Records Appraisal Report:
Sunset Advisory Commission

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

Internal links to series reviews
Meeting Minutes
Decision Material
Incoming Correspondence
Outgoing Correspondence
Executive Director's Correspondence
Self-Evaluation Report
Staff Reports
Final Report
Summary of Final Report
Legislative Tracking Documents
Special Legislative Projects - Proprietary Schools
Special Legislative Projects - Final Report
Sunrise Process
Budget Request
Commission Appointments
Press Releases
Policies and Procedures Manual
Organizational Charts
Strategic Plans

Related report
1999 Revision

Archival finding aid
Texas Sunset Advisory Commission: An Inventory of Records at the Texas State Archives, 1977-2001


February 19, 1996, Paul Beck, 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.

Dawn Brinkman, Records Administrator
Sunset Advisory Commission
Capitol Building Extension, Room E2.002
1400 N. Congress
Austin, TX 78701

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Agency History and Structure

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The Sunset Act is a comprehensive law that provides for automatic termination of state agencies that have a date for review or abolishment set in statute. The act forces the state government to evaluate its activities periodically and to abolish, or to allow the "sun to set" on, inefficient or unnecessary operations. Agencies subject to the act must periodically prove to the legislature, through the commission's review process, that they provide a necessary service in an effective manner. If the legislature does not pass a law to recreate the agency before its expiration date, the agency is abolished.

The Sunset Advisory Commission reviews all agencies scheduled for termination in a particular year by gathering self-evaluation reports from the agencies, conducting public hearings, and preparing reports to the legislature with recommendations to continue or abolish the agencies. If the commission recommends continuing an agency, it must also provide draft legislation that continues the agency's operations and corrects any problems identified during the review.

The statute sets specific time frames for the review process and lists thirteen criteria for determining whether a need for the agency exists. Both the agency's self-evaluation report to the commission and the commission's final report to the legislature must address each of these criteria. These criteria include the agency's efficiency of operation, the extent to which statutory objectives have been achieved, the extent to which existing advisory committees are needed and used, the extent of duplication or overlapping jurisdictions and possibilities for consolidation with other agencies, and an assessment of whether the agency has recommended statutory changes that benefit the general public rather than the regulated entity. Other criteria include the promptness and effectiveness with which the agency handles complaints, the extent to which the agency has encouraged participation by the public, the extent of compliance with federal and state requirements regarding equality of employment opportunity and the rights and privacy of individuals, its compliance with the Public Information Act and Open Meetings Act, and the degree to which the agency conforms to its six-year strategic plan.

The commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The statute requires the commission to follow-up on agencies that were continued after sunset review to determine whether they have implemented any recommended changes. The commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

In 1985, House Bill 1583, 69th Legislature, Regular Session, required the commission to comment on the proposed creation of regulatory agencies or advisory committees. In this "sunrise" process, the commission reviews proposed legislation creating new agencies and sends a written response to the bill's author and to the chair of the committee hearing the bill.

The policy-making body of the agency is a ten-member commission. Membership of the commission consists of four state senators and one public member appointed by the Lieutenant Governor, and four members of the House and one public member appointed by the Speaker of the House. Public members serve two-year terms, and legislative members serve four-year terms staggered so that half the membership from each house expires every two years.

The staff of the Sunset Advisory Commission is divided into three sections: review projects, administrative services, and support projects. Administration of the agency is provided by a director and an assistant director.

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Project Review

I was assigned to review the records of this agency on September 25, 1995. This agency has passed the third recertification of its records schedule, and is due for a fourth recertification in March 1997.

I have reviewed the agency history in Guide to Texas State Agencies, 5th-8th editions, 1978-1994; the enabling legislation, the Texas Sunset Act, codified in V.T.C.A., Government Code, Chapter 325; the agency budget request for FY 1996-1997; and publications from the Sunset Advisory Commission in the Texas State Publications Depository Program including Sunset Review in Texas: Summary of Process and Procedure, 1995; Report to the 74th Legislature, 1995; and Annual Financial Reports, 1994-1995.

I then reviewed the Sunset Advisory Commission's records retention schedule, a recertification approved March 13, 1995, with three new series added December 21, 1995. I also checked for any destruction requests submitted by the Sunset Commission to the Library and Archives Commission (there were none), and examined the agency records already deposited at the Archives and Information Services Division.

On October 13, 1995, I had a conversation with Mary Ann Albin, Records Consultant assigned to the Sunset Commission, concerning records at the agency and their retention schedule. I prepared a list of questions concerning the records and mailed these along with the introductory letter to the executive director, Joey Longley, on October 23, 1995. I, and Mary Ann Albin and Vickie Cawthorn from State and Local Records Management, met with Sunset Advisory Commission's office manager, Cindy Womack, and the agency's records administrator, Dawn Brinkman, on November 16, 1995 to ask questions about specific record series and answer questions about the appraisal process. I went over the questions I had prepared regarding the "A" and "R" series.

On the current retention schedule of the Commission there are four series marked "A" as archival: Self-evaluation Reports; Budget Requests; Meeting Minutes; and Organizational Charts.

Ten series are designated "R" for archival review: Incoming Correspondence; Legislative Tracking Documents; Special Legislative Projects - Public Utility Commission; Special Legislative Projects - Proprietary Schools; Special Legislative Projects - Final Report; Sunrise Process; Commission Appointments; Press Releases; Policies and Procedures Manual; and Employee Recognition Awards.

In addition, the agency just completed their first Strategic Plan and this record will be a series added to the retention schedule. Also, three series were added to the revised retention schedule in December 1995, after the appraisal interview. These series are Staff Reports, Final Reports, and Summary of Final Report, all of which have been given a "PM" retention period but were not assigned an Archival Code. Appraisal reports have been written on each of these series.

During the interview there were several lengthy discussions on records management questions and on the potential archival value of some series. Some of the highlights included:

The Incoming Correspondence series is scheduled for archival review but the Outgoing Correspondence series is not. Incoming Correspondence includes only those comments and concerns from the public and state agencies that do not require a response from the agency. Outgoing Correspondence contains all incoming correspondence that required a response from the agency, usually by a routine form letter. A copy of the outgoing response is stapled to the original incoming letter and both are placed in this outgoing series. The Sunset Commission staff feels that the Incoming Correspondence series is more interesting and historic than the Outgoing Correspondence since the incoming correspondence kept in the outgoing series is normally so routine that it can be responded to by a form letter. Discussion about this bifurcated filing arrangement ended by Mary Ann Albin suggesting that the agency could continue to file their correspondence this way and code each one separately on the retention schedule.

The Executive Director's Correspondence is a new correspondence series not yet on the schedule. This series contains all of the outgoing correspondence signed by Joey Longley, the executive director of the commission since 1995, and sent to the commissioners. It was thought this series should be added to the schedule with an Archival Code of "A" and could also be coded as 1.1.007, Administrative Correspondence. An appraisal review is included in this report.

Cindy Womack suggested that the Decision Material series, on the retention schedule but without an Archival Code designation, might have archival value since it provides the only documentation of proposed changes for an agency not approved by the Commission. Accordingly, an appraisal review for this series was also included in this report.

There are two series grouped under Special Legislative Projects - Public Utility Commission and Proprietary Schools - where additional staff were consulted to provide answers to my questions. Joe Walraven, a staff analyst, shed some light on the Public Utility Commission series. These are actually records of the Task Force on Public Utility Regulation and do not belong on the retention schedule for the Sunset Commission. This series will be considered in a separate appraisal report for the Task Force on Public Utility Regulation. No further information on the Proprietary Schools series could be gathered during the interview meeting. In May, the records administrator gathered the necessary information on Proprietary Schools by consulting with Ken Levine, another of the Sunset Commission staff analysts.

Commission Appointments consist solely of the appointment letters issued by the Lieutenant Governor and the Speaker of the House to appoint commissioners to the Sunset Commission. Cindy Womack reported that she has the original letters for each appointment ever made to the Commission. She thought the retention period of 3 years was too short so Mary Ann Albin suggested changing it to AC + 2 with the AC equaling the term of the appointment of the commissioner. A question was raised as to whether the appointment letters at the agency were the record copy. On March 14, 1996 I had a telephone conversation with John Riegler at the Secretary of State, Statutory Documents Section (463-0872) on this issue. Mr. Riegler reported that their office does receive appointment letters from the Lieutenant Governor and the Speaker but retains them only for a couple of years. These are considered courtesy filings since, unlike the filing of gubernatorial appointments, the Secretary of State is under no obligation to retain appointments made by the Lieutenant Governor or the Speaker. If the Secretary of State's copy of the appointment letter is not retained, this makes the appointment letter at the Sunset Commission the record copy.

