronically.

Description:
Records are organization charts, dating 1982-[ongoing], detailing the structure of the Texas State Board of Pharmacy in a graphic format. Charts from 1982-1990 are included in the biennial budget requests for fiscal years 1984 through 1993. Charts are included in the annual reports from 1993-[ongoing] and strategic plans from 1990-[ongoing], although the organization chart was inadvertently omitted from the 1998 strategic plan.

Purpose:
Organizational charts show agency structure in a graphic format.

Arrangement: Chronological

Access constraints: None

Use constraints: None

Indexes or finding aids required for/or an aid to access? No

Problems: None

Known related records in other agencies: None

Publications based on records: Included in annual reports and other publications.

Series data from agency schedule:
Title: Organization charts - Original
Series item number: 1.1.023
Agency item number: 11016
Archival code: A
Retention: US

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

Texas Documents Collection holdings: Charts are included in the biennial budget requests from 1982-1990, in strategic plans published 1990-1996, and in annual reports for fiscal years 1993-1996 held by the Texas Documents Collection. The organization chart is missing from the 1998 strategic plan.

Gaps? None before 1982

Appraisal Decision:
Organization charts show the structure of the Texas State Board of Pharmacy in a graphic format. The series is appraised as archival because it provides information about changes in the makeup of the agency over a period of time. As long as the board includes organization charts in the annual reports and continues to send the reports to the Publications Depository Program, the archival requirement will be met. Add note to Remarks column: "Included in annual report. The archival requirement for this series will be met by sending required copies of the annual report to the Publications Depository Program, Texas State Library and Archives Commission." If the agency prefers, it can send loose pages of organization charts directly to the Archives and Information Services Division, Texas State Library and Archives Commission.

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Record Series Review
Series Title: Policies and procedures manuals

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: Cubic ft., according to agency.

Agency holdings:
Policies and procedures manuals are to be retained by the agency until superseded. Actual agency holdings date from 1983-[ongoing], and unknown; size is 0.76 cubic ft. [Calculation based on height, depth, and width provided by agency.] Manuals are located in each division. An additional manual dates to the early days of the board, date unknown, located in the office of the Director of Administration.

Description:
Records are an employee handbook, a board member responsibilities manual, an old agency policies and procedures manual, and job instruction manuals for each division of the Texas State Board of Pharmacy, dating from 1983-[ongoing], and unknown.

Purpose:
The employee handbook acquaints staff with rules and regulations of state employment. The division manuals instruct employees in tasks and duties. The old agency manual and board manual provide direction to board members and staff regarding agency policies and procedures.

Arrangement:
For job instruction manuals: by division, then by subject within each manual; others are by subject

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 manuals
Series item number: 1.1.025
Agency item number: 11017
Archival code: R
Retention: US

Archival holdings:
Policies and procedures manual, 1995, fractional
The State Archives has section 2 (dealing with board members) of the policy and procedure manual dated October 1995, received from the TSBP when the section was superseded.

Texas Documents Collection holdings: None

Gaps? None at agency before 1983 except for one manual, date unknown.

Appraisal Decision:
The board members' policies and procedures manual and the old agency manual both contain information about the overall workflow of the agency and how the Pharmacy Board's mandates are accomplished. I recommend these two manuals be appraised as archival. The old agency manual should be transferred immediately since it has long been superseded. The agency should send sections of the board members' policies and procedures manual as they are superseded. Replace archival review code R with archival code A.

Job procedure manuals which detail specific tasks rather than laying out policies of the agency and division provide too much detail at too low a level. Employee handbooks which provide information on travel, leave, and grievance policies and procedures also do not provide information on the agency's purpose and functions. Since these are job-specific and employee manuals, they do not meet the informational and evidential value requirements for archival retention. I appraise the job procedure manuals and employee handbook as not archival. The series item number for the job procedure manuals should be changed to 3.3.025 with the title Job procedure records and a retention of US+3 to reflect the content of the series. The series item number for the employee handbook should be changed to 3.3.024 with the title Personnel policies and procedures and a retention of US+3.

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Record Series Review
Series Title: Publication files

Agency: Texas State Board of Pharmacy, Compliance Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
Publication files are retained by the agency until the purpose is served or until superseded. Actual agency holdings date from 1980 to present; size is 1.5 cubic ft. Files are located in a file drawer in the office of the Assistant Director of Compliance.

