4 FAM 060
FINANCIAL ROLES DESIGNATION AND AUTHORIZATION
(CT:FIN-489; 02-27-2024)
(Office of Origin: CGFS/FPRA/FP)
4 FAM 061 SCOPE AND APPLICABILITY
(CT:FIN-465; 04-22-2021)
This subchapter addresses the various methods of designating, delegating, appointing, and assigning individuals for purposes of financial services. The Department assignment of an employee to certain positions designates the employee to serve in roles with the authorities and duties under the position description. These positions at overseas posts include the management officer, financial management officer (FMO), general services officer, procurement agent, and budget and accounting technician and at domestic bureaus/offices include the executive director, if applicable, and budget officer. Specific authorization requirements for financial roles are contained in the subchapter sections.
4 FAM 061.1 Grants/Federal Assistance Approving Official
(CT:FIN-465; 04-22-2021)
The grants officer (GO) of an overseas post or domestic bureau/office is appointed in writing by the Procurement Executive pursuant to the Federal Assistance Directive (FAD) and serves as grants/Federal assistance approving official. Posts and bureaus may have more than one authorized grants officer. Grant warrants are specific to the individual and may not be reassigned to an “acting” official. They are also specific to post or bureau, contain an upper dollar threshold, and must be renewed every two years after meeting training requirements. Federal assistance approving official designation requirements are contained in FAD. Warrant and FAD questions should be referred to A/OPE/AP/FA.
4 FAM 061.2 Grants Officer Representative
(CT:FIN-465; 04-22-2021)
Grants officers (GO) may designate, in writing, a grants officer representative (GOR) to monitor and evaluate the performance of a Federal assistance recipient. GORs must complete mandatory training and receive certification as a GOR as specified in the FAD. A GOR does not have the authority to authorize payments, make commitments on behalf of the U.S. Government, or modify the terms, conditions, scope or budget of an award, although they may make recommendations to the GO to do so. GOR certification and FAD questions should be referred to A/OPE/AP/FA.
4 FAM 061.3 Procurement Approving Official
(CT:FIN-465; 04-22-2021)
The contracting officer of an overseas post or domestic bureau/office is appointed in writing by the procurement executive pursuant to DOSAR 601.603 and serves as procurement approving official. Generally, the general services officer or management officer is the procurement approving official of an overseas post. The procurement approving official designation requirements are contained in 14 FAM 214.
4 FAM 061.4 Receiving Official
(CT:FIN-465; 04-22-2021)
a. For overseas posts, the contracting officer designates, in writing or by systems access approval, a U.S. Government employee to serve as receiving official for goods and services delivered under a contract as required under 14 FAH-2 H-140 procedures. The management officer designates, in writing or by systems access approval, a U.S. Government employee to serve as receiving official for goods and services when a contracting officer’s designation is not required, except for purchases made by Government-wide commercial purchase card (48 CFR 13.301).
b. For domestic bureaus/offices, the contracting officer designates, in writing or by financial systems access profile approval, a U.S. Government employee to serve as receiving official for goods and services delivered under a contract as required under 14 FAH-2 H-140 procedures. The executive director, if applicable, or budget officer designates, in writing or by systems access approval, a U.S. Government employee to serve as receiving official for goods and services when a contracting officer’s designation is not required, except for purchases made by Government-wide commercial purchase card (48 CFR 13.301).
4 FAM 061.5 Invoice Approver
(CT:FIN-465; 04-22-2021)
a. For overseas posts, the contracting officer designates, in writing or by systems access approval, a U.S. Government employee to serve as invoice approver for goods and services delivered under a contract as required under 14 FAH-2 H-140 procedures. The management officer designates, in writing or by systems access approval, a U.S. Government employee to serve as invoice approver for goods and services when a contracting officer’s designation is not required.
b. For domestic bureaus/offices, the contracting officer designates, in writing or by systems access approval, a U.S. Government employee to serve as invoice approver for goods and services delivered under a contract as required under 14 FAH-2 H-140 procedures. The executive director designates, in writing or by systems access approval, a U.S. Government employee to serve as invoice approver for goods and services when a contracting officer’s designation is not required.
