Texas Register

TITLE 34 PUBLIC FINANCE
PART 1COMPTROLLER OF PUBLIC ACCOUNTS
CHAPTER 5FUNDS MANAGEMENT (FISCAL AFFAIRS)
SUBCHAPTER FCLAIMS PROCESSING--GENERAL REQUIREMENTS
RULE §5.61Approval and Certification of Certain Payment, SPRS, and USPS Documents
ISSUE 10/17/2008
ACTION Final/Adopted
Preamble Texas Admin Code Rule

      (ii)If the comptroller receives notification that a head of agency has authorized a named individual, then the head of agency is deemed to have decided that the authorization terminates automatically upon the individual's leaving the position of chief deputy.

    (D)The authorization of a chief deputy may not be limited to designating individuals to approve only payment documents or only USPS and SPRS documents. If the comptroller receives notification that a head of agency has authorized the chief deputy to designate individuals to approve only one type of document, then the head of agency is deemed to have authorized the designation of individuals to approve both types of documents.

(i)How to revoke authorizations of individuals to designate other individuals to approve payment and USPS or SPRS documents.

  (1)State agencies headed by a governing body.

    (A)The governing body of a state agency may revoke its authorization of a presiding officer or executive director to designate individuals to approve the agency's payment and USPS or SPRS documents.

    (B)If a governing body revokes an authorization, then the body's presiding officer shall ensure that the comptroller receives written notice of the revocation not later than the tenth day after its effective date.

    (C)If the comptroller determines that an individual made a designation after the effective date of the revocation of the individual's authority to make designations, then the comptroller may not recognize the designation.

    (D)This subparagraph applies only if the governing body of a state agency has authorized a named individual to designate individuals to approve the agency's payment and USPS or SPRS documents.

      (i)The comptroller shall stop recognizing the authorization of an individual who, at the time of the authorization, was the body's presiding officer if the comptroller determines that the individual no longer holds that position.

      (ii)The comptroller shall stop recognizing the authorization of an individual who, at the time of the authorization, was the agency's executive director if the comptroller determines that the individual no longer holds that position.

      (iii)A determination under clause (i) or (ii) of this subparagraph may be based on any information the comptroller deems credible.

    (E)A change in the membership of a governing body does not automatically revoke an authorization made by that body. Whether an authorization would be revoked automatically by the abolishment of a governing body, the wholesale substitution of one governing body for another, or the transfer of a state agency from the jurisdiction of one governing body to another would depend on the legislation enacting the abolishment, substitution, or transfer.

  (2)State agencies headed by an elected or appointed state official.

    (A)The head of agency of a state agency may revoke the authorization of a chief deputy to designate individuals to approve the agency's payment and USPS or SPRS documents. The head of agency shall ensure that the comptroller receives written notice of the revocation not later than the tenth day after its effective date. If the comptroller determines that an individual made a designation after the effective date of the revocation of the individual's authority to make designations, then the comptroller may not recognize the designation.

    (B)This subparagraph applies only if the head of agency of a state agency has authorized a named individual to designate individuals to approve the agency's payment and USPS or SPRS documents. The comptroller shall stop recognizing the authorization of an individual who, at the time of the authorization, was the chief deputy if the comptroller determines that the individual no longer holds that position. This determination may be based on any information the comptroller deems credible.

    (C)When an individual stops being the head of agency of a state agency, all authorizations made by that individual are revoked automatically. Whether an authorization would be revoked automatically by the transfer of a state agency from the jurisdiction of one head of agency to another would depend on the legislation enacting the abolishment, substitution, or transfer.

(j)How to designate individuals to approve payment and USPS or SPRS documents.

  (1)State agencies headed by a governing body.

    (A)An individual who has been designated to approve a state agency's payment and USPS or SPRS documents may approve one of those documents if:

      (i)the comptroller has received proper written notice of the designation;

      (ii)the comptroller has received a signature card that complies with subsection (l) of this section; and

      (iii)the individual's security profile has been established according to:

        (I)USAS security's procedures and requirements if the approval is of a payment document; or

        (II)USPS or SPRS security's procedures and requirements if the approval is of a USPS or SPRS document.

    (B)Written notice to the comptroller is proper only if the notice satisfies the requirements of this subparagraph.

      (i)The notice must be:

        (I)a certified copy of the minutes of the meeting of the governing body during which it made the designation; or

        (II)a letter, memorandum, or other writing.