Description:
Records are drafts of newsletters, fiscal year 1995-[ongoing] and photographs of new board members and staff, 1980-[ongoing] for the Texas State Board of Pharmacy. The newsletter is sent to pharmacists and contains information on rule changes, disciplinary cases, and other pharmacy issues. The photographs are used in the newsletters. The agency creates a consumer brochure but no publication files were found for it. A separate series Agency publications exists for final copies of publications produced by the Pharmacy Board.

Purpose:
The newsletter informs pharmacists and other interested parties of rule changes, disciplinary cases, and other pharmacy issues. The consumer brochure educates consumers about the Teas State Board of Pharmacy.

Arrangement:
Photographs are arranged alphabetically; newsletters are arranged chronologically.

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: Newsletter

Series data from agency schedule:
Title: Publication files
Series item number: 1.1.028
Agency item number: 11019
Archival code: R
Retention: PS or US

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

Texas Documents Collection holdings:
Newsletters resulting from the publication development files are included in the Texas Documents Collection for 1979-1999.

Gaps? No drafts of newsletters before fiscal year 1995; no photographs at agency before 1980

Appraisal Decision:
Information on the rule changes, disciplinary cases and other pharmacy issues found in the newsletters are also included in the archival series Meeting minutes and Meetings--supporting documentation. Photographs are of board and staff members and do not provide visual information on the functions of the TSBP. I recommend this series be appraised as not archival. The agency needs to change the series item number to 1.3.002, and replace archival review code R with archival exception code E, adding the following note to Remarks column for above series: "Archival review code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, August 1999."

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Record Series Review
Series Title: Reports - Administrative

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
According to the agency's retention schedule, administrative reports are to be maintained for three years. Actual agency holdings date from 1983 to present and are filed with board meeting minutes as part of meetings-supporting documentation.

Description:
Records are administrative reports dating 1983-[ongoing] which describe the Texas State Board of Pharmacy's goals and objectives for the current year. Activities that correspond to the goals and objectives are described in the series Annual reports. Goals and objectives of the board are described in the series Strategic plans and Biennial budget requests.

Purpose:
Administrative reports document the agency's annual action plan to carry out the strategic plan.

Arrangement: Chronologically, then by division within each report

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: Agency annual report

Series data from agency schedule:
Title: Reports - Administrative
Series item number: 1.1.031
Agency item number: 11038
Archival code: R
Retention: 3

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

Texas Documents Collection holdings: None

Gaps? None before 1983

Appraisal Decision:
Goals and objectives listed in the administrative reports correspond to activities summarized in the agency's annual report and are refined each year in order to implement the agency's strategic plan. The administrative reports are included in the supporting documentation filed with the agency's meeting minutes. Sufficient information regarding the goals and objectives of the Pharmacy Board are included in the annual reports, strategic plans, and biennial budget requests. I recommend the administrative reports be appraised as not archival. If this series were filed separately, I would still recommend it be appraised as not archival. The agency should remove the archival review code R from the agency's retention schedule and replace it with archival exception code E, placing the following note in the Remarks column: "Archival review code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, August 1999." The following note should also be placed in the Remarks column: "Because the record copy is filed with the Meetings-supporting documentation, archival code A applies." The series item number should be changed to 1.1.067 to correspond to the second edition of the Texas State Records Retention Schedule.

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Record Series Review
Series Title: Reports, Annual and biennial agency reports - Non-fiscal

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Agency annual reports are to be retained permanently by the agency. Actual holdings date from 1987-1997 and continue to be produced by the agency; size is 0.4 cubic ft. Reports are located in the office of the administrative assistant to the Director of Administrative Services and Licensing.

Description:
Records are agency annual reports, dating 1987-[ongoing], of the Texas State Board of Pharmacy. The annual reports document activities that relate to the internal goals and objectives and accomplishments of each division to board members and other interested parties. Reports contain a summary of board structure, strategic goals, philosophy and mission; a list of board members and staff; an organization chart, a fiscal report; executive summary; and for each division, significant accomplishments, significant disappointments or constraints, and goals and objectives and how they were met. The reports include lists of staff attendance at workshops and courses, lists of speeches and other presentations by staff, and statistics.

Purpose:
Agency annual reports are created to document the agency's activities for a fiscal year in carrying out goals and objectives.

Arrangement: Chronological, then by division within each report

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: This is a publication.

Series data from agency schedule:
Title: Reports, Annual and biennial agency reports - Non-fiscal
Series item number: 1.1.032
Agency item number: 11023
Archival code:
Retention: PM

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

Texas Documents Collection holdings:
The Texas Documents Collection contains annual reports for fiscal years 1987-1996.

