Records Appraisal Report:
Real Estate Commission

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

Internal links to series reviews
Administrative correspondence [Administration Division]
Executive policy and procedure file
Legal opinions and advice from legal counsel
Meeting agenda
Meeting minutes
Meeting agenda and minutes--Broker-Lawyer Committee
Meeting minutes and agenda--Inspector Committee
News or press releases
Organization charts
Policies and procedures manuals (AD)
Meetings--supporting documentation
Strategic plans
Administrative Correspondence (Memos)
Meeting minutes (Investment Committee)
Policies and procedures manuals (SS)
Proofs of publications (artwork for acts, etc.)
Publication development files
Monthly staff reports
Annual financial reports
Consultants and committees reports
Policies and procedures manuals (IS)
Administrative correspondence (School correspondence files)
Policies and procedures manuals (L&E)
Instructor applications permanent file
Scantron batch reports
Policies and procedures manuals (EN)
Examination reports (external)
Advisory opinions (Policy files)
Policies and procedures manuals (RSC)
External semi-annual & annual reports of companies
RSC activity reports

Archival finding aid
Texas Real Estate Commission: An Inventory of Meeting Agenda and Minutes at the Texas State Archives, 1949-2001

July 30, 1999, Tonia J. Wood, 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.

Nancy Guevremont
Human Resources Officer
Texas Real Estate Commission
1101 Camino La Costa
Austin, TX 78752

Agency History and Structure

Real estate agents in Texas were first licensed through the Securities Division of the Secretary of State's office, beginning in 1939 with passage of the Real Estate Dealers License Act (House Bill 17, 46th Legislature, Regular Session). In 1949 the Texas Real Estate Commission was created to administer the act (Senate Bill 28, 51st Legislature, Regular Session). The act's name was changed to the Texas Real Estate License Act in 1955 when requirements were added for brokers to pass examinations for licensure (Senate Bill 209, 54th Legislature, Regular Session). Through the years, responsibility for regulating other real estate related professions has been added to the agency. The commission currently regulates real estate brokers and salespersons, proprietary real estate education providers, real estate inspectors (since 1981), residential service companies (since 1979), timeshare developers (since 1985), and easement or right-of-way agents (since 1997).

The policy-making body of the Texas Real Estate Commission is a nine-member commission appointed by the governor with the advice and consent of the senate for overlapping six-year terms. Six members must be active in real estate as full-time brokers for five years immediately preceding appointment. Three members must not be licensed by the commission and have no financial interest in real estate, except as consumers. The three public members were added after sunset review in 1979. Commission members are non-salaried and the governor designates the chair, who must be a licensed real estate broker. The commission appoints an administrator to oversee the agency.

The purpose of the commission is to protect the public through regulation of licensed real estate brokerage practitioners, real estate inspectors, residential service companies, and entities offering timeshare interests. The Real Estate Commission licenses or registers competent and honest individuals and businesses, withdraws licenses or registration when warranted, implements mandatory continuing education, cooperates with other state licensing jurisdictions, sets standards for schools which offer real estate and inspector courses for credit, ensures licensing processes are practical and expedient, and disseminates information and advice as a deterrent to violations of statutes and rules.

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee, which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers. The agency's general counsel serves as liaison to both committees.

The commission administers two recovery funds that provide funds to individuals who have had difficulties with real estate transactions caused by unethical and illegal dealings of licensees. The Real Estate Recovery Fund handles claims against salespersons, brokers, and easement agents. The fund was created in 1975 to replace surety bond requirements of real estate licensees. The Real Estate Inspector Recovery Fund, which was created in 1985, handles claims against inspectors. A five-person Investment Committee composed of TREC commission members and staff recommends investment strategy for the recovery funds to the full commission.

The Real Estate Commission provides funds for the Real Estate Center at Texas A&M University, which was created in 1971 (Senate Bill 338, 62nd Legislature, Regular Session). The Center conducts real estate related research based on needs of the Texas citizenry and disseminates the results and findings. The budget, staffing, and activities of the Center are approved by the Board of Regents of the Texas A&M University System. Real estate advice comes from a ten-member advisory committee appointed by the governor. Six members represent various segments of the real estate industry, three represent the general public, and one is ex officio representing the Texas Real Estate Commission.

The Real Estate Commission provides administrative support (staff services, information services, and utilities) for the Texas Appraiser Licensing and Certification Board, which replaced the Real Estate Commission's Texas Real Estate Appraiser Certification Committee in July 1991.

In 1998 the Real Estate Commission was composed of approximately 86 FTE employees in five divisions: Administration, Enforcement, Licensing & Education, Staff Services, and Information Services. Offices are in Austin, with investigators located across the state.

In addition to leadership and day-to-day management, the Administration Division performs functions to assist and protect the consumers of real estate services. The functions include direction of the hearings process, oversight of the recovery funds, coordination of advisory committees, drafting of proposed rules and legislation, publication of the newsletter, fiscal oversight of residential service companies and implementation of staff development programs. Administration works with consumer groups, industry trade associations, other Texas agencies, educators and regulatory agencies of other jurisdictions. A staff member serves as the agency hearings officer for contested cases brought by the Enforcement Division. The staff reviews and responds to claims by consumers for payment of judgments against licensees from the two recovery funds maintained by the agency. The staff acts as the liaison to the agency's two advisory committees: the Texas Real Estate Broker-Lawyer Committee and the Texas Real Estate Inspector Committee. A staff member is the agency's chief legal advisor.

The Staff Services Division provides accounting, budget, human resources, purchasing, cashier, quick copy, and other support to the agency. Purchasing efforts give specific emphasis to historically underutilized businesses. The Investment Officer, currently a member of the Division, is appointed by and reports directly to the Commission concerning the investments in the Real Estate Recovery Fund and the Real Estate Inspection Recovery Fund.

The Information Services Division provides agency-wide support in three main areas: internal systems, cooperative systems and public access systems. Internal systems covers application software systems developed by TREC staff to increase productivity and decrease delays in answering public inquiries, including fee receipts, education evaluation, examination result posting, license and renewal processing, enforcement case tracking, open records access and education provider approval systems. The Division maintains the agency data center, a local area network (LAN) and personal computers. The Commission cooperates with the Texas Guaranteed Student Loan Corporation (TGSLC), the Office of Attorney General, the Department of Public Safety, and the Real Estate Center at Texas A&M University. In addition, the Division provides computer services for the Texas Appraiser Licensing and Certification Board. The Commission offers comprehensive public access by Fax-on-Demand, Bulletin Board System, Electronic Mail Services, Mail List Server, and a full suite of Internet access methods.

The Licensing and Education Division processes license applications covering real estate salespersons and brokers; apprentice, real estate, and professional inspectors; and easement or right-of-way agents. The Division ensures that education, experience, and examination requirements are satisfied. The Division is also responsible for the approval and regulation of continuing education providers and proprietary real estate schools. The commission privatized the development and administration of the licensing examinations in order to improve the accessibility, efficiency and psychometric validity of the examination process. The Communication section, staffed by employees trained in all aspects of the agency, is the primary telephone contact for the public and licensees. This section also analyzes and responds to the customer satisfaction survey forms.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

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Project Review

I was assigned to appraise the records of the Texas Real Estate Commission, including the records of the Texas Appraiser Licensing and Certification Board, on January 28, 1999. This agency has completed its fourth re-certification, and is due for a fifth re-certification in November 1999.

I reviewed the Guide to Texas State Agencies, 9th and 10th editions, statutes, strategic plans (1998 and earlier), legislative appropriations requests (1998 and earlier), annual financial report (FY 1997), reports to the Sunset Advisory Commission (1977-1978), and the agency web site (http://www.trec.state.tx.us/index.asp).

Nine series are listed on the agency retention schedule as archival: Executive orders, Meeting agenda, Meeting minutes, Organization charts (listed twice), Meetings-supporting documentation, Biennial budget requests, Meeting minutes (Investment Committee), Advisory opinions (Policy files), and RSC activity reports.

Eighteen series are listed on the agency retention schedule as requiring archival review: Correspondence, Administrative (for each of the five divisions), Legal opinions and advice from legal counsel, News or press releases, Policies and procedures manuals (for six divisions or programs), Conference reports and papers, Executive orders re: new agency policies, programs, Proofs of publication (artwork for acts, etc.), Consultants & committees reports, and Employee recognition records.

Five other series need to be appraised due to length of retention or archival review code in state retention schedule: Publication development files, Administrative reports, Instructor application permanent file, Scantron batch reports, and Examination reports (external).

Annual reports and strategic plans listed on the retention schedule are not marked "A" or "R", but the Archives and Information Services Division has determined these items to be archival.

After meeting with the records management officer and receiving some of the completed record series reviews, I added two more series for appraisal-RSC external annual and semi-annual reports and Meeting minutes/notes-Staff (Real Estate-Lawyer/Inspector).

On May 29, 1990, Chris LaPlante sent a letter to Nancy Guevremont, Personnel Officer, concerning the need to contact the State Archives concerning "A" series and "R" series of the Real Estate Commission. There was no response to this letter in the files of the Archives and Information Services Division.

As part of the current appraisal project, I mailed introductory letters on February 8, 1999 from Chris LaPlante to the Administrator of the Real Estate Commission, Wayne Thorburn, and the Commissioner of the Appraiser Licensing and Certification Board, Renil Linér, along with the list of record series to be appraised. I contacted Nancy Guevremont, Human Resources Officer and Records Management Officer, by phone on February 16, 1999 and set a meeting for March 10, 1999 at 9:00 a.m.

