Records Appraisal Report:
Texas State Board of Examiners of Psychologists

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

Internal links to series reviews
Biennial Budget Requests
Board Meeting Minutes
Correspondence - Administrative
100-Day Report
Organizational Charts
Strategic Plans

Archival finding aid
An Inventory of State Board of Examiners of Psychologists Records at the Texas State Archives, 1969-2004


May 23, 1996 Tony Black, Appraisal Archivist


Agency Contact:

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

Mr. Brian L. Creath
Records Administrator
333 Guadalupe, Suite 2-450
Austin, TX 78701


Agency History and Structure:

The Psychologists' Certification and Licensing Act of 1969 (Vernon's Ann. Civ. St., Article 4512c) created the Texas State Board of Examiners of Psychologists (Senate Bill 667, 61st Legislature, Regular Session, 1969). This law regulates all persons practicing psychology or offering psychological services for compensation, whether to individuals or to corporations. Effective September 1, 1969, the original bill was declared an emergency "due to the lack of means to determine qualifications of psychologists, subjecting persons to exploitation and injury at the hands of the unqualified and unscrupulous; the need to control and define psychologists who are now required within the schools by current pending legislation; and the lack of sufficient number of psychologists in Texas."

The mission of the agency includes the following:

  • establishing education, experience, and examination requirements;
  • adopting professional standards for the practice of psychology;
  • investigating and enforcing compliance with the requirements of the Act and the rules and regulations of the board; and
  • serving as a source of information and education to the public, the profession, and governmental entities.

The board has the following powers:

  • certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience;
  • licensing psychological associates with master's degrees;
  • suspending or revoking licenses or certificates for violation of the law;
  • monitoring the activity of persons who have apparently violated state law;
  • assisting applicants through the application process;
  • responding to requests from professionals and the general public concerning the practice of psychology.

The board is composed of nine members (increased from six members in 1981), appointed by the governor with the advice and consent of the senate for overlapping six-year terms. From 1969 to 1993, six of the members had to be psychologists; in 1981, one psychological associate and two members of the general public were added to the board. Since 1993, four of the members must be licensed or certified psychologists active for at least five years (including at least two actively rendering psychological services, one involved in psychological research, and one a faculty member of a training institution in psychology); two members must be licensed psychological associates; and three members must represent the general public.

In accordance with the statute, the board meets at least twice a year (in practice, usually five times a year), and has rule-making power. It was charged with adopting and publishing a Code of Ethics. The board fixes fees for certification, licensing, and renewal; renewal originally was to occur once every two years, but was changed to an annual requirement in 1993. Each April, the board must publish a list of all psychologists certified or licensed in Texas; it must file that list with the Secretary of State, and provide it to each person licensed, and to the general public on request.

The law does not apply to:

  • psychologists or psychological associates employed by any government agency, public school district, or regionally accredited institution of higher education;
  • any supervised student, intern, or resident;
  • qualified members of other licensed professions (physicians, surgeons, attorneys, registered nurses, licensed vocational nurses, occupational therapists, certified social workers, licensed professional counselors, career counselors, licensed marriage and family therapists, and licensed chemical dependency counselors);
  • duly recognized members of the clergy, if they do not represent themselves to be psychologists; and
  • volunteers working for charitable nonprofit organizations.

The board may cancel, revoke, or suspend a license upon proof of a felony conviction, drug addiction, fraud, or unprofessional conduct. Filing charges leads to a hearing, in which the accused has the right to appear, to produce witnesses or evidence, to cross-examine, and to have subpoenas issued by the board. The board may also impose probation. Beginning in 1993, any hearings are held before the State Office of Administrative Hearings. Appeal of the board's decision may be made in district court.

Between 1969 and 1993, according to section 23 of the statute, "all charges, complaints, notices, orders, records, and publications authorized or required by the terms of this Act shall be privileged." However, according to the agency Records Administrator, Attorney General Opinions applied this confidentiality only to records relating to formal complaints. At any rate, the statement quoted above was repealed by Senate Bill 1424, 73rd Legislature, Regular Session, effective September 1, 1993.

