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TFM Volume I Table of Contents
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TFM Volume I Table of Contents
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This chapter prescribes procedures and forms for agencies authorized by the Department of the Treasury (Treasury), Financial Management Service (FMS), to delegate (transfer) authority and to designate (appoint) individuals to perform disbursing-related functions.
This chapter includes procedures and forms needed to:
This chapter only applies to those agencies for which FMS provides disbursing functions.
The authority for these procedures appears in 31 United States Code (U.S.C.) §3321 and §3325.
Agency—Includes each Federal agency certifying payment voucher-schedules to Treasury Regional Financial Centers (RFCs) for payment, and each Federal agency using the Automated Standard Application for Payments (ASAP).
Agency Location Code (ALC)—A numeric symbol used to identify Federal agency accounting stations and Treasury RFCs. The ALC consists of an eight-digit agency accounting station code or a four- or three-digit number indicating a specific Treasury RFC.
Automated Standard Application for Payments (ASAP)—A system that allows grantee organizations receiving Federal funds to draw from accounts preauthorized by Federal agencies. Also, ASAP is used to make payments to financial agents that are performing financial services for FMS and other Federal agencies. For more information on ASAP, see the Web site at http://www.fms.treas.gov/asap.
Delegation—Documentation submitted to FMS by an agency, usually by means of FMS 2958: Delegation of Authority, notifying FMS of the delegation (transfer) of authority to make designations of disbursing-related authority. The right to further delegate (redelegate) such authority also may be included in such delegations.
Designating Officials—Individuals for whom a Head of Agency delegation has been presented to FMS, and individuals to whom designation authority has been delegated by the Head of Agency or other official to whom designation authority has been delegated.
Designation—Documentation submitted to FMS by an agency, usually by means of FMS 210 series forms, notifying FMS of the selection or appointment of an individual to perform a specific disbursement-related function.
Effective Date of Delegation/Designation—The effective date of the delegation/designation (that date from which FMS calculates the period until the delegation or designation expires, normally 2 years). It is the latter of the effective date requested by the agency on the form or the date FMS accepts the form. For example, if the agency requests an effective date of March 3, 2008, and FMS actually accepts the form on March 7, 2008, the effective date would be March 7, 2008. If the agency requests an effective date of May 20, 2008, and FMS accepts the form on May 5, 2008, the actual effective date would be May 20, 2008.
FMS 210 Series Forms—A series of FMS forms used to designate specific individuals to perform specific disbursement-related functions. These forms include:
Standard Form (SF) 1195: Recommendation for Designation and Revocation of Agent To Receive and Deliver Checks and Savings Bonds, is used to designate Designated Agent(s), by position title, to receive and deliver checks.
Head of Agency—When used in relation to delegations of authority, interpreted to mean the head of an Executive agency, as appointed by the President of the United States. Heads of Agencies may include Secretaries of Departments, Administrators of Administrations, and Commissioners of Commissions. At the discretion of the Treasury Chief Disbursing Officer, Head of Agency delegations may be accepted from lesser authorities in an agency, such as bureau heads and agency and/or bureau Chief Financial Officers.
International Treasury Services (ITS)—A comprehensive international payment and collection system used for processing international direct deposit payments to benefit recipients and both electronic and check payments to vendor, foreign payroll, and miscellaneous payment recipients. ITS offers a Governmentwide common solution for issuing international payments in established and emerging markets worldwide. Federal agencies using ITS certify their payment voucher-schedules through SPS. For more information on ITS, see the Web site at http://www.fms.treas.gov/eft/regulations/international.html.
Secure Payment System (SPS)—A system that Federal agencies can use to create payment voucher-schedules in a secure fashion with a strictly enforced separation of duties. This system allows designated Federal Program Agency personnel to create, certify, and submit payment voucher-schedules to FMS over a browser/Web interface. For more information on SPS, see the Web site at http://www.fms.treas.gov/sps.
Treasury Disbursing Officers—FMS employees who have been designated disbursing authority by the Chief Disbursing Officer.
Treasury Regional Financial Centers (RFCs)—Treasury offices established to provide disbursing services for Federal agencies. Treasury has RFCs located in: Austin, TX; Kansas City, MO; Philadelphia, PA; and San Francisco, CA. In addition, the Kansas City, Philadelphia, and San Francisco Treasury RFCs provide customer support for ASAP users.
All forms are available electronically. See the appendices listing for electronic links to these forms. See Appendices 1 through 5 for sample copies of the forms and instructions.