On March 10, 1999, I met with Nancy Guevremont at the Real Estate Commission offices in Austin. We discussed the series under review, and Nancy said she would complete the record series review sheets within the month and would call me with any questions. She had spoken with individuals from several divisions in order to gather some background information on series. She needed a copy of the most recent state retention schedule and wanted to take some courses through the State and Local Records Management Division. She had not inventoried the agency's records before creating the first retention schedule and now wants to create an inventory. We discussed copying and sending minutes and agenda that are missing from the Archives and Information Services Division and sending missing publications to the Publications Depository Program. I received most of the record series reviews in April, but needed additional information to complete the report.

After a number of follow-up phone calls and e-mails and one site visit, the report was as complete as possible. On May 24, 1999 I called Pat Holder, Administration Division, regarding the administrative correspondence and meetings-supporting documentation series. On July 6, 1999 while visiting the agency headquarters to check information about several TALCB series, Nancy Guevremont and I spoke with Pat Holder again about the Administration Division's correspondence, legal opinions and advice, committee minutes, and meetings-supporting documentation. Nancy asked me how other agencies deal with records management responsibilities that are added to other full-time duties. I suggested developing liaisons in each division and requesting part-time assistance from clerical or administrative staff. On July 27, I spoke with Gwen Jackson, Enforcement Division, regarding series relating to residential service companies.

Previous Destructions

In the Archives and Information Services Division's agency files, destruction requests are on file for the following Real Estate Commission records: Staff Services financial and personnel records, FY 1981-FY 1984; warrants voided by statute of limitations, 1980-1986; non-hearing investigative complaint files, 1978-1985; unverified/no jurisdiction complaint files, FY 1983-FY 1985; applications for licensure, prior to January 1, 1988; master files of licensees expired at end of FY 1981; master files of deceased licensees, 1980-1985; master files of inactive licensees as of January 1, 1979; hearing files and tapes, FY 1964-FY 1969; and general correspondence, 1965-1987. Destruction requests date from March 1986 to August 1990.

Archival Holdings

Meeting agenda and minutes, 1949-1999, 1.88 cubic ft.
Records are copies of agenda and minutes for meetings of the Texas Real Estate Commission dating from October 1949 to April 1999. Minutes date from October 1949 to February 1999 with some gaps. Agenda date from May 1991 to April 1999 with a few gaps.

Project Outcome

When I met with the records management officer, Nancy Guevremont, in March 1999, she told me that the agency's retention schedule was not based on an inventory of the Real Estate Commission or Appraiser Licensing and Certification Board records, but was based on the state records retention schedule. Series that seemed important were included on the agency schedule, but may not have been created by TREC. While working on the appraisal report, this was borne out by the number of empty series listed on the schedule and some confusion about which actual records corresponded with the series listed on the retention schedule. The records management officer is planning on inventorying the agency's records this fall before the retention schedule is due for re-certification. At that time, I expect additional information or series may be uncovered that will require appraisal.

The appraisal of the Texas Real Estate Commission is as complete as possible at this time.

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))." Send copies of the biennial budget requests from 1963-1967 to the Archives and Information Services Division.
Meeting agenda-Combine with Meeting minutes and rename the series "Meeting agenda and minutes". Agenda are missing at the Archives and Information Services Division from the beginning of the commission through April 1991, August 1991, July and August 1993, October 1993 to February 1994, April 1994 to August 1995, and June 1999.
Meeting minutes-Combine with Meeting agenda and rename the series "Meeting agenda and minutes" with 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." Although the agency has provided copies of most of the agenda and minutes, there still are a few missing agenda and minutes that need to be sent to the Archives and Information Services Division. The following minutes are missing from the Archives and Information Services Division: August-September 1970, January 1973, June-August 1984, August 1985, November-December 1985, September 1987-January 1988, May-July 1988, June 1993, September-December 1995, February-August 1996. The agency should begin sending copies of agenda and approved minutes on a regular basis.
Meeting minutes-supporting documentation-At the end of fiscal year 1999, meeting files through the end of fiscal year 1997 should be transferred to the Archives and Information Services Division. Change retention period from PS to AV.
Organization charts-Add note to Remarks column: "Included in strategic plan. The archival requirement for this series will be met by sending required copies of the strategic plan 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.] Remove the duplicate series from the retention schedule (SS-15).
Meeting minutes (Investment Committee)-Change series item number to 1.1.058. Change title to Meeting agenda and minutes (Investment Committee). 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." Copies of past Investment Committee minutes and agenda should be sent to the Archives and Information Services Division. The agency should begin sending agenda and approved minutes on a regular basis.
Executive orders-Once orders [executive policy and procedure file] have reached the retention period (US+5), they should be transferred to the Archives and Information Services Division. If all the policies were rescinded and then reissued when the commission took over the policy-making function, then the file is ready for transfer now. If some of the policies are still in force, then the file should be transferred five years after the policies are superseded. When all executive orders have fulfilled the retention period, the series should be removed from the schedule since this series is no longer created. Remove duplicate series Executive orders re: new agency policies, programs (SS-9) from the retention schedule.

Change archival review code R to archival code A for the following series:

Correspondence, Administrative [Administration Division]-Commissioners' correspondence should be listed separately from the rest of the administrative correspondence on the retention schedule. The security code for the commissioners' correspondence should be confidential, with legal citation noted in the Remarks column. Confidential material in the commissioner's correspondence should be marked for redaction or reviewed for waiver of exception to public disclosure before transfer to the Archives and Information Services Division. At the end of fiscal year 1999, commissioners' correspondence and other administrative correspondence, including committee correspondence, through fiscal year 1996 should be transferred to the Archives and Information Services Division.
News or press releases-Transfer to the Archives and Information Services Division once the retention period has been met and yearly thereafter. Releases for 1998 should be sent at the end of 2000.

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))."
Annual financial report-The report is titled annual report, but is actually an annual financial report. 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(2)". The series Reports, Annual & biennial agency (non-fiscal) (SS-21) should be deleted from the retention schedule. The agency should continue sending annual financial reports to the Publications Depository Program, and send copies of reports from 1950-1975 and 1981-1986 to the Archives and Information Services Division to fill in gaps in holdings.
Meeting minutes/Notes-Staff (Broker-Lawyer, Inspector meetings)-The series should be divided, with a separate series for each committee. The series item number should be changed from 1.1.018 to 1.1.058 and the title changed to Meeting agenda and minutes-Broker-Lawyer Committee and Meeting agenda and minutes-Inspector Committee. The retention period should be changed to permanent. The following note should be added to the Remarks column for each committee: "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 needs to send copies of all agenda and minutes that have been created for the committees and continue sending agenda and approved minutes on a regular basis.
External semi-annual & annual reports of companies-Agency should change security code to confidential and note legal citations in Remarks column. The agency should transfer reports for 1995, minus the confidential attachments, at the end of fiscal year 1999.

Retain archival review code R until further information has been obtained:

Legal opinions and advice from legal counsel-Security code should be changed from open to confidential and legal citations for confidentiality noted in the Remarks column. Change PS (purpose served) to AV (administratively valuable). At this time I do not know if the contents of the series Legal opinions and advice merit keeping the material when weighed against the issue of confidentiality and the availability of summaries of final decisions. The archival review code R should remain until the agency inventories its records and further information can be gathered about the series and the agency's position on exceptions to public disclosure. Reappraisal of the series would then take place.

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

Advisory opinions (Policy files)
RSC activity reports
Correspondence, Administrative (School correspondence files)

Add note to Remarks column for above series: "Archival review code [or archival code, as appropriate] removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, July 30, 1999."

Remove R, rename series, change series item number and retention period:

Policies and procedures manuals [all six series]-The series item number and title should be changed to 3.3.025 Job procedure records with a retention of US+3 to reflect the content of the series.
Correspondence, Administrative (Memos)-The series item number should be changed to 1.1.008, with the title Correspondence, General (Memos), a retention of one year, and the medium code should be changed to E for electronic. Staff should be made aware that the creator is responsible for fulfilling the retention requirements.

Remove series from schedule or replace archival review code R with archival exception code E depending on actual contents of series:

Reports, Consultants & committees-The agency has said this series consists of internal audit reports. There is another series listed on the retention schedule, 1.1.003, SS-3, Audits-Internal (CI squared) that may be the same thing. If the agency does not actually create consultant and committee reports apart from the internal audits which are listed as item number SS-3, then this series should be removed from the agency's retention schedule. If these internal audits reports are a separate series from those listed in SS-3 and do belong in the series Consultant and committee reports, then sufficient information on the agency's activities is included in other series appraised as archival, including Meeting minutes, Meetings-supporting documentation, and annual financial reports and the series is appraised as not archival. The agency believes retention for this series should be changed to permanent to correspond to retention for annual financial reports. Change archival review code R to 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, July 30, 1999."

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

Publication development files
Reports, Administrative- I recommend changing the name of the series from Administrative reports to the more descriptive Monthly staff reports. The series item number on the retention schedule should be changed to 1.1.067.
Instructor application, permanent file
Scantron batch reports-Change retention period to three years and change title to MCE Course Completion Roster Report as recommended by the agency.
Examination reports (External)-Security code should be changed from open to confidential with legal citation for confidentiality noted in the Remarks column.

Remove the archival review code R from the following series (erroneously coded R in the first edition of the Texas State Records Retention Schedule):

Employee recognition records

The following series should be removed from the Real Estate Commission's retention schedule since they do not exist:

Reports, Annual & biennial agency-Non-fiscal
Reports and papers, Conference
Correspondence, Administrative (Division) [Information Services]
Correspondence, Administrative (RSC files)
Proofs of publication (artwork for acts, etc.)-This series and Publication development files contain the same records.