A number of changes were made in 1993 by Senate Bill 1424, 73rd Legislature, Regular Session. The practice of psychology was defined to include the following: the use of projective techniques, neuropsychological testing, counseling, career counseling, psychotherapy, hypnosis for health care purposes, hypnotherapy, and biofeedback and the evaluation and treatment by psychological techniques and procedures of mental or emotional disorders and disabilities. The board was authorized to employ investigators, lawyers, consultants, and administrative staff. The board was ordered to establish mandatory continuing education programs for persons regulated by the board, as well as a training program for members of the board. The board was to have the written portion of the examination validated by an independent testing professional. The board must keep an information file about each complaint filed with the board (containing a record of all persons contacted in relation to the complaint, a summary of findings made at each step of the complaint process, an explanation of the legal basis and reason for a complaint that is dismissed, and other relevant information). The board must develop a system for monitoring license or certificate holders' compliance with the law.

In 1993, a Psychological Associate Advisory Committee was created, composed of six members appointed by the governor: three licensed psychological associates, one licensed psychologist, and two members of the general public not licensed in health care. This advisory committee was to develop and recommend to the board rules concerning the regulation of psychological associates.

The agency staff consists of 14 full-time equivalent employees, and there were four divisions in 1995: Fiscal/Benefits Division, Operations Division, Investigations/Enforcement Division, and Legal Division.

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Project Review:

I was assigned to appraise the records of this agency on September 25, 1995. This agency has passed its second recertification, and is due for a third recertification in October 1996.

I have reviewed the Guide to State Agencies (8th edition, 1994); the laws (General and Special Laws, 1969, pp. 2059-2067; 1981, pp. 2849-2857; and 1993, pp. 3038-3053); the rules (22 Texas Administrative Code, Sections 461.1-473.7); and publications in the State Publications Clearinghouse (Strategic Plan, 1995-1999; Annual Financial Report, FY 1994 [including Organizational Chart on p. 23]; Request for Legislative Appropriations for FY 1996 and 1997; and Roster).

I reviewed the records retention schedule, a recertification approved November 1, 1994.

On October 12, 1995, I spoke briefly with Kay Steed, Records Consultant, concerning the questions which I would be asking on our initial visit with the agency. On that same day, I mailed the introductory letter from Chris LaPlante to the Executive Director, Rebecca Forkner. On November 27, Kay Steed and I met with Brian Creath, Records Administrator for the agency, in the agency's offices at 333 Guadalupe. This two-hour meeting enabled me to answer virtually all of my questions, both major and minor. On February 7, after a telephone contact, I wrote Brian Creath requesting additional information. On February 8, I received a transfer of board meeting minutes which I had requested during our initial meeting. On April 9, after another telephone contact, I wrote a reminder letter with a simplified request for information; I received a reply to this request on May 23, allowing me to complete my report.

Four series on the agency records retention schedule are marked "A", as archival: biennial budget requests; board meeting minutes; 100-day report; and organizational charts. One series is marked "R", for archival review: correspondence - administrative.

Strategic plans (normally considered an archival series) are produced, but are not on the agency records retention schedule.

Annual or biennial reports (non- fiscal), however, are neither required nor produced by this agency. Four other records series are notable, and seemed to deserve further attention: complaint files, complaint file summary, examination records, and professional files. None of these records series are marked either "A" or "R".

Complaint files are confidential, and the complaint file summary (microfiche) is confidential, and is also marked permanent. Section 25A of the Psychologists' Certification and Licensing Act states the following: "(a) The Board shall keep an information file about each complaint filed with the Board. The board's information file shall be kept current and contain a record for each complaint of: (1) all persons contacted in relation to the complaint; (2) a summary of findings made at each step of the complaint process; (3) an explanation of the legal basis and reason for a complaint that is dismissed; and (4) other relevant information." Confidentiality of these files is established by Section 25A(e)-(f). (Vernon's Ann. Civ. St., Article 4512c)

Examination records are marked permanent but not confidential. This series consists of examination statistics and individual scores on exams owned by the Texas State Board of Examiners of Psychologists (not the national examinations). The series does not include copies of the actual examination itself, which would be proprietary and confidential.