4 FAM 061.6 Voucher Examiner
(CT:FIN-465; 04-22-2021)
a. The financial management officer of an overseas post authorizes, in writing or by systems access approval, an individual to serve as voucher examiner at post.
b. The Director, CGFS Office of Claims (CGFS/F/C) authorizes, in writing or by systems access approval, an individual to serve as voucher examiner at CGFS/F/C.
c. The Director, CGFS Post Support Unit (CGFS/S/PSU) authorizes, in writing or by systems access approval, an individual to serve as voucher examiner at Post Support Unit locations. This role is not an inherently governmental function.
4 FAM 061.7 Voucher Precertifier
(CT:FIN-465; 04-22-2021)
a. In those situations requiring voucher pre-certification, the management officer of an overseas post authorizes, in writing or by systems access approval, an individual to serve as voucher precertifier at post.
b. The Director, CGFS/F/C, authorizes, in writing or by systems access approval, an individual to serve as voucher precertifier at CGFS/F/C.
c. The Director, CGFS/S/PSU, authorizes, in writing or by systems access approval, an individual to serve as voucher precertifier at Post Support Unit locations.
4 FAM 061.8 Certifying Officer
4 FAM 061.8-1 Policy
(CT:FIN-465; 04-22-2021)
a. Pursuant to 31 U.S.C. 3325, the Secretary of State is authorized to certify payments and may delegate this authority by written authorization to subordinate officers and employees. Such delegations, in writing, may be made to U.S. citizen employees and locally employed staff (LE staff) meeting the criteria prescribed in 4 FAM 061.8-3. In addition, by virtue of position, principal officers abroad are authorized to certify vouchers. Delegation of authority to designate certifying officers is not delegated to posts. Authorization to certify does not transfer with an individual from one post to another.
b. Certifying officer functions are inherently governmental functions for which the Department requires direct-hire employees. As a result, personal services agreement (PSA) or personal services contract (PSC) employees may not be designated as a certifying officer.
c. Each certifying officer must be professionally qualified or have a proven record of integrity and consistent superior performance. Professionally qualified means the individual has complied with the training requirements identified in 4 FAM 061.8-3.
4 FAM 061.8-2 Designation of Certifying Officer
(CT:FIN-465; 04-22-2021)
The CGFS Office of Oversight and Management Analysis (CGFS/OMA) is responsible for processing the requests for designations of certifying officers. The Comptroller or designee will approve the designation. Certifying officer designations are made for U.S. citizen and qualified non-U.S. citizen direct-hire employees at posts and domestic bureaus/offices. Some domestic certifying officers are also designated as Treasury certifying officers as outlined in 4 FAM 061.9.