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Record Series Reviews

Record Series Review
Series Title: Administrative correspondence [Administration Division]

Agency: Texas Real Estate Commission, Administration Division

Contact: Pat Holder, Administration Division, 465-3900

Obsolete record series? No
Replaced by:

Ongoing record series? Yes, administrative and general correspondence filed together
Annual accumulation: 0.5 cubic ft.

Agency holdings:
According to the agency retention schedule, administrative correspondence is retained for three years and general correspondence for one year. Actual agency holdings for Administration Division correspondence cover fiscal year 1996-[ongoing]; size is 2.3 cubic ft. Correspondence is located in the Administration Division.

Description:
Records are correspondence of the Administration Division of the Texas Real Estate Commission, including letters, memoranda, e-mail, and faxes, addressed to the commission, administrator, assistant administrator, or general counsel, although sometimes forwarded to another division for response. Correspondence files date from fiscal year 1996-[ongoing]. The majority of the correspondence is general, non-substantive letters, providing information to the public. In addition to the large group of correspondence concerning routine matters, there are several smaller groups of correspondence relating to specific committees, staff, and the commission members.

Commissioners' correspondence files generally contain requests for information from commissioners to staff, along with responses. The series is considered confidential under the exception "Certain agency memoranda", Section 552.111 of the Public Information Act. However, the exception to public disclosure applies only to advice, recommendations, and opinions; factual information is not included in the exception.

Broker-Lawyer and Inspector Committee files contain memos from the Real Estate Commission informing the committees of meetings, and drafts of documents developed by the committees. Final documents do not seem to be included in other series, although discussions regarding document development are summarized in the series Meeting minutes/notes-staff (Broker-Lawyer/Inspector) and attachments may be included with the minutes.

Another file within the correspondence series is maintained for the general counsel, containing correspondence and other material concerning legal opinions and advice. The general counsel's files date from September 1992-[ongoing]. These files are described in the series Legal opinions and advice.

Correspondence relating to rules is filed in the series Rules and regulations. Correspondence relating to legislation is filed in the series Proposed legislation. Correspondence regarding Real Estate Recovery Fund payments is filed in two series: Recovery Fund Files-Payment Made and Recovery Fund Files-Other. Copies of memos and correspondence relating to agenda items are included in the archival series Meetings-supporting documentation, as part of the meeting notebooks prepared by the Administration Division prior to each commission meeting. Memos and letters concerning agency policy are filed in the executive order series labeled "Executive policy and procedure."

Purpose:
Correspondence is created to communicate with the public and deal with other agency matters.

Agency Program:
Real estate agents in Texas were first licensed through the Securities Division of the Secretary of State's office, beginning in 1939 with passage of the Real Estate Dealers License Act (House Bill 17, 46th Legislature, Regular Session). In 1949 the Texas Real Estate Commission was created to administer the act (Senate Bill 28, 51st Legislature, Regular Session). The act's name was changed to the Texas Real Estate License Act in 1955 when requirements were added for brokers to pass examinations for licensure (Senate Bill 209, 54th Legislature, Regular Session). Through the years, responsibility for regulating other real estate related professions has been added to the agency. The commission currently regulates real estate brokers and salespersons, proprietary real estate education providers, real estate inspectors (since 1981), residential service companies (since 1979), timeshare developers (since 1985), and easement or right-of-way agents (since 1997).

The Real Estate Commission provides funds for the Real Estate Center at Texas A&M University, created in 1971 (Senate Bill 338, 62nd Legislature, Regular Session). The Center conducts real estate related research based on needs of the Texas citizenry and disseminates the results and findings. The budget, staffing, and activities of the Center are approved by the Board of Regents of the Texas A&M University System. Real estate influence comes from a ten-member advisory committee appointed by the governor. Six members represent various segments of the real estate industry, three represent the general public, and one is ex officio representing the Texas Real Estate Commission.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Alphabetical

Access constraints:
The commissioners' correspondence file is subject to the Public Information Act, V.T.C.A., Government Code, Section 552.111 pertaining to certain advice, opinions, and recommendations in agency memoranda regarding policymaking processes. The general counsel's files are subject to the Public Information Act, V.T.C.A., Government Code, Section 552.107 pertaining to certain legal matters, including attorney-client privilege. Portions of a memorandum relating to policymaking would have to be redacted before being provided to a researcher. According to the Open Records Handbook, Section 552.111 does not except from disclosure purely factual information that is severable from the opinion portions of the memorandum.

Use constraints: None

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

Gaps?
None at the agency before fiscal year 1996; none before the September 1992 for the general counsel's files.

Problems:
Administrative and general correspondence are filed together, although they have different retention periods. Administrative and general correspondence is destroyed according to the retention period for administrative correspondence (after three years), although the administrative correspondence series is coded for archival review before destruction.

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 Real Estate Commission and none were found for administrative correspondence. Destruction requests for general correspondence dating 1965-1987 were submitted. Administrative and general correspondence is now destroyed according to the retention period for administrative correspondence (after three years).

Publications based on records: None

Series data from agency schedule:
Title: Correspondence, Administrative
Series item number: 1.1.007
Agency item number: AD-1
Archival code: R
Retention: 3

Title: Correspondence, General
Series item number: 1.1.008
Agency item number: AD-2
Archival code:
Retention: 1

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

Appraisal Decision:
This series contains both general and administrative correspondence of the Real Estate Commission's Administration Division.

The main Administration Division correspondence files contain letters to and from the highest level in the Real Estate Commission-the administrator, assistant administrator, general counsel, and commission. Most of the correspondence does not have permanent value and is actually general correspondence. I appraise this group as not archival, and since the retention schedule already contains a general correspondence series, no changes need to be made to the retention schedule for that series. General correspondence should be filed separately from administrative correspondence, and destroyed yearly.

The commissioners' correspondence is administrative correspondence and does contain records of permanent value. This series documents information requests by the commissioners and may summarize agency activities and provide information not found in other series. Commissioners' correspondence should be listed separately on the retention schedule with archival code A. The security code should be changed from open to confidential with the legal citation provided in the Remarks column. Fiscal year 1996 (and any earlier if it still exists) commissioners' correspondence should be transferred to the Archives and Information Services Division at the end of fiscal year 1999 and yearly thereafter. Before transfer, confidential information should be marked for redaction or reviewed for waiver of exception to public disclosure.

Additional administrative correspondence includes Broker-Lawyer and Inspector Committees files that do contain records of archival value. The files complement the minutes for the two committees. On the retention schedule, archival review code R should be replaced by archival code A for the series Administrative correspondence. Fiscal year 1996 (and any earlier if it still exists) administrative correspondence, including Broker-Lawyer and Inspector Committee files, should be transferred to the Archives and Information Services Division at the end of fiscal year 1999 and yearly thereafter. If upon inventorying the agency's records, additional administrative correspondence is found, then it will need appraisal by the archivist assigned to TREC.

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Record Series Review
Series Title: Executive policy and procedure file

Agency: Texas Real Estate Commission, Administration Division

Contact: Pat Holder, Administration Division, 465-3900

Obsolete record series? Yes
Replaced by: none

Ongoing record series? No
Annual accumulation:

Agency holdings:
According to the agency retention schedule, executive orders are retained until superseded plus five years. Actual agency holdings date 1983-1990; size is 0.1 cubic ft. The executive policy and procedure file is located in the Administration Division.

Description:
Records are executive policy and procedure letters and memoranda, dating 1983-1990, from the administrator and assistant administrator of the Texas Real Estate Commission to staff concerning agency policies and procedures. An example of subjects covered is the detailing of types of information that can be released over the phone. The commission took over the responsibility for developing agency policy and procedures circa 1990-1991.

Discussion of agency policy and procedures is included in the series Meeting minutes and Meetings-supporting documentation.

Purpose:
The executive policy and procedure letters and memoranda were created to inform TREC staff of commission policies.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at the agency before 1983 or after 1990

Problems:
Administration Division staff does not consider this file to be executive orders. Executive orders are thought of as being created by the governor, not by an agency head.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Executive orders
Series item number: 1.1.011
Agency item number: AD-3
Archival code: A
Retention: US+5

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

Appraisal Decision:
Executive orders [executive policy and procedure letters and memos] were once used to create, dissolve, or amend policies and procedures that govern the programs and services of the Real Estate Commission. We appraise these records as archival because they document actions at the highest level of the agency, and may not be included in Meeting minutes. This is an obsolete archival series and should be transferred to the Archives and Information Services Division once the retention period has been fulfilled. If all the policies were rescinded and then reissued when the commission took over the policy-making function, then the file is ready for transfer now. If some of the policies are still in force, then the file should be transferred five years after the policies are superseded.

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Record Series Review
Series Title: Legal opinions and advice from legal counsel

Agency: Texas Real Estate Commission, Administration Division

Contact: Pat Holder, Administration Division, 465-3900

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
According to the agency retention schedule, legal opinions and advice from legal counsel are to be maintained until their purpose has been served. Actual agency holdings date from September 1992 to present; size is unknown. Legal opinions and advice are located in the Administration Division offices.

Description:
Records are memos and other material maintained by the general counsel containing legal opinions and advice. Files date from September 1992-[ongoing]. These records are filed with the Administration Division correspondence.

Purpose:
Legal opinions and advice from legal counsel advise commission members and staff about the legal ramifications of their actions.

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers. The agency's general counsel serves as liaison to both committees.

