1 | P a g e

New Board Member Orientation – 2020 Agenda Item 7

Operations Manager

1. Policy EA-005 – Travel Policy and ProceduresA. Travel Expense Report

a. Mileage – CPA adjusts annually

b. Travel & Compensatory Per Diems

B. Travel Voucher

C. Air/Ground Transportation

D. Airfare (Bookings – Contracted Travel Agency)

E. Hotel Accommodation – Hotel Engine Contracted

a. In-state – Board & Committee meetings

b. Out-of-state – Conferences and meetings

F. Board Meeting Planner

G. Visitor Parking at Centennial Towers available

2. Policy AE-002 - TBAE Board Meeting PreparationA. Board meeting Electronic Notebooks (Link to TBAE Website)

B. Bring your own Device (BYOD)

C. Calendar of Events – Incorporated into Board notebook

D. Meeting location – Conference Room 370 for Board/Committee meetings

E. Board meeting subsequent dates approved by Board – Annually at the AugustBoard meeting

3. Policy EA-011 - Filing the Personal Financial Statement &Instructions

A. Personal Financial Statement due to Ethics Commission on April 30 of each year.

B. Noted on Event Calendar – Operations manager will send a reminder tomembers prior to annual electronic filing.

1

2 | P a g e

4. Policy EA-009 – Executive Director Performance EvaluationA. Board will meet in Executive Session, August of each year.

B. Operations Manager will distribute Executive Director Performance EvaluationTimeline & Process prior to the August meeting.

5. Policy EA-012 – Board Officers Election & Committee

AppointmentsA. Board Committee Membership – Chair appoints members annually

B. Board Officers – Chair appoints officers November each year

6. Board & Conference materialsWall Certificate Distribution – Distributed to Board Officers for their

signatures via overnight delivery or at Board meetings.

7. Board Directory - Board member confidential contact list

8. New Hire/Orientation FormsA. Form I-9 – Employment Eligibility Verification

B. Form W-4 (2020) Tax Withholding

C. Direct Deposit – Compensatory & Travel Per Diem

D. Protection of Personal Information Form

E. Individual Traveler Profile – Air travel

F. Dual Office Certification Form

2

EA-005 TBAE Travel and Reimbursement Policy Page 1

Policy Title: TBAE Travel and Reimbursement Policy

Policy Number EA-005

Originally Issued: October 18, 2011 Revision Dates: April 1, 2012 April 1, 2013 May 30, 2013 – Reviewed Oct 1, 2013 Dec 16, 2013 Sep 30, 2015 Jun 1, 2016 Sep 2, 2016 Mar 7, 2017 Jan 1, 2018 Jan 1, 2019

Feb 3, 2014 Sep 22, 2014 Jan 26, 2015 May 4, 2015 June 3, 2015 Aug 31, 2015 – Reviewed Jan 1, 2016 June 20, 2016 Dec 19, 2016 Sep 5, 2017 Sep 18, 2018 Jan 2, 2020

Policy Revisions:

Oct 1 – 2018 GSA Max Per Diem Rates – 53.5¢ per mile Rate (Sep 1 – Dec 31, 2017); In State and Out of State Meals and Lodging Rates October 2013: Pages 3-4 – Vehicle Rental Services Contract Extension (Dec 3, 2012 & Apr 1, 2013) 2nd change (Apr 1 – Jun 30 2013) Page 5 – Mileage – Mileage Reimbursement Rate Increases to 56.5¢ per mile effective Jan 1 to Dec 31, 2013 Page 5 – Mileage – Mileage Reimbursement Rate Decreases to .56¢ per mile effective Jan 1 – Dec 31, 2014 Feb 3, 2014: Page 4 - Avis Rent A Car System, Inc. & Enterprise Rent-A-Car Contract Term extended thru August 31, 2014 Sep 22, 2014: Fiscal 2015 Travel Rates Available Fiscal 2015 travel reimbursement rates are available now for: In-state or out-of-state meals and lodging; In-state or out-of-state non-overnight meals; Automobile mileage; Aircraft mileage Jan 26, 2015: Mileage Reimbursement Rate Increases to 57.5¢ per mile effective Jan 1 – Dec 31, 2015 May 4, 2015, page 5 - revised Travel Authorization Form; Executive Director is approving authority June 3, 2015, page 6 – amended the Processing Reimbursement for Travel for Board and staff Oct 1, 2015 – M&IE & Lodging \ Jan 1, 2016 – Mileage Reimbursement Rate Decreases to 54¢ per mile effective Jan 1 – Dec 31, 2016 Jun 1, 2016 – Vehicle Rental Services Contract Extension, Jun 1 – Nov 30, 2016 Jun 21, 2016 – Requesting a Higher Maximum Lodging Reimbursement Rate Sep 2, 2016 – Fiscal 2017 Travel Reimbursement Rates Dec 19, 2016 – Mileage Reimbursement Rate decreases to 53.5¢ per mile effective Jan 1 – Dec 21, 2017 Mar 7, 2017 – Added Clause: Request to Increase Higher Maximum Lodging Rate for Board members Sep 18, 2018 – 2019 M&IE/Lodging Jan 1, 2018 - Mileage Reimbursement Rate Increased to 54.5 Cents (Jan 1 – Dec 31, 2018) Jan 1, 2019 – Mileage Reimbursement Rate Increased to 58 Cents (Jan 1 – Dec 31, 2019) Jan 2, 2020 – Mileage Reimbursement Rate decreased to 57.5 Cents (Jan 1 – Dec 31, 2020)

Approved By: Executive Director

Responsible Department: Executive Administration & Finance

Primary Policy Custodian Operations Manager

Purpose The Texas Board of Architectural Examiners (TBAE) reimburses Board members and staff for travel expenses in accordance with state law. It is the policy of the TBAE to reimburse Board members and staff for reasonable and necessary expenses incurred in connection with approved travel on behalf of the agency. The TBAE strongly

505 E. Huntland Dr., Suite 350 Austin, TX 78752

P.O. Box 12337 Austin, TX 78711-2337

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.state.tx.us

3

EA-005 TBAE Travel and Reimbursement Policy Page 2

encourages use of travel discounts when making travel arrangements. Board members and staff seeking reimbursement should incur the lowest reasonable travel expenses and exercise care to avoid impropriety or the appearance of impropriety. Reimbursement is allowed only when reimbursement has not been, and will not be, received from other sources. References and related Resources or Statutory Authority Travel Regulations Act, Government Code §660 U. S. General Service Administration (GSA) Per Diem Rates, the General Appropriations Act (GAA) Texas Procurement and Support Services (TPASS) Texas Government Code §1051.106, and the Internal Revenue Service (IRS) Scope TBAE Board members and staff Policy

1. Travel expenses should be the lowest cost possible, considering all relevant circumstances.

2. The Board members are entitled to compensatory per diem payment of $30 per day for each day that the Board member engages in board business. Per the IRS, compensatory per diem is subject to income tax and FICA withholding and must be reported at year-end on a Form W-2. The TBAE pays compensatory per diem for official Board business, such as: Board meetings, Board committee meetings; conferences and required TBAE training/workshops; other official Board business, as approved by the Board Chair and or/Executive Director. Board members will complete the Compensatory Per Diem section on the Travel Expense Report.

3. For lodging, car rental, and airfare, Board members and staff are required to use travel vendors under contract with the state, unless an exception has been approved in accordance with Texas Procurement and Support Services (TPASS) requirements TAC Section 20.303.

4. Making Travel Arrangements - The Operations Manager will coordinate with the Board members to make their travel arrangements. Staff will coordinate with their Division Managers and submit Travel Request to the Operations Manager to make staffs’ travel arrangements. The Division Managers, Finance manager and Executive Director will approve a completed Travel Request and Authorization Form. The national boards and professional societies’ invitation and registration requests will be used as authorization for Board members’ attendance to conferences and meetings. When travel includes airfare, the Operations Manager will book flights at least 14 days in advance to avoid premium pricing. The Comptroller’s office ensures that state agencies use taxpayer dollars more efficiently by helping them manage their travel expenditures by providing discounted travel services through vendor contracts and monitoring state travel activity. Travel Contracts TPASS has negotiated the following travel contracts:

Airlines Corporate Charge Card Hotels Rental Car Travel Agency

5. Travel by Disabled Persons – TBAE reimburses Board members for attendant care and other necessary expenses incurred when they travel inside or outside their designated headquarters. Actual costs are reported on the Travel Expense Report

4

EA-005 TBAE Travel and Reimbursement Policy Page 3

6. Reimbursable Expenses – Board members and staff are entitled to reimbursements for the following

expenses while conducting business. a. Airfare – If airfare was not prepaid by the TBAE, an original itemized airline receipt or an e-ticket

receipt is required. The receipt must show the method of payment and indicate that payment was made.

Contract airfare expenses must be charged to one of the following accounts:

i. A personal credit card; ii. TBAE’s Travel Credit Card (direct-billed)

iii. STMP – Travel Agency Contract Awarded Vendors are: National Travel Systems Short’s Travel Management

Contract Term: September 1, 2014 through August 31, 2020

TPASS secured contracts with National Travel Systems and Short’s Travel Management to provide state travelers with reservation and ticketing services for airlines, rail and bus travel, rental cars, and hotels. State agencies are required to use either NTS or Short’s contract for reservations requiring travel agency services. The Executive Director authorized the use of National Travel Systems to coordinate Board and staff travel. If airfare is charged to TBAE’s direct-bill Corporate Liability Individual Billed Account (CLIBA), the airfare will be paid directly by TBAE. Original receipts are required. A receipt or itinerary that has been altered by any person other than the transportation service provider is unacceptable. A receipt or itinerary to which additional information has been added is considered unaltered if the additional information does not conflict with the original information on the receipt or itinerary.

If neither the passenger receipt nor the itinerary is available, then the supporting documentation must include the canceled check or credit card slip used to pay for the transportation, the credit card billing on which the transportation charges appear or a copy of the receipt, check, slip or billing.

