Fiscal Management Staff Contacts by Section
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The Appropriation Control section serves as the primary contact between the Comptroller’s office and fiscal and budget personnel at state agencies and institutions.
The section provides an analysis of each General Appropriations Act introduced by the Legislature to determine if the funds appropriated are within the amount of revenue certified to be available. Section staff provides interpretations of the GAA and guidance on Comptroller policies and procedures, performs analysis and research on budgetary issues, provides financial information and interpretive assistance to agency and institution representatives and works with other oversight agencies on various issues to implement legislative policies and mandates.
The section monitors financial and budgetary transactions and is responsible for approving and monitoring agency and institution appropriation activity in USAS. The section also provides USAS functional assistance and training to agency and institution personnel. Other duties include maintaining the appropriation profiles in USAS and performing fund transfers.
- Cost the GAA and assist with the certification process
- Provide interpretations of the GAA and other statutes and implement specific and statewide provisions as necessary
- Assist agencies and institutions in understanding and implementing accounting policy directives including monitoring for compliance
- Update and review FPPs for changes in legislation and rules
- Reconcile GAA Fiscal Size-Up version to USAS to ensure legislative decisions on appropriation levels are established in USAS
- Approve and monitor agency and institution appropriation activity in USAS
- Allocate dedicated revenues to agencies’ and institutions’ appropriated funds
- Maintain appropriation controls in USAS on behalf of agencies and institutions
- Provide USAS functional assistance and training to personnel
- Reconcile funds collected and administered by Comptroller — Fiscal
- Reconcile funds collected and administered by other agencies and institutions per statute
Responsible for monitoring state agencies’ and institutions of higher education appropriations.
The CAPPS Administration section is responsible for providing over-arching support for the CAPPS program and assists the sections responsible for CAPPS:
- CAPPS Technical Operations
- Deployment — CAPPS Financials
- Deployment — CAPPS HR/Payroll
- Deployment — CAPPS Learn
- Deployment — CAPPS Recruit
- Production Support — CAPPS Financials
- Production Support — CAPPS HR/Payroll
- Statewide Fiscal Cyber Security
This section initiates, monitors and reports contractual obligations in support of CAPPS. Additionally, this section is responsible for timely and accurate reporting of predetermined Service Level Agreements (SLAs) and compiles monthly statistics to present to Enterprise Resource Planning Leadership prior to final disposition.
- Project Management for all CAPPS deployment efforts
- Project Management for all cyclic processes
- Manage change management, incident management, problem management, service desk and service levels
- Manage standard operating procedures to promote consistency across various layers of services
- Participate in the Application Change Request management process to ensure proper integration between legacy mainframe systems and CAPPS
- Provide assistance with managing our functional resource contracts
- Provide onboarding responsibilities for functional contractors
- Initiate, monitor and report contractual obligations of CAPPS
- Report Service Level Agreements and statistics
CAPPS Technical Operations
The CAPPS Technical Operations section is responsible for providing operational and technical support for CAPPS Central and Hubs, all associated interfaces, ancillary systems, reports, queries and overnight processing. Additionally, the section is responsible for all technical oversight of projects, production deliverables and infrastructure security.
This sections works in conjunction with the Statewide Fiscal Cyber Security, CAPPS Administration, CAPPS Deployment, and CAPPS and Mainframe Production Support sections in their efforts to deploy and support CAPPS.
- Provide operational and technical support for the CAPPS systems
- Ensure systems are operational during expected business hours
- Provide technical expertise for technical design and coding
- Prepare technical documents for review
- Provide technical support for CAPPS Central and Hub agencies
- Support CAPPS Deployment sections and CAPPS agencies with on-boarding activities
- Troubleshoot basic infrastructure and applications when issues arise
- Ensure all incidents are recorded in service desk and escalated in the proper manner
- Document and facilitate monthly distribution of CAPPS baseline to Hub agencies
- Develop and support CAPPS reporting requirements
- Develop and support CAPPS reporting requirements
Lead Technical Advisor
The CAPPS Financials and CAPPS HR/Payroll Deployment sections are responsible for planning and supporting the deployment of state agencies onto CAPPS Central and providing oversight support to agencies joining CAPPS as a Hub. Agencies join CAPPS as a Hub due to their size and/or complexity and are responsible for deploying and maintaining the CAPPS baseline on their infrastructure. The majority of state agencies join CAPPS Central (Financials and HR/Payroll).
