TITLE 34.PUBLIC FINANCE

Part 3. TEACHER RETIREMENT SYSTEM OF TEXAS

Chapter 25. MEMBERSHIP CREDIT

Subchapter B. COMPENSATION

34 TAC §25.34

The Teacher Retirement System of Texas (TRS) proposes a new §25.34, concerning the administration of membership waiting period for public education employees. The proposed new section implements a waiting period before an individual is eligible to become a member of TRS. The proposal has been adopted on an emergency basis and is published in this issue of the Texas Register .

In accordance with House Bill 3459, 78th Legislature, Regular Session, the proposed new section sets forth the requirement of a 90-day waiting period for an individual who is not a member of TRS, including through withdrawal of contributions, if the individual is employed on or after September 1, 2003, by an entity otherwise required to report its employees to TRS as members. The proposed new section sets forth the eligibility for TRS membership for individuals who are subject to the waiting period; describes the date of employment for the purpose of administering the section; establishes how the waiting period is calculated, and addresses the effect of the waiting period on eligibility to elect participation in the Optional Retirement Program ("ORP") as an alternative to membership in TRS.

Tony Galaviz, Chief Financial Officer, has determined that for each year of the first five years the proposed section will be in effect, there will be negligible fiscal implications to state or local governments as a result of enforcing or administering the section as proposed. There will be no measurable effect on local employment or the local economy as a result of the proposal. Any economic costs to local governments required to comply with the proposed new rule are the result of the legislative enactment of House Bill 3459, 78th Legislature, Regular Session.

Mr. Galaviz has also determined that the public benefit will be to provide notice and clarification to employers of the provisions relating to the 90-day membership waiting period for affected employees. He has also determined that there will be no anticipated economic cost to the public, small businesses, or to the persons who are required to comply with the section as proposed for each year of the first five years the section will be in effect.

Comments may be submitted in writing to Charles L. Dunlap, Executive Director, 1000 Red River, Austin, Texas 78701. To be considered, written comments must be received by TRS no later than 30 days after publication of the sections for proposal.

The new section is proposed under the Government Code, Chapter 825, §825.102, which authorizes the Board of Trustees of the Teacher Retirement System to adopt rules for eligibility for membership. The new section is also proposed under House Bill 3459, 78th Legislature, Regular Session, sections 43-44 and 73-74, which require a waiting period and otherwise address implementation of the waiting period.

The other code provisions affected are Government Code, Chapter 822, §822.001 and Government Code, Chapter 823, §823.002.

§25.34.Administration of Membership Waiting Period.

(a) For an individual who begins employment on or after September 1, 2003, with an employer that is a TRS reporting entity and who is not a member of TRS as of the date of employment, eligibility for TRS pension plan membership begins on the first calendar day after the end of a 90 calendar day waiting period.

(b) For purposes of this section, an individual who is not considered to be a TRS member includes an individual who previously terminated membership in the retirement system through withdrawal of contributions and did not resume membership prior to a date of employment that is on or after September 1, 2003.

(c) In determining the date of eligibility for TRS pension plan membership for an employee who is subject to the waiting period, the following provisions apply:

(1) An employer shall count the date of employment as the first day of the 90-day waiting period.

(2) An employer shall count calendar days of an employment period on or after September 1, 2003, towards the waiting period, regardless of whether the days are in different school years.

(3) An employer shall count calendar days on or after September 1, 2003, during which the individual previously served as an employee with another TRS reporting entity towards the waiting period.

(4) An employer shall not count any calendar days between periods of employment towards the waiting period.

(5) Service provided by an employee on one calendar day to more than one employer that is a TRS reporting entity shall count as only one calendar day in the waiting period. Service of a type that would not otherwise qualify the employee for TRS membership may not fulfill any part of the waiting period requirement.

(d) For the purpose of administering this section, the date of employment means the date on which an employee begins to perform service for an employer that is a TRS reporting entity and the service is of a type that would otherwise qualify the employee for membership in the TRS pension plan, as provided under Subchapter A of this chapter (relating to Service Eligible for Membership) if the person were not subject to the waiting period described in this section.