If the original or a copy of a canceled check, credit card slip or credit card billing is included in the supporting documentation, then documentation must also include:

i. the name of the traveler (Board/staff), ii. the name of the transportation service provider,

iii. the ticket number, iv. the class of transportation, v. the travel dates, vi. the amount charged for the transportation, and

vii. the origin and destination A “copy” of a receipt, canceled check, credit card slip or credit card billing includes a photocopy, an electronically stored version, a microfiche or a microfilm. Travelers are expected to obtain the lowest available airfare that reasonably meets business travel needs. The Operations Manager will book non-refundable coach class or economy tickets at least 14-30 days in advance to avoid premium pricing.

b. Lodging – The cost of overnight lodging (room rate and tax only) will be reimbursed to the Board

members and staff (traveler) if the authorized travel is 45 miles or more from the traveler’s

5

EA-005 TBAE Travel and Reimbursement Policy Page 4

home or from the TBAE offices. The TBAE will reimburse lodging expenses at reasonable, single occupancy or standard business room rates. When the hotel is the conference or convention site, reimbursement will be limited to the conference rate. When the agency authorizes the use of the CLIBA Travel Card to pay for a traveler’s lodging expenses and lodging will be paid directly by TBAE, the following procedures will be followed:

i. The Operations Manager must contact the lodging facility directly and request a third party billing statement. The lodging facility will send authorization for the lodging and taxes to be charged directly to the Travel Card. The third party billing information will show the traveler’s name, check-in date, the cardholder name, card billing address and phone number, card number and type, card issuing bank and bank number as well as the categories of charges authorized (i.e., “Room and Tax”). The Operations Manager must limit the charges to only those authorized for travel. The card holder (Finance Manager) will sign and date the third party billing form and the Operations Manager will return it to the hotel.

ii. Once the traveler completes the official travel, the final bill will be provided to the traveler upon check out. The traveler cannot charge any expenses to the hotel room except those authorized on the third party billing. The traveler may wish to establish a personal expense report using personal funds with the hotel upon arrival. Any personal charges would then be a separate bill upon check out. The final bill and the third party billing authorization must be included as receipts when the traveler files the expense report for supporting documentation.

iii. If lodging is charged to a personal credit card, the lodging expenses will be reimbursed. Original receipts are required. If receipts are not original, the duplicate must note that the original receipt is not available. A state employee may only be reimbursed for actual lodging expense not to exceed the maximum lodging reimbursement rate for that location.

iv. When traveling to non-listed locations state employees are limited to the GSA’s Domestic Maximum Per Diem Rates. Agencies must use the federal rates provided by the General Services Administration (GSA) for both in-state and out-of-state travel within the contiguous United States. State employees who travel to Alaska, Hawaii, a U.S. possession or a foreign country must be reimbursed according to the guidelines in the General Appropriations Act (GAA). See Travel Reimbursement Rates. Reimbursement may not exceed the GSA’s federal maximum Travel Reimbursement Rates For geographical areas not covered by the federal rates, the maximum reimbursement rate is $96 per day in state. An original receipt with a “zero balance” is required for all lodging expenses.

c. Contract hotels – The Texas Comptroller of Public Accounts has awarded a contract to Hotel Engine for discounted rates for state agencies, institutions of higher education and local governments on transient travel while doing business for the State of Texas. Note: The Hotel Engine booking platform is only to be used for making business-related travel reservations. Any personal or leisure travel is strictly prohibited.

d. The Texas Procurement and Support Services rule states that state agencies must use contract travel services whenever those services provide the most efficient travel resulting in the total lowest cost. Contract Hotel Directory Listings

6

EA-005 TBAE Travel and Reimbursement Policy Page 5

e. Requesting a higher maximum lodging reimbursement rate – The Executive Director of the TBAE has authorized Board members to lodge within the downtown Austin area and determines that local conditions necessitate an increase in the lodging rate for both in-state and out-of-state travel. This determination is documented internally by the agency on the Request to Increase Maximum Lodging Rate and documented on the Travel Voucher. Supporting documents are filed and made available upon request during post-payment audits.

f. Actual Expense – The Executive Director has authorized “actual” expense per diem costs that exceed the maximum locality per diem rate for a particular location for both in-state and out-of-state travel. Actual expense reimbursement is warranted when:

i. Lodging and/or meals are procured at a prearranged place such as a hotel where a meeting, conference or training session is held; or

ii. Lodging costs have escalated because of special events such as conventions, sporting events, and lodging expenses cannot be obtained nearby, or

iii. Because of mission requirements; or iv. Any other reason approved by the Executive Director within the agency

NOTE: When actual expenses are approved for a location, this will apply to the lodging component of the per diem only. The fixed rate for meals and incidental expenses is not affected.

v. In addition, the Travel Voucher must specifically include one of the following justifications in Section Y: Information Required by Textravel and other Pertinent Information page whenever actual expenses are authorized:

1. Lodging procured at a prearranged place such as a hotel where a meeting, conference or training session is held;

2. Local costs have escalated due to special or unforeseen events and lodging within the locality per diem rate cannot be obtained nearby; or

3. Mission necessity which requires the traveler to procure superior lodging accommodations.

g. Meals – The Executive Director has authorized reimbursement for meals up to $55 per day (standard rate for meals), without receipts. If receipts are provided, the Executive Director may authorize actual meal expenses in excess of $55, not to exceed the M&IE rates, which vary by city location. See the 2019 per diem rate schedule. On the first and last day of travel, a Board member or staff will receive 75% of the M&IE rates ($41.25). The Executive Director may authorize the $5 incidental rate for agency-required local and long distance telephone calls, photocopies, freight charges to ship state equipment, and postage, if not, a full day standard rate

for meals, minus the $5 incidental rate is $50.00.

h. Non-overnight meal expenses – The Executive Director has authorized Board members and staff to receive reimbursement for non -overnight meals if the travel is outside his/her designated headquarters not to exceed $36. The meal expense is only reimbursable if the employee is outside of his or her designated headquarters for at least six consecutive hours.

i. Hotel occupancy taxes

A state employee is entitled to be reimbursed for hotel occupancy taxes incurred while traveling on state business. A state employee is not exempt from paying a state, county or municipal hotel occupancy tax collected by a commercial lodging establishment unless an exception applies. Texas Tax Code Sections 156.103(c), 352.007(d), 351.006(d). The tax is considered an incidental expense and not a portion of the maximum lodging reimbursement rate.

7

EA-005 TBAE Travel and Reimbursement Policy Page 6

A state agency is entitled to receive a refund of its reimbursement of a state employee for state and local hotel occupancy taxes. To obtain a refund of the state portion of the hotel occupancy tax, the agency must file a refund claim including all information required by the Comptroller on the form provided by the Comptroller, Texas Tax Code Section 156.103(c). To obtain a refund of the local portion of the hotel occupancy tax, the agency must file a refund claim including all information required by the county or municipality on the form provided by the county or municipality. Texas Tax Code Sections 352.007(d, e), 351.006(d, e)

j. Automobile Rental

Awarded Vendor(s) Avis Budget Group, Inc. Enterprise Rent-A-Car/National Car Rental The Hertz Corporation

Contract No.: 975-14 Vehicle Rental Services Contract Term 12/1/2019 through 11/30/2020 The TBAE will pay for approved use of a rental vehicle https://fmx.cpa.state.tx.us/fmx/travel/textravel/trans/rental.php

For additional contracting questions or concerns, please contact Statewide Contracting by email or by phone 512-463-3435. Reimbursement for a commercial rental vehicle as a primary mode of transportation is authorized only if the rental vehicle is more economical than any other type of public transportation, or if the destination is not otherwise accessible. Vehicle rental at a destination city is reimbursable. Original receipts are required. The TBAE authorizes reimbursement for the most economic vehicle available. In certain circumstances larger vehicles may be rented, with the Executive Director’s approval. The rental agreement must clearly show the date and the points of departure/arrival, as well as the total cost. Drivers must adhere to the rental requirements, and restrictions must be followed. Original receipts are required. Parking fees, tolls and other incidental costs associated with the vehicle’s use are not covered by the rental agreement. Travelers are strongly encouraged to fill the gas tank before returning the vehicle to the rental agency to avoid service fees and more expensive fuel rates.

k. Personal Automobile Reimbursement for use of a personal automobile is based the State Automobile Mileage –The maximum state mileage reimbursement rate for state employee travel in a personal vehicle decreased from 58 cents to 57.5 cents per mile, effective Jan. 1 to Dec. 31, 2020. This rate is consistent with the Internal Revenue Service’s standard mileage rate. When claiming mileage reimbursement, http://www.mapquest.com/ and https://maps.google.com/ are the agency’s approved electronic mapping services to estimate mileage and claim reimbursement. To assist the Board members, the Executive Director and the Finance Division to accurately determine mileage reimbursement, the Operations Manager calculates the mileage and dollar amount for each Board member traveling from out of town to the TBAE offices when attending Board meetings. The Operations Manager will post each member’s calculation on the 2nd page of the Travel Expense Report for ease of use by the Board members. The Operations Manager

8

EA-005 TBAE Travel and Reimbursement Policy Page 7

revises the mileage calculations annually as mandated by the Comptroller of Public Accounts.

7. Conference Registration Fees – The Operations Manager will complete conference registration for Board members and staff. If the conference fee was not prepaid, the TBAE will reimburse these fees, including business-related banquets or meals that are part of the conference registration. Original receipts to support the payment are required. If the conference does not provide a receipt, then a cancelled check, credit card slip/statement of documentation that the amount was paid is required for reimbursement. A prorated amount for the meals provided must be deducted from the traveler’s per diem. Entertainment activities such as golf outings and sightseeing tours will not be reimbursed. Registration fees paid directly by an individual will not be reimbursed until the conference is completed.

8. Non-reimbursable expenses – The following items that may be associated with business travel will not be

reimbursed by the TBAE: a. Costs incurred by traveler’s failure to cancel travel or hotel reservations timely b. Personal entertainment expenses including:

i. in-flight movies ii. headsets

iii. health club facilities iv. rental or purchase of videos v. alcohol vi. tips or gratuities of any kind

vii. dry cleaning or laundry viii. excess baggage charges for personal belongings, and

ix. mileage incurred for personal reasons c. Airline upgrades d. Additional insurance on rental cars e. Theft, loss or damage of personal luggage and effects. f. Contributions/Donations

The above non-reimbursable items are not to be considered all inclusive. All reimbursements are subject to review and approval by the Operations Manager or the Finance Manager.