Agencies use FMS 2958 to establish the Head of Agency authority and to delegate designation authority. They use the FMS 210 series forms to designate individuals to perform specific disbursing-related functions.
FMS uses the FMS 2958 and FMS 210 series forms as sources of sample signatures for signature validation. FMS stores optically scanned electronic images of sample signatures for use by all Treasury RFCs. Also, these forms may be used for manual validation of certifying signatures on payment voucher-schedules.
Consequently, it is critically important that the submitting agency accurately and completely fill in all applicable delegation and designation forms. The individual to whom authority is being delegated or who is being designated must manually sign all four signature blocks on the delegation or designation forms in black, nonerasable ink. All delegation and designation forms must bear four original manual signatures. All signatures must be the official signature of the authorized individual. Do not use nicknames. The signatures must be constrained to the blocks provided with no extraneous markings. FMS rejects forms with facsimile signatures or any evidence of erasures, corrections, or alterations.
The Delegator or Designator block in Section IV must be signed by the Head of Agency or other official who has been lawfully delegated delegation or designation authority for the function being delegated or designated. The Delegator or Designator signature must be in black nonerasable ink and must be wholly within the signature block provided with no extraneous markings.
After completing the form, the agency should:
Note: For Head of Agency delegations, agencies must submit the FMS 2958 with a signed transmittal letter, bearing the official agency seal, indicating that the individual is the head of the agency.
On receipt, FMS verifies the delegation or designation. If the form is accepted, FMS:
The agency's receipt of the completed form from FMS signifies FMS's acceptance. After receiving the form, the Delegator or Designator should verify the contents of the photocopy returned by FMS against the retained photocopy to ensure that no alterations occurred.
At the time of designation, the agency should advise the designees of their responsibilities as noted in applicable Treasury directives and outlined in the FMS publication, Now that you're a Certifying Officer (see the Web site at http://www.fms.treas.gov/tfm/vol1/CertifyingOfficer_29nov07.pdf).
FMS returns FMS 2958s that fail FMS verification to the submitting agency with an explanation for the rejection.
For FMS 210 series forms that are rejected, FMS returns a copy to the Designating Official, at the address provided in Section V, with a rejection label affixed to the back of the form and a rejection report explaining the reason for rejection.
Delegations and designations are valid for 2 years unless revoked earlier. Two months prior to expiration of the delegation or designation, FMS notifies the Delegator or Designator of the pending expiration of the delegation or designation by mailing a Letter of Notification of Pre-Expiration to the address listed in Section V of the FMS 2958 or FMS 210 series form that documented the delegation or designation.
Delegations and designations not renewed by their expiration date become void as of that date and no further delegations or designations, certifications, etc., will be accepted from the individual. FMS notifies agencies of expired delegations and designations via a Letter of Notification of Expiration mailed to the Delegating or Designating Official at the address provided in Section V of the original delegation or designation form. Once a delegation or designation expires, the agency must submit a new delegation or designation form to FMS to reinstate the authority for that individual.
When an individual for whom a delegation or designation is on file with FMS departs or otherwise becomes ineligible to act (including through reassignment, retirement, departure, death, etc.), a responsible Delegating or Designating Official should forward the appropriate FMS 2958 or FMS 210 series form revoking the delegation or designation of the departing or ineligible designee to FMS. Revocations are effective as of the latter of the effective date requested by the agency on the form or the date FMS accepts the revocation form.
When using the FMS 2958 or FMS 210 series form to document a revocation, the submitting agency must complete Sections I, II, IV, and V of the form. Revocation forms do not require sample signatures of the individual whose authority is being revoked (Section III), but they must be signed in Section IV by the Head of Agency or other official who has been lawfully delegated designation authority for the function being revoked.
Agencies may renew delegations and designations by submitting the appropriate FMS 2958 or FMS 210 series form with the Re-Delegation or Re-Designation block checked. FMS does not accept photocopies of a previously submitted FMS 2958 or FMS 210 series form with the Re-Delegation or Re-Designation block checked.
Alternatively, agencies may renew designations of individuals (Certifying Officer, SPS Data Entry Operator, Designated Agent) that are about to expire and for which there are no changes in the details of the designation, by having an active, authorized Designating Official with authority to designate complete the For Renewal Only portion of the Letter of Notification of Pre-Expiration, and returning it to FMS at the address specified in the letter.