In sum, there were twenty-one series either on the retention schedule with an archival code of "A" or "R" or that were thought deserving of consideration for an archival designation. This includes the four additional series with potential archival value that came to light during the interview: Outgoing Correspondence, Decision Material, Executive Director's Correspondence, and Strategic Plan. Two of these are currently on the schedule and two are not. I have written appraisal reports on each of these four series.

I used a series of follow-up telephone calls and fax messages with the agency to gather enough information to submit this appraisal report.

Archives Holdings

Minutes, October-November 1982; May 1992, fractional. Minutes of the Sunset Advisory Commission from three meetings.

Task Force on Public Utility Regulation - Final Report to the Governor and Legislature, 1989, fractional. Final report of the Task Force appointed by Governor Clements to study and evaluate the regulation of public utilities in Texas including overview of committee action, recommendations, list of witnesses, and summary of issues from testimony.

Previous Destructions

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found.

Project Outcome

This agency appraisal is now complete. It was determined that one series, Special Legislative Projects - Public Utility Commission, actually contained records from a different creator agency, the Task Force on Public Utility Regulation, and did not belong on the Sunset Commission's retention schedule. This series is reviewed in a separate appraisal report for the Task Force on Public Utility Regulation.

An overall summary of appraisal decisions and actions for the Sunset Advisory Commission to take is given for each individual series, as follows:

Archival series: The following series either retain their designation as an "A" or their archival code should be changed to an "A".

Retain the "A" for the four series already with it:

Self-Evaluation Reports (Series 1). Any that have met the ten year retention period should be transferred to the Archives and Information Services Division.

Budget Request (Series 6). Retain the current retention period of AC + 6 (after completion plus six years). As the one-sheet budget requests used by the Commission do not qualify as publications, send any budget requests that have met the six year retention period directly to the Archives and Information Services Division.

Meeting Minutes (Series 12). Make copies of all minutes from 1977 to 1996, with agenda and voting sheets, and send to the Archives and Information Services Division. Transfer copies of minutes and agenda from future commission meetings to the Archives and Information Services Division, preferably on an annual basis, or else regularly after the meetings.

Organizational Charts (Series 14). The archival requirement is fulfilled by sending copies of the Sunset Advisory Commission's Annual Financial Report to the State Publications Repository Program of the Library and Archives Commission, so long as those charts are published in them. The Remarks column in the agency's records retention schedule should state: "Included in Annual Financial Report [if that is the document the commission chooses]. The archival requirement will be met by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission." As an alternative, the agency may simply wish to send to the Archives and Information Services Division a complete set of loose copies of organizational charts, and thereafter send new ones when they are superseded.

Change the "R" designation to an "A" for the following series:

Sunrise Process (Series 5). Transfer those records which have met the retention period to the Archives and Information Services Division of the Texas State Library and Archives Commission, and continue to do so in the future.

Commission Appointments (Series 8). Transfer those records which have met the retention period to the Archives and Information Services Division of the Texas State Library and Archives Commission, and continue to do so in the future.

Policies and Procedures Manual (Series 15). The series should be renamed "Summary of Process and Procedure." Copies are being sent to the Texas State Publications Depository Program, which needs to continue to fulfill the archival mandate. A note does need to be added to the Remarks column of the retention schedule - "The archival requirement will be met by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission."

Special Legislative Projects - Final Report (Series 19). The Archives and Information Services Division has already received the only report currently in this series. Transfer any future final reports to the Archives as the retention period is fulfilled.

Assign an "A" to these series currently on the retention schedule but without any archival code designation.

Staff Reports (Series 1a)

Final Report (Series 1b)

Summary of Final Report (Series 1c) Copies of reports from all three of these series are being sent to the Texas State Publications Depository Program. A note does need to be added to the Remarks column for each of these series on the retention schedule - "The archival requirement will be met by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission."

Decision Material (Series 1). Assign an "A" and transfer those records which have met the ten year retention period to the Archives and Information Services Division of the Texas State Library and Archives Commission, and continue to do so in the future.

Add these new series to the retention schedule with an "A" in the archival code column:

Executive Director's Correspondence (Series number and retention period to be assigned). Once any of these records reach the end of their retention, transfer to the Archives and Information Services Division.

Strategic Plans (Agency item number needs to be assigned). The Remarks column should read: "The archival requirement will be met by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission."

Non-archival series:

Remove the "R" designation from the archival code for the following series. Any records from these series that have met their respective retention periods may be discarded.

Incoming Correspondence (Series 1)

Legislative Tracking Documents (Series 2)

Remove the "R" designation from the archival code for the following series.

Employee Recognition Awards (Series 48). An appraisal review of this series was not done for this report as these records are not archival and this series will not have an "R" assigned in the revised State Records Retention Schedule. Any records from these series that have met their retention period may be discarded.

Do not assign an archival designation to the following series:

Outgoing Correspondence (Series 1)

Delete these series altogether from the retention schedule:

Special Legislative Projects - Public Utility Commission (Series 3). The records in this series are actually of the Task Force on Public Utility Regulation and do not belong on the Sunset Commission's schedule. They are reviewed in a separate, attached report.

Special Legislative Projects - Proprietary Schools (Series 4). These records were misidentified as a separate series as they are actually part of another series.

Press Releases (Series 13). This is an obsolete series.

Thus, it is recommended that the revised records retention schedule of the Sunset Advisory Commission have fourteen series designated as archival ("A"):

Agency Review Material (Series 1):

Executive Director's Correspondence [NEW]

Decision Material

Self-evaluation Report

Staff Reports

Final Report

Summary of Final Report

Sunrise Process (Series 5)

Budget Request (Series 6)

Commission Appointments (Series 8)

Meeting Minutes (Series 12)

Organizational Charts (Series 14)

Policies and Procedures Manual (Series 15)

Special Legislative Projects - Final Reports (Series 19)

Strategic Plans [NEW]

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Record Series Reviews

Record Series Review
Series Title: Meeting Minutes

Dates: 1977-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Fractional

Agency Holdings:

Records are retained permanently in the agency offices. Holdings total an estimated 2 cubic feet and date from 1977-[ongoing].

Archival Holdings:

Minutes from meetings held in October 1982, November 1982, and May 1992.

Description:

These records include minutes, agenda, lists of witnesses, and tally sheets of votes from the meetings of the commissioners of the Sunset Advisory Commission. Dates covered are from 1977-[ongoing]. The major function of the commissioners during their meetings is to evaluate the state agencies subject to sunset review. To accomplish that, the commissioners consider the recommendations in the Sunset Commission staff report on the future functions and programs of an agency. The commissioners also review public testimony and written responses to the recommendations in the staff report. The commissioners then decide on what recommendations to include in their final report and present to the Legislature for approval. The minutes up until the late 1980s included summaries of testimony from the state agencies and public comments from interested groups and individuals on specific recommendations. In recent years, however, the coverage of the minutes has decreased and the summaries of testimony are no longer in the minutes.

Purpose:

These records document the meetings of the Sunset Advisory Commission commissioners and their evaluation of state agencies undergoing sunset review.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The Sunset Act provides for automatic termination of such designated agencies on a 12-year basis unless the Legislature extends the life of the agency by statute. The commission conducts performance evaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). The performance evaluation is based on the criteria provided in V.T.C.A., Government Code, Section 325.011. The Commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The Commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

The policy-making body of the agency is a ten-member commission. Membership of the commission consists of four members of the Senate and one public member appointed by the Lieutenant Governor, and four members of the House and one public member appointed by the Speaker of the House. The time and location of the meetings of commissioners is determined by the Commission chairman in consultation with the vice-chairman.

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

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? yes

  • Title: Meeting Minutes
  • Series item number: 1.1.017
  • Agency item number: 12
  • Archival code: A
  • Retention: PM

Appraisal Decision:

Minutes of the commission meetings provide primary evidence of the functions and policy formulation of the highest echelon of the agency. This series should retain its "A" designation and the remark on the retention schedule that calls for copies of minutes to be sent to the Archives and Information Services Division of the Library and Archives Commission. So far, the Archives has received only a few copies. Copies need to be made of the backlog of all existing minutes and sent to the Archives and copies of minutes from future meetings will need to be sent on a regular basis.

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Record Series Review
Series Title: Decision Material

Dates: 1978-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Approximately 1 cubic foot

Agency Holdings:

These records are in the offices of the agency and are to be retained for ten years according to the December 1995 revision of the retention schedule. Actual holdings at the agency are an estimated 20 cubic feet, from 1978-[ongoing].