9. Incidental Expenses – Travel Fees – Board members and staff will be reimbursed for expenses for travel

fees such as parking fees at the hotel, airport, and place of business, taxi fares, photocopies required by the agency for informational or investigative purposes, freight charges to ship state equipment or materials; postage of $24 or less while in travel status, and toll charges. A state agency may not reimburse a state employee for tolls paid if none of the mileage or rental cost is reimbursable. Original receipts are preferred. If a receipt is not available, the date, time, place, and amount must be itemized on the Travel Expense Report.

10. Processing Reimbursement for Travel a. After travel is completed, the Board member and staff will complete a Travel Expense Report, and

forward the form with supporting documents to the Operations Manager for review. Division Managers will review and approve staffs’ Travel Expense Report Worksheets. The Operations Manager may prepare Travel Expense Reports for Board members.

b. The Operations Manager prepares the Travel Voucher for Board and staff and forwards to the Finance Manager for verification and application of the Comptroller’s object codes for travel, budget approval. The Finance manager will initial the voucher attesting concurrence and return to the Operations Manager. The Operations Manager emails the completed travel voucher to the

9

EA-005 TBAE Travel and Reimbursement Policy Page 8

Board member electronically for signature approval and return. Division Managers will approve the travel voucher for their respective staff and submit to the accountant for processing and reimbursement/disbursement.

c. The Board members sign the travel voucher (The Comptroller’s office allows for the acceptance of electronic signatures on employee travel vouchers) and returns it to the Operations Manager for the Executive Director’s approval.

d. The Operations Manager forwards the signed travel voucher to the accountant who submits the travel voucher to the comptroller for processing and reimbursement/disbursement.

e. Board members and staff are paid by direct deposit account or by checks. The accountant will notify the Operations Manager when the Board members’ checks are mailed or direct deposits are posted to their accounts. The Operations Manager notifies the Board members of said deposits.

f. The Accountant will notify agency staff when deposits are posted to their accounts. Acronyms and Definitions

CLIBA – Corporate Liability Individual Billed Account GAA – General Appropriations Act GSA – General Services Administration IRS – Internal Revenue Service M&IE – Meals and Incidentals Expense NTS – National Travel Systems TPASS – Texas Procurement and Support Services

Review Cycle Policies and procedures are reviewed at least every two years or updated as required to ensure they reflect current information and requirements. Policies and procedures are reviewed in consultation with staff, management, and agency regulatory bodies to ensure they accommodate and are reflective of the needs of our registrants, oversight agencies, and best practice guidelines.

10

EA-002 TBAE Board Meeting Preparation Page 1 of 5

Policy Title: TBAE Board Meeting Preparation

Policy Number EA-002

Originally Issued: April 1, 2012 Revisions: May 30, 2013 – Reviewed June 3, 2015 – Reviewed January 25, 2018 – Reviewed

Approved By: Julie Hildebrand, Executive Director

Responsible Department: Executive Administration

Primary Policy Custodian Manager of Operations

Purpose The Texas Board of Architectural Examiners nine-member Board is appointed by the Governor of Texas and confirmed by the Senate. It is composed of four architect members, one interior designer member, one landscape architect member, and three members of who represent the public, at least one of whom is a person with a physical disability.

1. The purpose of this policy is to provide information and guidance to those individuals and offices involved in preparing items for meetings for the Board members through the key steps of setting up effective Board meetings.

2. Provide a timetable of events to ensure timely performance of required tasks;

3. Achieve consistence and standardization in style and presentation of agenda material to the Board;

4. Facilitate the preparation of minutes of Board meetings for record purposes;

5. Organize the agenda so that the Board can systematically and efficiently conduct Board business; and,

6. Outline responsibilities to those individuals of the administration who share the responsibility for Board meeting preparation.

References and related Resources or Statutory Authority

1. Open Meetings Handbook

2. Public Information Act Handbook

3. Robert’s Rules of Order

4. Texas Public Information Act – required training

505 E. Huntland Dr., Suite 350 Austin, TX 78752

P.O. Box 12337 Austin, TX 78711-2337

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.state.tx.us

11

EA-002 TBAE Board Meeting Preparation Page 2 of 5

5. Administrative Procedure Law, Chapter 2001, Government Code

6. General guidelines

7. Architects

8. Landscape Architects

9. Registered Interior Designers Scope Texas Board of Architectural Examiners Staff and appointed Board members Policy The operating procedures of the Board is governed by the rules and regulations referenced above. The Manager of Operations is the TBAE liaison for the preparation of Board meetings. The EA-003, Board Member Training Manual sets the number, frequency, order of business, committee structure, and rules of order for Board meetings. The chair of the Board approves the agenda. PREPARATION OF AGENDA FOR BOARD MEETINGS Procedures

1. The Executive Director is responsible for, and is the final approving authority for, all items recommended by administration to the chair of the Board as agenda items for a meeting. All requested agenda subjects from any entity or individual in TBAE must be routed through the Manager of Operations, to the General Counsel, to the Executive Director and then to the Chair.

2. The Executive Director is responsible for developing agenda items to ensure Board consideration and action as required. This responsibility includes all the administrative actions connected with the proper submission and preparation of background and support information of the subject matter.

3. The Manager of Operations is responsible for serving as a coordinating point for collection of agenda materials and its organization for consideration by the Executive Director prior to submission for inclusion in the Board notebook. In addition, the Executive Director is to maintain the required liaison with the Board to facilitate the cooperative effort required to prepare for Board meetings.

4. The General Counsel is responsible for review of legal considerations of all items on the suggested agenda before it is sent to the Board Chair for approval.

General Instructions

1. The preparation for a Board meeting begins approximately eight weeks in advance of that meeting. At this time, the Manager of Operations is responsible for providing the management staff with a schedule for activities and dates for compiling a proposed agenda for the Executive Director to consider and subsequently submit to the Board Chair for approval. The normal sequence of these preparatory steps is described in the Schedule of Events for Board Meeting Preparation. Committee meetings may require slight changes.

2. General Information for Board Meeting Preparation provides information to assist in handling agenda items and the Board Agenda Topic Request Memorandum provides the format to be followed.

12

EA-002 TBAE Board Meeting Preparation Page 3 of 5

3. At a scheduled Board agenda review meeting, the Executive Director and management staff will review all the proposed items on the agenda for the Executive Director to submit to the Board Chair for approval. When the chair of the Board approves (or modifies) the recommended agenda, the Manager of Operations will complete the update the agenda for publication in the Texas Register and distribution to the Board members.

SCHEDULE OF EVENTS FOR BOARD MEETING PREPARATION *THURSDAY IS USUALLY SCHEDULED FOR APPROVED BOARD MEETING DAYS Eight weeks before Board meeting:

1. The Manager of Operations informs staff of deadlines for possible agenda items, agenda meeting dates, deadline for agenda and agenda supporting documents items, and Final Board Practice/Review meeting date.

2. The Manager of Operations reserves meeting conference rooms, hotel and parking

accommodations. (Due to a minimum number of available parking and meeting room spaces in the Hobby Building, reservations must be made six months to one year out respectively).

Five weeks before Board meeting: 1. List of preliminary items due to the Manager of Operations

2. The Manager of Operations will prepare the electronic notebook; include agenda item supporting

documents (including regular, action, and information items) in initial draft form for executive and managing staff review.

3. The Manager of Operations will include the previous Board meeting and Committee meeting Minutes in the electronic notebook.

4. The Legal Assistant will prepare the Full Board and Committee meeting minutes. The General

Counsel will review and finalize the minutes, the Executive Director will approve the submission and then submit them to the Manager of Operations for inclusion in the electronic Board notebook.

Four weeks before Board meeting: Board Practice Presentation Meeting

Three weeks before Board meeting:

1. Proposed items for Executive Session of the Board due to the Executive Director and General Counsel

2. Agenda presented by the Executive Director to the Chair for approval.

Two weeks before Board meeting: 1. Electronic copies of all handout materials and presentations to be used during Board meeting

must be submitted to the Manager of Operations. All staff proposals should be uniform in presentation.

2. The Manager of Operations determines the approximate date to post the electronic Board notebooks on the agency’s website and distribute the link or PDF version to Board members,

13

EA-002 TBAE Board Meeting Preparation Page 4 of 5

department heads and professional societies.

3. The Manager of Operations will organize the electronic Board notebook to flow with the items listed on the agenda; segmented by tabs and labeled to clearly identify specific agenda items; and all data and reports specific to the agenda item have numbered pages.

One week before Board meeting: The Manager of Operations will compile all documents for the Chair, Vice-Chair, and Secretary’s signatures to include Board approved minutes of the previous Board meeting, penalty letters, Board meeting attendance log, memorandum of understanding, etc.

One day before the Board meeting:

The Manager of Operations will coordinate the conference room set-up, administration, office supplies, refreshment and stated equipment. Copies of the following documents should be made available at the meeting for public access:

a. Items to be approved b. Request to speak during public comment period card c. Copies of the agenda

GENERAL INFORMATION FOR BOARD MEETING PREPARATION To facilitate the preparation of the Board notebook agenda and its use by the Board during its meetings, the agenda traditionally has been constructed around three general terms for designating items to be considered: action items, information items, and executive session items.

1. Action Items These are matters considered on an individual basis with a detailed written presentation of background, facts, and information considered useful for the Board as it considers its decision. Generally these individual items required formal Board action because they:

d. Are significant in themselves; or e. Re required by statute or other legal authority; or f. Are specified in the TBAE Rules; or g. May be sensitive, of special interest to the Texas Board of Architectural Examiners or the

general public, matters for permanent record, public acknowledgement, awards or recognition, or perceived by the administration to need endorsement by the Board, etc.