4 FAM 061.8-3 Designations
(CT:FIN-465; 04-22-2021)
a. CGFS/OMA will notify the post or bureau of designation action by cable for an overseas certifying officer or memo for a domestic certifying officer or Treasury certifying officer after the post or bureau has completed the requirements as specified below:
(1) Overseas certifying officer: The financial management or management officer must submit a request by cable to CGFS/OMA (cable address: USOffice Global Financial Services, TAGS: AFIN, pass line: GFS FOR CERTIFYING, caption: GFS FIN CHANNEL) to designate a U.S. citizen or a qualified non-U.S. citizen direct-hire employee as an overseas certifying officer at least 15 days before the effective date. The request (Subject: Certifying Officer Designation) must include the following:
(a) The name, current position, and grade of the nominated employee, whether the employee will be an alternate or principal certifying officer, and the effective (date) of the designation;
(b) Information as to whether the employee has or will have a contracting warrant. If so, the financial management or management officer must request approval for dual authority (see 4 FAM 042);
(c) Confirmation of completion of required Foreign Service Institute (FSI) courses or dates of enrollment. Required courses include PA215, Principles of Appropriations Law, and either PA216, Accounting, Vouchering and Certification or PA291, How to be a Certifying Officer. CGFS/OMA may grant a temporary 120-day designation to U.S. citizen direct-hire employees while they meet the minimum training requirements. No extensions or waivers will be granted;
(d) Confirmation that Form DS-1088-A, Signature Card for Certifying Officers has been sent or will be forwarded immediately to CGFS/OMA. Form DS-1088-A may be downloaded from the Department of State Intranet and completed, scanned, and sent to CGFS/OMA by email;
(e) Confirmation that the employee does not have “write” access to the accounting system for recording or adjusting obligations to the accounting records. No waiver of this limitation will be granted;
(f) An explanation of any requests for exceptions to 4 FAM 042, Separation of Duties; and
(g) A request for locally employed staff designation as certifying officer must also include:
(i) Confirmation that the employee meets the criteria in the local employee’s position classification handbook for LE staff-certifying positions;
(ii) Confirmation that the employee has proven records of integrity and consistent superior performance;
(iii) Confirmation that the employee has a minimum of 5 years of service in U.S. Government financial management or other relevant financial management experience;
(iv) Confirmation that the regional bureau supports the designation, including the name and position of the individual providing the bureau concurrence;
(v) Educational background: If college/university degree, provide major and name of the educational institution;
(vi) Confirmation that post has contacted the Office of Overseas Employment (GTM/OE) regarding position classification;
(vii) The monetary ceiling (U.S. dollar or local currency equivalent by fiscal line item) of disbursements to be certified. Post must also include in the request the list of categories of vouchers the employee may certify; and
(viii) Confirmation that post has assessed its voucher program and certifies that the internal control process will not be compromised by the appointment of an LE staff certifying officer;
(2) Domestic certifying officer: The bureau’s executive director must send a written request to CGFS/OMA to designate a U.S. citizen direct-hire employee as a domestic certifying officer. The request must include the following:
(a) The name, current position, and grade of the nominated employee, and the effective (date) of the designation;
(b) Information as to whether the employee has or will have a contracting warrant. If so, the executive director must request approval for dual authority (see 4 FAM 042);
(c) Confirmation of completion of required Foreign Service Institute (FSI) courses or dates of enrollment. Required courses include PA215, Principles of Appropriations Law, and either PA216, Accounting, Vouchering and Certification or PA291, How to be a Certifying Officer;
(d) Confirmation that the employee does not have “write” access to the accounting system for recording or adjusting obligations to the accounting records. No waiver of this limitation will be granted;
(e) An explanation of any requests for exceptions to 4 FAM 042, Separation of Duties; and
(f) A request for designation as Treasury certifying officer with Secure Payment System (SPS) or other Treasury system access must also include:
(i) Confirmation that the employee completed the required Treasury certifying officer training; and
(ii) Completed Treasury Form FMS-210CO, Designation for Certifying Officer.
b. When a certifying officer permanently departs from a post or bureau, the certifying officer’s supervisor must immediately notify CGFS/OMA (Subject: Certifying Officer Revocation) of the date the officer ceased certifying and request that the officer’s certifying authority be revoked. CGFS/OMA will notify the post or bureau of the revocation action by cable for an overseas certifying officer or memorandum for a domestic certifying officer.
c. In cases of suspected fraud, malfeasance, or negligence, post or bureau management has the authority to suspend any certifying officer designation. In all cases where fraud or negligence is proven, post or bureau management must notify CGFS/OMA (Subject: Certifying Officer Revocation) immediately requesting that the officer’s authority be revoked.
d. CGFS/OMA maintains an official database of all persons authorized to certify vouchers for the Department of State and provides this list to all U.S. disbursing officers. Supplements to this list are issued, as necessary, to reflect revocations and new delegations. See the CGFS Intranet site under “certifying officers by post” for the current listing.
e. A principal officer at post is authorized to certify payments made in accordance with 31 U.S.C. 3325. The principal officer’s name and facsimile signature are not required on the official certifying officer list for this purpose. This authorization is limited to certifying whenever:
(1) Emergencies occur because of the absence or illness of all certifying officers at post; or
(2) A voucher, other than a payroll voucher, is drawn in favor of a certifying officer and the other certifying officers at post are absent.