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Types of records include proposed recommendations from Sunset Commission staff for agencies undergoing sunset review, compilations of testimony and written responses from public hearings regarding the staff recommendations, memos and notes of staff and commissioners, and commissioner voting sheets. Dates of records are from 1978-[ongoing]. During the sunset review of an agency, the Sunset Advisory Commission staff gathers background information and prepares a detailed report with specific recommendations that is presented to the Sunset commissioners and to the public for consideration. Testimony and written responses are taken at public hearings regarding those recommendations and the staff compiles a synopsis of the comments for the commission. The commission then considers the staff recommendations along with the public comments and approves or disapproves of the recommendations they will present to the Legislature for adoption. These records are from that decision-making process of the commissioners. Only recommendations adopted by the commissioners are included in the Sunset Commission's final report on the agency and submitted to the Legislature.

Purpose:

These records document the Sunset Advisory commissioners approval or disapproval of proposed recommendations by the Sunset Commission staff for inclusion in the Final Report of an agency undergoing sunset review.

Agency program:

The Sunset Advisory Commission is required by the Texas Sunset Act (V.T.C.A., Government Code, Section 325) to review state agencies scheduled for termination. The statute sets specific time frames for the review process and lists the criteria for determining whether a need exists. The commissioners' decision to approve or disapprove a staff recommendation is essential in fulfilling V.T.C.A., Government Code, Section 325.008, which requires the Sunset Commission to conduct a performance evaluation and prepare a written report on agencies subject to sunset review. The commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review.

Arrangement: Alphabetical by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? No

Problems: None

Known related records in other agencies: No

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Decision Material
  • Series item number: 1.1
  • Agency item number: 1
  • Archival code: None
  • Retention: 10

Appraisal Decision:

These decision materials provide the only documentation of the staff recommendations that are not approved by the commissioners. In addition, recommendations approved by the commissioners are cited in the minutes and in the Sunset Commission's final report on the agency but are condensed and so only in a "streamlined" fashion. For a full record of the commissioner's actions regarding sunset recommendations, both negative and positive, these Decision Materials are necessary. Thus, this series should be given an archival code of "A." All records that have met the ten-year retention period, i.e. 1978-1986, should be transferred to the Archives aInformation Services Division, and should continue to be so transferred, preferably on an annual basis.

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Record Series Review
Series Title: Incoming Correspondence

Dates: 1977-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: estimated at 2 cubic feet

Agency Holdings:

Retained in the offices of the agency for ten years according to the December 1995 revision of the retention schedule. Actual holdings of the agency are approximately 36 cubic feet, from 1977-[ongoing].

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Records in the incoming correspondence series consist solely of incoming correspondence that is not responded to by the commission. The correspondence dates from 1977-[ongoing]. The correspondents include agencies undergoing sunset review, other state agencies, state officials, and the general public, which are concerned with the sunset review process and the effect it might have on an agency. The correspondence filed in this series is not answered as the comments are considered too broad to reply to or the request is too specific and outside the scope of commission's duties and so no reply is needed. Examples of such correspondence range from: "I don't want you to abolish that agency," to "We need more stop signs," concerning the review of the Department of Transportation, or, in regard to the Juvenile Probation Commission, "My son is in jail and they won't give him parole." The commission staff determines which incoming correspondence is answered. Any incoming correspondence that is responded to is filed in another series, the commission's outgoing correspondence series.

Purpose:

Incoming correspondence documents the concerns and opinions of government officials and the public regarding state agencies under sunset review. It provides feedback to the commission of public feelings and attitudes toward an agency and to the role of the Sunset Advisory Commission.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The Sunset Act provides for automatic termination of such designated agencies on a 12-year basis unless the Legislature extends the life of the agency by statute. The commission conducts performance evaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). The performance evaluation is based on the criteria provided in V.T.C.A., Government Code, Section 325.011. The Commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The Commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

Two of the criteria proscribed by V.T.C.A., Government Code, 325.011 for agency review - the promptness and effectiveness with which the agency handles complaints and the extent to which the agency has encouraged participation by the public in the review process - are presumably documented to some extent by the incoming correspondence series of the commission. Some of this incoming correspondence is from the general public and contains complaints and praise for agencies and thus may reflect on how agencies deal with the public and, to a degree, on how they meet the two criteria.

Arrangement:

From 1977 to 1991, all correspondence was filed together, first chronologically by legislative session, then alphabetically by name of agency. Since 1991, the incoming and outgoing correspondence have been divided and each is filed separately, chronologically by session and alphabetically by agency.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Incoming correspondence
  • Series item number: 1.1
  • Agency item number: 1
  • Archival code: R
  • Retention: 10

Appraisal Decision:

The appraisal axiom that we look at the entire records output of an agency when we appraise any one series is certainly brought into play when considering the correspondence of the Sunset Advisory Commission. The correspondence of the commission is divided into three series - incoming, outgoing, and executive director's - and all three correspondence series are of archival interest and merit appraisal review. The incoming correspondence has an archival code of "R" on the retention schedule, the outgoing is on the schedule but has no archival retention, and the executive director's correspondence is new and not yet on the schedule. Each of these series has a separate appraisal report yet the appraisal of one affects the others, especially the incoming and outgoing series.

Despite that it isn't answered, the commission staff think of this incoming correspondence as having more historic significance than the outgoing correspondence, which they consider routine. The Sunset staff feels that the incoming correspondence contains the more interesting comments and observations on an agency. These opinions are valid but we can not depend solely on the agency's judgment as a basis for archival value. The question remains, is it archival? Do these records provide enough insight into a fundamental function of the commission to merit archival retention? (Nor am I comfortable with this filing scheme anyway - this division of incoming correspondence between answered and unanswered is an unnatural schism that is misleading and cause for confusion).

The range of comments in the incoming correspondence does document public feelings toward an agency. But documenting it thoroughly by correspondence is dependent on many letters coming to the commission to address the multiple concerns the public may have to a specific agency. This can result in haphazard, partial, or possibly skewed documentation. Alternatively, the commission is required to hold public hearings in order to gather public opinion on agencies undergoing sunset review (V.A.T.C., Government Code, Section 325.009). Comments from these hearings are compiled by commission staff and included in the staff reports. These staff reports are being recommended for archival status. Thus, public opinion will be represented in the staff reports where it will be organized both by agency and by topic and be much more accessible than loose, incoming correspondence. The Archives and Information Services Division has determined that to keep the incoming correspondence series in the interests of documenting public opinion would be superfluous and, considering the physical volume of this series, documentation overkill.

This series should not be given archival status. The "R" designation currently on the retention schedule should be deleted and incoming correspondence that has met the ten-year retention period can be destroyed. The series item number on the retention schedule should be changed to 1.1.008 to reflect the routine nature of this correspondence.

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Record Series Review
Series Title: Outgoing Correspondence

Dates: 1977-[outgoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Approximately 3 cubic feet

Agency Holdings:

Retained in the offices of the agency for ten years according to the December 1995 revision of the retention schedule. Actual holdings of the agency are approximately 54 cubic feet, from 1977-[ongoing].

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Types of records in this series include both incoming and outgoing correspondence. These records date from 1977-[outgoing]. This series contains all of the incoming correspondence that required a response from the Sunset Advisory Commission and so contains all of the outgoing replies. The outgoing correspondence from the commission is attached to the incoming letter that precipitated the response. The correspondents include agencies undergoing sunset review, other state agencies, state officials, and the general public. For the most part, the incoming correspondence consists of routine requests that can be answered by standardized form letters. Thus, the outgoing correspondence consists of form letters and types of responses include "This matter is not in our jurisdiction, contact your state legislator" and "We are about to start the sunset review of your agency."

Purpose:

Outgoing correspondence documents the response of the Sunset Advisory Commission to the concerns and opinions of government officials and the public regarding state agencies under sunset review.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The Sunset Act provides for automatic termination of such designated agencies on a 12-year basis unless the Legislature extends the life of the agency by statute. The commission conducts performance evaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). The performance evaluation is based on the criteria provided in V.T.C.A., Government Code, Section 325.011. The Commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The Commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

Two of the criteria proscribed by V.T.C.A., Government Code, 325.011 for agency review - the promptness and effectiveness with which the agency handles complaints and the extent to which the agency has encouraged participation by the public in the review process - are presumably documented to some extent by the outgoing correspondence series of the commission. This series contains both outgoing and incoming correspondence and some of the incoming from the public to the commission would contain complaints and praise for agencies and thus reflect, to a degree, on how agencies deal with the public. In addition, the outgoing correspondence series contains the reply from the commission, some of which document the commission's response to public concerns and requests.

Arrangement:

From 1977 to 1991, all correspondence was filed together, first chronologically by legislative session, then alphabetically by name of agency. Since 1991, the incoming and outgoing correspondence have been divided and each is filed separately, chronologically by session and alphabetically by agency.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Outgoing correspondence
  • Series item number: 1.1
  • Agency item number: 1
  • Archival code: None
  • Retention: 10

Appraisal Decision:

This series name - "Outgoing Correspondence" - is a misnomer since it contains both incoming and outgoing correspondence. This outgoing correspondence series is so closely linked physically and intellectually to the "other" incoming correspondence series that it was necessary to appraise it as well.