In addition to leadership and day-to-day management, the Administration Division performs key functions to assist and protect the consumers of real estate services. The functions include direction of the hearings process, oversight of the recovery funds, coordination of Advisory committees, drafting of proposed rules and legislation, publication of the newsletter, fiscal oversight of residential service companies and implementation of staff development programs. Administration works with consumer groups, industry trade associations, other Texas agencies, educators and regulatory agencies of other jurisdictions. A staff member serves as the agency hearings officer for contested cases brought by the Enforcement Division. The staff reviews and responds to claims by consumers for payment of judgments against licensees from the two recovery funds maintained by the agency. The staff acts as the liaison to the agency's two advisory committees: the Texas Real Estate Broker-Lawyer Committee and the Texas Real Estate Inspector Committee. A staff member is the agency's chief legal advisor.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints:
Legal opinions and advice are confidential according to the Public Information Act, V.T.C.A., Government Code, Section 552.107 and others. The commission would have to waive exceptions before records could be used by patrons.

Use constraints: None

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

Gaps? None before September 1992

Problems:
Legal opinions and advice are filed with other Administration Division correspondence, not sure what safeguards are taken to protect confidentiality.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Legal opinions and advice from legal counsel
Series item number: 1.1.015
Agency item number: AD-5
Archival code: R
Retention: PS

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

Appraisal Decision:
Final decisions by the Real Estate Commission which are summarized in the series Meeting minutes, are based on legal opinions and advice. Administration Division staff originally said the series did not exist, then mentioned that legal opinions and advice were part of the general counsel's files that are included in the Administration Division's correspondence files. At this time I do not know if the contents of the series Legal opinions and advice merit keeping the material when weighed against the issue of confidentiality and the availability of summaries of final decisions. The archival review code R should remain until the agency inventories its records and further information can be gathered about the series and the agency's position on exceptions to public disclosure. Reappraisal of the series would then take place. Security code should be changed from open to confidential and legal citations for confidentiality noted in the Remarks column. Change PS (purpose served) to AV (administratively valuable).

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Record Series Review
Series Title: Meeting agenda

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
The agency retention period for meeting agenda is permanent. Actual holdings date from at least 1991-[ongoing]; agenda are filed with minutes and total size is 2.3 cubic ft. Agenda are located in the Administration Division. Agenda from April 28, 1997 to present are also available on the agency's web site (http://www.trec.state.tx.us/newsandpublic/meetings.asp).

Description:
Records are agenda dating from at least 1991-[ongoing] listing date, time, and location of commission meetings and topics to be discussed.

Purpose:
Commission meeting agenda announce open meetings of the commission and the subjects to be covered during these 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)

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers. The agency's general counsel serves as liaison to both committees.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? No response from the agency regarding the existence of agenda prior to 1991

Problems: None

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

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

Series data from agency schedule:
Title: Meeting agenda
Series item number: 1.1.016
Agency item number: AD-6
Archival code: A
Retention: PM

Archival holdings:
Meeting agenda, 1991-1999, 0.1 cubic ft.
Records are meeting agenda for TREC date from May 1991 to April 1999 with some gaps. Agenda are missing at the Archives and Information Services Division from the beginning of the commission to May 1991, August 1991, June to July 1993, October 1993 to February 1994, April 1994, and any after. Agenda are filed with the minutes for each meeting and are part of the series Meeting agenda and minutes, 1949-1999.

Texas Documents Collection holdings: None

Appraisal Decision:
Commission meeting agenda provide a table of contents for and an overview of the commission meeting minutes. These agenda are appraised as archival because they provide information about the commission meeting minutes and enhance access to the minutes. The commission should combine this series with the commission meeting minutes as recommended in the 1998 State Records Retention Schedule under the new item number (1.1.058). Copies of missing agenda should be transferred to the Archives and Information Services Division and new agenda should be sent on a regular basis. Agenda are missing at the Archives and Information Services Division from the beginning of the commission to May 1991, August 1991, June to July 1993, October 1993 to February 1994, April 1994, and any after.

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Record Series Review
Series Title: Meeting minutes

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
The agency retention period for meeting minutes is permanent. Actual agency holdings date from 1949 to present; size is 2.3 cubic ft. (including agenda). Minutes are located in the Administration Division. Minutes from January 11, 1999 to present are also available on the agency's web site (http://www.trec.state.tx.us/newsandpublic/meetings.asp).

Description:
Records are minutes of the Texas Real Estate Commission's meetings, dating 1949-[ongoing].
Minutes list attendees and location of meetings, summarize the staff reports presented to the commission, note approval of the previous meeting's minutes, and summarize action taken on rule proposals, legislation, applications for new real estate schools, requests for Recovery Fund payments, and requests to investigate or rehear complaints against licensees.

Purpose:
Meeting minutes document the Texas Real Estate Commission's actions and decisions at its open 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)

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers. The agency's general counsel serves as liaison to both committees.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes
Series item number: 1.1.017
Agency item number: AD-7
Archival code: A
Retention: PM

Archival holdings:
Meeting minutes, 1949-1999, cubic ft.
Records are minutes of the Texas Real Estate Commission's meetings, dating October 1949-[ongoing]. Minutes list attendees and location of meetings, summarize the staff reports presented to the commission, note approval of the previous meeting's minutes, and summarize action taken on rule proposals, legislation, applications for new real estate schools, requests for Recovery Fund payments, and requests to investigate or rehear complaints against licensees. Some minutes are missing from the Archives and Information Services Division: August-September 1970, January 1973, June-August 1984, August 1985, November-December 1985, September 1987-January 1988, May-July 1988, September-December 1995, February-August 1996. Minutes are filed with the agenda in the series Meeting agenda and minutes, 1949-1999.

Appraisal Decision:
Minutes of governing boards and commissions have been appraised as archival because they provide evidence of the governing body's decisions. The commission should combine this series with the commission meeting agenda as recommended in the 1998 State Records Retention Schedule under 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." Copies of Texas Real Estate Commission minutes need to be sent to the Archives and Information Services Division to fill in gaps. Some minutes are missing from the Archives and Information Services Division: August-September 1970, January 1973, June-August 1984, August 1985, November-December 1985, September 1987-January 1988, May-July 1988, September-December 1995, February-August 1996. The agency needs to send the latest minutes as they are approved.

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Record Series Review
Series Title: Meeting agenda and minutes--Broker-Lawyer Committee

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
The agency retention period for Broker-Lawyer Committee meeting minutes is currently one year. Actual agency holdings date from September 1984-[ongoing]; size is unknown. Minutes are located in the Administration Division.

Description:
Records are meeting minutes of the Broker-Lawyer Committee, an advisory committee to the Texas Real Estate Commission, dating September 1984-[ongoing]. Minutes concern document development for real estate transactions.

Purpose:
Meeting minutes document the Broker-Lawyer Committee's actions and decisions at its open 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)

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers. The agency's general counsel serves as liaison to both committees.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before September 1984

Problems:
Retention schedule has wrong series item number linked to minutes. The current item number is for staff notes with a one-year retention. Advisory committee files are subject to the Open Meetings Act and minutes should be kept permanently.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes/Notes-Staff (Broker-Lawyer, Inspector meetings)
Series item number: 1.1.018
Agency item number: AD-8
Archival code:
Retention: 1

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

Appraisal Decision:
Minutes of governing boards and commissions, including advisory committees, have been appraised as archival because they provide evidence of the governing body's decisions. The commission should change the series item number to 1.1.058, change the series title to Meeting agenda and minutes-Broker-Lawyer Committee, change the retention period to permanent, add the archival code A, and add the following note to the 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." Copies of all Broker-Lawyer Committee agenda and minutes need to be sent to the Archives and Information Services Division. The agency needs to send approved agenda and minutes on a regular basis.

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Record Series Review
Series Title: Meeting minutes and agenda--Inspector Committee

Agency: Texas Real Estate Commission, Administration Division

Contact: Pat Holder, Administration Division, 465-3900

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
The agency retention period for Inspector Committee meeting minutes is currently one year. Actual agency holdings date from November 1991-[ongoing]; size is unknown. Minutes are located in the Administration Division. Agenda from the April 17-18, 1998 and February 5, 1999 meetings are available on the agency's web site.

Description:
Records are meeting minutes of the Real Estate Inspector Committee, an advisory committee to the Texas Real Estate Commission, dating November 1991-[ongoing]. Minutes concern the development of rules for licensing, certifying, and regulating real estate inspectors.

Purpose:
Meeting minutes document the Real Estate Inspector Committee's actions and decisions at its open 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)

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before November 1991

Problems:
The Administrative Division has problems receiving copies of the Inspector Committee's minutes for filing in the commission's records. The retention schedule has a wrong series item number linked to minutes. The current item number is for staff notes with a one-year retention. Advisory committee files are subject to the Open Meetings Act and minutes should be kept permanently.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes/Notes-Staff (Broker-Lawyer, Inspector meetings)
Series item number: 1.1.018
Agency item number: AD-8
Archival code:
Retention: 1

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

Appraisal Decision:
Minutes and agenda of governing boards and commissions, including advisory committees, have been appraised as archival because they provide evidence of the governing body's deliberations and decisions. The commission should change the series item number to 1.1.058, change the series title to Meeting agenda and minutes-Inspector Committee, change the retention period to permanent, add the archival code A, and add the following note to the 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." Copies of all Inspector Committee agenda and minutes need to be sent to the Archives and Information Services Division. The agency needs to send the approved minutes and agenda on a regular basis.

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Record Series Review
Series Title: News or press releases

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Retention period for news or press releases is two years. Actual agency holdings date 1998-present; size is fractional. Press releases are located in the Administration Division and are also available on the agency's web site (http://www.trec.state.tx.us/newsandpublic/publications/press_releases.asp) from March 1998 to present.

Description:
Records are press releases, dating 1998-[ongoing], which provide information about Texas Real Estate Commission events and decisions. Press releases describe activities commemorating the commission's 50th anniversary and announce a joint venture with the Real Estate Center at Texas A&M University to create an informational video for consumers. Releases also summarize commission decisions and actions regarding legislation, a comprehensive rule review, educational criteria for licensees, Internet advertising rules, penalties for unlicensed activity, consumer disclosure, and contract forms.