2. Information Items These are matters that require no formal action by the Board other than to take note or to be made aware of subjects of current interest or special inquiry. They are also used to provide more background, data, and knowledge in specific areas, to assist the Board in carrying out their responsibilities. Although no action is called for on the agenda, obviously none is precluded and, as situations arise from studying these items, subsequent actions may result. Some examples of recurring information items are:

a. Actions items delegated at Board meetings b. Executive Director’s accomplishments; summary of revenues and expenditures

(Budget); c. Budget adjustments receiving emergency approval by the Board; d. Legal reports, staff reports; and e. Contracts receiving emergency approval by the Board

14

EA-002 TBAE Board Meeting Preparation Page 5 of 5

Review Cycle Policies and procedures are reviewed at least every two years or updated as required to ensure they reflect current information and requirements. Policies and procedures are reviewed in consultation with staff, management, and agency regulatory bodies to ensure they accommodate and are reflective of the needs of our registrants, oversight agencies, and best practice guidelines.

15

Page 1 of 3

Policy Title: Filing Personal Financial Statements Policy Number

EA-011

Originally Issued: June 30, 2015 Revisions: September 1, 2015 September 22, 2017 September 2020

Approved By: Julie Hildebrand, Executive Director

Revision: Allowing individuals appointed to state office to file required financial statements by certified mail. 85th Legislative Session, HB 791.

Responsible Department: Executive Administration

Primary Policy Custodian Manager of Operations

Policy Board members and executive directors of most state agencies are required to file a personal financial statement with the commission on or before April 30 each year if they served at any time beginning on January 1 and continuing through April 30 of that year. References and related Resources or Statutory Authority Texas Government Code §572.023; §572.026(a); §572.0291; §571.0671(d) Scope Board members and the Executive Director of the TBAE Procedures 1. The Manager of Operations will complete the annual Agency Information on Board Members

and Executive Directors and submit to the Ethics Commission. It is very important that this information be as current as possible so that the Commission may notify the board members and executive director of their deadline for filing their personal financial statements.

2. The Manager of Operations will remind the Board members and Executive Director within a

reasonable timeframe to avoid late-filing and assessing the late $500 penalty fee. 3. If a board member is ending or the member plans to resign from the board, the Board

member should be aware of the “holdover” provision of the Texas Constitution. Under this provision, a state officer “holds over” in office until replaced. A person who no longer attends meetings may nonetheless “holdover” as a board member. Thus, if you resign or your term expires before January 1 of a given year, you will still be required to file a financial statement for that year if the successor was not appointed before January 1.

505 E. Huntland Dr., Suite 350 Austin, TX 78752

P.O. Box 12337 Austin, TX 78711-2337

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.state.tx.us

16

Page 2 of 3

4. A Board member, as defined by section 572.002 of the Government Code, is not required to

file a personal financial statement if the following criteria are met before January 1 of the year the statement is due:

a. Board member’s term expired, resigned, agency was abolished, or agency functions were transferred to another agency; and

b. Board member ceased to participate in the state agency’s functions. If officer’s term expired or if the officer resigned, is required to provide written notice of intent to not participate in the agency’s functions to the Office of the Governor and to the Texas Ethics Commission.

5. A financial statement must include an account of the financial activity for the preceding calendar year of:

a. Any property characterized as separate property ; b. Any community property of which the individual required to file a financial

statement has sole management, control, and disposition; c. Any community property of the individual required if the individual exercised both

factual and legal control over the activity; and d. The individual’s dependent children if the individual exercised or held the right to

exercise any degree of legal or factual control over that activity

6. Each Board member or Executive Director who electronically files a verified financial statement with the Ethics Commission or another filing authority is not required to include a notarized affidavit with the financial statement if the Board member or Executive Director:

a. Has requested and received an electronic filing password; and b. Uses that password to file the financial statement.

7. Each financial statement that is not filed electronically must be accompanied by an affidavit

executed by the Board member or the Executive Director. The affidavit must contain the statement: “I swear, or affirm, under penalty of perjury, that the accompanying report is true and correct and includes all information required to be reported by me under Chapter 572, Government Code.” Each financial statement filed electronically must be under oath by the Board member and Executive Director and must contain, in compliance with the Ethics Commission or local authority specifications, the digitized signature of the Board member and Executive Director. The Board member and Executive Director are considered to be under oath and are subject to prosecution under Chapter 37, Penal Code, regardless of the absence of or a defect in the affidavit.

8. Electronic report or financial statement date saved in a temporary storage location for later retrieval and editing before the report or financial statement is filed is confidential and may not be disclosed. After the report or financial statement is filed with the commission, the information disclosed in the filed report or financial statement is public information to the extent provided by the law requiring the filing of the report or financial statement.

9. A financial statement filed with the Ethics Commission must be filed by computer diskette,

17

Page 3 of 3

modem, or other means of electronic transfer, using computer software provided by the Ethics Commission or computer software that meets the Ethics Commission specifications for a standard file format.

10. Appointed members of the Board who are required to file a financial statement with the commission may file the financial statement by certified mail. The filing my mail must comply with Section 572.029.

Personal Financial Statement A Guide for all elected and appointed state officers, members of the boards and executive heads of state agencies are required to file. A Helpful Hints for Filing your Personal Financial Statement brochure can be accessed (pdf version).

a. Instructions and filing forms can be accessed from the Ethics Commission at https://www.ethics.state.tx.us/filinginfo/pfsforms_ins.html

b. for advice or visit the Ethics Commission Internet site at

http://www.ethics.state.tx.us

Anyone who asks for extra time to file by April 30 is entitled to a one-time, 60-day extension. Call the Ethics Commission legal staff at (512) 463-5800 if you have questions when completing the form. Note: The commission imposes a civil penalty of $500 for late filings. The commission has the authority to raise this penalty. There are criminal penalties for failing to file. Review Cycle Policies and procedures are reviewed at least every two years or updated as required to ensure they reflect current information and requirements. Policies and procedures are reviewed in consultation with staff, management, and agency regulatory bodies to ensure they accommodate and are reflective of the needs of our registrants, oversight agencies, and best practice guidelines.

18

Personal Personal Personal Financial Financial Financial

StatementStatementStatement

A GUIDE FOR

All elected and appointed state officers

Members of the boards of river authorities

Executive heads of state agencies

State political party chairs

Revised January 11, 2016

Helpful Hints

For Filing

Your

Texas Ethics Commission P. O. Box 12070

Austin, Texas 78711-2070

(512) 463-5800 Fax (512) 463-5777

Visit us at http://www.ethics.state.tx.us on the Internet.

In compliance with the Americans With Disabilities Act, the publications of the Texas Ethics Commission are available by request in alternative formats. To request an accessible format, please contact our ADA Compliance Officer by telephone at 512-463-5800; or by mail in care of the Texas Ethics Commission, P. O. Box 12070, Austin, Texas 78711-2070. The Texas Ethics Commission is an Equal Opportunity Employer and does not discriminate in providing services or employment. Copies of this publication have been distributed in compliance with the State Depository Law, and are available for public use through the Texas State Publications Depository Program at the Texas State Library and other state depository libraries.

Even if you have resigned or your term has expired, you

may be required to file a personal financial statement

as a “holdover” in office.

HOLDOVERS IN OFFICE MUST FILE A PERSONAL FINANCIAL STATEMENT

The reporting requirement, which is triggered by any service as a state officer between January 1 and April 30, applies to all state officers including those “holding over” in office, unless the exemption described at the end of this section applies.

The holdover provision, set out in article XVI, section 17, of the Texas Constitution, states: “All officers within this State shall continue to perform the duties of their offices until their successors shall be duly qualified.” The purpose of that provision is to enable government to continue to function despite vacancies on state agency boards or commissions. This sometimes generates confusion because a person may still be considered a state officer even though he or she has resigned or the term of office has expired.

Thus if you resign or your term expires before January 1, you will nonetheless have to file a financial statement if your successor was not appointed and duly qualified before January 1. Assume, for example, that you resign from a state board on October 3, 2005, but your replacement is not appointed until February 1, 2006. You will be required to file the report due April 30, 2006. You will not be required to file in 2007.

Exemption: If you are an appointed officer, as defined by section 572.002 of the Government Code, you are not required to file a personal financial statement if the following criteria are met before January 1 of the year the statement is due: (1) your term expired, you re-signed, your agency was abolished, or your agency functions were transferred to another agency; and (2) you ceased to participate in the state agency’s func-tions. If your term expired or if you resigned, you are required to provide written notice of your intent to not participate in the agency’s functions to the Office of the Governor and to the Texas Ethics Commission.

19

REQUIREMENT TO FILE & FILING DEADLINES NOTE: Any PFS due with the Commission after September 1, 2015 MUST be electronically filed with the Commission using the new online filing application.

Any service as a state officer between January 1 and April 30 in a calendar year triggers the requirement to file a personal financial statement with the Ethics Commission. The REGULAR FILING DEADLINE IS APRIL 30 each year (or the next business day if the 30th falls on a weekend or holiday), unless one of the alternate filing deadlines listed below applies.

Alternate Filing Deadlines for Certain State Officers in the 1st Year of Appointment

1. An appointed salaried officer, appointee filling a vacancy in elective office, or appointee of a major state agency must file on the earliest of the following dates: (1) within 30 days of appointment or qualification, or (2) before the first commit-tee hearing on confirmation if senate confirmation is required.

2. The executive head of a state agency—who is not an appointed officer— must file within 45 days after assuming duties.

Alternate Filing Deadlines for Candidates for Elective Office

1. An individual who is a partisan or independent candidate for an office as an elected officer shall file the financial state-ment not later than the later of the 60th day after the date of the regular filing deadline for an application for a place on the ballot in the general primary election, or February 12.

2. If the date for filing for ballot access or filing a declaration of write-in candidacy falls after the regular filing deadline for candidates in the primary election, the deadline may vary. Please contact the Ethics Commission.