The outgoing correspondence in this series consists of standardized, form letters. Form letters usually have little substance and do not document policy-making. Their content can change rapidly. Thus, form letters do not have permanent legal, fiscal, or administrative value and would not be considered archival. The outgoing correspondence would, in itself, not be enough to make this an archival series. The incoming correspondence in this series might be useful in documenting public opinion toward an agency but, as stated in the appraisal decision for the "Incoming Correspondence" series, the commission actively solicits public opinion in public hearings. Comments from the hearings are compiled by commission staff and included in the staff reports. Thus, public opinion will be represented in the staff reports, which are being recommended for archival retention, where it will organized by agency and by topic. As with the incoming correspondence series, to keep this series in the interests of documenting public opinion would be superfluous and, considering the physical volume, documentation overkill. This series should not be given archival status. No archival designation is recommended.

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Record Series Review
Series Title: Executive Director's Correspondence

Dates: 1995-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: 0.5 cubic foot

Agency Holdings:

Retained in the office of the executive secretary. This series is not on the agency's retention schedule. Actual holdings are 1995-[ongoing], one cubic feet.

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Records in this series consist of outgoing correspondence signed by the executive director of the Sunset Advisory Commission. This series dates from 1995-[ongoing] and began when Mr. Joey Longley became executive director. This series does include all correspondence signed by the executive director and sent to the agency's ten commissioners, the agency's policy-making body. Some of the correspondence with the commissioners concerns routine administrative matters but other is policy-related to the sunset review process and pertains to across-the-board matters that affect all agencies. This series also includes general correspondence with the public that does not deal with a specific agency up for sunset review. Some of the pre-1995 correspondence of previous executive directors is filed in with agency review material.

Purpose:

These records document the outgoing communications of the executive director of the agency, especially with the members of the Sunset Advisory Commission.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The Sunset Act provides for automatic termination of such designated agencies on a 12-year basis unless the Legislature extends the life of theagency by statute. The commission conducts performance evaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). The performance evaluation is based on the criteria provided in V.T.C.A., Government Code, Section 325.011. The commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

The policy-making body of the agency is a ten-member commission. Membership of the commission consists of four members of the Senate and one public member appointed by the Lieutenant Governor, and four members of the House and one public member appointed by the Speaker of the House. The commissioners of the Sunset Advisory Commission employ the executive director to act as the administrative head of the commission (V.A.T.C. Government Code, 325.004).

Arrangement:

Filed chronologically by legislative session.

Access Constraints: None

Use Constraints: None

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

Gaps? This is a new series begun in 1995.

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Suggested record series:

  • Title: Executive Director's Correspondence
  • Series item number: 1.1.007
  • Agency item number: to be assigned by the agency
  • Archival code: A
  • Retention: 10

Appraisal Decision:

This series only began in 1995 with the administration of the new executive director. Correspondence of previous executive directors is either alienated from the commission or, if it dealt with a specific agency, may be filed in with that agency's review material.

This series contains all of the outgoing correspondence signed by the executive director of the agency. This includes anything sent to the agency's ten commissioners, the agency's policy-making body. Some of this correspondence is routine but the rest would document policy-making at the highest levels of the agency. Therefore, this series should be given an archival designation of "A."

The executive director's correspondence is a new series not yet on the agency's retention schedule. This series should be added to the retention schedule with an archival code of "A." A series number of 1.1.007 and a retention period of ten years is recommended. The agency will need to assign an agency item number.

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Record Series Review
Series Title: Self-evaluation Report

Dates: 1977-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Biennial accumulation: 2-3 cubic feet

Agency holdings:

Retained by the agency in its offices for fourteen years under retention schedule in effect during initial appraisal review. New retention schedule as of December 1995 has reduced the retention period for this series to ten years. Agency has from 1977-[ongoing], approximately 30 cubic feet.

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

An agency's self-evaluation report is a narrative report prepared by the agency and submitted to the Sunset Advisory Commission. The self-evaluation report contains four major sections: background, policy issues, additional data, and comments (optional). The background section provides a brief overview of the agency's history, creation and powers, policy-making body, funding and organization, and programs. Creation and powers includes key events in the development of the agency such as major changes in responsibilities or statutory authority, agency name changes, impact of state or federal legislation and funding, and impact of any litigation specifically affecting the agency's operations. Policy-making body includes number of board or commission members and length of terms; method by which board members are appointed and the chair is selected; current board composition and any statutory qualifications for appointment; and primary role and responsibilities of the board. Funding and organization includes total budget for the fiscal year; expenditure by program, five-year history of expenditure, and sources of revenue; an organizational chart; an exhibit showing the percentage of minorities in the work force; location of headquarters and any regional offices; and a description of any local government entities that the agency may work with. Programs and functions includes the name and purpose of the program, its annualbudget, and number of employees involved; how this purpose is accomplished; whether any fees are collected by the agency and a list of activities funded by these fees or charges; a description and listing of the performance measures, if available, used to track the program's effectiveness; a listing of any similar programs performed by other state agencies. Additional data can include a list of advisory committees, statutory citations for all state statutes that grant authority or significantly impact the agency, other agency liaisons, interest groups, national associations, and complaint resolution.

Purpose:

The self-evaluation report is intended to give the Sunset Commission members and staff a general understanding of the agency and its purpose. It is used by the Sunset staff in drafting the background section of the staff evaluation report on the agency. The report is also intended to give the Sunset Commission a basic overview of the major policy issues, including both the pros and the cons, appropriate for resolution through a change of law.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The commission conducts performance evaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). Self-evaluation reports assist the Sunset Advisory Commission in its critical role of reviewing state agencies. These reports address the thirteen specific criteria required by V.T.C.A., Government Code, Sec. 325.011, which are analyzed by the Sunset Commission staff and detailed in the staff reports and in the recommendations given in the final report (V.T.C.A., Government Code, Sec. 325.012).

Arrangement:

Filed chronologically by biennium, then alphabetically by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Staff Reports by the Sunset Advisory Commission on individual agencies under review are partially based on each agency's self-evaluation review. Copies of these Staff Reports are filed in the Texas State Publications Depository Program of the Library and Archives Commission.

Scheduled record series? Yes

  • Title: Self-evaluation Report
  • Series item number: 1.1
  • Agency item number: 1
  • Archival code: A
  • Retention: 10

Appraisal Decision:

The agency self-evaluation reports provide fundamental knowledge of a state agency in a concise, standardized format. The information in these reports has a vitality when initially filed which will continue and provide a historical perspective when consulted in the future.

There is a question, assuming each agency keeps a copy of its own report, whether the Sunset Advisory Commission's copy or the agency's copy should be the record copy. As long as the Sunset Advisory Commission can act as the central gathering point for reports then I recommend that the Archives take advantage of that function and designate the Sunset Advisory Commission's copy as the record copy, rather than rely on getting it from each agency (especially from over a twenty year period). Thus, the self-evaluation reports submitted to the Sunset Advisory Commission should be considered archival with an archival designation of "A."

Self-evaluation reports that have met the ten year retention period (from 1977-1986) should be transferred to the Archives and Information Services Division. Thereafter, reports should be regularly transferred once their retention period has been met.

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Record Series Review
Series Title: Staff Reports

Dates: 1978-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Approximately 0.5 cubic foot

Agency Holdings:

Staff reports are in the agency's offices. These records are retained by the agency permanently. The agency's holdings are 1978-[ongoing], an estimated 5 cubic feet.

Archival Holdings:

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

The State Publications Depository Program at the Texas State Library and Archives Commission holds staff reports of the Sunset Advisory Commission from 1978-[ongoing].

Description:

Staff reports are the narrative evaluations prepared by the Sunset Advisory Commission staff for those agencies scheduled for termination. Staff reports are divided into three sections: Background and Focus; Across-the-Board Recommendations; and Findings and Recommendations. The Background and Focus section describes the creation and powers of an agency; its policy-making body; funding and organization; programs and functions; and the focus of the sunset review. Across-the-Board Recommendations is a short section of generalized remarks applicable to all agencies. Findings and Recommendations is the lengthiest section as specific functions of an agency are scrutinized. Under each function, various issues are raised and considered. Discussion for each issue includes a background report, a statement of the problem, the staff's recommendation, and the fiscal impact of that recommendation.

Purpose:

Staff reports document the performance evaluation done by Sunset Commission staff of an agency subject to sunset review and provide the basis for the Final Report on an agency.