(e) An employer shall submit member and other required contributions to TRS on compensation paid to an employee after the first date of the employee's eligibility for membership. For an employee subject to the waiting period, an employer's first report to TRS for the employee shall include the date of employment and the date on which the employee became eligible for TRS membership after the waiting period.

(f) An employer shall notify TRS immediately if it has failed to report an employee who was eligible for TRS membership and shall begin to report the employee as a member no later than the month immediately following the month in which the employer discovered the error. The employer shall correct any previous reports filed with TRS and make contributions and deposits as required by this title.

(g) Because participation in the Optional Retirement Program ("ORP") under Government Code, Chapter 830, is in lieu of participation in TRS, a person employed on or after September 1, 2003, and otherwise eligible to elect to participate in ORP must meet the TRS membership eligibility requirements, including the waiting period as applicable under this section, before the person may elect to participate in ORP. An election to participate in ORP must be made before the 91st day after becoming eligible to make the election, as required by Government Code, Chapter 830, §830.102, but may not be made before the date on which an employee is eligible for TRS membership.

(h) Upon request by TRS, an employer or an employee shall provide copies of, or otherwise make available, any records that TRS determines are necessary to administer this section.

(i) An employee who is subject to the waiting period specified in this section may be eligible to receive a year of TRS service credit if the employee is employed in a TRS-covered position and participates as a contributing member of TRS for the amount of time in a school year required by this title, including §25.1 of this title (relating to Full-Time Service) and §25.131 of this title (relating to Required Service). Employment service prior to the date on which a person is eligible for TRS membership under this section may not be used to meet the minimum requirements for service creditable in a school year unless a member purchases it in accordance with applicable requirements.

(j) This section is effective on September 1, 2003, and expires September 1, 2005, unless legislation is enacted extending the provisions of Government Code, Chapter 822, §822.001 and Government Code, Chapter 823, §823.002, as amended by House Bill 3459, 78th Legislature.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on August 8, 2003.

TRD-200304891

Charles Dunlap

Executive Director

Teacher Retirement System of Texas

Proposed date of adoption: September 25, 2003

For further information, please call: (512) 542-6115


Chapter 53. CERTIFICATION BY COMPANIES OFFERING QUALIFIED INVESTMENT PRODUCTS

34 TAC §§53.1, 53.6, 53.14

The Teacher Retirement System of Texas (TRS) proposes amendments to §53.1, §53.6, and §53.14 concerning certification by companies offering qualified investment products to members. §53.1 defines terms used in the chapter, §53.6 sets forth the procedure for certification of qualified companies, and §53.14 sets out the requirements for qualified companies to re-certify.

The proposed amendment to §53.1 deletes the definition of "school year" as it is no longer necessary. The proposed amendments to §53.6 eliminate the requirement that a company submit its certification by June 1st before the beginning of the school year in which it wishes to offer qualified investment products to school employees. The proposed amendments also clarify the period that the certification remains in effect. The proposed amendments to §53.14 eliminate the June 1st deadline for filing a re-certification and indicate that re-certifications should be filed no later than thirty days prior to the expiration of its certification.

Tony Galaviz, Chief Financial Officer, has determined that for each year of the first five-year period the sections are in effect there will be no foreseeable fiscal implications to state or local governments as a result of enforcing or administering the sections as proposed.

Mr. Galaviz also has determined that for each year of the first five years the sections as proposed are in effect the public benefit anticipated would be that qualified companies will be able to certify at a time of their choosing, according to their business needs, thus increasing the choices available to educational employees. Mr. Galaviz has also determined that there are no anticipated economic costs to the public, small businesses, or to the persons who are required to comply with the sections as proposed for each year of the first five years the sections will be in effect.

Comments on the proposal may be submitted in writing to Charles L. Dunlap, Executive Director, 1000 Red River, Austin, Texas 78701. To be considered, written comments must be received by TRS no later than 30 days after publication of the proposal.

The amendments are proposed under article 6228-a-5, Vernon's Texas Civil Statutes, which authorizes the TRS Board of Trustees to adopt rules to, among other things, administer the certification of companies offering eligible qualified investment products to educational employees. The amendments are also proposed under Government Code, Chapter 825, §825.102, which authorizes the TRS Board of Trustees to adopt rules for the transaction of business of the Board.

