16 Tex. Admin. Code § 31.1 - Separation of Duties Between Commission and Executive Director

(a) This rule implements § 5.12 of the Alcoholic Beverage Code (Code), which requires the Texas Alcoholic Beverage Commission (commission) to adopt rules to clearly separate the policy-making authority of the commissioners from the management responsibilities of the executive director, and §5.34(b) of the Code, which requires the commission to develop and implement policies that clearly define the respective responsibilities of the commission and staff.

(b) The commission retains the duty and authority to:

(1) Establish agency policies and goals to carry out the duties and authority granted to the commission under the Code;

(2) Provide leadership and direction to ensure agency laws, rules, policies and goals are implemented in a responsible, effective and cost efficient manner;

(3) Ensure accountability and transparency within the agency and to the Governor, the Legislature, the public, and persons regulated;

(4) Appoint and remove the executive director;

(5) Adopt agency rules to implement statutory duties and agency policies;

(6) Employ or appoint and terminate or remove an internal auditor, adopt an audit plan, approve audit findings and ensure agency compliance with audit requirements;

(7) Exercise any authority and carry out any duty of the commission not delegated to the executive director;

(8) Render the final decision in any contested disciplinary action that has had an administrative hearing;

(9) Approve or decline the settlement of any disciplinary action that carries a civil penalty of ten million dollars ($10,000,000) or more; and

(10) Approve or decline the settlement of any disciplinary action that the executive director recommends and that is accepted for consideration by:

(A) the presiding officer of the commission; or

(B) at least two commission members.

(c) The commission delegates the following duties and authority to the executive director (under Alcoholic Beverage Code § 5.11(b), also referred to as the administrator in the Alcoholic Beverage Code and the commission's rules):

(1) Plan and implement an effective an efficient operational and organizational structure;

(2) Act as the agency liaison and resource to the executive and legislative branch;

(3) Prepare and submit the agency budget and appropriations requests;

(4) Employ and terminate the general counsel, who shall report directly to the executive director;

(5) Employ or appoint an executive management team with the skills, knowledge and commitment necessary to achieve the goals and implement the policies adopted by the commission;

(6) Assign and delegate to each member of the executive management team and the general counsel the responsibility and authority necessary to effectively administer all agency operations, duties and functions, implement policy, and manage staff and resources, including the authority to further delegate and assign the essential duties and responsibilities of the agency to ensure the highest and best use of agency staff and resources;

(7) Develop, monitor and report measures or expectations for the administrative, regulatory and enforcement functions of the agency to ensure that the agency goals are accomplished and policies followed;

(8) Develop and implement comprehensive and agency-wide internal policies and procedures necessary to carry out each essential function, duty, policy or goal of the agency;

(9) Ensure that all agency staff has access to, knowledge of and responsibility for consistently following policies adopted by the commission and agency-wide internal policies and procedures;

(10) Administer the oath of office or commission to agency staff and agents;

(11) Render, or delegate to agency staff, the agency decision or order in any matter over which the agency has final decision-making authority unless otherwise retained by the commission in subsection (b) of this section; and

(12) Execute contracts, specifically including but not limited to approving and signing contracts for the purchase of goods or services that have a value exceeding $1 million. Notwithstanding paragraph (5) of this subsection, the authority to approve and sign contracts for the purchase of goods or services that have a value exceeding $1 million shall not be delegated by the executive director to staff.

(13) Nothing in this section shall be construed to limit the general counsel's duty to advise the commissioners directly as their legal counsel, with all duties to the client, legal privileges, and ethical requirements generally applicable to the attorney-client relationship.

Notes

16 Tex. Admin. Code § 31.1

The provisions of this §31.1 adopted to be effective August 30, 2009, 34 TexReg 5910; amended to be effective November 15, 2012, 37 TexReg 8972; Amended by Texas Register, Volume 40, Number 49, December 4, 2015, TexReg 8754, eff. 12/8/2015; Amended by Texas Register, Volume 45, Number 23, June 5, 2020, TexReg 3768, eff. 6/9/2020