Agency program:

Staff reports fulfill V.T.C.A., Government Code, Section 325.008, that requires the Sunset Commission to conduct a performance evaluation and prepare a written report on agencies subject to sunset review. The performance evaluation is based on the thirteen criteria provided for in V.T.C.A., Government Code, Section 325.011. The thirteen stipulated criteria are: the agency's efficiency of operation, the extent to which statutory objectives have been achieved, the extent to which existing advisory committees are needed and used, the extent of duplication or overlapping jurisdictions and possibilities for consolidation with other agencies, and an assessment of whether the agency has recommended statutory changes that benefit the general public rather than the regulated entity. Other criteria include the promptness and effectiveness with which the agency handles complaints, the extent to which the agency has encouraged participation by the public, the extent of compliance with federal and state requirements regarding equality of employment opportunity and the rights and privacy of individuals, its compliance with the Public Information Act and Open Meetings Act, the degree to which the agency conforms to its six-year strategic plan, and the effect of federal intervention or loss of federal funds if the agency is abolished.

Arrangement: Alphabetical by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Sunset Advisory Commission's Final Report to Legislature and Governor and Summary of Final Report.

Scheduled record series? Yes

  • Title: Staff Reports
  • Series item number: 1.1
  • Agency item number: 1a
  • Archival code: None
  • Retention: PM

Appraisal Decision:

Staff reports follow-up the agency self-evaluation reports and are the first publication by the commission documenting the performance evaluation review. Staff reports provide valuable data not only on the agency being reviewed (informational value) but also on the functions and activities of the commission staff itself (evidentiary value). The staff must conduct the performance evaluation according to the thirteen criteria as prescribed by statute and their reports provide detailed documentation of this process and their conclusions and recommendations. The staff reports provide much more information on each recommendation than in the subsequent publications by the commission - the Final Report and the Summary of Final Report presented to the Legislature and Governor. As a bonus, all this data is provided in a standard, summary format. Thus, this series should be given an archival designation of "A."

The retention schedule for the Sunset Advisory Commission was changed in December 1995 to list Staff Reports as a separate series. It was given a permanent retention period and a note added in the Remarks column to send copies to the Texas State Publications Depository Program. With an archival code of "A" being added, the note in the Remarks column should be amended to say - "The archival requirement is met by sending the required number of copies of the Staff Report to the Texas State Publications Depository Program, Archives and Library Commission."

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Record Series Review
Series Title: Final Report

Dates: 1978-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Fractional

Agency Holdings:

Final Reports are in the agency's offices. These records are retained by the agency permanently. The agency's holdings are 1978-[ongoing], an estimated 2 cubic feet.

Archival Holdings:

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

The State Publications Depository Program at the Texas State Library and Archives Commission holds Final Reports of the Sunset Advisory Commission from 1978-[ongoing].

Description:

Final Reports are the biennial narrative reports issued by the Sunset Advisory Commission to the Legislature and the Governor that include the commission's recommendations for the state agencies that underwent sunset review for that biennium. These reports date from 1978-[ongoing]. Each report includes a letter of transmittal, an introduction, an overall summary of Sunset Commission actions, and the commission's findings and recommendations for each agency, which comprise the bulk of the report. The final reports include background information on each agency - its governing body, creation and powers, functions, and funding - and an assessment of the need for agency functions and programs and for organizational alternatives. For each agency, the commission presents its major recommendations, with a background statement and discussion of the fiscal impact, followed by a complete list of all the recommendations made by the commission for that agency.

Purpose:

The final report documents the commission's recommendations to the Legislature and Governor to abolish or continue an agency and any other recommendations to correct problems identified during the review.

Agency program:

The Sunset Advisory Commission is required by law, V.T.C.A., Government Code, Section 325, to review the agencies scheduled for termination. The commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. For each regular legislative session, the Sunset Advisory Commission prepares an overall Final Report to the Legislature and Governor on the agencies and advisory committee scheduled to be abolished (V.T.C.A., Government Code Section, 325.010). In the Final Report the commission must include: its specific findings regarding each of the thirteen review criteria prescribed by V.T.C.A., Government Code, Section 325.011 in determining whether a public need exists for the continuation of a state agency or its advisory committees; its recommendations based on the matters in Section 325.012; and any other information the commission considers necessary for a complete evaluation of the agency. V.T.C.A., Government Code, Section 325.012 requires the commission's report to: make recommendations on the abolition, continuation, or reorganization of each affected state agency and its advisory committees and on the need for the performance of the functions of the agency and its advisory committees; make recommendations on the consolidation, transfer, or reorganization of programs within state agencies not under review when the programs duplicate functions performed in agencies under review; to recommend appropriation levels for each state agency and advisory committee for which abolition or reorganization is recommended; and to includes drafts of legislation necessary to carry out the commission's recommendations.

Arrangement: Chronological by legislative session, then alphabetical by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Summary of Final Report by Sunset Advisory Commission.

Scheduled record series? Yes

  • Title: Final Report
  • Series item number: 1.1
  • Agency item number: 1b
  • Archival code: None
  • Retention: PM

Appraisal Decision:

The Final Report is based on the Staff Reports (which, in their turn, are largely based on the agency self-evaluation reports). There is some duplication of information among these records but the function and types of information found in each separates them enough to recommend the archival retention of each series. Staff Reports represent the working papers of the commission. The Final Reports are the end result. Final Reports may also contain information not in the staff reports such as the suggested appropriation levels for those agencies recommended for abolition or reorganization and drafts of legislation prepared by the commission to carry out its recommendations. This series should be given an archival designation of "A."

The retention schedule for the Sunset Advisory Commission was changed in December 1995 to list the Final Report as separate series. It was given a permanent retention period and a note added in the Remarks column to send copies to the Texas State Publications Depository Program. With an archival code of "A" being recommended, the note in the Remarks column should be amended to say - "The archival requirement is met by sending the required number of copies of the Final Report to the Texas State Publications Depository Program, Archives and Library Commission."

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Record Series Review
Series Title: Summary of Final Report

Dates: 1978-1989

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes, although none have been produced since 1989.

Annual accumulation: fractional

Agency Holdings:

Summaries of Final Reports are in the agency's offices. These records are retained by the agency permanently. The agency's holdings are 1978-1989, an estimated one-half cubic foot.

Archival Holdings:

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

The State Publications Depository Program at the Texas State Library and Archives Commission holds the Summary of Final Reports from 1978-1989.

Description:

A Summary of Final Report is a biennial narrative report submitted to the Legislature and Governor as a companion volume to the commission's Final Report. These reports date from 1978-1989. The Summary highlights the major recommendations made by the commission on each agency undergoing sunset review. For each agency, the report includes a discussion of the agency function, a list of the commission's major recommendations, and a statement of the fiscal impact of those recommendations.

Purpose:

The Summary of Final Report documents in a condensed format the major recommendations made by the Sunset Advisory Commission to the Legislature and Governor for agencies undergoing Sunset Review.

Agency program:

For each regular legislative session, the Sunset Advisory Commission prepares a Final Report to the Legislature and Governor on the agencies and advisory committee scheduled to be abolished (V.T.C.A., Government Code Section, 325.010). The Summary of Final Report accompanies the Final Report and highlights for the Legislature and Governor the major recommendations in the Final Report. In its reports the commission includes: its specific findings regarding each of the thirteen review criteria prescribed by V.T.C.A., Government Code, Section 325.011 in determining whether a public need exists for the continuation of a state agency or its advisory committees; its recommendations based on the matters in V.T.C.A., Government Code, Section 325.012, and any other information the commission considers necessary for a complete evaluation of the agency. Section 325.012 requires the commission's report to: make recommendations on the abolition, continuation, or reorganization of each affected state agency and its advisory committees and on the need for the performance of the functions of the agency and its advisory committees; make recommendations on the consolidation, transfer, or reorganization of programs within state agencies not under review when the programs duplicate functions performed in agencies under review; recommend appropriation levels for each state agency and advisory committee for which abolition or reorganization is recommended; and to includes drafts of legislation necessary to carry out the commission's recommendations.

Arrangement: Chronological by legislative session, then alphabetical by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? Summary of Final Reports were last prepared in 1989.

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Summary of Final Report
  • Series item number: 1.1
  • Agency item number: 1c
  • Archival code: None
  • Retention: PM

Appraisal Decision:

The Summary of Final Report is based on the Final Report, which, in turn, was based on the Staff Reports (which, in their turn, are largely based on the agency self-evaluation reports). There is some duplication of information among these records but the function and types of information found in each separates them enough to recommend the archival retention of each series.

The Summary of Final Report is indeed a "summary" so there is duplication between it and the Final Report. Yet, the information found in a Summary of Final Report documents what the commission thinks were its major recommendations for each agency. And, it's a small amount of material, is in a convenient format for research, and is presented to the Governor and Legislature as the commission's final say on an agency. This series should be given an archival designation of "A."