Finally, professional files (which contain applications, reference letters, transcripts, renewals, and general correspondence) have an unusually long retention period after a change in status due to death, retirement, nonpayment, resignation, revocation, etc.: 75 years for the hard copy and 150 years for microfiche.

However, the State Archives has determined that the types of records normally contained in complaint files, professional files, and examination files (records containing personal information on individuals who are regulated by state agencies) will not normally be designated archival, unless the information is not adequately summarized in other (archival) series. The archival series of board minutes summarizes complaints (except for complaints concerning advertising, which are documented by the series called administrative correspondence). Both the Secretary of State's Statutory Documents Section and the Texas State Library's Publications Clearinghouse maintain the printed copies of the Roster (of Licensed Psychologists, Certified Psychologists, and Psychological Associates), arranged both alphabetically and geographically (1971-1995); this publication can be said to summarize professional files. Board minutes also document issues relating to examinations, although not as fully as complaints. Examination files and professional files are both open series maintained by the agency, either permanently or for very long periods of time. Therefore none of these four series will be considered archival, and there will be no Record Series Reviews on any of them.

Archives Holdings:

Administrative Correspondence, 1986-1991, 1.14 cubic feet (AC 1993/220, 1994/22, 1995/126): this series includes advertising complaints; an accession summary is available.
Board Meeting Minutes, 1969-1996, 1.24 cubic feet (AC 1996/63, 1996/64, and 1996/76).

Previous Destructions:

Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and three were found.

Two destruction requests were initiated by the agency:

various accounting, inventory, payroll, and general records for FY 81 and FY 82, total 10.5 cubic feet (approved September 18, 1987);
purchase vouchers, deposit vouchers, travel vouchers, employee time reports, cost center reports, detail cost center audits, and STS cost comparisons, FY 83-86, 5 cubic feet (approved August 6, 1990).

Paul Beck, who at that time was accessions archivist for the Texas State Archives, initiated a destruction request which was approved August 23, 1993, for routine administrative correspondence, 1986-1989, 0.5 cubic foot. These records consisted of requests for rosters of psychologists, requests and responses for general information on the regulation of psychology in Texas, correspondence with applicants for the Texas licensing exam for psychologists, etc. (Part of 1993/220). Accessioned before the agency had an approved retention schedule, the material destroyed represents about one- half of the "administrative correspondence" transferred to the State Archives in that accession. The material destroyed is equivalent to what now constitutes the non- archival series called "General Correspondence."

Project Outcome:

This agency appraisal is now complete, although the records administrator is checking with legal counsel for any possible problems with confidentiality. My recommendations are to retain the "A" designation for three of the series (biennial budget requests, board meeting minutes, and organizational charts); to change one "R" designation to "A" (correspondence - administrative); to remove one "A" designation (100-day report); and to add one series, with an "A" designation (strategic plans). Series by series, my recommendations are summarized as follows:

Biennial Budget Requests
Continue to use "A" as the archival code for these records.

Board Meeting Minutes
Continue to use "A" as the archival code for these records. Rename the series "Board Meeting Minutes and Agenda," to include agenda. Continue to transfer copies of minutes and agenda to the State Archives.

Correspondence - Administrative
Change the "R" designation to "A". The Remarks column should read: "Transfer to State Archives annually after retention period has been met."

100-Day Report
Remove the "A" from the archival code for these records. Rename the series "Annual Financial Report," since the term "100-Day Report" no longer appears on the document. If possible, forward to the Publications Clearinghouse copies of the reports for fiscal years 1970-1989 and 1991, which are missing from the holdings of the Clearinghouse.

Organizational Charts
Continue to use "A" as the archival code. The Remarks column in the agency's records retention schedule should state: "Included in agency publications; the archival requirement will be met by sending copies of those publications to the Publications Clearinghouse, Texas State Library." As an alternative, the agency may simply wish to send to the State Archives a complete set of loose copies of organizational charts, and thereafter send new ones when they are superseded.

Strategic Plans
Add strategic plans as a new series to the schedule, with an Archival Code of "A." The Remarks column should read: "The archival requirement will be met by sending required copies to the Publications Clearinghouse, Texas State Library."