Gaps? None at agency before 1987

Appraisal Decision:
Annual reports summarize the TSBP's activities for each year. Non-fiscal annual agency reports are archival. The agency needs to add archival code A and change the series item number to 1.1.066 to correspond to the 2nd edition of the Texas State Records Retention Schedule. The TSBP needs to continue sending copies of annual reports to the Publications Depository Program of the Texas State Library and Archives Commission. Add note to Remarks column: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(1)(A))." The agency needs to send copies of annual reports from 1997 forward to the Publications Depository Program.

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Record Series Review
Series Title: Reports, Consultants and committees

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
Reports are to be retained for two years according to the agency retention schedule. Reports are maintained with the board minutes, located in the agency "library," dating from 1984 to present, size unknown.

Description:
Records are consultants and committees reports dating from 1984-[ongoing] of the Texas State Board of Pharmacy. Types of reports include the findings of task force committees created to review rules and legislation and consultant studies regarding agency organization, technology needs, telephone needs, and strategic planning.

Purpose:
Consultants and committees reports provide a summary of findings to the board.

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: Reports, Consultants and committees
Series item number: 1.1.034 [1998 RRS# 1.1.067]
Agency item number: 11025
Archival code: R
Retention: 2

Archival holdings:
The Archives and Information Services Division has some consultants and committees reports included as attachments to minutes, dating March to August 1984. One report is from the Board Advisory Committee on Intensive Outpatient Home Health Care Pharmacies.

Texas Documents Collection holdings: None

Gaps? None at agency before 1984

Appraisal Decision:
Copies of consultants and committees reports are filed with the archival series Board meeting minutes as part of Meetings-supporting documentation. Consultant and committee reports contain information used by the board to make decisions. If filed separately, this series would be appraised as archival. As it stands, the reports are filed as part of an archival series. Change archival review code R to archival code A. Add note to Remarks column: "Record copy filed with Meetings-supporting documentation." Reports will be included on the microfiche copies of agenda, minutes, and meetings-supporting documentation that will be transferred to the Archives and Information Services Division.

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Record Series Review
Series Title: Speeches

Agency: Texas State Board of Pharmacy, Office of the Executive Director

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
Speeches are retained by the agency for two years plus annual review. Speeches date from 1993 to present; size is unknown. Files are maintained electronically on the executive assistant to the executive director's computer in WordPerfect from 1993-1996, and from 1996 to present on the executive director's computer in PowerPoint, although the retention schedule lists the medium as paper.

Description:
Records consist of speeches and testimony, plus PowerPoint slide presentations, given mainly by the executive director of the Pharmacy Board, dating 1993-[ongoing]. The audiences for these speeches and presentations include organizations such as the National Association of Boards of Pharmacy, Texas Pharmacy Association, and other interested parties. Subjects are TSBP's policies, rules and regulations.

Purpose:
Speeches inform the public, associations, etc. about the Pharmacy Board's policies, rules and regulations.

Arrangement: Chronological

Access constraints: None

Use constraints: Ability to use PowerPoint and WordPerfect

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

Problems:
Retention schedule lists medium for Speeches as paper. Electronic records are not considered archival unless the agency complies with 13 Texas Administrative Code, Sections 6.91 to 6.99.

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: 11028
Archival code: R
Retention: 2+AR

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

Gaps? None prior to 1993

Appraisal Decision:
These speeches provide evidence of how the agency head views the mission of the agency, which is important since the agency does not have an administrative correspondence series. I recommend this series be appraised as archival. TSBP staff should print out and transfer paper copies of speeches to the Archives and Information Services Division that have reached the retention period of two years plus annual review, covering the years ca. 1993 to 1996. The archival code R should be changed to A on the agency's retention schedule. The agency should transfer speeches yearly in paper format as the speeches fulfill their retention period.

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Record Series Review
Series Title: Litigation files

Agency: Texas State Board of Pharmacy, Adjudication & Legal Support Services Division

Contact: Carol Fisher, Director of Adjudication & Legal Support Services, 305-8036

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: varies

Agency holdings:
Litigation files are to be retained until completion plus one year. Actual agency holdings date from 1998 to present and consist of two cases; size is 5.3 cubic ft. Files are located in the office of the general counsel.