The Summary of Final Report was a report produced by the commission from 1978-1989. The series is still on the schedule as the agency retains them permanently and is not considered obsolete as the agency believes they may produce them again in the future. The retention schedule for the Sunset Advisory Commission was changed in December 1995 to list the Summary of Final Report as a separate series. It was given a permanent retention period and a note added in the Remarks column to send copies to the Texas State Publications Depository Program. With an archival code of "A" being recommended, the note in the Remarks column should be amended to say - "The archival requirement is met by sending the required number of copies of the Summary of Final Report to the Texas State Publications Depository Program, Archives and Library Commission."

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Record Series Review
Series Title: Legislative Tracking Documents

Dates: 1991-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: One cubic foot or less.

Agency Holdings:

Records are in the agency offices and are to be retained for a 10 year period. Actual holdings are only from 1991-[ongoing], approximately three cubic feet.

Archival Holdings:

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

Description:

These are working files created by Sunset Advisory Commission staff analysts to keep track of any legislation introduced in the Texas Legislature that might affect an agency undergoing sunset review. Dates covered are 1991-[ongoing]. In 1995, for example, during the 74th Legislature, there were twenty-five pieces of legislation introduced that the Sunset Commission staff followed day-to-day as the bills made their way through the legislative process. Information in the tracking documents can include the bill number, sponsoring legislator, committee assignment, the status of the bill in committee or on the floor, voting records, and copies of the proposed bills. A weekly progress report on all of the bills being followed is also done every Monday by Commission staff but, since the previous week's progress report is then out-of-date, these are usually discarded. Legislative Tracking Documents is a fairly new series, done for only the past couple of legislative sessions, although Commission staff indicated that other records may have been created earlier for the same purpose but were either not maintained as a separate series or not retained at all.

Purpose:

Records are created by the staff of the Commission to keep track of all legislation proposed or introduced during a Legislative session that might affect an agency undergoing sunset review and, consequently, the Commission's review and report on that agency.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The Commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute and to prepare a report to the Legislature (V.A.T.C., Government Code, Section 325.008). The Commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The Sunset Commission must be aware of any changes in legislation concerning an agency as it may affect the Commission's review, recommendations, and report. Any changes mandated by the Legislature might also affect the agency's report to the Commission (V.A.T.C., Government Code, Section 325.007).

Arrangement: Chronological by legislative session.

Access Constraints: None

Use Constraints: None

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

Gaps? This series began in 1991. Any earlier records with similar information were discarded.

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Legislative Tracking Documents
  • Series item number: 1.1
  • Agency item number: 2
  • Archival code: R
  • Retention: 10

Appraisal Decision:

These are working files, created and maintained by the Sunset Commission staff to track legislation during a legislative session. They are also used as reference tools to compare previous legislative efforts with current bills and to see what a particular legislator may have done in the past. They are considered so relevant to the Commission's work they have been marked as a "vital" record. However, this information begins to get dated quickly and is referred to less and less by the Commission staff as it ages. Indeed, the weekly progress reports are thrown out as soon as the next one is produced. As working files and current reference tools, these records have the greatest merit as internal files. But there is little archival value in such internal records whose research value fades before the next Legislature even begins. More important, actions of the Legislature are well documented in other sources such as the bill files and the House and Senate Journals. Researchers interested in legislative history would be better advised, and more inclined, to look at the record copy produced by the Legislature itself then that done by the Sunset Commission. Considering then that these are working files, with information of limited duration which is duplicated in other sources, the archival designation of "R" on the retention schedule should be dropped for this series.

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Record Series Review
Series Title: Special Legislative Projects - Proprietary Schools

Dates: 1988

Agency: Sunset Advisory Commission

Obsolete record series? Yes

Ongoing record series? No

Annual accumulation:

Agency Holdings:

Records are in the agency's offices and are to be retained for a four year period. All records were created in 1988 and total less than one cubic foot.

Archival Holdings:

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

Description:

Types of records include correspondence and research materials. These records date from 1988. The records were compiled by Sunset Advisory Commission staff as part of their sunset review evaluation of the Texas Education Agency (TEA). Specifically, the records concern the role of the TEA in the certification and regulation of proprietary schools, the enforcement of the Texas Proprietary School Act (Texas Education Code, Chapter 32), and the Proprietary School Advisory Commission. The commission's work on proprietary schools became part of the Sunset Advisory Commission's 1988 Final Report on the Texas Education Agency.

Purpose:

These records are part of the documentation of the sunset review evaluation of the Texas Education Agency.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The commission is required by the Sunset Act to review state agencies that have a date for review or abolishment set in statute. The Sunset Act provides for automatic termination of such designated agencies on a 12-year basis unless the Legislature extends the life of the agency by statute. The commission conducts performanceevaluation of those agencies and prepares written reports for the Legislature (V.T.C.A., Government Code, Section 325.008). The performance evaluation is based on the criteria provided in V.T.C.A., Government Code, Section 325.011. The Commission's report on an agency must include a recommendation to abolish or continue the agency and may also contain recommendations to correct problems identified during the review. The Commission may also expand the scope of sunset review to include agencies not under review that overlap or duplicate the programs of the agency being reviewed.

Arrangement: Alphabetically with agency review material.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Final Report on Texas Education Agency, Sunset Advisory Commission, 1988.

Scheduled record series? Yes

  • Title: Special Legislative Projects - Proprietary Schools
  • Series item number: 1.1
  • Agency item number: 4
  • Archival code: R
  • Retention: 4

Appraisal Decision:

These records should not be a separate series on the retention schedule. After the records administrator consulted with Ken Levine, a staff analyst at the Sunset Commission, it was determined that these records are really part of the overall agency review material for the Texas Education Agency. The records were used during the sunset review of the Texas Education Agency (TEA) in 1988 and are filed in the Sunset Commission's agency review material for TEA. In addition, the 1988 Sunset Advisory Commission's Final Report on the TEA discusses the Texas Proprietary School Act and the Proprietary School Advisory Commission and their relationship with the TEA. A copy of this Final Report is already in the Texas State Publications Depository Program.

Thus, with these records misidentified as a separate series and are actually part of another series on the retention schedule, it is recommended the series "Proprietary Schools" be deleted entirely from the schedule.

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Record Series Review
Series Title: Special Legislative Projects - Final Report

Dates: 1989-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes but only as produced.

Annual accumulation: Fractional, if any.

Agency Holdings:

Agency retains records in its offices until purpose served. Actual holdings date from 1989 and the total volume is fractional.

Archival Holdings:

Task Force on Public Utility Regulation - Final Report to the Governor and Legislature, 1989, fractional.

Description:

Currently, records consist of one report: Task Force on Public Utility Regulation - Final Report to the Governor and Legislature. This report was completed in 1989. This final report includes an overview of the Task Force on Public Utility's actions, its recommendations, a list of the witnesses at the public hearings, and a detailed summary of issues and comments from these hearings. The Task Force's recommendations were divided into six general areas: jurisdiction of cities, structure of the Public Utility Commission (PUC) and its staff, operation of the agency, the Office of Public Utility Counsel and the PUC general counsel, staffing and funding, and other general recommendations.

Purpose:

This record was created to document the work and the recommendations of the Task Force on Public Utility Regulation and to fulfill its executive order in presenting a final written report to the Governor and the Legislature.

Agency program:

The Task Force on Public Utility Regulation was established by Executive Order WPC-89-6 of Governor Clements on July 25, 1989. The Sunset Advisory Commission provided clerical support to the Task Force. This staff support was outside the normal duties of the commission as defined by itsstatutory authorization, V.T.C.A. Government Code, Chapter 325. A series of public hearings were held by the Task Force, with assistance from Sunset Advisory Commission staff, to receive comments from interests concerned with public utility regulation. After the Task Force issued its final report, its records remained at the Sunset Commission offices.

Arrangement: Filed with agency review material which is in alphabetical order.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Special Legislative Projects - Final Report
  • Series item number: 1.1.038
  • Agency item number: 19
  • Archival code: R
  • Retention: PS

Appraisal Decision:

There are three series on the Sunset Advisory Commission's retention schedule with an "R" designation which are listed as Special Legislative Projects: Public Utility Commission, Proprietary Schools, and Final Report. The Proprietary Schools series should be deleted from the schedule (SEE the previous series review) and the Public Utility Commission series does not belong on the Sunset Advisory Commission's retention schedule as these are actually records of the Task Force on Public Uitlity Regulation and are appraised in a separate, attached report.

The Final Report series should be retained on the Susnet Commission's retentin schedule, however, as it contains a record copy of a report and since more reports may be filed here if and when the Legislature requests the commission's help in future special legislative projects.

Furthermore, any Final Report produced and filed in this series should be considered an archival record as it would provide summary documentation of commission involvement in legislative projects. The archival code for this series be changed from "R" to "A." As a final report may or may not considered a publication, a copy should be sent to the Archives and Information Services Division, rather than to the State Publication Depository Program, at the Library and Archives Commission.