Purpose:
Press releases inform the public of major events.

The Real Estate Commission provides funds for the Real Estate Center at Texas A&M University, which was created in 1971 (Senate Bill 338, 62nd Legislature, Regular Session). The Center conducts real estate related research based on needs of the Texas citizenry and disseminates the results and findings. The budget, staffing, and activities of the Center are approved by the Board of Regents of the Texas A&M University System. Real estate influence comes from a ten-member advisory committee appointed by the governor. Six members represent various segments of the real estate industry, three represent the general public, and one is ex officio representing the Texas Real Estate Commission.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? Not created before 1998

Problems: None

Known related records in other agencies: None

Publications based on records: Published in newspapers

Series data from agency schedule:
Title: News or press releases
Series item number: 1.1.019
Agency item number: AD-9
Archival code: R
Retention: 2

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

Appraisal Decision:
Press releases provide summary information about the activities of the Texas Real Estate Commission and present the image that the commission wants to portray to the public. The series documents cooperation with other real estate entities and summarizes commission decisions, concerns, and events. This series is appraised as archival. Press releases for 1998 should be transferred to the Archives and Information Services Division at the end of 2000, and yearly thereafter.

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Record Series Review
Series Title: Organization charts

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Retention period for organization charts is until superseded. Actual agency holdings date 1970 to present; size is fractional. Organization charts are located in the biennial budget requests from 1970 to 1990 and in the strategic plans from 1992 to present. Biennial budget requests are located in the file room. Strategic plans are located in the Administration Division.

Description:
Records are organization charts, dating from 1970-[ongoing], which provide an overview of the Texas Real Estate Commission in a graphic format.

Purpose:
Organization charts provide a summary of the organization of the agency.

Agency Program:
Agencies are sometimes required to include organization charts in reports to the legislature, governor, or state auditor.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before 1970

Problems: None

Known related records in other agencies: None

Publications based on records: Included in strategic plans and biennial budget requests.

Series data from agency schedule:
Title: Organization charts
Series item number: 1.1.023
Agency item number: AD-10 and SS-15
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 were included in the biennial budget requests from 1970 to 1990 and in strategic plans published 1992-1998 held by the Texas Documents Collection.

Appraisal Decision:
Organization charts show the structure of the Texas Real Estate Commission 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 commission includes organization charts in the strategic plans and continues to send the plans to the Publications Depository Program, the archival requirement will be met. 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. The Real Estate Commission should remove the duplicate series organization charts (Agency item number SS-15) from the agency retention schedule. Add note to Remarks column: "Included in strategic plan. The archival requirement for this series will be met by sending required copies of the strategic plan to the Publications Depository Program, Texas State Library and Archives Commission."

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Record Series Review
Series Title: Policies and procedures manuals (AD)

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Policy and procedure manuals are retained by TREC until superseded. Actual agency holdings date from the most recent revision, circa 1998-1999; size is unknown. Manuals are located in the Administration Division.

Description:
Records are a job procedure manual, dating circa 1998-1999, containing step-by-step instructions on how to perform particular jobs in the Administration Division of the Texas Real Estate Commission. Manuals are used by current, substitute, and new employees.

The series Executive orders entitled Executive policy contains memos from the administrator and assistant administrator to Real Estate Commission staff concerns agency policy and procedures.

Purpose:
Job procedure manuals instruct employees in how to perform tasks.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: In a binder by job

Access constraints: None

Use constraints: None

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

Gaps? None at agency before the most recent revision, circa 1998-1999

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 Real Estate Commission and none were found for this series or the equivalent or related series. At the agency, as procedures are changed, applicable parts of instructions are rewritten and outdated parts are discarded.

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals
Series item number: 1.1.025
Agency item number: AD-11
Archival code: R
Retention: US

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

Appraisal Decision:
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. If these manuals included policy for the division, I would appraise them as archival. Since these are job-specific manuals, they do not meet the informational and evidential value requirements for archival retention. The agency also recommends removal of the archival review code R since these are simply working guides. I appraise the job procedure manuals as not archival. The series item number and title should be changed to 3.3.025 Job procedure records with a retention of US+3 to reflect the content of the series.

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Record Series Review
Series Title: Meetings--supporting documentation

Agency: Texas Real Estate Commission, Administration Division

Contact: Pat Holder, Administration Division, 465-3900

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: 1.15 cubic ft.

Agency holdings:
Retention period for supporting documentation for meetings is until purpose is served. Actual agency holdings date from fiscal year 1993 to present; size is about 10 cubic ft. Supporting documentation is located in the Administration Division.

Description:
Records are meeting notebooks and other meeting material for the Texas Real Estate Commission, dating from September 1992-[ongoing]. Materials include agenda, unapproved minutes, monthly staff reports, memos and correspondence dealing with agenda items, proposed rules, legislation, applications for new real estate schools, and other material sent to commissioners prior to meetings or handed out at commission meetings. Subjects include rule proposals, requests for approval of new real estate schools, Real Estate Recovery Fund payments, and complaint information such as requests to investigate licensees and requests for re-hearings.

Purpose:
Supporting documentation for meetings provides commissioners with background information regarding matters to be discussed in order to make decisions.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological, then topical by agenda item

Access constraints: None

Use constraints: None

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

Gaps? None at agency before September 1992

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meetings--supporting documentation
Series item number: 1.1.052
Agency item number: AD-18
Archival code: A
Retention: PS

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

Appraisal Decision:
The series Meetings-supporting documentation supplements the meeting minutes by providing material referred to in the commission's minutes. Without supporting documentation, it would be difficult to understand the reasoning behind the commission's decisions. This series has been determined to be archival. The agency should transfer supporting documentation to the Archives and Information Services Division once the purpose has been served. The state recommended retention is two years. At the end of fiscal year 1999, meeting files through the end of fiscal year 1997 should be transferred to the Archives and Information Services Division.

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Record Series Review
Series Title: Strategic plans

Agency: Texas Real Estate Commission, Administration Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
Retention period for strategic plans is permanent. Actual agency holdings date from 1992 to present; size is 0.6 cubic ft. Strategic plans are located in the Administration Division. The most recent strategic plan is also available on the agency's web site (http://www.trec.state.tx.us/newsandpublic/publications/Reports.asp#stratplan).

Description:
Records are strategic plans of the Texas Real Estate Commission, dating from 1992-[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.

Agency Program:
State agencies are required by law to produce strategic plans in even-numbered years, covering five fiscal years beginning with the next odd-numbered fiscal year. (V.T.C.A., Government Code, Section 2056.002)

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

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

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: AD-20
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 TREC dating from 1992-1998 and covering fiscal years 1992-2003.

Appraisal Decision:
Agency strategic plans are appraised as archival because they provide evidence of the commission's goals and objectives in a concise manner. The commission 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 A to archival code. 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))."

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Record Series Review
Series Title: Biennial budget requests

Agency: Texas Real Estate Commission, Staff Services Division

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 1963 to present; size is 1.15 cubic ft. Biennial budget requests are located in the file room.

Description:
These records are the legislative appropriation requests of the Texas Real Estate Commission submitted to the Legislative Budget Board and others. The records date from 1963-[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.

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.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at agency before 1963

Problems: None

Known related records in other agencies: None

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: SS-4
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 1968 to 1998 covering fiscal years 1970 to 2001.

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 Real Estate Commission'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))." To fill in gaps, the Real Estate Commission should send copies of the biennial budget requests dating 1963 to 1967 to the Archives and Information Services Division.

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Record Series Review
Series Title: Administrative Correspondence (Memos)

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Agency holdings:
According to the agency retention schedule, administrative correspondence (memos) are retained for three years. Actual agency holdings date from 1977-[ongoing]; size is approximately 1.15 cubic ft. Memos from 1977-1998 are located in the file room; memos from 1998-[ongoing] are routed by e-mail, and the record copy is kept by the creator.

Description:
Records are memorandums concerning the day to day business of the Texas Real Estate Commission, dating from 1977-[ongoing]. Subjects included parking, working hours, telephone system, travel procedures, employee incentive program, vacant positions, expenditures, maintenance, and holidays. Until 1998, all agency memoranda had to be numbered with the originals placed in a notebook kept by the records administrator. Memos were to and from employees throughout the agency. With memos now routed to staff by e-mail, a central file of memos is no longer kept. The creator of the memo is supposed to keep the record copy.

Purpose:
Administrative correspondence (memos) communicates general office policies and procedures to staff.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before 1977.

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Correspondence, Administrative
Series item number: 1.1.007
Agency item number: SS-6
Archival code: R
Retention: 3

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

Appraisal Decision:
Administrative correspondence (memos) provide information about the general operations of the Texas Real Estate Commission, but do not relate to policies concerning the mission of the agency to regulate real estate salespersons and related professions. The agency recommends removing the archival review code R from the retention schedule since these memoranda deal with day to day operations. Because the series does not document the essential purpose of the agency, this series is appraised as not archival. The series item number should be changed to 1.1.008, with the title Correspondence, General (Memos), a retention of one year, and the medium code should be changed to E for electronic. Staff should be made aware that the creator is responsible for fulfilling the retention requirements.

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Record Series Review
Series Title: Meeting minutes (Investment Committee)

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
According to the retention schedule, Investment Committee meeting minutes are to be retained permanently. Actual agency holdings date December 1990 to present; size is 0.1 cubic ft. Minutes are located in the Staff Services Division.