INFORMATION TO BE REPORTED

Previous Year’s Activity: The financial statement discloses information about your financial activity for the preceding year. For example, if you are required to file in April 2015, you will report the financial activity that occurred during calendar year 2014. This information must be provided even if you were not yet a state officer during the previous year. You are required to disclose financial activity in which you have an ownership interest (e.g., community property). You are also required to dis-close the separate financial activity (e.g., separate property) of your spouse or a dependent child if you had actual control over that financial activity, notwithstanding a partition agreement. See Texas Ethics Commission Rule § 40.2. New Appointees: For a newly appointed officer, the period covered by the first required personal financial statement is determined by the date the officer is appointed to the office. A new appointee’s first personal financial statement covers the entire calendar year preceding the year of appointment rather than preceding the year the statement is due. For ex-ample, a person appointed to serve on a board effective December 15, 2008, is required to file a personal financial state-ment due January 14, 2009. This personal financial statement covers activity occurring between and including January 1 and December 31, 2007. Family: You are required to disclose financial activity in which you have an ownership interest (e.g., community property). You are also required to disclose the separate financial activity (e.g., separate property) of your spouse or a dependent child if you had actual control over that financial activity, notwithstanding a partition agreement. See Texas Ethics Commission Rule § 40.2. Family information does not need to be provided when the forms specifically ask for information about the “state officer” only. Gifts: As a state officer, you should be aware that some gifts are regulated or restricted by the lobby statute and the Penal Code. “Gift,” for purposes of financial disclosure, is a broader category than “gift” for purposes of the other laws. For financial disclosure reporting purposes, it encompasses any type of gift, including food and beverages. You must report all gifts you received worth more than $250. For personal financial statements filed on or after January 1, 2008, the description of a gift of cash or a cash equivalent, such as a negotiable instrument or gift certificate, must include a statement of the value of the gift. There are exceptions to this reporting requirement for a gift from a relative, political contributions that are reported under the Election Code, or a gift from a lobbyist who reports the gift on the lobbyist’s activity report. If you are unsure whether a gift is from (or reported by) a lobbyist, report it.

NOTE: A financial statement must be filed each year. The statement must be filed electronically with the Ethics Commission, not with the Governor or your agency, to be considered timely filed. If you must file in more than one capacity—e.g. you serve on more than one board—only one financial statement must be filed. Duplicate statements covering the same calendar year are never required.

Deadline Extensions

If your financial statement is due on the regular (April 30) filing deadline, you may ask the Ethics Commission for a 60-day extension to file the statement. The commission can only grant an extension if it is requested before the filing deadline. Only one extension may be given except for good cause shown. Extensions may not be granted for alternate filing deadlines.

Fines

A $500 penalty is automatically assessed for the late filing of a financial statement, and other sanctions may accrue as the result of a sworn complaint. If a filer fails to file a report or pay a penalty, the matter is referred to the attorney general. Criminal penalties may also apply.

Waivers

An administrative waiver of a fine may be granted by the executive director of the Ethics Commission if your report is late because:

1. you, a member of your family, or the person who usually prepares your report was ill,

2. you are not an elected official, a candidate for election, or a salaried officer, this was your first late financial statement, and you filed within 30 days of receiving a late notice,

3. you relied on incorrect advice from the Ethics Commission, or

4. the Ethics Commission made an administrative error.

Any other request for waiver must be considered by the members of the commission itself.

NOTE: Incorrect advice from your agency is not grounds for an administrative waiver.

DEADLINE EXTENSIONS, FINES & WAIVERS

20

Page 1 of 4 EA-009 – Executive Director Performance Evaluation

Policy Title: Executive Director Performance Evaluation Policy Number EA-009

Originally Issued: June 2014 Revisions: Aug 31, 2015 – Reviewed with no changes June 2019

Approved By: Board Chair

Responsible Department: Executive Administration/Operations

Primary Policy Custodian Manager of Operations

Purpose The purpose of this policy is the process to evaluate the executive director’s annual performance review. References and related Resources or Statutory Authority TBAE Human Resources Handbook TBAE Policy SS-003 Employee Relations - Grievance Management http://www.eeoc.gov/field/dallas/fepa.cfm Scope The TBAE Board Members, the Executive Director, the Manager of Operations the Human Resources Program Specialist Policy When both parties to the partnership set goals, make commitments to development and growth, and are accountable, the leadership ingredients are truly in place for excellence in the relationship and for excellence in performance throughout the agency. It is the policy of the agency that one of the Board’s pivotal duties is to evaluate the executive director’s performance and review his or her compensation on at least an annual basis. Doing so requires the Board – usually through its Board members and in consultation with the executive director – to design a process for performance appraisal and to exercise a rigorous self-discipline in carrying it out. A fair and competent executive director evaluation requires choosing indicators to reflect various aspects of performance and a strong design for carrying out the overall appraisal process. Indicators should flow from the executive director’s job description, the executive director’s Board-approved goals and objectives, and the agency’s strategic plan. Categories for performance evaluation may include:

• Strategic objectives and mission-based results. • Public relations and communications.

505 E. Huntland Dr., Suite 350 Austin, TX 78752

P.O. Box 12337 Austin, TX 78711-2337

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.state.tx.us

21

Page 2 of 4 EA-009 – Executive Director Performance Evaluation

• Human resources management. • Fund development with the scope offered through the SDSI status. • Effectiveness in working with the board and helping the board fulfill its roles. • Planning. • Management of fiscal and other resources. • The executive director’s professional development.

The following list of elements for a strong performance appraisal process is recommended:

• Input from all of the individual Board members. • Self-evaluation on the part of the executive director. • Feedback at intervals. • A rating system for the more concrete aspects of the executive director’s performance. • A qualitative system for the more subjective aspects of the executive director’s

performance. • An open-ended discussion of professional development. • An opportunity for formal dialogue with the executive director. • Agreement on fair and reasonable compensation.

The evaluation process should include both written and oral components and conclude with an outline of performance goals for the following year. The Board, under the leadership of the Board Chair, briefs and then conducts a formal evaluation session with the executive director. A written report should follow for full Board review and inclusion in the executive director’s personnel file. While the primary purpose for appraising the executive director performance is to give constructive feedback, there are circumstances in which the negatives outweigh the positives and the Board must formally address unacceptable performance. At any point that an aspect of the executive director’s performance is considered unacceptable, the executive director should receive informal or formal feedback from the Board Chair. If the executive director believes the performance evaluation is based on prohibited discrimination may follow the procedures outlined in TBAE Policy SS-003, Employee Relations: Grievance Procedure. The annual performance evaluation may be one of many steps that occur should the Board mandate improved performance or begin to consider dismissal as a possibility. In any such circumstances, the Board is wise to obtain legal and human resources management consultation. The initial goal is to produce performance improvement, and, failing that, a separation process that minimizes risk to the agency that is respectful to the executive director. Procedures The Chair will ask the Operations Manager to distribute the evaluation form and the Executive Director’s written self-assessment to each Board member and the collection and tabulation of the completed evaluation forms prior to an executive session meeting.

Board Participation All Board members are to participate in the evaluation by completing an evaluation form and are encouraged to further discuss and refine their views during an executive session meeting. The Board may call upon the Executive Director to participate in any portion of the executive session meeting.

Frequency and Timing The evaluation will take place annually at approximately the same time every year (August). The

22

Page 3 of 4 EA-009 – Executive Director Performance Evaluation

Executive Director’s first evaluation will take place approximately six months after initial hire and then annually after that. The Manager of Operations in coordination with the Board Chair will establish time limits for the processing of the Executive Director Performance evaluation, which will allow payment of performance awards by September 1 each year. Evaluation Criteria The criteria to be used in the evaluation of performance will be those duties and responsibilities that the Board and the Executive Director mutually agreed upon. The criteria will be documented in an evaluation form prior to the commencement of the evaluation period so that the Executive Director understands what is expected for the coming year. The Executive Director must be on an approved performance plan for at least 120 days prior to the rating. Evaluation Period The evaluation of performance will typically be addressed to activities, events and accomplishments that took place during the most recently completed fiscal year. Executive Director Input The Executive Director will provide a written self-assessment to the Committee Chair, organized in such a way that it follows the criteria in the evaluation form and includes any specific initiatives, projects or professional development objectives. The Executive Director may also include a statement of specific noteworthy accomplishments. Consensus The Board recognizes how confusing it can be to send mixed messages to the Executive Director. In order to act as a cohesive governing body and “speak in one voice,” the Board will strive to reach consensus about the evaluation ratings and messages. The individual comments and views may also be discussed in executive session, including discussion with the Executive Director. Communication The Board will meet with the Executive Director soon after the executive session to deliver the outcomes of the evaluation. The purpose of having both Board officers involved is to ensure accuracy in expressing the Board’s collective view. The results will also be provided in writing on the agreed upon evaluation form. The Executive Director shall be provided an opportunity to address the Board in an executive session regarding his or her final evaluation results, or submit a written response to the Board to be kept as an attachment with the written evaluation results. Confidentiality The discussions held during the executive session are to be kept confidential among those who attend the session. The written evaluation results will be kept in the confidential personnel file of the Executive Director, in accordance with Texas State law can be found here. Compensation Determinations The evaluation results may impact the Executive Director’s compensation. Therefore, the annual review and determination of the Executive Director’s compensation will be decided at the same time as the evaluation.

23

Page 4 of 4 EA-009 – Executive Director Performance Evaluation

Legal Advice If the Board should ever need legal advice in connection with the evaluation process, it will seek counsel from the General Counsel. If conflicts of interest exist with that counsel, the Board will seek outside counsel, in accordance with law and its usual practice.

Review Cycle Policies and procedures are reviewed at least every two years or updated as required to ensure they reflect current information and requirements. Policies and procedures are reviewed in consultation with staff, management, and agency regulatory bodies to ensure they accommodate and are reflective of the needs of our registrants, oversight agencies, and best practice guidelines.