Agencies also may renew designations that are about to expire, and for which there are no changes in the details of the designation, by submitting an Agency Initiated Letter of Renewal, signed by an active, authorized Designating Official. Agency Initiated Letters of Renewal must:
Agencies may use an Agency Initiated Letter of Renewal to renew multiple designations at the same time. They may not use Letters of Notification of Pre-Expiration and Agency Initiated Letters of Renewal to renew delegations of designation authority. Delegations of designation authority may be renewed only on FMS 2958.
Agencies must renew designations for which the details have changed, or for which the designee's signature has altered significantly since the last designation, by submitting a new original FMS 210 series form for the designee.
FMS verifies FMS 2958 and FMS 210 series forms for signature, title, and organization. Therefore, if an organization's name or if titles within an organization change, the agency must redelegate/redesignate authority to all affected positions. This redelegation/redesignation must be initiated at a level above the areas affected by the organizational or title changes. On such redelegation/redesignation forms:
The Head of a Federal Government agency uses a self-delegation to provide FMS with a basis for validating all subsequent delegations and designations from that agency. The Head of Agency self-delegation is accomplished using FMS 2958. All authority to expend agency funds, and to certify the disbursement of such funds through a Treasury Disbursing Office, resides with the Head of Agency of the agency for which funds are to be disbursed. The Head of Agency may delegate the authority to certify the disbursement of agency funds to duly designated Certifying Officers. The authority to delegate certification authority also may be delegated to duly assigned individuals. No delegating official, other than the Head of Agency, may self-designate himself or herself as a Certifying Officer or make any other disbursing function self-designation for the agency. Head of Agency delegations automatically have all delegation and designation authorities listed on the FMS 2958.
Use FMS 2958 to submit the Head of Agency delegation. The agency must submit the Head of Agency FMS 2958 with a signed transmittal letter, bearing the official agency seal, indicating that the individual is the head of the agency. See Section 1125 for general form instructions and Appendix 1 for a sample FMS 2958 and specific form instructions.
Head of Agency delegations are valid for a period of 2 years from the effective date, unless revoked earlier.
When a Head of Agency delegation expires or is revoked, this action has no effect on the delegations and/or designations that were made by the Head of Agency while the delegation was valid. For example, if a properly designated Head of Agency signed an FMS 210CO designation on April 4, 2008, and subsequently left and ceased to be Head of Agency on April 6, 2008, the Certifying Officer designation would remain valid for the normal 2-year effective period.
When an individual for whom a Head of Agency delegation is on file with FMS departs the Head of Agency assignment, or otherwise becomes ineligible (through reassignment, retirement, death, etc.) to act as Head of Agency for disbursement purposes, the succeeding Head of Agency should submit an FMS 2958 to FMS revoking the Head of Agency delegation of the departing or ineligible designee. Alternatively, the departing Head of Agency may submit the revocation. The agency must complete and submit to FMS a separate FMS 2958 for the new Head of Agency.
For expiration and revocation and renewal, see subsections 1125.20 and 1125.30, respectively.
Delegations of designation authority are made to individuals designated to exercise designation authority for the Head of Agency. Such delegations must be for specific authorities as noted on the FMS 2958. For each authority delegated, the agency must specify whether the authority may or may not be redelegated. No Delegating Official, other than the Head of Agency, may self-designate himself or herself as a Certifying Officer for the agency.
A Non-Head of Agency is an individual who has been delegated authority by the Head of Agency to designate Certifying Officers.
Use FMS 2958 to delegate authority to a Non-Head of Agency. See Section 1125 for general form instructions and Appendix 1 for a sample FMS 2958 and specific form instructions.
Completion of FMS 2958 for a Non-Head of Agency is identical to completion of FMS 2958 for Head of Agency (see Section 1130), except the individual signing the FMS 2958 as a Delegator must have a valid FMS 2958 on file with FMS with redelegation authority for the functions being delegated (that is, the FMS 2958 that delegated authority to the individual submitting additional FMS 2958 and FMS 210 series forms must have authorized the delegation).
Non-Head of Agency delegations are valid for a period of 2 years from the effective date, unless revoked earlier. The handling of expiration and revocation of Non-Head of Agency delegations is identical to that of Head of Agency delegations (see Section 1130).