Description:
Records are minutes of the Investment Committee of the Texas Real Estate Commission, dating from December 1990-[ongoing]. The minutes record decisions made by the Investment Committee concerning investment of Real Estate Recovery Fund monies. Investments can last more than ten years. The Investment Committee is composed of the director of the Staff Services Division, the chairman of the commission, and three commission members. The committee recently increased in size from three, adding the commission chairman and one commission member. The full commission approves the recommendations and decisions made by the Investment Committee.

Purpose:
Minutes record decisions made by the Investment Committee.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at the agency before December 1990

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Meeting minutes (Investment Committee)
Series item number: 1.1.017
Agency item number: SS-11
Archival code: A
Retention: PM

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

Appraisal Decision:
Investment Committee meeting minutes record decisions made by the committee for recommendation to the Real Estate Commission. A summary may be included in the commission meeting minutes, but copies of Investment Committee minutes are not included in the meetings-supporting documentation series according to Administration Division staff. This series is appraised as archival in order to provide background information on the full commission's decision-making process. The agency should change the series item number to 1.1.058 and change the title to Meeting agenda and minutes (Investment Committee). The agency should add the following note to the 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 should send copies of all past Investment Committee minutes and agenda to the Archives and Information Services Division and in the future send agenda and approved minutes on a regular basis.

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Record Series Review
Series Title: Policies and procedures manuals (SS)

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Description:
Records are a job procedure manual for the Staff Services Division of the Texas Real Estate Commission, dating circa 1998-1999, containing step-by-step instructions on how to perform particular jobs. Manuals are used by current, substitute, and new employees.

Purpose:
Job procedure manuals instruct employees in how to perform tasks.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Topical

Access constraints: None

Use constraints: None

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

Gaps? None before the most recently revised, circa 1998-1999

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals (SS)
Series item number: 1.1.025
Agency item number: SS-16
Archival code: R
Retention: US

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

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Record Series Review
Series Title: Proofs of publications (artwork for acts, etc.)

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
According to the agency retention schedule, proofs of publication are retained until superseded. Actual agency holdings date from 1998 to present; size is 0.6 cubic ft. Proofs are located in the Staff Services storeroom.

Description:
According to the agency, records are proofs of publication (laser originals) for the printed Real Estate License Act and the Rules of the Texas Real Estate Commission, dating 1998-[ongoing].

Purpose:
Proofs of publication are used to print multiple copies of publications.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at the agency before 1998

Problems:
This series and the following one (Publication development files) contain the same information according to agency staff. This series is also included in the Administration Division files as Texas Register submissions.

Known related records in other agencies: Texas Administrative Code, Secretary of State; Statutes, Secretary of State

Publications based on records:
Provisions of and Amendments to Real Estate License Act, Rules of the Texas Real Estate Commission

Series data from agency schedule:
Title: Proofs of publications (artwork for acts, etc.)
Series item number: 1.1.026
Agency item number: SS-17
Archival code: R
Retention: US

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

Texas Documents Collection holdings:
The Texas Documents Collection has copies of Provisions of the Real Estate License Act, 1979, 1983-1997 (produced biennially); Amendments to the Real Estate License Act, 1995; and Rules of the Real Estate Commission, 1979-1981, 1987-1988, 1990-1999.

Appraisal Decision:
This series should be deleted since the material belongs in the series Publication development files. The series item number 1.1.026 refers to Texas Register submissions, which is agency item number AD-12.

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Record Series Review
Series Title: Publication development files

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
According to the retention schedule, publication development files are retained until purpose is served. Actual agency holdings date from 1998 to present; size is 0.6 cubic ft. Files are located in the Staff Services storeroom.

Description:
Records are proofs of publication (laser originals) for the printed Real Estate License Act and the Rules of the Texas Real Estate Commission, dating 1998-[ongoing].

Purpose:
Files are used to print multiple copies of publications.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before 1998

Problems: Confused with Proofs of publication (SS-17) which was given the series item number that corresponds to Texas Register submissions.

Known related records in other agencies: Texas Administrative Code, Secretary of State; Statutes, Secretary of State

Publications based on records:
Rules of the Texas Real Estate Commission, Real Estate License Act

Series data from agency schedule:
Title: Publication files
Series item number: 1.1.028
Agency item number: SS-18
Archival code:
Retention: PS

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

Appraisal Decision:
This series simply contains the laser originals used for printing copies of the rules and act relating to the Real Estate Commission. This series is appraised as not archival. The series item number should be changed to 1.3.002.

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Record Series Review
Series Title: Monthly staff reports

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
According to the agency retention schedule, administrative reports are maintained for three years. Actual agency holdings date from 1996 to present; size is 2 cubic ft. Reports are located in each division, reports since 1997 are also located on the agency's computer network.

Description:
Records are monthly staff reports dating 1996-[ongoing] of the Texas Real Estate Commission. Monthly staff reports are sent to commissioners and contain statistics and information on functions the agency performs including cases against licensees, administrative orders, applications, licenses issued, licensee status, exams, and finances (including recovery fund).

Monthly staff reports are included in the series Meetings-supporting documentation which is archival.

Purpose:
Monthly staff reports inform the commissioners of agency activities.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at the agency before 1996

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Reports - Administrative
Series item number: 1.1.031
Agency item number: SS-20
Archival code:
Retention: 3

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

Appraisal Decision:
The monthly staff reports provide information about the activities of the agency. Since the agency does not create a narrative annual or biennial report, this information provides important information about the commission. However, the staff reports are included in the series Meetings-supporting documentation, which is an archival series. The agency has the supporting documentation for meetings dating to September 1992. As long as monthly staff reports are included in the series Meetings-supporting documentation, then this series is appraised as not archival. I recommend changing the name of the series from Administrative reports to the more descriptive Monthly staff reports. The series item number on the retention schedule should be changed to 1.1.067 to correspond to the 2nd edition of the State Records Retention Schedule.

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Record Series Review
Series Title: Annual financial reports

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Annual financial reports are retained permanently by the agency. Actual agency holdings date from fiscal year 1950 to present; size is 2 cubic ft. Reports are located in the Staff Services Division.

Description:
Records are annual financial reports dating 1950-[ongoing] of the Texas Real Estate Commission. The reports include a letter of transmittal from the administrator to the Governor, Comptroller, State Auditor, and head of the Legislative Budget Board; financial statements detailing the agency's fiscal standing; schedules regarding use of historically underutilized businesses, amount of space occupies, and transfer of funds to the Real Estate Research Center at Texas A&M University; and addenda summarizing the agency's organization and function, comments on balance sheets and operations, legislation affecting the agency, activities of the Appraiser Licensing and Certification Board, and activities regarding the residential service companies and timeshare developers.

Purpose:
Annual financial reports detail the disbursement of funds to prove compliance with the Legislature's purpose in appropriating funds to the agency.

Agency Program:
Agencies are required to create annual financial reports to comply with general provisions of the Appropriations Act and in accordance with requirements established by the Comptroller of Public Accounts.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None before fiscal year 1950

Problems: None

Known related records in other agencies: None

Publications based on records: This is a publication.

Series data from agency schedule:
Title: Annual financial report-100 day report
Series item number: 4.5.003
Agency item number: SS-94
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 financial reports for fiscal years 1976-1980 and 1987-1997.

Appraisal Decision:
Although listed on the schedule, the agency does not prepare non-fiscal annual or biennial agency reports. The annual financial report does contain brief addenda regarding the residential service company and timeshare registration programs, a chronology of legislation affecting TREC, and a summary of activities of the Texas Appraiser Licensing and Certification Board. This summary information of the agency's activities supplements material found in the minutes and provides an overview of the Real Estate Commission's and Appraiser Licensing and Certification Board's important activities and decisions from the agency's viewpoint. This is one of two series appraised that cover the agency's entire existence. This series is appraised as archival. The agency should remove 1.1.032 Non-fiscal annual and biennial agency reports (SS-21) from the retention schedule and add archival code A to the annual financial report (4.5.003). 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(2)". The agency should continue sending annual financial reports to the Publications Depository Program, and send reports from 1950-1975 and 1981-1986 to fill in gaps.

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Record Series Review
Series Title: Consultants and committees reports

Agency: Texas Real Estate Commission, Staff Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
According to the agency retention schedule, consultants and committees reports are retained for two years. Actual agency holdings date from 1995 to present; size is 1.15 cubic ft. Reports are located in the Staff Services Division.

Description:
Records are internal audit reports dating 1995-[ongoing] of the Texas Real Estate Commission. Reports are prepared annually under requirements of the Public Funds Investment Act. The commission is responsible for investing Real Estate Recovery Fund monies.

Purpose:
Internal audit reports are prepared to document compliance with statutes.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at agency before 1995

Problems: None

Known related records in other agencies: None

Publications based on records: This is a publication.

Series data from agency schedule:
Title: Reports, Consultants and committees
Series item number: 1.1.034
Agency item number: SS-22
Archival code: R
Retention: 2

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

Texas Documents Collection holdings: None

Appraisal Decision:
The agency has said this series consists of internal audit reports. There is another series listed on the retention schedule, 1.1.003, SS-3, Audits-Internal (CI squared) that may be the same thing. If the agency does not actually create consultant and committee reports apart from the internal audits which are listed as item number SS-3, then this series should be removed from the agency's retention schedule.

If these internal audits reports are a separate series from those listed in SS-3 and do belong in the series Consultant and committee reports, then sufficient information on the agency's activities is included in other series appraised as archival, including Meeting minutes, Meetings-supporting documentation, and annual financial reports. This series is appraised as not archival. The agency believes retention for this series should be changed to permanent to correspond to retention for annual financial reports. Change archival review code R to 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, July 30, 1999."