- Analyze and refine ERP statewide implementation strategy
- Participate in planning and deployment of CAPPS Central to agencies
- Perform scoping, configuration and prototyping based on interaction with state agency personnel
- Review estimates for system enhancements required for deployments and assist in prioritization of technical efforts
- Provide functional and oversight support to CAPPS Central and Hub agencies
- Participate in identification, research, analysis, design, development and testing of necessary CAPPS changes and enhancements
- Participate in the ACR management process to ensure proper integration between legacy mainframe systems and CAPPS
CAPPS Production Queue
Comptroller Manual of Accounts
The Expenditure Assistance section provides information to state agencies and institutions on state expenditure laws, rules and policies.
The section assists state agencies and institutions to ensure the accurate and efficient processing of valid purchase and travel documents. This includes training on purchase and travel-related expenditures developed and conducted by the section.
Additionally, the section processes miscellaneous claims and settlement and judgement claims for a range of governmental entities and vendors. The section also assists state agencies with 1099-related data and activities.
- Research and respond to travel and purchase-related inquiries to assist state agencies, vendors and the general public on expenditure rules and guidelines
- Communicate procedural changes and update expenditure-related publications to familiarize agencies with state rules and regulations on purchase and travel expenditures
- Provide travel and purchase training classes and agency-specific training by special request
- Process the following for various governmental entities and vendors: County Lateral Road and Bridge allocations
- Gross weight axle fee distribution
- Military Veterans Exemptions (MVE) allocations
- Miscellaneous claims
- Permanent Health Fund allocations
- Settlement and judgment claims
- Tobacco settlement allocations
- Wrongful Imprisonment Lump Sum and Annuity
- Manage expenditure code section of Texas Comptroller Manual of Accounts including updates to web-based information and coordination of necessary USAS profile changes
- Conduct pre-payment expenditure audits for agencies identified as high risk due to previous post-payment audit findings
- Support statewide financial systems by providing subject matter expertise and training on travel and expenditure rules
- Assist state agencies with requesting their 1099 data from USAS and coordinate printing and distribution of 1099 forms
- Complete IRS 1099 data for 902 – Comptroller Fiscal that includes mailing forms and coordinating transfer to IRS
- Process monthly reimbursement payments as requested by junior colleges for the state portion of optional retirement contribution
- Process Disbursement Method Indicator Changes for all state agencies and universities
The Expenditure Audit section is responsible for ensuring compliance with state laws, rules and policies governing expenditures. The section conducts state agency and institution post-payment audits on purchase (including procurement), travel and payroll expenditures to confirm accurate compliance and payment processing.
Additionally, section staff conduct an annual risk assessment to identify agencies to be audited in the next fiscal year and analyzes audit period population reports of documents paid through USAS, USPS, SPRS and appropriated funds held outside the state’s Treasury to determine the amount of transactions to be audited.
The section also manages a recovery audit program that periodically requires 10–15 agencies to undergo audits for the detection and recovery of overpayments.