Certifying Officers are individuals to whom authority to approve disbursal of agency funds has been delegated by a properly authorized Designating Official. The Designating Official must have a valid FMS 2958 on file with FMS providing authority to designate Certifying Officers for the agency. Officials, other than Heads of Agencies, who are delegated designation authority for Certifying Officers may not designate themselves as Certifying Officers. When it is necessary for such an individual to be designated as a Certifying Officer, a different, currently authorized Designated Official with a valid FMS 2958 on file with FMS must make the designation.
Note: Certifying Officers authorized to certify payments to Treasury may not be designated as SPS Data Entry Operators also.
Use FMS 210CO to designate Agency Certifying Officer(s). See Section 1125 for general form instructions and Appendix 2 for a sample FMS 210CO and specific form instructions.
Enter at least one ALC in Section I. In all cases, the ALCs listed on the form must correspond to the department, agency, and bureau or office for which the Delegator or Designator shown in Section IV of the forms has authority to delegate or designate.
A Certifying Officer designated with SPS, ASAP, or ITS authority is issued a Public Key Infrastructure (PKI) credential. SPS, ASAP, and ITS have application specific requirements for obtaining PKI credentials. Once the PKI is issued, the Certifying Officer can use it in all payment applications (SPS, ASAP, and ITS). For additional information on ASAP, SPS, and ITS requirements, see the Web site links included in the system definitions in Section 1120.
At the time of designation, the agency should advise the Certifying Officer of his or her legal responsibilities to certify voucher-schedules according to 31 U.S.C. §3521, as amended and outlined in FMS publication Now that you're a Certifying Officer (see the Web site at http://www.fms.treas.gov/tfm/vol1/CertifyingOfficer 29nov07.pdf).
Disbursing Officers may not accept payment voucher-schedules from a newly designated Certifying Officer until the effective date of the FMS 210CO for that Certifying Officer. Disbursing Officers may accept for payment only those payment voucher-schedules that contain the same organizational designation, ALC(s), and Certifying Officer's manual signature as those shown on the Certifying Officer's FMS 210CO. For payment voucher-schedules submitted using SPS, Disbursing Officers may accept for payment only those payment voucher-schedules containing the same organizational designation and ALC(s) as those shown on the Certifying Officer's FMS 210CO, as well as the valid electronic signature of the Certifying Officer. In all cases, the ALC(s) listed on the payment voucher-schedules must correspond to the department, agency or establishment, and bureau or office shown on the FMS 210CO for that Certifying Officer.
Certifying Officer designations are valid for a period of 2 years from the effective date, unless revoked earlier.
For expiration and revocation and renewal, see subsections 1125.20 and 1125.30, respectively.
SPS Data Entry Operators are individuals to whom authority to create and modify SPS payment requests to Treasury RFCs has been delegated by a properly authorized Designating Official with a valid FMS 2958 on file with FMS.
Note: An individual may not be designated as both an SPS Data Entry Operator and Certifying Officer for the same ALC.
Use FMS 210DEO to delegate authority to SPS Data Entry Operators. See Section 1125 for general form instructions and Appendix 3 for a sample FMS 210DEO and specific form instructions. Completion of FMS 210DEO is identical to the procedures for completing FMS 210CO (see Section 1140).
For expiration and revocation and renewal, see subsections 1125.20 and 1125.30, respectively.
Designated Agents are individuals to whom authority is delegated to receive and deliver Treasury checks drawn on agency funds. Treasury prefers that agencies schedule all payments to be made by Direct Deposit to recipients' accounts in lieu of paper checks. However, under some circumstances, it may be necessary for an agency to pick up or receive checks from a Treasury RFC, upon approval of the Disbursing Officer, for direct delivery to the payee/recipient.
Use FMS 210DA to designate a specifically named Designated Agent to receive and deliver checks for the agency. Before submitting the FMS 210DA, the agency must arrange for delivery/pickup of checks for the Designated Agent with the Treasury RFC that will issue the checks. See Section 1125 for general form instructions and Appendix 4 for a sample FMS 210DA and specific form instructions.
The agency should enter the ALC corresponding to the department, establishment or agency, and the bureau or office for which the Designated Agent will receive checks. When an individual is designated to receive checks for another organization, a separate FMS 210DA is required for that department or bureau.
At the time of designation, the agency should advise the Designated Agents of their legal and ethical responsibilities.
For FMS 210DA, Designated Agent designations are valid for a period of 2 years from the effective date, unless revoked earlier. Designations not renewed by their expiration date are void as of that date and that individual will no longer be allowed to receive checks on behalf of the agency.
For expiration and revocation and renewal, see subsections 1125.20 and 1125.30, respectively.