Description:
Records are litigation files, including court documents, a district judge's ruling, interrogatories and other documents produced during discovery, for two lawsuits filed against the Texas State Board of Pharmacy, dating 1998-[ongoing]. One lawsuit filed in September 1998 concerns a pharmaceutical company unhappy with administrative rules developed after legislation was passed requiring the board to take part in preparing a narrow therapeutic drug index. Narrow therapeutic drugs have a small window of effectiveness, and are easily under- or over-dosed. Another pharmaceutical company is an interested third party in the case. The judge's ruling clarified rule-making procedures for administrative agencies, determining that all board members need to sign orders approving rules for submission to the Texas Register. In the midst of the rulemaking process, the TSBP re-proposed a rule with an improved financial impact statement. In the recent legislative session, a law was passed allowing agencies to correct administrative errors during the rule-making process. TSBP staff believes this lawsuit may have had some effect on the creation of the law. The suit is currently on appeal to the Court of Civil Appeals. The second case concerns the manufacturer of an automated dispensing system for drugs. The manufacturer wants to place the system in nursing homes without a pharmacy license, although nursing homes are not licensed to provide pharmacy services to patients (except in emergencies). This suit was filed in March 1999 and little has been done in the litigation process. The Attorney General's Office is representing the Pharmacy Board's interests in court.

Purpose:
Litigation files are created in the process of defending the agency against lawsuits.

Arrangement:
By case, then chronologically by new material received/requested in the discovery process.

Access constraints:
Any records not subject to disclosure under the Texas Public Information Act, Texas Government Code 552.001 et seq. [Because the agency was without a general counsel when this record series review was completed, the division director was not able to provide legal advice by citing exceptions to public disclosure more precisely.] Agency must waive exceptions to public disclosure.

Use constraints: None

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

Problems:
Earlier litigation files were destroyed. The 1st edition of the State Recommended Retention Schedule did not assign an archival review code to litigation files, although the Remarks column said "some cases that set legal precedents merit a review by the State Archives for historical reasons."

Known related records in other agencies: Office of the Attorney General, Litigation files

Publications based on records: None

Series data from agency schedule:
Title: Litigation files
Series item number: 1.1.048
Agency item number: 11031
Archival code:
Retention: AC+1

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

Gaps? None before 1998

Appraisal Decision:
Of the litigation files currently held by the Pharmacy Board, one has significance in that it clarified the rule-making process for administrative agencies and possibly served as a catalyst for additional legislation affecting the rule-making process. The subject, narrow therapeutic drugs, may be of interest to researchers. Most if not all material at the board relating to narrow therapeutic drugs has ended up in the litigation file during the discovery process. It is too early to tell if the second case will be significant, although the case could result in changes to nursing home involvement in providing drugs to patients. I recommend the first case be appraised as archival and transferred after the case has fulfilled its retention period, and that the second case be reviewed after the retention period has been met. Litigation files need to be appraised on a case-by-case basis, although routine matters such as employee grievances are generally not archival. The archival review code R should be added and remain on the retention schedule as long as there are litigation files that have not been appraised. Add note to Remarks column: "Do not destroy litigation files that have fulfilled their retention period until the Texas State Library and Archives Commission, Archives and Information Services Division has been contacted and conducted an archival review of the files."

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Record Series Review
Series Title: Strategic plans

Agency: Texas State Board of Pharmacy

Obsolete record series? No
Replaced by:

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

Agency holdings:
Strategic plans are to be retained permanently by the agency. Actual agency holdings cover fiscal years 1991-2003; size is 0.3 cubic ft. Plans are located in the executive director's office at the Texas State Board of Pharmacy.

Description:
Records are strategic plans of the Texas State Board of Pharmacy, covering fiscal years 1991-[ongoing]. Strategic plans include a statement on the missions and goals of the agency, a description of measures for outcome and output of the agency, the identification of groups of people served by the agency, an analysis of the use of resources by the agency, an analysis of expected changes due to changes in state and federal law, a description of means and strategies to meet the agency's needs, and a description of capital improvement needs.

Purpose:
Strategic plans state the agency's mission, goals, objectives, strategic measures, and needs.

Arrangement: Chronological, then by subject within each plan

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: This is a publication.

Series data from agency schedule:
Title: Strategic plans
Series item number: 1.1.055
Agency item number: 11055
Archival code:
Retention: PM

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

Texas Documents Collection holdings:
The archival requirement for this series is fulfilled by sending the required copies of strategic plans to the Publications Depository Program of the Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(1)(C)). The Texas Documents Collection of the Archives and Information Services Division holds strategic plans for the TSBP dating from 1990, 1994-1998 and covering fiscal years 1991-2003. The Texas Documents Collection is missing the strategic plan created in 1992.