24

Page 1 of 3

Policy Title: Officers Election and Committee Appointments

Policy Number EA-012

Originally Issued: January 27, 2016 Revisions: February 2016 December 7, 2016 Included current Board committees August 2020

Approved By: Executive Director

Responsible Department: Executive Administration

Primary Policy Custodian Executive Director

Purpose To ensure that there is a clear understanding of the process and a consistent form of communicating and filling any and all Board Officer and Committee positions as deemed necessary by the Board Chair. References and related Resources or Statutory Authority Scope All Board Officers and Committees Procedures Board Officers

1. The governor shall designate one board member as presiding officer (Chair) to serve in that

capacity at the pleasure of the governor. The presiding officer’s duties are as follows:

a. To plan with the Executive Director and approve the Board meeting agenda

b. To open all Board meetings at the required time by taking the chair and calling the

members to order

c. To announce business before the Board in the order it must be acted on

d. To state and put to a vote all motions that are made regularly and those that arise

during the meeting

e. To announce the result of a vote on motions

f. To enforce order and decorum on all occasions among the members

g. To decide all Questions of Order

h. To ensure that assigned tasks to staff from the Board meeting are clear and that staff

is aware of reporting dates

i. To authenticate by his or her signature, when necessary, all of acts, orders,

Certificates of Registration, minutes and proceedings of the Board

505 E. Huntland Dr., Suite 350 Austin, TX 78752

P.O. Box 12337 Austin, TX 78711-2337

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.state.tx.us

25

Page 2 of 3

j. To represent and stand for the Board in general, declaring its will and always obeying

its rules

k. To make appointments to all standing and ad hoc committees

2. The board shall elect from its members an assistant presiding officer (Vice-Chair) and

Secretary/Treasurer, in that order. Elections shall be held at the first meeting after the

appointment of a new Chair and then annually after such appointment. Elections may also

be held at other times to fill vacancies. The duties of the Vice-Chair are to comply with duties

assigned to the Chair during the Chair’s absence. The Secretary/Treasurer’s duty will be to

take roll call during Board meetings. Both the Vice-Chair and Secretary/Treasurer shall

comply with other duties as assigned by the Chair.

3. Nominations will be taken at the meeting in which the elections are to occur immediately

before the agenda item for the election of that position. A candidate who fails to be elected

for a position may be nominated for a subsequent position.

4. The Chair shall preside over the election.

5. Any candidate may make a statement to the Board regarding their candidacy. The

presentation of such a statement shall take no longer than five minutes. The order of candidates' statements shall be determined by the Chair using a random selection process. All present board members may vote in the election. Such vote shall be by voice vote, unless otherwise directed by the Chair. To be elected, a candidate must receive a majority of affirmative votes from the board members voting in the election. In the case where there are more than two candidates running and none receive a majority of affirmative votes in a vote, the vote is rerun with only the candidates receiving the two highest vote counts eligible. (This may result in more than two candidates being eligible.) The vote is retaken in the case of a tie (either for first or second place on the result). The presiding officer uses a coin toss to choose which candidate is to remain eligible if the tie persists after the second vote. A new call for candidates is made and the voting process restarts in the case where there is a single

candidate but that candidate does not receive enough affirmative votes.

Board Committees

1. The Rules Committee shall be a standing committee. The Committee receives and considers public and staff input and carries out the development of prospective rules. The Committee conducts rule-making workshops, and reports recommendations to the full Board.

2. The Chair may determine if additional ad hoc committees are necessary and shall specify the term of such committee.

3. The appointment of the committee chair and members shall be at the Chair’s discretion. The Chair may remove a member of a committee at any time.

4. For any standing committee, the Chair shall appoint the committee chair and members and announce such appointments at the first meeting after the Chair’s appointment by the governor and on an as needed basis thereafter. For any newly established committee, the Chair shall appoint the committee chair and members as soon as practicable after the

26

Page 3 of 3

committee is established and shall announce such appointments at the subsequent board meeting.

RULES COMMITTEE Members: Jennifer Walker – Chair, Architect Member

Joyce Smith – Public Member Fernando Trevino – Public Member

Responsibility: Receive and consider public input and carry out the development of prospective rules. The committee conducts rule-making workshops, and reports recommendations to the full Board.

Authority: Texas Occupational Code, Chapters 1051, 1052, and 1053 for Architects, Landscape Architects, and Registered Interior Designers, respectively.

LEGISLATIVE REVIEW COMMITTEE Members: Bob Wetmore – Chair, Architect Member

Rosa Salazar – Registered Interior Designer member Chase Bearden – Public Member

Responsibility: To serve as the Board’s representative and primary contact on legislative issues. The Legislative Committee may testify at the Texas Legislative Committee hearings.

Authority: Established by the TBAE Board on October 20, 2014

BUDGET COMMITTEE Members:

Responsibility:

Authority:

Joyce Smith – Chair Fernando Trevino – Public MemberVacant

To serve as the Board’s representative and primary contact on budget issues. The Budget Committee will review the agency’s annual operating budget for presentation to the full Board for approval in accordance with the agency Policy FA-006, Budget Administration and Approval Process.

Established by the TBAE Board on December 1, 2016

Review Cycle Policies and procedures are reviewed at least every two years or updated as required to ensure they reflect current information and requirements. Policies and procedures are reviewed in consultation with staff, management, and agency regulatory bodies to ensure they accommodate and are reflective of the needs of our registrants, oversight agencies, and best practice guidelines.

27

CONFIDENTIAL BOARD DIRECTORY Not for Public Distribution

REVISED: September 2020

BOARD MEMBER ADDRESS CONTACT INFORMATION

Debra J. Dockery, FAIA Chair, Architect Term: May 10, 2011 – Jan 31, 2023 Reappointed: Jul 26, 2018

118 Broadway, Suite 516 San Antonio, TX 78205 10185 Elmendorf-La Vernia Road San Antonio, TX 78223

Work: 210-225-6130 Cell: 210-410-1697 Fax: 210-225-7588 Email: debra@debradockeryarchitects.com

Robert “Bob” Scott Wetmore, AIA Vice-Chair, Architect Term: Jan 15, 2016 – Jan 31, 2021

Cornerstone Architects 7000 Bee Caves Rd., Suite 200 Austin, TX 78746 1456 Wild Basin Ledge Austin, TX 78746

Work: 512-329-0007 Cell: 512-796-8118 Email: bob@cornerstonearchitectsllp.com

Joyce J. Smith, CPA, CGMA Secretary/Treasurer, Public Member Term: Jul 26, 2018 – Jan 31, 2023

Retired Partner Atchley & Associates, LLP Austin, Texas 2510 Country Road 137 Burnet, TX 78611

Work: 512-715-8364 Cell: 512-799-7482 Email: jjjs3smith@gmail.com

Corbett “Chase” Bearden Public Member Term: May 1, 2009 – Jan 31, 2021 Reappointed: Jan 15, 2016

1716 San Antonio Street, 78701 9008 Texas Sun Drive Austin, TX 78748-6309

Work: 512-478-3366 Cell: 512-415-9699 Fax: 512-478-3370 Email: chase.bearden@gmail.com

Jennifer Nicole Walker, AIA & LEED® AP Architect Term: Jan 15, 2016 – Jan 31, 2021

8 Park Place Lampasas, TX 76550

Work: 214-924-9149 Cell: 214-924-9149 Email: jnwarchitects@gmail.com

Rosa “Grace” Salazar Registered Interior Designer Term: Jul 26, 2018 – Jan 31, 2023

Condray Design Group 3708 Upland Avenue Lubbock, TX 79407 6224 7th Street Lubbock, TX 79416

Work: 806-748-6190 Cell: 806-790-4114 Email: rosa@condray.com

Fernando Trevino, Sr. Public Member Term: Jul 26-2018 – Jan 31, 2025 Reappointed: Aug 12, 2020

259 W. Broadview San Antonio, TX 78228 REMAX Alamo Realty 8530 Braun Road, Ste. B San Antonio, TX 78254

Work: 210-682-9898 Cell: 210-849-7899 Email: ftrevino@remax.net fernandotrevino1@gmail.com

Darren La Marr James, FAIA Architect Term: Aug 12, 2020 – Jan 31, 2025

1505 Sequoia Grove Lane Lewisville, TX 75067 KAI Enterprises 101 N. Zang Blvd., Suite. 100 Dallas, TX 75208

Work: 214-742-0400 Cell: 214-995-6293/972-436-3462 Fax: Email: dljames@kai.db.com

Tim Bargainer Landscape Architect Term: Aug 12, 2020 – Jan 31, 2025

101 Oakmont Court Georgetown, TX 78628 Halff Associates, Inc. 4500 Amberglen Blvd. Austin, TX 78729

Work: 512-777-4568 Cell: 512-888-0778 Email: tbargainer@halff.com

28

USCIS Form I-9

OMB No. 1615-0047 Expires 10/31/2022

Employment Eligibility Verification Department of Homeland Security

U.S. Citizenship and Immigration Services

Form I-9 10/21/2019 Page 1 of 3

►START HERE: Read instructions carefully before completing this form. The instructions must be available, either in paper or electronically, during completion of this form. Employers are liable for errors in the completion of this form. ANTI-DISCRIMINATION NOTICE: It is illegal to discriminate against work-authorized individuals. Employers CANNOT specify which document(s) an employee may present to establish employment authorization and identity. The refusal to hire or continue to employ an individual because the documentation presented has a future expiration date may also constitute illegal discrimination.

Section 1. Employee Information and Attestation (Employees must complete and sign Section 1 of Form I-9 no later than the first day of employment, but not before accepting a job offer.)Last Name (Family Name) First Name (Given Name) Middle Initial Other Last Names Used (if any)

Address (Street Number and Name) Apt. Number City or Town State ZIP Code

Date of Birth (mm/dd/yyyy)

- -

Employee's E-mail Address Employee's Telephone Number U.S. Social Security Number

1. A citizen of the United States

2. A noncitizen national of the United States (See instructions)

3. A lawful permanent resident

4. An alien authorized to work until (See instructions)

(expiration date, if applicable, mm/dd/yyyy):

(Alien Registration Number/USCIS Number):

Some aliens may write "N/A" in the expiration date field.

I am aware that federal law provides for imprisonment and/or fines for false statements or use of false documents in connection with the completion of this form.

I attest, under penalty of perjury, that I am (check one of the following boxes):

Aliens authorized to work must provide only one of the following document numbers to complete Form I-9: An Alien Registration Number/USCIS Number OR Form I-94 Admission Number OR Foreign Passport Number.