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Record Series Reviews

Record Series Review
Series Title: Biennial Budget Requests

Dates: 1983-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Fiscal/Benefits Division

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings: Biennial budget requests are in the agency's offices (0.1 cubic foot). These records are retained by the agency for six years after the approval of the budget. The agency's actual holdings are 1990-[ongoing] (for FY 1992-[ongoing]).

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

The archival requirement for this series is fulfilled by sending two copies to the Publications Clearinghouse, Texas State Library (13 Texas Administrative Code, Chapter 3, Section 3.3(c)). The Clearinghouse holds copies dating 1983-[ongoing] (for FY 1984-[ongoing]).

Description: This series consists of requests for legislative appropriations which the Texas State Board of Examiners of Psychologists has submitted each biennium to the Legislative Budget Board and other offices. The requests date from 1983-[ongoing] (for FY 1984- [ongoing]). The requests generally contain an administrator's statement of agency functions. The program objectives are listed, along with a description of each objective, a discussion of performance measures, statistics, efficiency measures, and expenses- -expended, current, and projected. Requests through 1990 also contain an organizational chart.

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

Agency Program: Biennial budget requests are a mandatory requirement of the state budgetary process. The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology (Vernon's Ann. Civ. St., Article 4512c).

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? No biennial budget requests for 1969-1982 (i.e., prior to the request for fiscal years 1984-1985) are held by the agency, the Archives, or the Clearinghouse.

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and none were found for this series or for equivalent or related series.

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

Series data from agency schedule:
Title: Biennial Budget Requests
Series item number: 1.1.004
Agency item number: 1.10
Archival code: A
Retention: AC + 6

Recommendation: Biennial budget requests provide evidence of the agency's fiscal performance and needs. The Texas State Board of Examiners of Psychologists' records retention schedule should continue to use "A" as the archival code for these records. The archival requirement is fulfilled by sending copies to the Publications Clearinghouse of the Texas State Library, as the Remarks column in agency's records retention schedule indicates.

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Record Series Review
Series Title: Board Meeting Minutes

Dates: 1969-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Legal Division

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: 0.24 cubic foot

Agency holdings: Board meeting minutes are in the agency's offices (1 cubic foot). These records are retained by the agency permanently. The agency's actual holdings are 1969- [ongoing].

Archival holdings: Board Meeting Minutes, 1969-1996, 1.24 cubic feet (AC 1996/63, 1996/64, and 1996/76). A portion of these (January 1972-November 1986, .30 cubic foot) were transferred from the Legislative Reference Library, and were part of the Agency Minutes Collection (AC 1987/24- 33). The remainder (December 1969-December 1971 and January 1987-September 1995, .70 cubic foot) were transferred directly to the State Archives by the Texas State Board of Examiners of Psychologists on February 8, 1996. Minutes are now regularly transferred to the State Archives.

Description: These files consist of meeting minutes of the Texas State Board of Examiners of Psychologists, dating 1969- [ongoing]. The board minutes include the following: summaries of administrative hearings; lists of persons certified by the board as psychologists and as psychological associates; motions made, discussed, and acted upon by the board, concerning both general policy and specific actions; the texts of proposed rules and regulations up for adoption; summaries of complaints considered before the board; full texts of Agreed Findings of Facts, Conclusions of Law, and Orders adopted by the board; and other documents included as attachments to the official minutes of the board.

The agency routinely files agenda of these meetings with the minutes. However, agenda were not included in the copies of minutes which the Legislative Reference Library transferred to the State Archives, nor in the copies of minutes which the agency recently transferred directly to the State Archives.

Purpose: Minutes are created to document in a thorough but usually summary fashion the official actions of the board in its meetings.

Agency Program: The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology (Vernon's Ann. Civ. St., Article 4512c).

Section 7(a) of the enabling legislation (the Psychologists' Certification and Licensing Act) says the following: "The Board shall hold a regular annual meeting.... Other regular meetings shall be held at such times as the rules of the Board may provide but not less than two times a year. Special meetings may be held at such times as may be deemed necessary or advisable by the Board...."

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and none were found for this series or for equivalent or related series.