- Conduct post-payment audits of state agencies’ expenditures to ensure compliance with:
- Appropriate statutory requirements
- Provisions in the GAA
- State rules and regulations for purchase (including procurement), travel and payroll documents
- Distribute Post-Payment Audit Quarterly Summary to oversight agencies and the Legislature at the end of each quarter
- Perform analysis and research of state expenditure data to:
- Monitor expenditure compliance
- Provide thorough audit research
- Identify expenditure recovery opportunities
- Coordinate and monitor overpayment recovery audit activities and audit findings reported biennially to oversight entities and the Legislature
- Administer manual voucher approvals and voucher signature cards used to control security in the statewide financial systems
- Maintain post-payment audit contracts with state agencies and institutions
- Perform pre-payment audits on purchase, travel and payroll expenditures processed as manual expedites
- Coordinate and participate in special projects or special request audits as assigned
The Financial Reporting section is responsible for compilation and preparation of the State of Texas Comprehensive Annual Financial Report (CAFR) in accordance with Generally Accepted Accounting Principles (GAAP). The section also prescribes accounting and reporting procedures for state agencies and institutions to use in the preparation of their individual annual financial reports (AFR). Additionally, the section compiles and publishes the State of Texas Annual Cash Report (Cash Report).
The section interprets and responds to national accounting and reporting issues and provides training seminars and individual assistance to agencies and institutions for the preparation of their AFRs. Additionally, the section is responsible for the establishment and maintenance of, and guidance for, all USAS profiles related to GAAP-level reporting, the transaction code profiles and the general ledger profiles.
- Compile and publish the CAFR
- Compile and publish the Cash Report
- Annually update AFR website
- Interpret and implement new accounting standards and respond to national accounting and reporting issues
- Maintain and administer web-based financial reporting systems, including:
- Agency Cash Flow Reporting (ACFR)
- Bond Reporting System (BRS)
- Capital Asset Notes Submission System (CANSS)
- CAFR Note and Reporting Certification (CNRC)
- Deposit and Investment Note Submission System (DINSS)
- General Revenue Reconciliation (GR Recon)
- Lease Note Submission System (LNSS)
- Long-Term Liability Note (LTLN)
- Other Notes and Disclosures Submission System (ONDSS)
- Restatement Note Submission System (RNSS)
- Schedule of Expenditures of Federal Awards (SEFA) and related federal pass-through funds
- State Pass-Through Reporting (SPTR)
- Provide subject matter expertise and technical assistance to agency personnel for preparation of agency AFRs
- Maintain all GAAP-level reporting profiles in USAS
Fiscal Documentation supports Fiscal Management by providing communication services for the division, as well as state agencies and institutions, in accordance with agency and division policy. The section is comprised of technical writers and graphic designers.
- Develop primarily web-based policy and procedure communications for FM statewide financial systems and functions including: FPPs, system manuals and annual reports
- FMXtra weekly e-newsletter
- FMXtra special editions to targeted groups as needed
- FM section e-newsletters distributed via GovDelivery
- Manage and maintain content for FM’s three main websites (FMX; FMi; ProjectONE) and FMX supporting websites (AFR; eXpendit; Security Coordinator Reference; Texas Payroll/ Personnel Resource; Textravel)
- Create and analyze surveys and revise division forms
- Create graphic designs for manuals, reports, websites, brochures, posters, certificates and other projects
- Update divisional organization charts and phone lists
- Develop financial reports for the public and reports to the Legislature:
- Fiscal Briefs highlighting state of Texas financial topics and resources in a condensed format using plain language
- Report to the Citizens of Texas
- Report to the Legislature: Administering Overpayment Recovery Audits in the State of Texas
- Report to the Legislature: CAPPS — ERP in Texas
- Post-Payment Audit Reports
Fiscal Management Administration
FM Administration provides administrative and operational support for the division and directs state agencies and institutions of higher education to the appropriate section for assistance. The section is comprised of a receptionist, executive assistants and coordinators for programs, purchasing and training.
Fiscal Systems Support
The Fiscal Systems Support section is primarily responsible for the receipt, analysis, review, coordination, scheduling and testing of all Application Change Requests (ACRs) for statewide financial systems including HRIS, Pay Subs, SPA, SPRS, TINS, USAS and USPS, and the statewide reports.
In addition to managing ACR coordination for mainframe systems, the section also provides website support and administration and web/desktop systems support for the statewide financial systems. The section also provides support for FM Query and the Business Objects tool, and responds to open records requests.