Gaps? None created before 1990

Appraisal Decision:
Agency strategic plans are appraised as archival because they provide evidence of the board's goals and objectives in a concise manner. The board has sent strategic plans to the Publications Depository Program since the plans were first created and should continue to send agency strategic plans to fulfill the archival requirement. Add archival code A to the retention schedule. Add note to Remarks column: "The archival requirement for this series is fulfilled by sending the required copies to the Publications Depository Program, Texas State Library and Archives Commission (13 Texas Administrative Code, Section 3.4(1)(C))." The agency needs to send the 1992 strategic plan to the Archives and Information Services Division.

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Record Series Review
Series Title: Exam administration file - Exam rosters

Agency: Texas State Board of Pharmacy, Administrative Services & Licensing Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: 0.7 cubic ft.

Agency holdings:
According to the retention schedule, exam rosters are to be retained by the agency for 75 years. Actual agency holdings date from 1975 to present; size is 4.2 cubic ft. Files are located in the office of the exam specialist.

Description:
Records are exam rosters of the Texas State Board of Pharmacy dating from 1975-[ongoing]. Rosters list all persons taking the examination to become licensed as pharmacists, including name, applicant identification number, type of exam taken (national or reciprocity), row and seat number. Candidates are only allowed to take the examination three times before additional coursework is required.

Purpose:
Exam rosters verify who sat in what spot for the licensing examinations.

Arrangement: Chronological, then alphabetical and by row and seat 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: None

Publications based on records: None

Series data from agency schedule:
Title: Exam administration file, Exam rosters
Series item number:
Agency item number: 71006
Archival code: R
Retention: 75

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

Gaps? None before 1975

Appraisal Decision: Pharmacists as a profession affect public health and safety. A record of individuals licensed as pharmacists would be an important record; however, exam rosters are not limited to those individuals licensed as pharmacists. The rosters contain names of all persons taking the pharmacy licensing exam as well as their seat location. This series is appraised as not archival. The agency plans on changing the retention period from 75 years to AV+3. The archival review code R needs to be replaced by archival exception code E with the following note in the Remarks column: "Archival review code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, August 1999."

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Record Series Review
Series Title: Deceased master list

Agency: Texas State Board of Pharmacy, Administrative Services & Licensing Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
The deceased master list is retained permanently. The list was first created in 1984 and includes deaths from 1983 to present; size is 0.216 cubic ft. [approximately 2 inches of computer paper]. List is located in the office of the Pharmacist Licensing Technician.

Description:
The record is a list of deceased pharmacists, 1983-[ongoing], compiled annually from the database of registered pharmacists before the records are purged from the system. The list was first created in 1984 and death dates begin in 1983. The list contains names, last known address, and pharmacist license number. One list is cumulative covering 1983-1995; since 1996, separate lists have been created for each year. The list is not complete since the board is not always notified when pharmacists die. The board is working with the Department of Health, Bureau of Vital Statistics on a method for being notified when death certificates list pharmacist as occupation of the deceased.

Purpose:
The deceased master list is created for informational purposes, confirming why a pharmacist does not appear in the active files.

Arrangement: Chronological, then alphabetical within each list.

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 Deceased master list
Series item number:
Agency item number: 72011
Archival code:
Retention: PM

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

Gaps? None

Appraisal Decision:
The practice of pharmacy is a profession that affects the health, safety, and well-being of Texas citizens to such a degree that basic information on pharmacists licensed by the state should be kept. However, the deceased master list is not a comprehensive list since pharmacists might move out of state, lose their licenses for a number of reasons, or die without the Pharmacy Board being notified. I recommend this series be appraised as not archival. Since this series did not have an archival review code, no changes need to be made to the retention schedule.

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Record Series Review
Series Title: Investigative weekly activity report

Agency: Texas State Board of Pharmacy, Investigations Division

Contact: James Moore, Director of Investigations, 305-8043

Obsolete record series? No
Replaced by:

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

Agency holdings:
Records are to be maintained permanently by the agency. Investigative weekly activity report dates are unknown; size is approximately 2 cubic ft. Reports are located in the office of the Director of Investigations.

Description:
Records are investigative weekly activity reports of the Texas State Board of Pharmacy dating from [19--]-[ongoing]. Reports are submitted to the Director of Investigations by staff investigators. Reports document investigations, joint investigations, administrative work, court/disciplinary hearings attended, training, etc. Investigations relate to surveillance, filing investigational prescriptions, and attempted purchases and purchases of evidentiary drugs.

Purpose:
Reports summarize the activities of the Board's investigators.

Arrangement: By investigator, then chronological, then by case within each report.

Access constraints:
Board investigative files and all information and materials compiled by the board in connection with an investigation are confidential. They can be disclosed to persons engaged in bona fide research if all individual-identifying information has been deleted (V.T.C.S., Art. 4542a-1, Section 17(q), 27A(d), 27B(c)). Identifying information must be removed before use by researchers.