4 FAM 061.9 Treasury Data Entry Operator
(CT:FIN-465; 04-22-2021)
a. CGFS/OMA is responsible for processing the requests for designations of Treasury data entry operators. The Comptroller or designee will approve the designation. Treasury data entry operator designations are made for U.S. citizen direct-hire employees at the CGFS Office of Claims (CGFS/F/C).
b. CGFS/OMA will notify CGFS/F/C by memo of designation action for a Treasury data entry operator after CGFS/F/C has completed the requirements as specified herein. The CGFS/F/C Director must send a written request to CGFS/OMA to designate a U.S. citizen direct-hire employee as a Treasury data entry operator. The request must include the following:
(1) The name, current position, and grade of the nominated employee, and the effective (date) of the designation; and
(2) Completed Treasury Form FMS-210DEO, Designation of SPS Data Entry Operator.
4 FAM 061.10 Authorization to Certify for Other Agencies at Post
(CT:FIN-465; 04-22-2021)
a. Most agencies choose to delegate certifying authority to the Department of State certifying officers at posts by subscribing to shared International Cooperative Administrative Support Services (ICASS) for vouchering services. Other agencies may designate their own employees to certify vouchers chargeable to their funds. Each agency must send its list of certifying officers and copies of their signatures to post's financial management office.
b. When a post receives nonsubscribed agency requests for vouchering services, refer to 6 FAH-5 the ICASS handbook for guidance.
4 FAM 061.11 U.S. Disbursing Officer
4 FAM 061.11-1 Basic Authority and Delegation
(CT:FIN-465; 04-22-2021)
a. In accordance with 31 U.S.C. 3321, the chief disbursing officer of the Department of the Treasury (Treasury) has delegated disbursing authority for operations in foreign countries to the Department of State positions of U.S. disbursing officer (USDO) and assistant USDO. This disbursing authority is utilized at CGFS’s offices in Bangkok, Thailand and Charleston, South Carolina. A Department of State U.S. citizen employee assigned to CGFS Bangkok or CGFS Charleston is designated as a USDO by the CGFS Comptroller. The Comptroller designates the USDO in writing. The Office of Global Disbursing Operations (CGFS/DO) coordinates and maintains the records of all USDO designations.
b. See 4 FAH-2 H-113, Designations of USDO.
c. See 4 FAH-2 H-114, Responsibilities and Limitations of USDO.
4 FAM 061.11-2 Notifications
(CT:FIN-489; 02-27-2024)
a. CGFS/DO advises other CGFS offices, as required, of the USDO’s name, designation effective date, and place where the USDO will exercise the disbursing authority.
b. After arrival of the USDO, the USDO informs CGFS/DO of the date they actually began performing the USDO functions.
c. Upon transfer of a USDO, the USDO’s former office notifies CGFS/DO of the date the individual ceased performing the USDO function and the number of the last Treasury Department check issued by the USDO.
d. CGFS/DO will notify the Comptroller of the date the individual ceased performing the USDO function and request that the USDO’s designation be revoked.
e. Upon the death of a USDO, the Comptroller must be immediately notified in writing and requested to authorize the assistant USDO to act in the capacity of the deceased individual. CGFS/DO has this responsibility for the USDO in Charleston. The senior officer for the Global Financial Service Center Bangkok (CGFS/B) has this responsibility for the Bangkok USDO.