1. Alien Registration Number/USCIS Number:

2. Form I-94 Admission Number:

3. Foreign Passport Number:

Country of Issuance:

OR

OR

QR Code - Section 1 Do Not Write In This Space

Signature of Employee Today's Date (mm/dd/yyyy)

Preparer and/or Translator Certification (check one): I did not use a preparer or translator. A preparer(s) and/or translator(s) assisted the employee in completing Section 1.(Fields below must be completed and signed when preparers and/or translators assist an employee in completing Section 1.)I attest, under penalty of perjury, that I have assisted in the completion of Section 1 of this form and that to the best of my knowledge the information is true and correct.Signature of Preparer or Translator Today's Date (mm/dd/yyyy)

Last Name (Family Name) First Name (Given Name)

Address (Street Number and Name) City or Town State ZIP Code

Employer Completes Next Page

29

Form I-9 10/21/2019 Page 2 of 3

USCIS Form I-9

OMB No. 1615-0047 Expires 10/31/2022

Employment Eligibility Verification Department of Homeland Security

U.S. Citizenship and Immigration Services

Section 2. Employer or Authorized Representative Review and Verification (Employers or their authorized representative must complete and sign Section 2 within 3 business days of the employee's first day of employment. You must physically examine one document from List A OR a combination of one document from List B and one document from List C as listed on the "Lists of Acceptable Documents.")

Last Name (Family Name) M.I.First Name (Given Name)Employee Info from Section 1

Citizenship/Immigration Status

List AIdentity and Employment Authorization Identity Employment Authorization

OR List B AND List C

Additional Information QR Code - Sections 2 & 3 Do Not Write In This Space

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Certification: I attest, under penalty of perjury, that (1) I have examined the document(s) presented by the above-named employee, (2) the above-listed document(s) appear to be genuine and to relate to the employee named, and (3) to the best of my knowledge the employee is authorized to work in the United States. The employee's first day of employment (mm/dd/yyyy): (See instructions for exemptions)

Today's Date (mm/dd/yyyy)Signature of Employer or Authorized Representative Title of Employer or Authorized Representative

Last Name of Employer or Authorized Representative First Name of Employer or Authorized Representative Employer's Business or Organization Name

Employer's Business or Organization Address (Street Number and Name) City or Town State ZIP Code

Section 3. Reverification and Rehires (To be completed and signed by employer or authorized representative.)A. New Name (if applicable)Last Name (Family Name) First Name (Given Name) Middle Initial

B. Date of Rehire (if applicable)Date (mm/dd/yyyy)

Document Title Document Number Expiration Date (if any) (mm/dd/yyyy)

C. If the employee's previous grant of employment authorization has expired, provide the information for the document or receipt that establishes continuing employment authorization in the space provided below.

I attest, under penalty of perjury, that to the best of my knowledge, this employee is authorized to work in the United States, and if the employee presented document(s), the document(s) I have examined appear to be genuine and to relate to the individual. Signature of Employer or Authorized Representative Today's Date (mm/dd/yyyy) Name of Employer or Authorized Representative

30

LISTS OF ACCEPTABLE DOCUMENTSAll documents must be UNEXPIRED

Employees may present one selection from List A or a combination of one selection from List B and one selection from List C.

LIST A

2. Permanent Resident Card or Alien Registration Receipt Card (Form I-551)

1. U.S. Passport or U.S. Passport Card

3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine-readable immigrant visa

4. Employment Authorization Document that contains a photograph (Form I-766)

5. For a nonimmigrant alien authorized to work for a specific employer because of his or her status:

Documents that Establish Both Identity and

Employment Authorization

6. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI

b. Form I-94 or Form I-94A that has the following:(1) The same name as the passport;

and(2) An endorsement of the alien's

nonimmigrant status as long as that period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form.

a. Foreign passport; and

For persons under age 18 who are unable to present a document

listed above:

1. Driver's license or ID card issued by a State or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address

9. Driver's license issued by a Canadian government authority

3. School ID card with a photograph

6. Military dependent's ID card

7. U.S. Coast Guard Merchant Mariner Card

8. Native American tribal document

10. School record or report card

11. Clinic, doctor, or hospital record

12. Day-care or nursery school record

2. ID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address

4. Voter's registration card

5. U.S. Military card or draft record

Documents that Establish Identity

LIST B

OR AND

LIST C

7. Employment authorization document issued by the Department of Homeland Security

1. A Social Security Account Number card, unless the card includes one of the following restrictions:

2. Certification of report of birth issued by the Department of State (Forms DS-1350, FS-545, FS-240)

3. Original or certified copy of birth certificate issued by a State, county, municipal authority, or territory of the United States bearing an official seal

4. Native American tribal document

6. Identification Card for Use of Resident Citizen in the United States (Form I-179)

Documents that Establish Employment Authorization

5. U.S. Citizen ID Card (Form I-197)

(2) VALID FOR WORK ONLY WITH INS AUTHORIZATION

(3) VALID FOR WORK ONLY WITH DHS AUTHORIZATION

(1) NOT VALID FOR EMPLOYMENT

Page 3 of 3Form I-9 10/21/2019

Examples of many of these documents appear in the Handbook for Employers (M-274).

Refer to the instructions for more information about acceptable receipts.

31

USCIS Form I-9

OMB No. 1615-0047 Expires 10/31/2022

Employment Eligibility Verification Department of Homeland Security

U.S. Citizenship and Immigration Services

Form I-9 10/21/2019 Page 1 of 3

►START HERE: Read instructions carefully before completing this form. The instructions must be available, either in paper or electronically, during completion of this form. Employers are liable for errors in the completion of this form. ANTI-DISCRIMINATION NOTICE: It is illegal to discriminate against work-authorized individuals. Employers CANNOT specify which document(s) an employee may present to establish employment authorization and identity. The refusal to hire or continue to employ an individual because the documentation presented has a future expiration date may also constitute illegal discrimination.

Section 1. Employee Information and Attestation (Employees must complete and sign Section 1 of Form I-9 no later than the first day of employment, but not before accepting a job offer.)Last Name (Family Name) First Name (Given Name) Middle Initial Other Last Names Used (if any)

Address (Street Number and Name) Apt. Number City or Town State ZIP Code

Date of Birth (mm/dd/yyyy)

- -

Employee's E-mail Address Employee's Telephone Number U.S. Social Security Number

1. A citizen of the United States

2. A noncitizen national of the United States (See instructions)

3. A lawful permanent resident

4. An alien authorized to work until (See instructions)

(expiration date, if applicable, mm/dd/yyyy):

(Alien Registration Number/USCIS Number):

Some aliens may write "N/A" in the expiration date field.

I am aware that federal law provides for imprisonment and/or fines for false statements or use of false documents in connection with the completion of this form.

I attest, under penalty of perjury, that I am (check one of the following boxes):

Aliens authorized to work must provide only one of the following document numbers to complete Form I-9: An Alien Registration Number/USCIS Number OR Form I-94 Admission Number OR Foreign Passport Number.

1. Alien Registration Number/USCIS Number:

2. Form I-94 Admission Number:

3. Foreign Passport Number:

Country of Issuance:

OR

OR

QR Code - Section 1 Do Not Write In This Space

Signature of Employee Today's Date (mm/dd/yyyy)

Preparer and/or Translator Certification (check one): I did not use a preparer or translator. A preparer(s) and/or translator(s) assisted the employee in completing Section 1.(Fields below must be completed and signed when preparers and/or translators assist an employee in completing Section 1.)I attest, under penalty of perjury, that I have assisted in the completion of Section 1 of this form and that to the best of my knowledge the information is true and correct.Signature of Preparer or Translator Today's Date (mm/dd/yyyy)

Last Name (Family Name) First Name (Given Name)

Address (Street Number and Name) City or Town State ZIP Code

Employer Completes Next Page

32

Form I-9 10/21/2019 Page 2 of 3

USCIS Form I-9

OMB No. 1615-0047 Expires 10/31/2022

Employment Eligibility Verification Department of Homeland Security

U.S. Citizenship and Immigration Services

Section 2. Employer or Authorized Representative Review and Verification (Employers or their authorized representative must complete and sign Section 2 within 3 business days of the employee's first day of employment. You must physically examine one document from List A OR a combination of one document from List B and one document from List C as listed on the "Lists of Acceptable Documents.")

Last Name (Family Name) M.I.First Name (Given Name)Employee Info from Section 1

Citizenship/Immigration Status

List AIdentity and Employment Authorization Identity Employment Authorization

OR List B AND List C

Additional Information QR Code - Sections 2 & 3 Do Not Write In This Space

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Document Title

Issuing Authority

Document Number

Expiration Date (if any) (mm/dd/yyyy)

Certification: I attest, under penalty of perjury, that (1) I have examined the document(s) presented by the above-named employee, (2) the above-listed document(s) appear to be genuine and to relate to the employee named, and (3) to the best of my knowledge the employee is authorized to work in the United States. The employee's first day of employment (mm/dd/yyyy): (See instructions for exemptions)

Today's Date (mm/dd/yyyy)Signature of Employer or Authorized Representative Title of Employer or Authorized Representative

Last Name of Employer or Authorized Representative First Name of Employer or Authorized Representative Employer's Business or Organization Name

Employer's Business or Organization Address (Street Number and Name) City or Town State ZIP Code

Section 3. Reverification and Rehires (To be completed and signed by employer or authorized representative.)A. New Name (if applicable)Last Name (Family Name) First Name (Given Name) Middle Initial

B. Date of Rehire (if applicable)Date (mm/dd/yyyy)

Document Title Document Number Expiration Date (if any) (mm/dd/yyyy)

C. If the employee's previous grant of employment authorization has expired, provide the information for the document or receipt that establishes continuing employment authorization in the space provided below.

I attest, under penalty of perjury, that to the best of my knowledge, this employee is authorized to work in the United States, and if the employee presented document(s), the document(s) I have examined appear to be genuine and to relate to the individual. Signature of Employer or Authorized Representative Today's Date (mm/dd/yyyy) Name of Employer or Authorized Representative

33

LISTS OF ACCEPTABLE DOCUMENTSAll documents must be UNEXPIRED

Employees may present one selection from List A or a combination of one selection from List B and one selection from List C.