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: Investigative weekly activity report
Series item number:
Agency item number: 82004
Archival code:
Retention: PM

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

Gaps? Unknown

Appraisal Decision:
Investigative weekly activity reports summarize actions of Pharmacy Board investigators, providing information on pharmacists who may have broken the law or acted unethically. Any investigations that result in action taken by the board are documented in the series Disciplinary orders from November 1976-[ongoing], and disciplinary actions are summarized in the series Meeting minutes prior to November 1976. The disciplinary orders provide information about the offense and the actions taken by the board, unless confidential under Section 17q, 27A or 27B of the Pharmacy Board. I recommend this series be appraised as not archival since sufficient information about pharmacists and pharmacies disciplined by the board is contained in the archival series Meeting minutes and Disciplinary orders. Since this series did not have an archival review code, no changes need to be made to the retention schedule.

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Record Series Review
Series Title: Disciplinary orders

Agency: Texas State Board of Pharmacy, Adjudication & Legal Support Services Division

Contact: Carol Fisher, Director of Adjudication & Legal Support Services, 305-8036

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: less than one cubic ft.

Agency holdings:
Disciplinary orders are retained for 75 years. From the first action in September 1913 to November 1976, disciplinary actions were pasted in the meeting minutes, located in the agency's library. Since November 1976, disciplinary orders have been separate from the minutes and are kept in three ring binders in the office of the legal administrative assistant. Size since November 1976 is 13.8 cubic ft.

Description:
Records are disciplinary orders dating from November 1976-[ongoing] for the Texas State Board of Pharmacy. Orders disciplining pharmacists and pharmacies are entered every three months at the board meetings. Prior to November 1976, disciplinary actions were included in the meeting minutes. Actual documents concerning disciplinary actions taken by the board were pasted into the bound volumes containing the minutes. After November 1976, disciplinary orders were filed separately, although basic information about pharmacists and pharmacies disciplined are listed in the minutes. The first disciplinary action, recorded in September 1913, concerned the unlawful sale of morphine, and "no action" was taken.

Purpose:
Disciplinary orders discipline licensed pharmacists and pharmacies.

Arrangement: Alphabetical by pharmacist or pharmacy

Access constraints:
According to the agency, the following provisions affect the confidentiality of this series.

Provisions of the Texas Pharmacy Act, Vernon's Ann. Civ. St., Article 4542a-1, Sections 17(q), 27A(d), 27B(c), and provisions of the Public Information Act, V.T.C.A., Government Code, Section 552.101. The statutes cited above protect broad categories of information relating to disciplinary orders from disclosure. Under section 17(q) of the Texas Pharmacy Act, board investigative files and all information and materials compiled by the board in connection with an investigation are confidential. Under section 27A(d), the records and proceedings of the board are confidential. There are exceptions to section 17(q) and 27A(d) set forth in the act. Section 27B(c) provides that the identity of a person who reports to or assists the board and any document that could disclose the identity of that person is confidential. Finally section 552.101 of the Public Information Act excepts information from disclosure if it is confidential by law, either constitutional, statutory, or by judicial decision.

Board orders and agreed board orders are public information unless the orders are confidential pursuant to section 27A of the Texas Pharmacy Act. In that case, section 27A(j) provides that the board may disclose that the license of a pharmacist who is subject to a confidential order is suspended, revoked, canceled, restricted, or retired or that the pharmacist is in any matter limited in the practice of pharmacy. The board may not disclose the nature of the impairment or other information that resulted in board action.

Confidential information must be redacted before use by researchers. For orders resulting from pharmacist impairments, orders are confidential and summary information can be provided. Available on microfiche, although restricted to staff use since confidential information cannot be redacted from the fiche.

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 agency newsletter publishes a summary of orders.

Series data from agency schedule:
Title: Disciplinary orders
Series item number:
Agency item number: 83002
Archival code:
Retention: 75

Archival holdings:
A few board orders and agreed board orders are included as attachments to minutes dating March to August 1984.

Gaps? None

Appraisal Decision:
Disciplinary actions are included in minutes to November 1976 (by pasting sheets detailing each action taken into the bound volumes of minutes). After November 1976, information about disciplinary steps taken by the board (beyond basic information about pharmacists and pharmacies disciplined that is listed in minutes) is found in the series Disciplinary orders. Since pharmacy is a profession that seriously affects the health, safety, and well being of Texas citizens, documentation should be kept on pharmacists and pharmacies that have endangered that well being. Because this series contains confidential information, copies of orders may not be found in the series Meetings-supporting documentation. I recommend this series be appraised as archival. Archival code A should be added to the retention schedule. Orders will not need to be transferred until ca. 2050.