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Record Series Review
Series Title: Policies and procedures manuals (IS)

Agency: Texas Real Estate Commission, Information Services Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Description:
Records are a job procedure manual, dating circa 1998-1999, for the Information Services Division of the Real Estate Commission containing step-by-step instructions on how to perform particular jobs. Manuals are used by current, substitute, and new employees.

Purpose:
Job procedure manuals instruct employees in how to perform tasks.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a

Arrangement: Topical

Access constraints: None

Use constraints: None

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

Gaps? None before the most recent revision, circa 1998-1999

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 Real Estate Commission and none were found for this series or the equivalent or related series. The agency follows the retention schedule and discards outdated sections as they are revised.

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals (IS)
Series item number: 1.1.025
Agency item number: IS-5
Archival code: R
Retention: US

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

Appraisal Decision:
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. If these manuals included policy for the division, I would appraise them as archival. Since these are job-specific manuals, they do not meet the informational and evidential value requirements for archival retention. The agency also recommends removal of the archival review code R since these are simply working guides. The job procedure manuals are appraised as not archival. The series item number and title should be changed to 3.3.025 Job procedure records with a retention of US+3 to reflect the content of the series.

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Record Series Review
Series Title: Administrative correspondence (School correspondence files)

Agency: Texas Real Estate Commission, Licensing and Education Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: 10 cubic ft.

Agency holdings:
The agency retains school correspondence files for three years. Agency holdings date from 1996 to present and consist of 46 cubic feet. Files are located in the Education Section.

Description:
Records are applications, correspondence, and related material dating 1996-[ongoing] regarding proprietary schools monitored by the Texas Real Estate Commission. Schools offer courses for licensees, including mandatory continuing education and must reapply every two years to maintain status with the commission.

Purpose:
School correspondence files verify proprietary school compliance with Real Estate Commission rules.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a

Arrangement: Alphabetical by school name

Access constraints: None

Use constraints: None

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

Gaps? None at agency before 1996

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 Real Estate Commission and none were found for this series or the equivalent or related series. The agency destroys these files according to the retention schedule.

Publications based on records: None

Series data from agency schedule:
Title: Correspondence, Administrative (School correspondence files)
Series item number: 1.1.007
Agency item number: LE-11
Archival code: R
Retention: 3

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

Appraisal Decision:
Proprietary schools are approved by the commission, and information on names of schools and dates of approval appear in the minutes and meetings-supporting documentation series. That is sufficient documentation for the commission's function of approving and regulating proprietary real estate schools. This series is appraised as not archival. Change archival review code R to archival exception code E. Add 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, July 30, 1999."

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Record Series Review
Series Title: Policies and procedures manuals (L&E)

Agency: Texas Real Estate Commission, Licensing and Education Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: unknown

Description:
Records are a job procedure manual, ca. 1998, for the Licensing and Education Division of the Real Estate Commission containing step-by-step instructions on how to perform particular jobs. Manuals are used by current, substitute, and new employees.

Purpose:
Job procedure manuals instruct employees in how to perform tasks.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a

Arrangement: Topical

Access constraints: None

Use constraints: None

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

Gaps? None before the most recent revision, ca. 1998-1999

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 Real Estate Commission and none were found for this series or the equivalent or related series. The agency follows the retention schedule and discards outdated sections as they are revised.

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals (L&E)
Series item number: 1.1.025
Agency item number: LE-13
Archival code: R
Retention: US

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

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Record Series Review
Series Title: Instructor applications permanent file

Agency: Texas Real Estate Commission, Licensing and Education Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: 0.6 cubic ft.

Agency holdings:
According to the agency retention schedule, instructor applications permanent files are retained permanently. Actual agency holdings date from May 1975 to present; size is 4.6 cubic ft. Files are located in the Licensing and Education Division.

Description:
Records are instructor application files for individuals who have applied to the Real Estate Commission to teach real estate courses. Files date from May 1975-[ongoing], and contain applications and other material regarding real estate course instructors.

Purpose:
The instructor application files provide information on real estate course instructors.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Alphabetical by name of applicant

Access constraints: None

Use constraints: None

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

Gaps? None before May 1975

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Instructor applications, permanent file
Series item number:
Agency item number: LE-25
Archival code:
Retention: PM

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

Appraisal Decision:
Information about individual instructors of approved real estate courses is not necessary for understanding the functions and development of the Real Estate Commission. The agency feels these files must be kept permanently since instructors continue to teach for different schools and TREC is not notified if they are no longer teaching. The instructor applications permanent file is appraised as not archival.

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Record Series Review
Series Title: Scantron batch reports

Agency: Texas Real Estate Commission, Licensing and Education Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes, now known as MCE Course Completion Roster Report
Annual accumulation: 7 cubic ft.

Agency holdings:
According to the agency retention schedule, scantron batch reports are kept permanently. Actual agency holdings date from November 1995 to present; size is 17 cubic ft. Reports are located in the file room.

Description:
Records are MCE (mandatory continuing education) course completion roster reports, dating from November 1995-[ongoing]. Reports are created from rosters which students sign at the completion of a real estate course. The school faxes the roster to the Real Estate Commission, which then scans the roster into the computer system. The course credits are added to the licensees names. The report is a list produced by the computer after the roster has been scanned. The report lists the students' names, license number and whether the information [regarding completed courses?] was posted to their account [of course requirements?].

Purpose:
The course completion roster reports compile information on which courses licensees have taken to fulfill mandatory continuing education requirements.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a

Arrangement: Chronological

Access constraints: None

Use constraints: None

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

Gaps? None at agency before November 1995

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Scantron batch reports
Series item number:
Agency item number: LE-28
Archival code:
Retention: PM

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

Appraisal Decision:
The roster is simply a list of real estate licensees who have completed real estate courses to maintain their license with the Real Estate Commission. This series is appraised as not archival. The agency plans on changing the retention period to three years and should change the title to MCE Course Completion Roster Report.

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Record Series Review
Series Title: Policies and procedures manuals (EN)

Agency: Texas Real Estate Commission, Enforcement Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes, known as Job procedure manual
Annual accumulation: changes as needed

Agency holdings:
According to the agency retention schedule, policies and procedures are retained until superseded. Actual holdings are for the most recent version, ca. 1998-1999; size is unknown. The manual is located in the Enforcement Division.

Description:
The record is a job procedure manual, ca. 1998-1999 containing step-by-step instructions on how to perform jobs in the Enforcement Division of the Texas Real Estate Commission.

Purpose:
The Job Procedure Manual provides instructions for completing tasks for use by employees currently doing the job, another employee who is substituting, or a new employee.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The Division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The Division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The Division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The Division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: In binder by job

Access constraints: None

Use constraints: None

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

Gaps? Only the most recent is at the agency, ca. 1998-1999

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals (EN)
Series item number: 1.1.025
Agency item number: EN-2
Archival code: R
Retention: US

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

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Record Series Review
Series Title: Examination reports (external)

Agency: Texas Real Estate Commission, Enforcement Division

Obsolete record series? No
Replaced by:

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

Agency holdings:
Agency retention of examination reports is permanent according to the retention schedule. Actual agency holdings date from 1993 to present; size is 2.3 cubic ft. Reports are located in the office of the Residential Service Company section's administrative employee.

Description:
Records are examination reports of residential service companies, dating 1993-[ongoing]. Real Estate Commission staff develop the reports after on-site examination of the companies' financial records, operations, and contract and claims functions. Reports evaluate the management, asset quality, coverage and claims, reserves, and operations of each residential service company regulated by the state. The management section discusses how the management has met its responsibilities, how the company has complied with state and federal laws, and how the company guards against conflict of interest. The asset quality section ascertains the financial condition of the company. The coverage and claims section reports on the use of approved forms and compliance with disclosure requirements. The reserves section reports on the funded reserve and the use of qualified investments, and verifies that reserve accounts are not being used for working capital or operating expenses. The operations section reports on the overall quality and quantity of the residential service company's earnings.

The external semi-annual and annual reports of companies submitted to TREC by residential service companies are used as a starting point for on-site examinations.

Purpose:
Examination reports are prepared to verify that residential service companies comply with the law. The reports document the findings of the examination team while on-site.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The Division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The Division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The Division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The Division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b

Arrangement: Chronological

Access constraints:
According to the agency, external examination reports are confidential because they contain financial and operational information that could be used by competitors. Certain commercial information is considered confidential by the Public Information Act (V.T.C.A., Texas Government Code, Section 552.110). The exception notes that the information should also be confidential by law. The section of the Residential Service Company Act concerning examinations does not mention the creation of reports or the confidentiality of information gathered or viewed during the examination. The section concerning annual reports does mention confidentiality.

Use constraints: None

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

Gaps? None at the agency before 1993

Problems:
RSC staff consider the external examination reports to be confidential because they contain financial and operational information that could be used by competitors, however, the reports are listed as open on the agency's retention schedule.

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Examination reports (external)/Audit (Touche Ross)
Series item number: 1.1.002
Agency item number: EN-6
Archival code:
Retention: PM

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

Appraisal Decision:
Examination reports document the findings of TREC staff after on-site examination of residential service companies. These reports are confidential according to agency staff because they contain information that could be harmful if released to a competitor of a company. Public information about the companies can be found in the series RSC Annual and Semi-Annual Reports. This series is appraised as not archival.

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Record Series Review
Series Title: Advisory opinions (Policy files)

Agency: Texas Real Estate Commission, Enforcement Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes, now known as opinion letters
Annual accumulation: 2.3 cubic ft.

Agency holdings:
According to the agency retention schedule, advisory opinions are kept permanently. Actual agency holdings date from 1996 to present; size is 9 cubic ft. Files are located in the Enforcement Division.