4 FAM 061.12 Cashier
(CT:FIN-465; 04-22-2021)
a. U.S. disbursing officers (USDOs) are responsible for designating cashiers, including alternate cashiers, for all agencies with cashiers operating abroad based on cashier qualifications as defined in 4 FAM 061.12-1.
b. The Associate Comptroller (CGFS/S) designates, in writing, domestic cashiers. To establish a new imprest fund or request a cashier designation in the United States, the bureau executive director must submit a request to CGFS/S. All requests must comply with requirements in 4 FAM 391.4, paragraph e.
4 FAM 061.12-1 Required Qualifications to be Designated a Cashier
(CT:FIN-465; 04-22-2021)
a. Only persons with the integrity and ability to perform fiscal services in a responsible manner should be considered for a cashier designation.
b. Only a direct-hire, permanent employee of the Department of State of any nationality or employees hired under personal services agreement (PSA) or personal services contract (PSC) authorities (e.g., 22 U.S.C. 2669, 22 U.S.C. 2396(a)(3), etc.) that are exempt from Office of Federal Procurement Policy (OFPP) Policy Letter No. 11-01 “Performance of Inherently Governmental and Critical Functions” may be designated by the servicing USDO to be a Department of State cashier. All designated cashiers must read, write, and speak English with sufficient fluency to understand and carry out the duties and responsibilities of the cashier function. Standards of accountability are the same for PSA, PSC, and direct-hire cashiers. The designation request must state that employee’s PSA or PSC employment documentation is properly prepared and duly authorizes the individual to perform cashiering functions. Only PSA and PSC employees of the Department of State, the U.S. Agency for International Development (USAID), Peace Corps, and other agencies with specific Department of the Treasury authorization may be designated as cashiers. (See 4 FAH-2 H-813.1 for USDO designation requirements for USAID and other agency cashiers.)
c. An employee is granted a permanent designation as an overseas cashier after completing the CGFS-sponsored basic cashier course and passing the examination. The USDO may make a temporary designation (not to exceed 180 days) to allow a candidate the opportunity to complete the course. However, the USDO must revoke the temporary designation if the candidate is unable to complete the course and pass the examination within the 180-day period. The candidate must achieve a passing grade in the course and may not fail the exam more than twice. If three or more attempts are needed to pass the exam, the USDO must concur with any proposals to allow an additional attempt to pass the exam. (See 4 FAH-2 H-814 for additional details.)
d. Before an employee is designated a domestic cashier by CGFS/DO, the employee should complete appropriate training consistent with assigned duties. A domestic cashier is not required to take the CGFS course required for an overseas cashier (see 4 FAM 061.12-1, paragraph c). Training courses available through the U.S. Department of Agriculture, General Services Administration, and other training facilities are appropriate. In addition, all domestic cashiers must be given operational instructions for their duties and information on personal liability for U.S. Government funds in the possession or control of cashiers, alternates, and their supervisors. Minimum training must also include instruction on cashier controls, the appropriate forms or systems that must be used, and any required procedures to document cashier activities performed at the assigned duty station. Any domestic cashier or bureau supervisor with questions regarding the minimum training requirement for domestic cashiers, the systems, required procedures that must be followed, or forms that must be used to maintain good internal control should contact CGFS/DO. In addition, all domestic cashiers and domestic bureau supervisors should visit and review the information at the U.S. Treasury Financial Management website.