As the Archives and Information Services Division already has a copy of the only Final Report currently in this series there is no need for anything to be sent to the Archives at this time. Final Reports produced in the future should be sent to the Archives and Information Services Division after the retention period has been fulfilled.

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Record Series Review
Series Title: Sunrise Process

Dates: 1985-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: Estimated at 0.5 cubic foot.

Agency Holdings:

These records are in the agency's offices and are retained by the agency for ten years. The agency's holdings are 1985-[ongoing], approximately six cubic feet.

Archival Holdings:

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

Description:

Records include correspondence, memos, copies of legislative bills, and bill analyses. Records date from 1985-[ongoing]. Since 1985 the commission has been required to comment on the proposed creation of regulatory agencies or advisory committees. In this "sunrise" process, the commission reviews proposed legislation creating regulatory agencies or advisory committees and sends a written response to the bill's author and to the chair of the committee hearing the bill. These records are also used by commission staff analysts as a reference tool to check on earlier legislation efforts in previous legislatures.

Purpose:

These records are created by the Sunset Advisory Commission to oversee and maintain the sunrise process, which is a program to ensure that the creation of unnecessary or overlapping regulatory agencies and advisory committees is avoided. The sunrise process enables the Legislature to use the commission's experience in considering the need for regulatory agencies.

Agency program:

V.T.C.A., Government Code, 325.022 requires that each bill filed in the Texas legislature that would create a state regulatory agency, or an advisory committee to a regulatory agency, be forwarded to the Sunset Advisory Commission. The commission then reviews the bill to determine if thefunctions of the proposed agency could be administered by existing state agencies or advisory committees; if any form of regulation proposed by the bill is the least restrictive form of regulation that will adequately protect the public; if the bill provides for adequate public input regarding any proposed regulatory function; and, if the bill provides for adequate protection against conflicts of interest within the agency or committee. After reviewing the bill, the commission forwards a written comment on the legislation to the author of the bill and to the presiding officer of the committee considering the bill.

Arrangement: Chronological by legislative session; then, alphabetical by agency name.

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Sunrise Process
  • Series item number: 1.1
  • Agency item number: 5
  • Archival code: R
  • Retention: 10

Appraisal Decision:

Overall, these records are necessary to document the sunrise process, an ongoing function of the Sunset Commission. The Commission must review and comment on any proposed legislation creating a new regulatory agency or advisory committee. At a minimum, the Archives and Information Services Division of the Library and Archives Commission would be interested in the written comments that the commission sends to the author of the bill and to the presiding officer of the committee considering the bill as summary documentation of the sunrise process. It is foreseeable that these files may contain duplicate copies of bills and other extraneous records that the Archives and Information Services Division would not desire, so some weeding may be required. Nevertheless, the archival code for this series should be changed from an "R" to an "A". Records that have reached the end of their retention period should be transferred to the Archives and Information Services Division.

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Record Series Review
Series Title: Budget Request

Dates: 1992-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: fractional

Agency Holdings:

These records are in the offices of the Sunset Advisory Commission, a fractional amount in volume, and dating from 1992-[ongoing]. They are retained by the agency for six years after passage of the Appropriations Act.

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Budget requests from the Sunset Advisory Commission consist of a one page statement submitted biennially to the Legislative Budget Board. These requests date from 1992-[ongoing]. Previously, appropriations for the Sunset Advisory Commission had been included in the overall appropriations for the Legislature. The one-page budget request consists of types of expenses and then columns of figures for the funds expended during the past three years, budgeted funds for the current year, and requested funds for the next two years. Expenses include salary requirements, professional fees, travel, operating expenses, master lease purchase, and capital outlay. There is no narrative description of agency programs or justification given for the amounts requested.

Purpose:

The purpose of these records is to request appropriations from the legislature.

Agency program:

Biennial budget requests are a mandatory requirement of the state budgetary process but from the beginning of the Sunset Advisory Commission until 1992 its budget had been included with the Legislature's and no separate request was made.

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

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

Gaps? Agency has been in existence since 1977 but separate budget requests were first filed beginning in 1992.

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Budget Request
  • Series item number: 1.1.004
  • Agency item number: 6
  • Archival code: A
  • Retention: AC + 6

Appraisal Decision:

The retention schedule for this series is correct and sufficient. These one-page requests are not considered a publication so copies should not be sent to the Publication Clearinghouse. Instead, the budget requests should be sent directly to the Archives and Information Services Division after the six-year retention period has been reached.

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Record Series Review
Series Title: Commission Appointments

Dates: 1977-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: fractional

Agency Holdings:

These records are in the offices of the Sunset Advisory Commission. They are to retained by the agency for three years but actual holdings are from 1977-[ongoing], and total approximately one-half cubic foot in total volume.

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Description:

Records consist of letters of appointment to the Sunset Advisory Commission and a list of all appointees. Records date from 1977-[ongoing] and include the appointment letters for all appointments ever made to the commission. The appointment letters are sent out from the Offices of the Lieutenant Governor and the Speaker of the House to the appointees and to the commission. A list of the appointed commissioners is compiled and updated by the staff of the commission as an in-house reference tool.

Purpose:

These records document the appointments of commissioners to the Sunset Advisory Commission.

Agency program:

The policy-making body of the Sunset Advisory Commission is a ten-member commission. Membership of the commission consists of four state senators and one public member appointed by the Lieutenant Governor, and four members of the House and one public member appointed by the Speaker of the House. Public members serve two-year terms, and legislative members serve four-year terms staggered so that half the membership from each house expires every two years (V.T.C.A., Government Code, Section 32.003).

Arrangement: Alphabetical

Access Constraints: None

Use Constraints: None

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

Gaps? None

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Commission Appointments
  • Series item number: 1.1.007
  • Agency item number: 8
  • Archival code: R
  • Retention: 3

Appraisal Decision:

The Secretary of State's Statutory Documents Section reported in a telephone conversation on March 14, 1996 that their office does receive the appointment letters to the Sunset Advisory Commission from the Lieutenant Governor and the Speaker but retains them only for a couple of years as a courtesy filing before destroying them since, unlike the filing of gubernatorial appointments, the Secretary of State is under no obligation to retain appointments made by the Lieutenant Governor or the Speaker. If the Secretary of State's copy is not retained, that makes the appointment letter at the Sunset Commission the record copy. Thus, the archival code for this series should be changed from an "R" to an "A" and those appointment letters that have fulfilled their retention period should be transferred to the Archives and Information Services Division of the Library and Archives Commission.

Also, the records administrator and records consultant discussed and agreed to change the retention period to AC + 2, with a comment in the Remarks column that AC equals the term of appointment.

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Record Series Review
Series Title: Press Releases

Dates: 1987-1993

Agency: Sunset Advisory Commission

Obsolete record series? Yes

Ongoing record series? No

Annual accumulation:

Agency Holdings:

Records are in the Sunset Advisory Commission's offices. They are to be retained by the agency for two years and purpose served. The actual holdings at the agency date from 1987-1993 and total about one-half cubic foot in volume.

Archival Holdings:

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

Description:

These "press releases" included only notices and agenda of upcoming Commission meetings. They were issued only for a six year period, from 1987-1993. The time, date, place, and agenda of the meeting was given. There is no narrative account of Commission meetings or other Commission actions in these records. Agenda are also available in the Commission's minutes series.

Purpose:

Press releases were created to increase public awareness of Commission meetings.

Agency program:

The Sunset Advisory Commission meets at the call of the chairman at times and places determined by the chairman and vice-chairman. The focus of these meetings is on, but not limited to, the review of state agencies undergoing sunset process, especially the thirteen review criteria as specified in V.T.C.A., Government Code, 325.011 used in determining whether a public need exists for the continuation of an agency or for the performance of the functions of the agency or its advisory committees. The press releases also fulfilled the requirement to post a notice of each meeting under the "Open Records Act," Vernon's Ann. Civ. St., Art. 6252-17. This requirement is regularly met by the commission in filing open records notices with the Secretary of State.

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

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

Gaps? No

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Texas Register Open Meetings notices.

Scheduled record series? Yes

  • Title: Press Releases
  • Series item number: 1.1.019
  • Agency item number: 13
  • Archival code: R
  • Retention: 2 + PS

Appraisal Decision:

Calling these records "press releases" is misleading. The agency is not producing press releases. The records in this series are really notices of upcoming meetings and the agenda. This information is sent regularly to the Secretary of State to be in compliance with the Open Records Act. (The Secretary of State microfilms these open meeting notices from agencies and retains them for twenty years.) There is no need to retain the duplicate information in this series. These records are not archival. This series is obsolete and should be deleted from the schedule. The records have surpassed their retention period and should be destroyed.