- Administer change management methodology by:
- Acting as liaison between business users and systems technical support staff during technical design and coding
- Consulting with systems business users to gather and document system requirements
- Supporting user and agency work groups related to ACRs
- Preparing and executing test plans for system changes
- Performing ACR documentation quality control
- Maintaining ACR data in Quality Center
- Assist with communication to outside agencies in the following areas:
- Website administration (including FMX, ProjectONE and CAPPS portal)
- Development and support of web-based trainings for statewide financial systems
- User group presentations
- ACR announcements
- Assist with communications to internal users in areas of website administration including FMi
- Provide web and desktop applications development and support for FM departments
- Ensure all web pages and applications follow accessibility guidelines and standards
- Respond to open records requests within 10 working days in compliance with the Texas Public Information Act
- Fulfill requests from internal and state agency customers for ad hoc reports
- Provides support for FM Query and Business Objects application tool
Develops and maintains Fiscal Management’s web resources such as the FMX and ProjectONE websites.
Web/Desktop designs, develops, implements and maintains Fiscal Management web and desktop applications that support statewide initiatives and applications.
Ad Hoc Reporting provides a service where internal and external customers can request one-time reports containing fiscal, personnel, or payroll data from the statewide financial systems: HRIS, SPRS, TINS, USAS and USPS. Also supports the Open Records Division by providing responses to requests for information.
Provides support for FM Query and Business Objects.
The Payment Services section is responsible for the distribution of state payments via warrants and direct deposit. The section administers the warrant hold and direct deposit programs, issues expedite warrants and assists agencies with setting up or updating payee information in TINS.
- Administer the state’s direct deposit program including employee paycard
- Distribute warrants and maintain sufficient warrant inventory
- Process manual expedite warrants
- Correct data discrepancies between TINS and other statewide financial systems — including the Integrated Tax System (ITS) — on daily reports and provide supporting documentation to ITS as required
- Perform TINS maintenance for state agencies when system edits prevent them from correcting or entering data in TINS
- Administer warrant hold program including processing payment offsets issued against state-owed liabilities
- Cancel held and reinstated warrants and process direct deposit reversals
- Provide training classes and resources on TINS and its processes for agencies and institutions
- Provide customer service for payments and warrant holds to agencies, institutions and other payees of the state
- Create, update and maintain TINS, direct deposit and warrant hold documentation for the education and benefit of internal and external customers
- Research and support enhancements and corrections to TINS through Application Change Request (ACR) submissions
Production Support (CAPPS Financials; CAPPS HR/Payroll; Mainframe Systems and Training)
The CAPPS Financials and CAPPS HR/Payroll Production Support sections support CAPPS Central agencies on all facets of processing personnel/payroll and accounting information in CAPPS, and provide oversight support to agencies joining CAPPS as a HUB (agencies deploying and maintaining the CAPPS baseline on their infrastructure).
In conjunction with the Mainframe and Training section, Production Support is also responsible for supporting agencies and institutions of higher education on all facets of processing payroll/personnel information in USPS and SPRS and reporting information in HRIS. Production Support also documents, interprets and communicates state salary administration policy information and assists with the production and reconciliation of statewide personnel reports.
Additionally, the Mainframe and Training section is responsible for developing, creating and maintaining training in CAPPS and mainframe systems, for deploying and steady-state agencies.
- Provide functional support to CAPPS Central and mainframe agencies and oversight support to HUB agencies.