Description:
Records are opinion letters, dating 1996-[ongoing], responding to questions by licensees or individuals involved in real estate transactions. Questions relate to the Real Estate License Act and rules of the Real Estate Commission and how the statutes and rules affect the business dealings of the parties involved. These letters are routine and contain stock paragraphs. A major topic is truth in advertising.

Purpose:
The opinion letters provide information on real estate laws and rules to individuals involved in real estate transactions.

Two advisory committees exist under the statutes of the Real Estate Commission. The Texas Real Estate Broker-Lawyer Committee was created in 1983 (Senate Bill 636, 68th Legislature, Regular Session); it drafts and revises contract forms for use by real estate licensees. The purpose is to expedite real estate transactions and reduce controversies while protecting the interests of the parties involved. The committee is composed of six Real Estate Commission appointees (who are licensed real estate brokers) and six lawyers, appointed by the president of the State Bar of Texas, serving staggered six-year terms. The Texas Real Estate Inspector Committee was created in 1991 to develop rules for licensing, certifying, and regulating real estate inspectors (Senate Bill 432, 72nd Legislature, Regular Session). The Inspector Committee can also conduct hearings and recommend entry of final orders in contested disciplinary cases involving inspectors. Nine members make up the committee which is appointed by the Real Estate Commission for overlapping six-year terms. Members must have at least five years experience as a professional inspector and no more than three may be real estate brokers.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The Division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The Division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The Division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The Division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b
Texas Timeshare Act, V.T.C.A., Texas Property Code, Section 221

Arrangement: Unknown

Access constraints: None

Use constraints: None

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

Gaps? None before 1996

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: Advisory opinions (Policy files)
Series item number: 1.1.015
Agency item number: EN-10
Archival code: A
Retention: PM

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

Appraisal Decision:
Advisory opinions/opinion letters provide routine information on real estate laws and rules to individuals involved in real estate transactions. Changes in laws and rules and legal opinions affecting the laws and rules will be documented in the following series: Meeting minutes, Meetings-supporting documentation, and Legal opinions and advice from the legal counsel. The agency does not believe the series has archival value. This series is appraised as not archival. The agency will change the title to Opinion letters when the schedule is revised. Replace archival code A with exception code E. Add note to Remarks column for above series: "Archival code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, July 30, 1999."

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Record Series Review
Series Title: Policies and procedures manuals (RSC)

Agency: Texas Real Estate Commission, Enforcement Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: changes made as needed

Agency holdings:
According to the agency retention schedule, policies and procedures manuals are retained until superseded. Actual agency holdings date ca. 1998-1999; size is unknown. The job procedure manual is located in the Enforcement Division.

Description:
The record is a job procedure manual dating ca. 1998-1999 containing step-by-step instructions on how to perform jobs in the Residential Service Company section of the Enforcement Division, Texas Real Estate Commission.

Purpose:
The Job Procedure Manual details methods for completing tasks for use by employees currently doing the job, another employee who is substituting, or a new employee.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The Division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The Division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The Division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The Division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b

Arrangement: Grouped by job in binder

Access constraints: None

Use constraints: None

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

Gaps? None before ca. 1998-1999

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 Real Estate Commission and none were found for this series or the equivalent or related series. At the agency, as procedures are changed, applicable parts of instructions are rewritten and outdated parts are discarded.

Publications based on records: None

Series data from agency schedule:
Title: Policies and procedures manuals (RSC)
Series item number: 1.1.025
Agency item number: EN-11
Archival code: R
Retention: US

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

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Record Series Review
Series Title: External semi-annual & annual reports of companies

Agency: Texas Real Estate Commission, Enforcement Division

Contact: Gwen Jackson, Enforcement Division, 465-3917

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: 0.6 cubic ft.

Agency holdings:
Agency retention is fiscal year end plus three years. Actual agency holdings date cover 1995 to present; size is 2.4 cubic ft. Reports are located in the Residential Service Company section of the Enforcement Division in a locked filing cabinet.

Description:
Records are external semi-annual and annual reports of residential service companies, dating 1995-[ongoing] which contain financial and legal information, examples of service contracts and schedules of charges, statistics, and related information submitted by residential service companies to the Texas Real Estate Commission along with a $3,500 annual fee. Reports consist of a seven-page Real Estate Commission form plus required attachments and certification by corporate officers. The certification statement includes home office and Texas address, and names of the president, secretary, and treasurer of the companies. Semi-annual reports cover the first six months of a calendar year. The annual report and fee are due each April, and the report covers the preceding calendar year. The reports are used to determine financial solvency and compliance with the Real Estate License Act and serve as a starting point when TREC staff conducts on-site examinations of the residential service companies. There are currently 13 licensed residential service companies doing business in Texas.

The series External examination reports summarize the findings from the on-site examinations of residential service companies. The series RSC activity reports consolidates statistics from the External semi-annual and annual reports for comparison purposes.

Purpose:
External semi-annual and annual reports of residential service companies provide statistics and financial and legal information to allow oversight of the companies by the commission.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b

Arrangement: Chronological

Access constraints:
Financial statements and information regarding lawsuits is considered confidential according to the Public Information Act, V.T.C.A., Government Code, Section 552.110: Certain commercial information. Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b, Section 10 (4) states "information shall be, to the extent legally permissible, confidential in nature and solely for the use of the commission." The attachments re: company financial and litigation information must be removed before use by a researcher.

Use constraints: None

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

Gaps? None at agency before 1995

Problems: Security code is listed as open although the reports contain confidential information.

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 Real Estate Commission and none were found for this series or the equivalent or related series. Reports are destroyed in accordance with the retention schedule.

Publications based on records: RSC activity report

Series data from agency schedule:
Title: External semi-annual and annual reports of companies
Series item number: 4.5.005
Agency item number: EN-14
Archival code:
Retention: FE+3

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

Appraisal Decision:
Residential service companies are required to submit semi-annual and annual reports to the Real Estate Commission, which is charged with oversight of the companies. The information contained in the reports regarding the financial condition and lawsuit information is considered confidential. The statistical information provided in the reports is consolidated in the RSC activity report, which is listed as a permanent series, but agency staff says is only created as a courtesy and only done when time permits. The names of residential service companies licensed each year are included in an addendum to the annual financial report, appraised as archival. If the RSC activity reports were consistently created, I would recommend this series be appraised as not archival and the activity reports be appraised as archival. The detail of information is not going to be found in other series such as monthly staff reports. This series is appraised as archival. The agency should remove confidential attachments before transfer to the Archives and Information Services Division. The agency needs to change the security code to confidential and note the legal citations in the Remarks column. The agency should add archival code A to the series and transfer reports for 1995 at the end of fiscal year 1999, and yearly thereafter.

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Record Series Review
Series Title: RSC activity reports

Agency: Texas Real Estate Commission, Enforcement Division

Obsolete record series? No
Replaced by:

Ongoing record series? Yes
Annual accumulation: fractional

Agency holdings:
Agency retention is permanent. Actual agency holdings date from 1987 to present; size is 0.1 cubic ft. Reports are located in the office of the Program Administrator of the Residential Service Company section, Enforcement Division.

Description:
Records are RSC activity reports, dating 1987-[ongoing] which contain summaries of statistics and other information on residential service companies doing business in Texas. The information is extracted from the external semi-annual and annual reports submitted by the companies to the Real Estate Commission, including numbers of paid service contracts in force at beginning and end of quarters, number issued, number expired, and amount of fees collected. Other statistics include number of service calls, dollar cost of service calls, and dollar costs per paid claims. The activity information includes nationwide and Texas statistics.

Purpose:
RSC activity reports summarize residential service company semi-annual and annual reports.

The Enforcement Division provides enforcement of the Real Estate License Act and other statutes administered by TREC. In the 1998 fiscal year, 2,612 complaints were processed. Most of these complaints relate to the purchase or lease of a home. The Division also reviews applications to determine the honesty, trustworthiness, and integrity of applicants. The Division makes use of the full range of disciplinary remedies authorized by the Real Estate License Act. The Division answers consumer and licensee questions concerning the Commission's procedures, the License Act and Rules, and other statutes administered by TREC. The staff provides speakers to various organizations as resources permit. The Division also is responsible for the enforcement of the Residential Service Company Act and the Texas Timeshare Act.

Real Estate License Act, Vernon's Ann. Civ. St., Article 6573a
Residential Service Company Act, Vernon's Ann. Civ. St., Article 6573b

Arrangement: Alphabetical by company

Access constraints: None

Use constraints: None

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

Gaps? None before 1987

Problems: None

Known related records in other agencies: None

Publications based on records: None

Series data from agency schedule:
Title: RSC activity reports
Series item number:
Agency item number: EN-15
Archival code: A
Retention: PM

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

Appraisal Decision:
RSC activity reports are prepared as a courtesy by Real Estate Commission staff for residential service companies, based upon annual reports that the companies are required to submit. The activity reports are done only when the TREC staff person has time to compile the information. Because the reports are not done consistently, I appraised the series External semi-annual and annual reports of companies as archival, and this series is appraised as not archival. Archival code A should be removed from the retention schedule and the following note should be placed in the Remarks column: "Archival review code removed subsequent to appraisal by Archives and Information Services Division, Texas State Library and Archives Commission, July 30, 1999."

Records Appraisal Report: Real Estate Commission

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

Archival finding aid Texas Real Estate Commission: An Inventory of Meeting Agenda and Minutes at the Texas State Archives, 1949-2001

Agency Contact

Agency History and Structure

Project Review

Previous Destructions

Archival Holdings

Project Outcome

Record Series Reviews

Records Appraisal Report:
Real Estate Commission

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

Archival finding aid
Texas Real Estate Commission: An Inventory of Meeting Agenda and Minutes at the Texas State Archives, 1949-2001