If the agency should happen to produce actual press releases in the future, a series appropriately titled "Press Releases" can always be added back to the schedule. In the meantime, this series should be dropped from the schedule.

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Record Series Review
Series Title: Policies and Procedures Manual

Dates: 1981-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: fractional

Agency Holdings:

The agency retains copies of its personnel manual and a policy manual, Summary of Process and Procedure, until superseded. The agency's actual holdings of Summary of Process and Procedure are 1981-[ongoing] and total volume is about .25 cubic foot.

Archival Holdings:

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

The Texas State Publications Depository Program in the Library and Archives Commission has copies of Summary of Process and Procedure from 1981-[ongoing].

Description:

The Sunset Advisory Commission produces both a personnel manual and a policy manual. The personnel manual is concerned with routine office procedures and internal operations. The policy manual is published biennially and entitled Summary of Process and Procedure. Dates of this manual are 1981-[ongoing]. It does define agency policies and program procedures. The Summary of Process and Procedure manual provides an explanation of the sunrise concept, the enabling legislation, the elements in the sunset review process, the results of previous reviews, a preview of agencies to be reviewed, and a list of all past and current members of the Sunset Advisory Commission. The manual provides a summary of the review criteria used by commission staff to evaluate each agency; across-the-board recommendations made to all agencies by the commission; the time sequence for reviews, and an overview of the review process.

Purpose:

The policy manual, in a succinct format, explains why the Sunrise Commission exists, how it operates, what agencies it has reviewed, the recommendations it has made for those agencies, who has been its leadership, and what it hopes to accomplish in the future. The Summary of Process and Procedure manual complements the commission's Final Report by providing a policy statement and historical overview of the commission and its activities.

Agency program:

The Sunset Advisory Commission reviews all agencies scheduled for termination in a particular year under the Texas Sunset Act. The commission applies specific criteria, as set out in V.T.C.A., Government Code, Section 325.011, in determining whether a need for the agency exists. The commission staff prepare a detailed report on each reviewed agency. The commission then prepares an overall Final Report to the Legislature and Governor, as required by V.T.C.A., Government Code Section, 325.010. The Final Report lists the commission's specific criteria findings on agencies, its recommendations, and any other information necessary for evaluations of agencies.

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

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records: None

Scheduled record series? Yes

  • Title: Policies and Procedures Manual
  • Series item number: 1.1.026
  • Agency item number: 16
  • Archival code: R
  • Retention: US

Appraisal Decision:

This series currently contains two distinct and incompatible manuals: a personnel manual and the Summary of Process and Procedure manual. The personnel manual is not considered archival while Summary of Process and Procedure is recommended for archival status. It is succinct in its coverage of the purpose and actions of the Sunset Advisory Commission. The old catch-all series for agency publications, into which Summary of Process and Procedure might have been placed, has been deleted from the retention schedule as of December 1995. Instead, those agency reports - Final Report to the Legislature and Governor, Staff Reports, and Summary of Final Report - that had been in the "Publications" series, each of these has its own series. The Summary of Process and Procedure manual should also be its own series on the retention schedule. The current "Policies and Procedures Manual" series should be renamed "Summary of Process and Procedure." The personnel manual should be in its own series with other personnel records.

The archival code for the "Summary of Process and Procedure" series should be changed from an "R" to an "A." Copies are being sent to the Texas State Publications Depository Program but a note does need to be added to the Remarks column of the retention schedule - "The archival requirement is met by sending the required number of copies of the Summary of Process and Procedure to the Texas State Publications Depository Program of the Library and Archives Commission."

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Record Series Review
Series Title: Organizational Charts

Dates: 1992-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: fractional

Agency Holdings:

Organizational charts are in the agency's offices, printed in Annual Financial Reports (FY 1992-1995) and in the Strategic Plan (1995-1999). These records are retained by the agency until superseded. The agency's actual holdings are 1992-[ongoing], and the total volume is a fractional amount.

Archival Holdings:

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

The archival requirement for this series is fulfilled by sending the required number of copies to the Texas State Publications Depository Program, Texas Library and Archives Commission (13 Texas Administrative Code, Chapter 3, Section 3.3(a)(3)). The Publications Depository Program holds organizational charts printed in the Sunset Advisory Commission's Annual Financial Reports from 1992-[ongoing].

Description:

These records consist of charts showing the organizational structure of the Sunset Advisory Commission, dating 1992-[ongoing], included in the annual financial report (FY 1992-1995) and the strategic plan (1995).

Purpose:

Organization charts indicate agency staff organization in a graphic format.

Agency program:

The Texas Sunset Advisory Commission was created by the Texas Sunset Act, Senate Bill 54, 65th Legislature, Regular Session, in 1977. The Sunset Act is a comprehensive law that provides for automatic termination of state agencies that have a date for review or abolishment set in statute. The Sunset Advisory Commission reviews all agencies scheduled for termination in a particular year by gathering self-evaluation reports from the agencies, conducting public hearings, and preparing reports to the legislature with recommendations to continue or abolish the agencies.

The staff of the Sunset Advisory Commission is divided into three sections in 1995: review projects, administrative services, and support projects. Administration of the agency is provided by a director and an assistant director.

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

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

Gaps? 1979-1991

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or for equivalent or related series.

Publications based on records:

Organizational charts are found in two agency publications: Annual Financial Reports (1992-1995) and Strategic Plan, 1995-1999.

Scheduled record series? Yes

  • Title: Organizational Charts
  • Series item number: 1.1.023
  • Agency item number: 14
  • Archival code: A
  • Retention: US

Appraisal Decision:

Continue to use "A" as the archival code. The archival requirement is fulfilled by sending copies of the Sunset Advisory Commission's Annual Financial Report to the Texas State Publications Depository Program of the Library and Archives Commission, so long as those charts are published in them. The Remarks column in the agency's records retention schedule should state: "Included in Annual Financial Report [if that is the document the commission chooses]. The archival requirement will be met by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission." As an alternative, the agency may simply wish to send to the Archives and Information Services Division a complete set of loose copies of organizational charts, and thereafter send new ones when they are superseded.

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Record Series Review
Series Title: Strategic Plan

Dates: 1995-[ongoing]

Agency: Sunset Advisory Commission

Obsolete record series? No

Ongoing record series? Yes

Annual accumulation: fractional

Agency Holdings:

The agency completed their first strategic plan in 1995. Retained by the agency in its offices permanently. Present holdings of the agency are the 1995 plan, fractional.

Archival Holdings:

None in the Archives and Information Services Division of the Library and Archives Commission.

Archival requirement for this series is fulfilled by sending the required number of copies to the Texas State Publications Depository Program, Library and Archives Commission (13 Texas Administrative Code, Section 3.3 (1) (C)). The Publications Depository Program does not yet have any copies of the 1995 plan.

Description:

Strategic plans are long-range planning tools prepared by the agency in which the goals and objectives of the agency are presented along with performance measures of each. Plans contain a mission statement, a statement of philosophy, an external/internal assessment of the agency, and the goals of the agency. Each goal contains objectives, strategies, and output measures for measuring and achieving the goals. Also present is an organization chart of the agency. The Sunset Advisory Commission prepared its first strategic plan in 1995 for the time from of 1995-1999.

Purpose:

The strategic plan is a long-range planning tool prepared by the agency which sets forth goals and objectives of the agency over a multi-year period.

Agency program:

The Sunset Advisory Commission is required by law, V.T.C.A., Government Code, Section 325, to review the agencies scheduled for termination. The Sunset Advisory Commission reviews all agencies scheduled for termination in aparticular year by gathering self-evaluation reports from the agencies, conducting public hearings, and preparing reports to the legislature with recommendations to continue or abolish the agencies.

Arrangement: Chronological

Access Constraints: None

Use Constraints: None

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

Gaps? The State Publications Depository Program does not have a copy of the 1995 plan.

Problems: None

Known related records in other agencies: None

Previous destructions:

Destruction requests on file in the Archives and Information Services Division of the Library and Archives Commission were checked for the Sunset Advisory Commission and none were found for this series or equivalent or related series.

Publications based on records: None

Suggested record series:

  • Title: Strategic Plans
  • Series item number: 1.1.055
  • Agency item number: to be assigned
  • Archival code: A
  • Retention: PM

Appraisal Decision:

The strategic plans document the long-range planning activities of the commission and are considered archival. Their archival mandate is fulfilled by the agency sending the required number of copies to the Texas State Publications Depository Program. This series needs to be added to the records retention schedule, with an Archival code of "A." The state recommended retention schedule will be revised to carry an Archival Code of "A" for this series. Also, a note should be put in the Remarks column, "The archival requirement will be met by sending the required number of copies of the Strategic Plan to the Texas State Publications Depository Program, Library and Archives Commission." Copies of the 1995 plan have not been sent to the Texas State Publications Depository Program.

 

Page last modified: August 31, 2011