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Record Series Review
Series Title: Adjudication worksheets

Agency: Texas State Board of Pharmacy, Adjudication & Legal Support Services Division

Contact: Carol Fisher, Director of Adjudication & Legal Support Services, 305-8036

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: approx. 3-4 cubic ft.

Agency holdings:
According to the retention schedule, adjudication worksheets are retained until after completion plus seventy-five years. [This is an error; the agency plans to correct the retention to AV (administratively valuable).] Actual agency holdings date from FY 1996, FY 1998, and 1998 forward (corresponding to retention periods of up to FY+1, AC+1, and FY+3 depending on the type of material). Size is 3-4 cubic ft. Files are located in the Enforcement file room, and offices of the division director, senior enforcement officer, senior administrative assistant, and legal administrative assistant.

Description:
Records include complaint worksheets, route slips for complaints and legal documents, requests for complaint forms, back-up documentation for quarterly reports to the Legislative Budget Board regarding agency's performance measures, director's worksheets for division's annual reports, back-up documentation for employee performance evaluations (employee activity reports), and reminder lists (computer printouts of past due conditions, which are used to monitor a licensee's compliance with disciplinary orders), and caseload lists. Adjudication worksheets date from fiscal year 1996-[ongoing]. Most of the series consists of transitory information. Complaint worksheets are created when a complaint against a pharmacist or pharmacy is received at the Texas State Board of Pharmacy, and details each action taken by the board staff in resolving the complaint.

Complaints resulting in board action against the pharmacy or pharmacist are documented in the series Meeting minutes before November 1976, and in Disciplinary orders after November 1976. Director's worksheets for division's annual reports are summarized in the archival series Non-fiscal annual reports.

Purpose:
Adjudication worksheets are internal work products that provide a chronological detailing of action taken by the board in working to resolve complaints from consumers against pharmacies and pharmacists.

Arrangement: Generally chronological

Access constraints:
Any records relating to an impairment defined by Section 27A of the Texas Pharmacy Act, Vernon's Ann. Civ. St., Article 4542a-1, because agency records and proceedings that relate to impaired licensees are confidential under Section 27A(d) of the Texas Pharmacy Act.
Any documents that could disclose the identity of a person who reports to or assists the board under Section 27B of the Texas Pharmacy Act, because such records are confidential under that provision.
Any records contained in the agency's investigative files, because such files are confidential under Section 17(q) of the Texas Pharmacy Act.
Any records not subject to disclosure under the Texas Public Information Act, V.T.C.A., Government Code, Section 552.001 et seq.

These are short term internal work products and confidential information would have to be redacted before use by researchers.

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: Adjudication worksheets
Series item number:
Agency item number: 83005
Archival code:
Retention: AC+75

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

Gaps? None before ca. 1996 or 1998 for different groups of materials

Appraisal Decision:
Adjudication worksheets are short-term, internal work products. Resulting information can be found in the series Biennial budget requests, Annual reports, Performance measures, Disciplinary orders, and Meeting minutes. I recommend this series be appraised as not archival. The agency had incorrectly coded the retention period as AC+75, but actually uses purpose served. The agency needs to correct the retention period to AV (administratively valuable) which is the replacement for PS (purpose served) in the 2nd edition of the Texas State Records Retention Schedule. Since this series did not have an archival review code, no changes need to be made to the retention schedule.

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Record Series Review
Series Title: Registers of pharmacists

Agency: Texas State Board of Pharmacy, Administrative Services & Licensing Division

Obsolete record series? Yes
Replaced by: Electronic licensing records

Ongoing record series? No
Annual accumulation:

Agency holdings:
Registers are not on the retention schedule. Records are two volumes-one dating 1907 to 1926, the other 1908-1943, 1948-1975, located in the agency's library.

Description:
Records are two registers of pharmacists. One register has a header on each page showing it is an alphabetical list of permits issued to pharmacists in towns of less than 1000. The permits were issued from 1907 to 1912 while the register contains notations to ca. 1926; the volume appears to have been compiled ca. 1923. The register includes date issued, name of pharmacist, permit number, city, and notes. Notes include years fees paid, if special examinations were taken, and whether a pharmacist had died (although the date of death is not included). The second register began as a reciprocity register, dating 1908-1943, 1948-1975, listing only those pharmacists receiving licenses in Texas who had been licensed elsewhere. Beginning in 1956, the register includes information on individuals licensed by examination. The register includes date of issue, name of pharmacist, Texas certificate number, application number, state where licensed, number of credential certificate, address, and sometimes notes. Lists of licensees were usually approved at board meetings, and lists of licensees by exam were included in meeting minutes prior to 1956. By 1919, street address was included with city and state.