Publications based on records: None

Series data from agency schedule:
Title: Board Meeting Minutes
Series item number: 1.1.017
Agency item number: 1.17
Archival code: A
Retention: PM

Recommendation: Board meeting minutes provide what is probably the most important documentation of the agency's activities; they are thorough yet succinct. The Texas State Board of Examiners of Psychologists' records retention schedule should continue to use "A" as the archival code for these records. The archival requirement is fulfilled by sending copies to the State Archives, as the Remarks column in agency's records retention schedule indicates. Executive Director Rebecca Forkner, in her February 8, 1996 cover letter accompanying the copies of minutes which had been missing from the State Archives, states that copies of all future minutes will continue to be transferred to the State Archives.

I also recommend that this series be renamed "Board Meeting Minutes and Agenda," to include agenda, and that copies of agenda be included in all future transfers.

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Record Series Review
Series Title: Correspondence - Administrative

Dates: 1986-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Investigations/Enforcement Division

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: 0.24 cubic foot

Agency holdings: Administrative correspondence is in the agency's offices (1.36 cubic feet). These records are retained by the agency for three years after the end of the fiscal year. The agency's actual holdings are 1991- [ongoing].

Archival holdings: Administrative Correspondence, 1986-1991, 1.14 cubic feet (AC 1993/220, 1994/22, 1995/126).

Description: This series is the administrative correspondence of the Texas State Board of Examiners of Psychologists, and consists of incoming and outgoing letters, with attachments, dating 1986-[ongoing], primarily concerning alleged violations of the law prohibiting the misrepresentation of persons practicing psychology or offering psychological services for compensation without being so certified by the State of Texas. The attachments include copies of advertisements (especially in the newspapers or the telephone yellow pages). The letters include complaints by the general public, initial warnings from the board sent by certified mail, and responses from alleged violators defending their advertisements or detailing their efforts to correct the situation.

Purpose: Administrative correspondence is created during the course of daily agency business, and is retained to document the substantive administration of the agency and to guide the commission in planning future administration of its duties. More specifically, this correspondence documents the board's monitoring of activities by persons allegedly violating the Psychologists' Certification and Licensing Act, especially in regards to advertising of psychological services.

Agency Program: The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology.

More specifically, section 8 of the Psychologists' Certification and Licensing Act lists the following among the powers and duties of the Texas State Board of Examiners of Psychologists: "(h) The Board may not adopt rules restricting competitive bidding or advertising by a person regulated by the Board except to prohibit false, misleading or deceptive practices by the person.... (i) The board may order corrective advertising if a psychologist, individually or under an assumed name, engages in false, misleading, or deceptive advertising."

Section 20 of the Act states the following: "A person may not engage in the practice of psychology or represent the person as a psychologist or psychological associate within the meaning of this Act unless the person is licensed or certified under this Act or is exempt from this Act." (Vernon's Ann. Civ. St., Article 4512c)

Arrangement: Chronological by year or group of years, then alphabetical by last name of person under investigation.

Access Constraints: None

Use Constraints: None? [The agency Records Administrator is checking with legal counsel concerning possible confidentiality problems.]

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

Gaps? 1969-1985

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and one was found relating to this series. Paul Beck, who at that time was accessions archivist for the Texas State Archives, initiated a destruction request (RMD-102) which was approved August 23, 1993, for routine administrative correspondence, 1986-1989, 0.5 cubic foot. The material destroyed consisted of requests for rosters of psychologists, requests and responses for general information on the regulation of psychology in Texas, correspondence with applicants for the Texas licensing exam for psychologists, etc. (Part of 1993/220). Accessioned before the agency had an approved retention schedule, the material destroyed represented about one- half of the so-called "administrative correspondence" transferred to the State Archives in that accession. The agency now files routine correspondence as "General Correspondence" (a non-archival series).

Concerning the correspondence which was retained after this appraisal, Paul Beck prepared a memo stating "these advertising complaints are of marginal value but the Archives decided to retain them because of the effort the Archives had already made in appraising and processing them."