- Provide functional and oversight support to CAPPS Hub agencies
- Participate in identification, research, analysis, design, development and testing of CAPPS changes
- Participate in the Application Change Request (ACR) management process to ensure proper integration between legacy mainframe systems and CAPPS
- Assist agency and institution personnel with processing payroll and personnel information in USPS and SPRS and reporting personnel and payroll information to HRIS to ensure uniformity, accountability and timely and accurate data processing
- Document, interpret and communicate state salary administration policy information to state agencies, institutions and FM staff
- Provide statewide payroll and personnel systems training classes and resources for state agencies and institutions
- Research and process system data change requests through the Letter of Authorization (LOA) process
- Coordinate, analyze and review payroll and personnel data in response to open records requests
- Create, update and maintain payroll-related documentation for internal and external customers
- Communicate essential payroll and personnel information to state agencies and institutions via Fiscal Policies and Procedures (FPPs) and presentations at user and focus group meetings
- Inform system users of process changes and related news via system home pages and news screens
- Research and support HRIS, SPRS and USPS enhancements and corrections through ACR submissions
- Assist with reconciliation of statewide reports: Annual Report (Statewide Hiring Practices for the Fiscal Year)
- Veteran’s Preference Report
- Equal Employment Opportunity (EEO) Report
- EEO-4 Report
- Review legislative changes for impact to statewide financial systems and salary administration policy during legislative years and respond to legislative requests for information and fiscal notes
- Coordinate activities after legislation is enacted to ensure:
- System changes are complete by legislatively mandated deadlines
- Agency notification is developed and communicated
- Training is prepared and classes are offered by legislatively mandated deadlines
- Participate in W-2 calendar year-end reporting by:
- Reviewing changes in reporting requirements and forms
- Working with the technical team to ensure W-2 reporting meets federal requirements
- Producing and distributing W-2s for USPS and CAPPS Central agencies
- Reconciling the Social Security Administration (SSA) electronic report to magnetic media reporting requirements and to approved agency totals prior to timely submittal to SSA
- Coordinate and participate in other special projects as assigned
- Review federal laws and requirements over payroll and benefit reporting
Statewide Fiscal Cyber Security
The Statewide Fiscal Cyber Security section is responsible for support and administration of application-level security of all FM statewide financial systems including CAPPS, HRIS, SPA, SPRS, TINS, USAS and USPS as well as the ASP Solution Center, Business Intelligence and SharePoint.
This section also works in conjunction with the CAPPS Deployment sections, CAPPS Production Support sections and the Mainframe Production Support section to deploy and support CAPPS, and provide support to Comptroller mainframe systems.
- Participate in identification, research, analysis, design, development and testing of CAPPS changes
- Communicate system information and project updates to CAPPS user audiences through various mediums (email; web; face-to-face)
- Review vulnerability scans and penetration testing results and monitor patching resolutions
- Administer and support application-level security for all FM statewide financial systems
- Coordinate and participate in other special projects as assigned
Statewide Fiscal Programs
The Statewide Fiscal Programs section is responsible for initiating and monitoring financial and budgetary transactions involving Comptroller – Fiscal (Agency 902) and cooperating with other agency departments in initiating cash transactions that impact the balance of the general revenue fund (GR), including interfund borrowing and cash transfers to fund legislative appropriations.
As directed by statute, the section is responsible for transfer of revenues collected by the Comptroller’s office to the administering agency. The section processes transfers of general revenue to various accounts as directed by the GAA and is responsible for the sweep from agency appropriations 70000, 99906, 99907, 99908 and sweep reimbursements to agencies for hotel/motel taxes paid for employees.
The section produces the Comptroller State Fiscal Annual Financial Report (agency 902) used as part of the State of Texas Comprehensive Annual Financial Report (CAFR).
The section is also responsible for the Treasury-to-USAS cash reconciliation and assists in the preparation of the State of Texas Annual Cash Report by analyzing legislation and fiscal notes detailing statewide fiscal impact and producing cash flow forecasts and other documents related to issuing short-term borrowing notes and the quarterly bond appendix.
This section assists the Revenue Estimating Division in the costing process to ensure adequate funding to support Comptroller certification of appropriations.
Additionally, the section administers SPA, the centralized system of agency property records where all state of Texas capital asset information is centrally maintained.
Provides USAS subject matter expertise as needed to CPA staff and outside agencies.