Purpose:
Registers of pharmacists provide proof that pharmacists were licensed to practice by the state.

Arrangement:
One register is alphabetical; the other is numerical (which is generally chronological).

Access constraints: None

Use constraints: None

Indexes or finding aids required for/or an aid to access? No

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Not on agency schedule, obsolete series. No corresponding series on the State Records Retention Schedule.

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

Gaps?
For the first volume, no new entries were listed after July 1912; notations not added after 1926. The second volume is missing 1944-1947, no entries were added after 1975.

Appraisal Decision:
Registers of pharmacists provide information about pharmacists since the profession was first regulated by the state, for that reason the registers have historical significance. Cathy Stella has received several genealogical requests that are answered using these registers; more requests for information have been received since the agency placed its web site on the Internet. The practice of pharmacy affects the health and well being of Texas citizens to such an extent that a record of those pharmacists licensed by the state should be maintained. I recommend this series be appraised as archival. The registers can be transferred immediately to the Archives and Information Services Division since it is an obsolete series.

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Record Series Review
Series Title: Electronic licensing records (Pharmacist)

Agency: Texas State Board of Pharmacy, Administrative Services & Licensing Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: approximately 800 new licensees each year

Agency holdings:
Retention period is until superseded; actual dates covered by the database are unknown. Over 19,000 pharmacists are included in the database.

Description:
The record is a database containing information on the more than 19,000 pharmacists licensed by the state of Texas. Data for each pharmacist may include name, address, pharmacist license number, social security number, and may also include information on complaints, investigations, or orders made against the individual. The electronic licensing records are compiled from information found in the historical applications file, and possibly other sources.

Purpose:
The electronic licensing records provide ready access to information on pharmacists licensed by the board.

Arrangement: By pharmacist. This database is likely searchable.

Access constraints:
Includes confidential material concerning investigations and impairments (Texas Pharmacy Act, Vernon's Ann. Civ. St., Article 4542a-1, Sections 17q, 27A, and 27B.). Social security numbers may be confidential under federal law, and would be excepted from public disclosure under the Public Information Act, V.T.C.A., Government Code, Section 552.101. Confidential material must be filtered before use by researchers.

Use constraints: None

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

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Electronic licensing records (Pharmacist)
Series item number:
Agency item number: 72013
Archival code:
Retention: US

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

Gaps? Unknown

Appraisal Decision:
The series Electronic licensing records (Pharmacist) continues information once found in registers and minutes of the Pharmacy Board which date back to 1907. Because pharmacists affect the health and safety of Texas citizens to such an extent, basic information about licensed pharmacists is archival. The series Electronic licensing records (pharmacist) is a convenient summary of information found in the historical applications file, and confidential information can easily be redacted when outputting to microfilm. The electronic licensing records serve as an index to the historical applications files. An alphabetical listing of pharmacists can also be used for genealogical and biographical purposes.

Since the electronic licensing records provide the most summary information about pharmacists with the least amount of problems, computer output microfilm is the best way to provide access to this archival information. In accordance with 13 Texas Administrative Code, Sections 6.91-6.99, the agency should have the State and Local Records Management Division create computer output microfilm (COM) annually after records are updated. The database is updated as needed and purged annually. The entire database should be included the first time, after that, only records which have changed significantly need to be included in an annual update of computer output microfilm. A copy of the microfilm should then be transferred to the Archives and Information Services Division. Confidential information should not be included in the output. Upon transfer of the first microfilm, this appraisal decision will be reviewed and any changes will be suggested before the next re-certification process, circa 2001. We would reappraise based on the ease of use of the computer output microfilm, research quality of the information included, and advances in electronic technology.

Records Appraisal Report: State Board of Pharmacy

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

Archival finding aid Texas State Board of Pharmacy: An Inventory of Records at the Texas State Archives, 1984-1987, 1989-1999

Agency Contacts

Agency History and Structure

Project Review

Previous Destructions

Archival Holdings

Project Outcome

Record Series Reviews

Records Appraisal Report:
State Board of Pharmacy

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

Archival finding aid
Texas State Board of Pharmacy: An Inventory of Records at the Texas State Archives, 1984-1987, 1989-1999