      (ii)If the notice consists of a copy of the minutes, then the copy must be certified and signed by:

        (I)the presiding officer of the governing body; or

        (II)the member of the governing body who is responsible for keeping those minutes.

      (iii)If the notice is in the form of a letter, memorandum, or other writing, then it must be signed by:

        (I)the presiding officer of the governing body if it made the designation; or

        (II)the individual who made the designation if the governing body did not.

      (iv)The notice must:

        (I)identify the governing body or individual who made the designation;

        (II)list the legal name of the designated individual;

        (III)state an effective date for the designation; and

        (IV)say in substance that the individual has been designated to approve payment and USPS or SPRS documents.

    (C)Notwithstanding subparagraph (A)(iii) of this paragraph, an individual may provide non-electronic approval of a payment, SPRS, or USPS document without establishing a security profile. This subparagraph applies only if the comptroller does not require the approval to be provided electronically.

    (D)The designation of an individual to approve payment, SPRS, or USPS documents must be of a named individual. The designation may not be of just anyone who holds a particular office or position. If the comptroller receives notification that a particular office or position has been designated, then the designation will be deemed to have been of the individual who holds the office or position as of the date the designation is made. The comptroller's failure to specifically refuse to recognize the designation of an office or position does not constitute the comptroller's acceptance of the designation of the office or position.

    (E)The designation of an individual may not be limited to approving only payment documents or only USPS and SPRS documents. If the comptroller receives notification that an individual has been designated to approve only one type of document, then the designation will be deemed to include approval of both types of documents.

  (2)State agencies headed by an elected or appointed state official.

    (A)An individual who has been designated to approve a state agency's payment and USPS or SPRS documents may approve one of those documents if:

      (i)the comptroller has received proper written notice of the designation;

      (ii)the comptroller has received a signature card that complies with subsection (l) of this section; and

      (iii)the individual's security profile has been established according to:

        (I)USAS security's procedures and requirements if the approval is of a payment document; or

        (II)USPS or SPRS security's procedures and requirements if the approval is of a USPS or SPRS document.

    (B)Written notice to the comptroller is proper only if the notice:

      (i)is signed by the individual who made the designation;

      (ii)lists the legal name of the designated individual;

      (iii)says who made the designation;

      (iv)states an effective date for the designation; and

      (v)says in substance that the individual has been designated to approve payment and USPS or SPRS documents.

    (C)Notwithstanding subparagraph (A)(iii) of this paragraph, an individual may provide non-electronic approval of a payment, SPRS, or USPS document without establishing a security profile. This subparagraph applies only if the comptroller does not require the approval to be provided electronically.

    (D)The designation of an individual to approve payment and USPS or SPRS documents must be of a named individual. The designation may not be of just anyone who holds a particular office or position. If the comptroller receives notification that a particular office or position has been designated, then the designation will be deemed to have been of the individual who holds the office or position as of the date the designation is made. The comptroller's failure to specifically refuse to recognize the designation of an office or position does not constitute the comptroller's acceptance of the designation of the office or position.

    (E)The designation of an individual may not be limited to approving only payment documents or only USPS and SPRS documents. If the comptroller receives notification that an individual has been designated to approve only one type of document, then the designation will be deemed to include approval of both types of documents.

(k)How to revoke designations of individuals to approve payment and USPS or SPRS documents.

  (1)State agencies headed by a governing body.

    (A)The governing body of a state agency may, at anytime, revoke the designation of an individual to approve the agency's payment and USPS or SPRS documents, regardless of who made the designation.

    (B)This subparagraph applies only if a state agency's presiding officer is authorized to designate individuals to approve the agency's payment and USPS or SPRS documents. The presiding officer may revoke the designation of an individual only if:

      (i)the presiding officer made the designation;

      (ii)an individual who previously held the position of presiding officer made the designation while holding that position;

      (iii)the agency's executive director made the designation; or

      (iv)an individual who previously held the position of executive director made the designation while holding that position.

    (C)This subparagraph applies only if a state agency's executive director is authorized to designate individuals to approve the agency's payment and USPS or SPRS documents. The executive director may revoke the designation of an individual only if:

      (i)the executive director made the designation; or

      (ii)an individual who previously held the position of executive director made the designation while holding that position.