No other codes are affected by the proposal.

§53.1.Definitions.

The following words and terms when used in this chapter shall have the following meanings, unless the context clearly indicates otherwise:

(1) - (13) (No change.)

(14) [ School year--a twelve-month period established by an educational institution as its school year and, for purposes of this chapter, beginning after June 1 of a calendar year. ]

[ (15) ] Specialized department--One or more employees of a certified company or a company affiliated with the certified company dedicated to service of qualified investment products. If the certified company is authorized by the Texas Department of Insurance to issue annuity contracts in the State of Texas, the affiliated company must be part of an Insurance Holding Company system as defined in Article 21.49-1, Insurance Code.

§53.6.Procedure for Certification.

(a) A company that meets the qualifications for certification may certify to TRS that it offers one or more qualified investment products, which shall be identified in the certification as annuity contracts, qualified investment products other than annuity contracts, or both.

(b) A company certifies to TRS by providing all information required in this chapter on a form promulgated by TRS for this purpose and by paying the required certification fee.

(c) As part of its certification to TRS, a company shall affirm that each of its representatives is properly licensed and qualified, by training and continuing education, to sell and service the company's eligible qualified investments and that the company will demonstrate this annually to TRS, as required by Texas Civil Statutes, Article 6228a-5, §12.

(d) For a company filing a certification on or after September 1, 2002, certification remains in effect for five years from the date on which TRS verifies by letter that all required information has been provided and the required fee has been paid, making the company eligible to be placed on the list of certified companies. [ A certifying company shall file its certification with TRS no later than June 1 in order to offer eligible qualified investment products during the school year beginning after June 1 in the same calendar year. ]

(e) For a company that filed its certification with TRS before September 1, 2002, certification remains in effect through August 31, 2007. [ Notwithstanding subsection (d) of this section, a company may file its certification after June 1, 2002, but no later than December 31, 2002, in order to be eligible to offer qualified investment products during the remainder of the 2002-2003 school year following certification by the company. ]

[ (1) This subsection does not authorize a company to offer qualified investment products after June 1, 2002, without having certified to TRS. ]

[ (2) A company that files its certification under this subsection nevertheless is subject to the June 1 filing requirement of subsection (d) of this section in the calendar year 2007 if it wishes to offer qualified investment products during the entire 2007-2008 school year.]

(f) A certifying company shall pay the certification fee established by this chapter to TRS at the time it certifies to TRS.

(g) A certified company has an on-going duty to correct any erroneous or misleading information provided to TRS in the certification process. A company shall notify TRS within 30 calendar days of a change in the information provided in its certification if such a change affects the accuracy of the company's certification or its eligibility for certification.

(h) TRS may reject a company's certification if the company does not provide all required information, if the information provided indicates the company does not meet the requirements for certification, or if TRS receives notification of a violation regarding the company or the company's product from either the Texas Department of Insurance, the State Securities Board, or the company.

(i) Rejection of certification is final but a company may re-certify if it subsequently submits information or corrections that show it meets the requirements for certification. Additional or corrective information filed within 30 business days following a rejection of certification shall not require payment of an additional certification fee.

(j) Certification remains in effect in accordance with the provisions of this section [ for five school years ] unless revoked by TRS.

§53.14.Re-certification.

(a) A company may re-certify to TRS following expiration, rejection, or revocation of its certification.

(b) In order to re-certify, a company shall provide all information required for certification and shall pay the certification fee in effect at the time re-certification is filed.

(c) To re-certify following rejection or revocation of certification, a company must specifically demonstrate that the grounds for rejection or revocation have been remedied.

(d) A company should [ shall ] file its re-certification with TRS no later than thirty days prior to the expiration of its certification in order to allow adequate time for review by TRS [ June 1 in order to offer eligible qualified investments during the school year beginning after June 1 in the same calendar year ].

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on August 11, 2003.

TRD-200304971

Charles Dunlap

Executive Director

Teacher Retirement System of Texas

Proposed date of adoption: September 25, 2003

For further information, please call: (512) 542-6115