LIST A

2. Permanent Resident Card or Alien Registration Receipt Card (Form I-551)

1. U.S. Passport or U.S. Passport Card

3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine-readable immigrant visa

4. Employment Authorization Document that contains a photograph (Form I-766)

5. For a nonimmigrant alien authorized to work for a specific employer because of his or her status:

Documents that Establish Both Identity and

Employment Authorization

6. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI

b. Form I-94 or Form I-94A that has the following:(1) The same name as the passport;

and(2) An endorsement of the alien's

nonimmigrant status as long as that period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form.

a. Foreign passport; and

For persons under age 18 who are unable to present a document

listed above:

1. Driver's license or ID card issued by a State or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address

9. Driver's license issued by a Canadian government authority

3. School ID card with a photograph

6. Military dependent's ID card

7. U.S. Coast Guard Merchant Mariner Card

8. Native American tribal document

10. School record or report card

11. Clinic, doctor, or hospital record

12. Day-care or nursery school record

2. ID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address

4. Voter's registration card

5. U.S. Military card or draft record

Documents that Establish Identity

LIST B

OR AND

LIST C

7. Employment authorization document issued by the Department of Homeland Security

1. A Social Security Account Number card, unless the card includes one of the following restrictions:

2. Certification of report of birth issued by the Department of State (Forms DS-1350, FS-545, FS-240)

3. Original or certified copy of birth certificate issued by a State, county, municipal authority, or territory of the United States bearing an official seal

4. Native American tribal document

6. Identification Card for Use of Resident Citizen in the United States (Form I-179)

Documents that Establish Employment Authorization

5. U.S. Citizen ID Card (Form I-197)

(2) VALID FOR WORK ONLY WITH INS AUTHORIZATION

(3) VALID FOR WORK ONLY WITH DHS AUTHORIZATION

(1) NOT VALID FOR EMPLOYMENT

Page 3 of 3Form I-9 10/21/2019

Examples of many of these documents appear in the Handbook for Employers (M-274).

Refer to the instructions for more information about acceptable receipts.

34

Direct Deposit Authorization

For Comptroller’s Use Only74-176

(Rev.4-14/18)S

EC

TIO

N 1

Transaction Type

New setup (Sections 2, 3, 5 and 6) Change account type (Sections 2, 3, 4, 5 and 6)

Change financial institution (Sections 2, 3, 4, 5 and 6) Cancellation (Sections 2 and 6 - Sections 7 and 8 for state agency use)

Change account number (Sections 2, 3, 4, 5 and 6)

SE

C 7

Cancellation by Agency (for state agency use) Reason Date

SE

C 5

International Payments Verification (required)

Will these payments be forwarded to a financial institution outside the United States? ......................................................... YES NO

If "YES," also complete the ACH (Direct Deposit) Payment Destination Confirmation (Form 74-227).

Authorization for Setup, Changes or Cancellation (required)

SE

CT

ION

6

Authorized signature Printed name Date

I authorize the Texas Comptroller of Public Accounts to deposit my payments from the state of Texas to my financial institution electronically.

I understand that the Texas Comptroller of Public Accounts will reverse any payments made to my account in error.

I further understand that the Texas Comptroller of Public Accounts will comply at all times with the National Automated Clearing House Association's

rules. (For further information on these rules, please contact your financial institution.)

This form may be used by vendors, individual recipients or state employees to receive payments from the state of Texas by direct deposit or to change/cancel existing direct deposit information.

Signature Date

Phone number Agency number

Agency name

Comments

Authorized Signature (for state agency use)

SE

CT

ION

8

TEXAS COMPTROLLER OF PUBLIC ACCOUNTS

Fiscal Management - Direct Deposit Program

P.O. Box 13528

Austin, TX 78711-3528

FAX: 512-475-5424 Phone: 512-936-8138

Please return your completed form to:

ext.

Financial institution name City State

Routing transit number (9 digits) Customer account number (maximum 17 characters) Type of account

Checking Savings

Financial representative name (optional) Title (optional)

Financial representative signature (optional) Phone number (optional) Date (optional)

New Account Information (Setups and Changes) (Completion by financial institution is recommended.)

SE

CT

ION

3

ext.

Payee name Phone number

Mailing address City State ZIP code

Payee Identification

SE

CT

ION

2

Texas Identification Number (TIN)

Employer Identification Number (EIN)

Social Security Number (SSN)

Individual Taxpayer Identification Number (ITIN) State employee

Vendor or other recipient

ext.

*

Mail code (If not known, leave blank.)

Payee type

Routing transit number (9 digits) Customer account number (maximum 17 characters) Type of account

Checking Savings

Existing Account Information (Changes Only)

SE

C 4

35

Instructions for Direct Deposit Authorization

You have certain rights under Chapters 552 and 559, Government Code, to review, request and correct information we have on file about you. To request information for review or to request error correction, use the contact information on this form.

Form 74-176 (Back)(Rev.4-14/18)

Section 1: Transaction Type

Section 2: Payee Identification

Section 6: Authorization for Setup, Changes or Cancellation

Section 5: International Payments Verification

Section 7: Cancellation by Agency

Section 8: Authorized Signature

For state agency use only.

Provide reason for cancellation request.

For State Agency Use

Must be completed in its entirety, and no alterations to the authorization language will be accepted.

Check "YES" or "NO" to indicate if direct deposit payments to the account information designated in

Section 3 of this form will be forwarded to a financial institution outside the United States. If "YES," also

complete the ACH (Direct Deposit) Payment Destination Confirmation (Form 74-227).

Section 3: New Account Information (Needed for setups and changes)

Completion by financial institution is recommended.

Important: Your direct deposit account information may be different from the account information printed

on your checks. It is recommended that you contact your financial institution to confirm your direct deposit

account information.

Prenote Test:

A prenote test will be sent to your financial institution for the account information provided. The prenote

test is for a period of six banking days, and it is sent to your financial institution to verify your account

information. If no further action is required by your financial institution, your direct deposit instructions will

become effective when the six banking day prenote time frame has expired.

Select payee type, provide the Texas Identification Number (TIN), Employer Identification Number (EIN)

Social Security Number (SSN)* or Individual Taxpayer Identification Number (ITIN) and enter payee

contact information.

*Federal Privacy Act Statement

Disclosure of your Social Security number is required and authorized under law, for the purpose of tax administration and identifica-tion of any individual affected by applicable law, 42 U.S.C. sec. 405(c)(2)(C)(i); Texas Govt. Code Sections 403.011, 403.056, and 403.078. Release of information on this form in response to a public information request will be governed by the Public Information Act, Chapter 552, Government Code, and applicable federal law.

Select the appropriate transaction type(s).

Section 4: Existing Account Information (Needed for changes to existing account information)

When requesting a change to your existing direct deposit account information, you must complete Section

4 with the existing account information for verification purposes. This measure will help the paying state

agency verify accuracy of the requested change.

Any change to banking information begins a prenote test period. See explanation in Section 3, above.

36

Protection of Personal Information

Under state and federal law, the general public can make requests for information about the affairs of government and the acts of public officials and employees. The information released as a result of these requests can sometimes include the personal information of state employees and officials. However, employees and officials have the right to elect to keep certain categories of personal information confidential in the event of such a request.

By selecting “Yes” for any or all of the items below, you are authorizing the release of your personal information to the general public in the event such a request is made.

By selecting “No” for any or all of the items below, this information will be protected from release to the general public in the event such a request is made.

Please note that an election to protect the information below from public release does not prohibit the release of the data to the employee or employee’s authorized representative.

______________________________________________

Printed Name

__________________________________________________ ____________

Signature Date

I allow the following to be released to the public:

Yes No

Home address

Home telephone number

Social Security number

Information that reveals family members

Emergency contact information

37

INDIVIDUAL TRAVELER PROFILE PLEASE PRINT OR TYPE

Last Name

First Name

Middle Initial

Street Address

City & State

Zip

Home Phone #

Business Phone #

Cell Phone #

State agency/Participating Entity: TEXAS BOARD OF ARCHITECTURAL EXAMINERS

State agency/Participating Entity #

459

Department # (as applicable)

Not Applicable

Division # (as applicable)

Not Applicable

If you have an individual state-issued credit card please fill out this section (optional): Not Applicable

Cardholder Name: Exp. Date:

CC#:

FREQUENT FLYER PROGRAM MEMBERSHIPS/NUMBERS:

AIRLINE Frequent Flyer# CARD STATUS NAME AS IT APPEARS ON CARD

CAR RENTAL CLUB MEMBERSHIPS/NUMBERS: HOTEL CLUB MEMBERSHIPS/NUMBERS:

Car size/special requests:

Hotel special requests:

Airline seating preferences:

(check one)

Special meal requests (please specify):

Aisle

Window

Meal type request applies to:

Breakfast Lunch Dinner Snack

Please indicate credit card number to be used to guarantee hotels:

CC#: Expiration date:

Any additional information:

FAA REQUIRES DATE OF BIRTH WHEN MAKING FLIGHT RESERVATIONS:

DOB:

38

505 E. Huntland Drive, Suite 350 Austin, TX 78752

PH 512.305.9000 FAX 512.305.8900 WWW.tbae.texas.gov

Dual Office Certification

In Texas, certain laws prohibit individuals from holding more than one public office in some circumstances. Under Article XVI, section 40 of the Texas Constitution, individuals are prohibited from holding or exercising, at the same time, more than one civil office of emolument. Additionally, the common law doctrine of incompatibility prohibits a person from holding certain public offices at the same time because of the practical conflicts of interest that might arise. Whether the holding of two public offices would violate the Texas Constitution or the common-law incompatibility doctrine requires a factual consideration of the duties of each position and must be considered on a case-by- case basis. In order to avoid any such issues, please notify TBAE’s general counsel if you currently hold any other public office and complete and return this form by certifying to one of the following statements:

1. I hereby certify that, other than my appointment to the Texas Board of Architectural Examiners, I do not hold any other public office on the local, state or federal level. Further, I certify that, in the event I am elected, appointed, or become employed to any other public office, I will notify the TBAE general counsel of such election, appointment, or employment.

_____________________________________ _____________________________________ ______

Printed Name Signature Date

OR

2. I hereby certify that I do hold another public office, and that I have notified the TBAE general counsel of the existence of the office and responded fully to any inquiries from the general counsel regarding the office. Further, I certify that, in the event I am elected, appointed, or become employed to any other public office, I will notify the general counsel of such election, appointment, or employment.

_____________________________________ _____________________________________ ______

Printed Name Signature Date

39