Note: SF 1195: Recommendation for Designation and Revocation of Agent To Receive and Deliver Checks and Savings Bonds, is discussed here only for the purposes of designating a particular position as an agent to receive and deliver checks issued by FMS. FMS does not issue U.S. Savings Bonds. Consult the Bureau of the Public Debt for information about U.S. Savings Bonds.
Use SF 1195 to designate a particular position as a Designated Agent(s) to receive and deliver checks. SF 1195 is available electronically. See the appendices listing for an electronic link to the SF 1195. See Appendix 5 for a sample copy of SF 1195 and instructions.
It is critically important that the submitting agency accurately and completely fill in all applicable sections of the SF 1195. All signatures must be in black, nonerasable ink and must be the official signature of the individual signing. Do not use nicknames. The signatures must be constrained to the blocks provided with no extraneous markings.
Before submitting the SF 1195, the agency must arrange for delivery/pickup of checks by the Designated Agent with the Treasury RFC that will issue the checks. The submitting agency must complete Section I:
An authorized Designating Official, with an active FMS 2958 on file with FMS, must sign the form as the Recommending Officer.
The agency should:
Upon receipt, FMS:
The agency's receipt of the photocopy of the completed form from FMS signifies FMS's acceptance. After receiving the photocopy, the Designating Official should verify the contents of the photocopy of the form returned by FMS against the retained photocopy to ensure that no alterations occurred. FMS also sends a photocopy of the accepted SF 1195 to the Treasury RFC that will issue the checks.
Note: The Designating Official should provide a copy of the completed SF 1195 to the incumbent of the position designated as a Designated Agent. At the time of designation, the agency should ensure that Designated Agents are advised of their legal and ethical responsibilities.
For SF 1195s that are rejected, FMS returns the original form to the Designating Official, at the address provided in Section I, with a rejection label affixed to the back of the form and a rejection report explaining the reason for rejection.
Designated Agent, by position title, designations are valid until revoked. When a Designated Agent, by position title, designation is no longer required, the responsible Designating Official should send an SF 1195, revoking the designation of the position title designation, to FMS (see the address on the Contacts page). FMS processes the revocation and sends a photocopy of the revocation to the Treasury RFC at which the checks were picked up. Revocations are effective on the latter of the effective date requested by the agency on the form or the date that FMS receives and processes the revocation.
When using the SF 1195 to document a revocation, the submitting agency must complete Section I of the form.
Direct inquiries concerning this chapter to:
Payment Management
Attn: Chief Disbursing Officer
Financial Management Service
Department of the Treasury
401 14th Street, SW.
Washington, DC 20227
Phone: 202-874-6780
Submit all FMS 2958s, FMS 210 series forms, and SF 1195s to:
Kansas City Financial Center
Financial Management Service
Department of the Treasury
P.O. Box 12599-0599
Kansas City, MO 64116-0599
| App. No. | Form | Title |
|---|---|---|
| 1 | FMS 2958 | Delegation of Authority |
| 2 | FMS 210CO | Designation for Certifying Officer |
| 3 | FMS 210DEO | Designation for SPS Data Entry Operator |
| 4 | FMS 210DA | Designation for Agent To Receive & Deliver Checks |
| 5 | SF 1195 | Recommendation for Designation and Revocation of Agent To Receive and Deliver Checks and Savings Bonds |
Appendices are available in the PDF version only.
This transmittal letter releases revisions to I TFM 4-1100: Delegations and Designations of Authority for Disbursing-Related Functions. This chapter prescribes procedures and forms for agencies authorized by the Department of the Treasury, Financial Management Service, to delegate (transfer) authority and to designate (appoint) individuals to perform disbursing-related functions.
The new or revised forms in the chapter appendices supersede all previously issued forms in prior versions of I TFM 4-1100, which are obsolete.
| Remove | Insert | |
| I TFM 4-1100 (T/L 573) | I TFM 4-1100 | |
| Table of Contents for Volume I (T/L 646) | Table of Contents for Volume I | |
| Table of Contents for Part 4 (T/L 647) | Table of Contents for Part 4 |
This transmittal letter is effective immediately.
Direct questions concerning this transmittal letter to:
Payment Management
Attn: Chief Disbursing Officer
Financial Management Service
Department of the Treasury
401 14th Street, SW.
Washington, DC 20227
Phone: 202-874-6780
David A. Lebryk
Commissioner
Date: June 29, 2009