Publications based on records: None

Series data from agency schedule:
Title: Correspondence - Administrative
Series item number: 1.1.007
Agency item number: 1.41
Archival code: R
Retention: FE + 3

Recommendation: This agency's administrative correspondence documents advertising complaints, which are nowhere else covered, not even in the board meeting minutes. Furthermore, a separate series has been set up for truly routine, general correspondence. Pending word from the agency's legal counsel concerning possible confidentiality issues, the Texas State Board of Examiners of Psychologists should change the "R" designation to "A". Remarks column should say: "Transfer to State Archives annually after retention period has been met."

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Record Series Review
Series Title: 100-Day Report

Dates: 1970-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Fiscal/Benefits Division

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings: 100-day reports are in the agency's offices (0.1 cubic foot). These records are retained by the agency permanently. The agency's actual holdings are FY 1970- [ongoing].

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

The archival requirement for this series is fulfilled by sending three copies to the Publications Clearinghouse, Texas State Library (13 Texas Administrative Code, Chapter 3, Section 3.3(b)). The Clearinghouse holds copies dating FY 1990 and FY 1992- [ongoing].

Description: This series consists of the annual financial report (also called the 100-day report) of the agency's activities, submitted by the board to the governor and the legislature, dating August 31, 1970-[ongoing]. These reports contain some narrative, but are composed mostly of standard financial tables, including the following: exhibits (combined balance sheet of all fund types and account groups, and combined statement of revenues, expenditures and changes in fund balance); narrative notes to the financial statements; explanation of service efforts and accomplishments; schedules (summary of revenues, expenditures, per diem and travel, and professional and consulting services); an organizational chart; and narrative organization and general comments.

Purpose: These reports are created to provide a financial accounting to the governor and legislature of the agency's revenues and expenditures, as required by law.

Agency Program: The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology.

Annual financial reports are required by General Provisions of the Appropriations Act, Article V, and in accordance with requirements established by the Comptroller.

More specifically, Section 10 of the Psychologists' Certification and Licensing Act states the following: "Annual Report of the Board. The Board shall file annually with the governor and the presiding officer of each House of the Legislature a complete and detailed written report accounting for all funds received and disbursed by the Board during the preceding fiscal year. The annual report must be in the form and reported in the time provided by the General Appropriations Act." (Vernon's Ann. Civ. St., Article 4512c). The law was amended from "...submit a report ...concerning the work of the Board..." by Senate Bill 1424, 73rd Legislature, Regular Session, 1993.

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? Reports for fiscal years 1970-1989 and 1991 are missing from the Clearinghouse.

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and none were found for this series or for equivalent or related series.

Publications based on records: None

Series data from agency schedule:
Title: 100-Day Report
Series item number: 4.5.003
Agency item number: 2.11
Archival code: A
Retention: PM

Recommendation: The annual financial report is especially important for this board, since it substitutes for the narrative annual or biennial report which most agencies publish; also, it does contain some narrative. However, the functions of the agency are adequately documented in summary form by the other archival series: board meeting minutes, the biennial budget requests, and the strategic plans (for which a series should be created). Furthermore, the annual financial reports are regularly sent to the Publications Clearinghouse, Texas State Library, as the Remarks column in the agency's records retention schedule indicates.

Therefore I recommend that the Texas State Board of Examiners of Psychologists' records retention schedule remove the "A" from the Archival Code for these records. I would also recommend that the agency rename the series "Annual Financial Report," since the term "100-Day Report" no longer appears on the document. The agency should also make copies of the reports missing from the holdings of the Publications Clearinghouse (for fiscal years 1970-1989 and 1991) and forward them to the Publications Clearinghouse, if possible.

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Record Series Review
Series Title: Organizational Charts

Dates: 1983-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Executive Director

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings: Organizational charts are in the agency's offices, printed in Biennial Budget Requests (FY 1990-1991), in one Annual Financial Report (FY 1994), and in the Strategic Plan, 1995-1999 (fractional). These records are retained by the agency until superseded. The agency's actual holdings are 1990-[ongoing].

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

The archival requirement for this series is fulfilled by sending two copies of legislative appropriations requests, or three copies of annual financial reports, to the Publications Clearinghouse, Texas State Library (13 Texas Administrative Code, Chapter 3, Section 3.3(b) and (c)). The Clearinghouse holds copies dating 1983-[ongoing].