4 FAM 061.12-2 Overseas Designation of Cashiers
(CT:FIN-489; 02-27-2024)
a. The Department of State has been delegated authority from the chief disbursing officer, the Department of the Treasury, to designate cashiers. Designated Bureau of the Comptroller and Global Financial Services (CGFS) officials and the USDOs for the Department of State may execute designations of cashiers.
b. Designation requests for overseas cashiers are approved by the servicing USDO. All requests must comply with 4 FAM 391.4, paragraph d. Requesting officers should be the FMO or post management officer. At very small posts where an FMO or management officer is not present, the cashier supervisor may submit the request when this person is the U.S. citizen supervisor for this function. The principal officer or management officer, when an FMO or U.S. citizen supervisor submits a request, must approve all requests.
c. When the USDO receives the request for designation of an overseas cashier, the USDO will review and approve the request, if appropriate, and send a telegraphic designation to the requesting official, the authorized certifying officer at the fiscal servicing post, and the cashier. The USDO will seek additional information if the request does not meet all of the requirements for designation and must deny the request for designation if the person does not meet all of the requirements.
d. Designations for other agency employees to be Class A or B cashiers must be approved by both CGFS/DO and the servicing USDO. Agency appeals of decisions to not designate a particular cashier may be made to the CGFS.
e. The request to have another agency employee designated as a Class A or B cashier must originate with the employing agency and must be justified. The written request (e.g., signed memo, telegraphic message, etc.) must state that the requested employee is qualified; has met the same training requirements as a Department of State employee; and agrees to follow Department of State policies and procedures, including any instructions from the servicing USDO. In addition, the requesting document must state that in the event of a fiscal irregularity, the requesting agency agrees to cover all USDO advances within 90 days and to resolve all fiscal irregularities directly with the employee.
f. More detailed designation procedures for overseas cashiers are found in 4 FAH-2 H-813 and chapter 2 of the Cashier User Guide (CUG). The procedure for requesting a subcashier advance is also found in chapter 2 of the CUG. Roles and responsibilities of cashiers, cashier supervisors, and cashier monitors are contained in 4 FAM 393.3 and 4 FAH-2 H-812.
4 FAM 061.12-3 Designating Cashiers in the United States
(CT:FIN-465; 04-22-2021)
a. To establish a new imprest fund or request a cashier designation in the United States, the bureau or office executive director must submit a request to CGFS/S. All requests must comply with requirements in 4 FAM 391.4, paragraph e.
b. When CGFS/S receives a request, it will review, approve, and send copies of the designation to the requesting official, the authorized certifying officer, and the cashier. CGFS/DO will seek additional information if the request does not meet all of the requirements for designation. Imprest fund advances for domestic cashiers are processed on Form DS-4013, Request for Change or Establishment of Imprest Funds.
4 FAM 061.13 Subcashier
4 FAM 061.13-1 Department of State Subcashier
(CT:FIN-465; 04-22-2021)
a. The FMO, U.S. citizen supervisor of the Class B cashier, or management officer of an overseas post designates, in writing, subcashiers at post with advances of USDE 10,000 or less. The servicing USDO designates, in writing, subcashiers at post with advances in excess of USDE 10,000. These authorities include designation of subcashiers of an agency other than the Department of State.
b. The post cashier supervisor is responsible for notifying and requesting USDO designation for a subcashier when the subcashier advance will exceed USDE 10,000. This includes requests for designation of subcashiers of an agency other than the Department of State (see 4 FAM 061.13-2).
c. The designation letter addressed to the subcashier states the authorized advance amount and specifies the types and limits of transactions that the subcashier may perform, such as cash payments for general services up to USDE 500 per transaction. Copies of the subcashier designation letter, and other agency request letter if applicable, must be retained by the Class B cashier, the designated subcashier, and in the FMO files at the fiscal-servicing post.