    (D)If the designation of an individual to approve payment and USPS or SPRS documents is revoked, then the comptroller must receive written notification of the revocation not later than the tenth day after the revocation is made. The ten day period starts running when the revocation decision is made, not when the revocation takes effect. The notification must be provided by the presiding officer of a governing body if that body revoked the designation. Otherwise, the notification must be provided by the individual who revoked the designation.

    (E)A change in the membership of a state agency's governing body does not automatically revoke the body's designation of any individual to approve payment and USPS or SPRS documents. Whether designations would be revoked automatically by the abolishment or creation of a governing body, the substitution of one governing body for another, or the transfer of a state agency from the jurisdiction of one governing body to another would depend on the legislation that enacts the change.

    (F)A notification to the comptroller under subparagraph (D) of this paragraph must satisfy the requirements of this subparagraph.

      (i)The notification must be:

        (I)a certified copy of the minutes of the meeting of the governing body during which it revoked the designation; or

        (II)a letter, memorandum, or other writing.

      (ii)If the notification consists of a copy of the minutes, then the copy must be certified and signed by:

        (I)the presiding officer of the governing body; or

        (II)the member of the governing body who is responsible for keeping those minutes.

      (iii)If the notification is in the form of a letter, memorandum, or other writing, then it must be signed by:

        (I)the presiding officer of the governing body if it revoked the designation; or

        (II)the individual who revoked the designation if the governing body did not.

      (iv)The notification must:

        (I)identify the governing body or individual who revoked the designation;

        (II)list the legal name of the individual whose designation is revoked;

        (III)state an effective date for the revocation; and

        (IV)say in substance that the individual's designation to approve payment and USPS or SPRS documents is revoked.

  (2)State agencies headed by an elected or appointed state official.

    (A)The head of agency of a state agency may, at anytime, revoke the designation of an individual to approve the agency's payment and USPS or SPRS documents, regardless of who made the designation.

    (B)This subparagraph applies only if a state agency's chief deputy is authorized to designate individuals to approve the agency's payment and USPS or SPRS documents. The chief deputy may revoke the designation of an individual only if:

      (i)the chief deputy made the designation; or

      (ii)an individual who previously held the position of chief deputy made the designation while holding that position.

    (C)If the designation of an individual to approve payment and USPS or SPRS documents is revoked, then the comptroller must receive written notification of the revocation not later than the tenth day after the revocation is made. The ten day period starts running when the revocation decision is made, not when the revocation takes effect. The notification must be provided by the individual who revoked the designation.

    (D)A change in a state agency's head of agency does not automatically revoke the head of agency's designation of any individual to approve payment and USPS or SPRS documents. Whether designations would be revoked automatically by the transfer of a state agency from the jurisdiction of one head of agency to another would depend on the legislation that enacts the change.

    (E)A notification to the comptroller under subparagraph (C) of this paragraph must:

      (i)be signed by the individual who revoked the designation;

      (ii)identify the individual who revoked the designation;

      (iii)list the legal name of the individual whose designation is revoked;

      (iv)state an effective date for the revocation; and

      (v)say in substance that the individual's designation to approve payment and USPS or SPRS documents is revoked.

  (3)Mandatory revocations because of termination of employment.

    (A)This paragraph applies to all state agencies.

    (B)When an individual terminates employment with a state agency, the individual's designation to approve the agency's payment and USPS or SPRS documents ends on the effective date of the termination. Any officer or employee of the agency may notify the comptroller about the termination. Regardless of who provides the notification, the agency must ensure that the comptroller receives it not later than the fifth day after the effective date of the termination.

    (C)The comptroller shall stop recognizing the designation of an individual to approve a state agency's payment and USPS or SPRS documents if the comptroller determines that the individual has terminated employment with the agency. This determination may be based on any information the comptroller deems credible.

  (4)Revocations by the comptroller.

    (A)This paragraph applies to all state agencies.

    (B)The comptroller may unilaterally revoke the designation of any individual to approve payment and USPS or SPRS documents for any reason the comptroller deems appropriate.

  (5)USAS security profile changes.

    (A)If the designation of an individual to approve payment and USPS or SPRS documents is revoked, then the individual's security profiles in USAS and USPS or SPRS, if any, must be changed so that:

      (i)USAS no longer recognizes the individual's user identification number as belonging to an individual who has authority to approve payment documents; and

Cont'd...

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