Description: These records consist of charts showing the organizational structure of the Texas State Board of Examiners of Psychologists, dating 1983-[ongoing], included in the published requests for legislative appropriations (FY 1984-FY 1991), or the annual financial report (FY 1994), or the strategic plan (1995- 1999).

Purpose: The purpose of organizational charts is to indicate agency staff organization in a graphic format.

Agency Program: The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology (Vernon's Ann. Civ. St., Article 4512c).

The agency was organized into four divisions in 1995: the Fiscal/Benefits Division, the Operations Division, the Investigations/Enforcement Division, and the Legal Division.

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? 1991 and 1992

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and none were found for this series or for equivalent or related series.

Publications based on records: Organizational charts are found in publications: Request for Legislative Appropriations (FY 1984-FY 1991); Annual Financial Report (FY 1994); and Strategic Plan, 1995-1999.

Series data from agency schedule:
Title: Organizational Charts
Series item number: 1.1.023
Agency item number: 3.30
Archival code: A
Retention: US

Recommendation: Organizational charts assist in understanding the basic structure of an agency. The Texas State Board of Examiners of Psychologists' records retention schedule should continue to use "A" as the archival code. The Remarks column in the agency's records retention schedule should state: "Included in agency publications; the archival requirement will be met by sending copies of those publications to the Publications Clearinghouse, Texas State Library." As an alternative, the agency may simply wish to send to the State Archives a complete set of loose copies of organizational charts, and thereafter send new ones when they are superseded.

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Record Series Review
Series Title: Strategic Plans

Dates: 1994-[ongoing]

Agency: Texas State Board of Examiners of Psychologists, Operations Division

Obsolete record series? No
Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings: Strategic plans are in the agency's offices (fractional). These records are retained by the agency permanently. The agency's actual holdings are 1994- [ongoing] (for the period 1995-1999).

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

The archival requirement for this series is fulfilled by sending fifty-five copies to the Publications Clearinghouse, Texas State Library (13 Texas Administrative Code, Chapter 3, Section 3.3(a)(3)). The Clearinghouse holds the plan for 1995-1999.

Description: Strategic plans are long-range planning tools prepared by the agency in which the goals and objectives of the agency are presented along with performance measures for each. The Texas State Board of Examiners of Psychologists prepared its first plan in 1994 for the time frame of 1995-1999. Plans contain a mission statement, a statement of philosophy, an external/internal assessment of the agency, and the goals of the agency. Each goal contains objectives, outcome and efficiency measures, strategies, output measures, and explanatory measures for measuring and achieving the goals. Also present in most agency strategic plans is an organizational chart of the agency.

Purpose: Strategic plans are created as long-range planning tools prepared by the agency, setting forth goals and objectives of the agency over a multi-year period.

Agency Program: Strategic plans are prepared in accordance with V.T.C.A., Government Code, Sections 2054.095 and 2056.002.

The board is charged with certifying and licensing psychologists with doctoral degrees, by means of written and oral examinations and a review of education and experience; licensing psychological associates with master's degrees; suspending or revoking licenses or certificates for violation of the law; monitoring the activity of persons who have apparently violated state law; assisting applicants through the application process; and responding to requests from professionals and the general public concerning the practice of psychology (Vernon's Ann. Civ. St., Article 4512c).

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions: Destruction requests on file in the Archives and Information Services Division of the Texas State Library were checked for the Texas State Board of Examiners of Psychologists, and none were found for this series or for equivalent or related series.

Publications based on records: None

Suggested series from state Records Retention Schedule:
Title: Strategic Plans
Series item number: 1.1.055
Agency item number: to be assigned
Archival code: A
Retention: PM

Recommendation: Strategic plans document the long-range planning activities of the agency and are considered archival. Strategic plans are not currently on the retention schedule of the Texas State Board of Examiners of Psychologists. Therefore the board should add strategic plans as a new series to their schedule, with an Archival Code of "A." The Remarks column should read "The archival requirement will be met by sending required copies to the Publications Clearinghouse, Texas State Library."

Page last modified: August 31, 2011