4 FAM 061.13-2 Subcashier of Other Agency
(CT:FIN-465; 04-22-2021)
a. At posts where the cashier transactions of an agency other than the Department of State are few, a representative of the agency may request to have an agency employee designated as a subcashier to the Department of State Class B cashier. A subcashier of an agency other than the Department of State, Agency for International Development, and the Peace Corps must be a direct-hire employee of that agency, unless the agency has provided documentation to the USDO that it has authority to designate a personal services agreement (PSA) employee or personal services contractor as a cashier. All subcashiers regardless of their agency are accountable officers.
b. A request for designation is submitted by the other agency with full justification to the FMO or the Class B cashier’s supervisor at the post. The subcashier’s employing agency must approve the requested designation in accordance with that agency’s regulations for designation of subcashiers. The request must include the name and title of the Department of State Class B cashier who is to issue the advance; the amount of operating cash advance; and type of currency requested. Prior to submitting the request to the FMO, it must have the written approval of:
(1) The Department of State Class B cashier who is to issue the advance;
(2) The subcashier agency’s administrative, executive, or principal officer at the post; and
(3) The Department of State management officer, or, if none, the principal officer of the same post.
4 FAM 061.14 Occasional Money Holder
(CT:FIN-465; 04-22-2021)
The financial management officer, management officer, or U.S. citizen supervisor of an overseas post designates, in writing, a U.S. Government employee to be an occasional money holder. Locally employed staff may be designated occasional money holders.
4 FAM 061.15 Collections Official
(CT:FIN-489; 02-27-2024)
a. When a Treasury-approved lockbox, electronic point of sale (e.g., U.S. Government/private credit cards, pay.gov, toll charges from telephone 900 numbers), Class B cashier, subcashier, or consular cashier is not available to accept a collection, a financial management officer (FMO) at an overseas location or a budget officer in a domestic location may designate an accountable officer to make collections for a bureau, organization, or post where the collections must be received. Designations may be permanent until revoked or temporary for a limited function or activity (e.g., post property disposal sale that generates proceeds of sale at a location where a class B cashier or subcashier is not available). The relevant management officer or executive director may assume the designation responsibility when an FMO or budget officer is not available.
b. Designations are prepared in memo format by the designating official and approved by the supervisory executive director, management officer, or equivalent in the bureau, post, or organization that receives collections. Supervisory approval is not needed when the designation is prepared by the management officer or executive director. The original of the designation is retained by the designating official. A copy of the designation is provided to the designated individual. For domestic locations, CGFS/OMA is provided a copy of any bureau designation. At overseas locations, the servicing U.S. disbursing officer (USDO) is notified and provided a copy of the designation. CGFS/OMA and the USDO are not required to affirm the designation but are authorized to request changes to, reject, or terminate bureau- or post-approved designations at any time. Faxed or imaged copies of the designations to the USDO or CGFS/OMA are acceptable documentation, provided that the original is retained with the designating official.
c. The Director of CGFS/OMA approves CGFS employee designations for collection functions at the Charleston Global Financial Center and other CGFS domestic locations and is authorized to request changes to, reject, or terminate any bureau-approved domestic designation at any time.
d. Only officers, employees, and personal services agreement (PSA) employees with authorities consistent with PSA cashiers (see 4 FAM 061.12-1, paragraph b) may be designated to make collections. Contractor employees may not be designated and are not authorized to handle collections unless they are working under an approved lockbox arrangement (see 4 FAM 321.3, paragraphs c and d).
e. All designations must be in writing and must be approved in accordance with this section before the designated individual makes any collections. The documentation must state that the individual does not have access to accounts receivable processes or systems that would compromise internal controls over collections. Formal training for designated individuals is not required, but each designated individual must be informed and must acknowledge in writing before making any collections that they are an accountable officer and required to follow the written collection procedures (see 4 FAM 061.15-1 for the required written procedures and 4 FAM 392 for the definition of accountable officer).
f. Consular collection designations must be governed by the CGFS-approved procedures required in 4 FAM 061.15-3.
g. When an employee receives an unexpected collection (e.g., check in the mail) and their organization does not have a need to establish a collection activity on an on-going basis, the individual should contact the Office of Oversight and Management Analysis (CGFS/OMA) for instructions needed to forward the collection to the lockbox. A formal designation is not required for this situation.
4 FAM 061.15-1 Responsibilities for Written Collections Procedures
(CT:FIN-465; 04-22-2021)
The designating official in 4 FAM 061.15, paragraph a, is responsible for preparing written procedures that will safeguard collections made by the designated accountable officer. These procedures must state how cash, check and/or electronic collections will be tracked and how collections will ultimately be deposited with a U.S. disbursing officer (USDO), Class B cashier, lockbox, or approved financial institution. The written procedures that must be approved and be in place prior to making any collections (see 4 FAM 061.15-2) must also incorporate a receipt procedure for each collection received as well as any required documentation that will be needed to record the collection properly in the Department’s financial management system.
4 FAM 061.15-2 Required Approvals for Written Collections Procedures
(CT:FIN-465; 04-22-2021)
CGFS/OMA must approve all written procedures for domestic accountable officer collections that are not directly paid to a cashier, lockbox, or approved financial institution identified in 4 FAM 061.15, paragraph a. The servicing USDO must approve procedures for overseas accountable officer collections. The designating official at the post or bureau is responsible for ensuring that the approved written procedures are in place and are followed.
4 FAM 061.15-3 Collections at Passport Agencies, Visa Centers, and Consulates
(CT:FIN-465; 04-22-2021)
The Bureau of the Comptroller and Global Financial Services has authorized the Bureau of Consular Affairs to establish accountable officer designation procedures and consular collection processes at domestic passport agencies, visa centers, and overseas consulates. The designation procedures for accountable officers, as well as the collection procedures for designated domestic and overseas consular employees, must be in writing and be approved by CGFS/OMA and CGFS/FPRA/FP.
4 FAM 061.16 Cash Verification Officer
(CT:FIN-489; 02-27-2024)
The following procedures must be followed to assign an LE staff member as a cash verification officer (CVO):
(1) The U.S. citizen FMO, management officer, or other agency U.S. citizen employee at post who normally supervises the cashier operation selects the LE staff member as a candidate for performing the monthly cashier reconciliations. The LE staff member may be called the “cash verification officer” (CVO) and must meet the following qualification criteria in addition to the training requirements listed in subparagraph c(3) of this section:
(a) Must have knowledge of cashiering and post financial operations;
(b) Cannot be an alternate or subcashier to the principal cashier of the same accountability;
(c) Must have exemplary performance reviews and demonstrated good judgment and proven reliability;
(d) Cannot supervise the cashier or be supervised by the cashier at posts where the cashier performs other duties that are not related to cashier operations; and
(e) May not be a family member of the cashier whose account is being verified;
(2) The U.S. citizen FMO, management officer, or authorized U.S. citizen employee from another agency requests that the employee be approved to perform the monthly cashier verifications by sending a cable request to the servicing USDO. The cable must state that the employee meets the above qualifications;
(3) If the USDO determines that the post is in compliance with current Form GFS 365, Cashier’s Reconciliation Statement verification requirements, and the cashier operation has no significant problems, and the regional bureau concurs, the USDO provides initial approval of the employee as a candidate for verification authority. The USDO approves the LE staff member as a CVO once the LE staff candidate successfully completes the following:
(a) CGFS-required training for overseas cashier supervisors as determined by CGFS/DO; and
(b) At least one monthly cashier verification Form GFS 365 (FSC-365 package) based on procedures in 4 FAM and the Cashier User Guide (CUG), in the presence of the U.S. citizen cashier supervisor.
The U.S. citizen cashier supervisor should train the CVO employee performing the reconciliation, as needed, to feel confident that the verifications are performed in accordance with proper procedures;
(4) It is not required that the CVO authority be renewed when the U.S. citizen supervisor at post changes. However, the new U.S. citizen supervisor may choose to perform the cash verifications themselves instead of having the CVO perform them. The USDO has the right to revoke the CVO authority at any time. Clearly document all USDO decisions when the CVO authority is revoked.
4 FAM 062 THROUGH 069 UNASSIGNED