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AMENDMENTS TO THE PROGRAM COMPLIANCE REVIEW GUIDE

AMENDMENTS TO THE PROGRAM COMPLIANCE REVIEW GUIDE. July 2006 IFTA Annual Business Meeting. Summary of Changes. Strikes language allowing PCRC to seek expulsion after issuance of a Final Determination Finding of Non-Compliance

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AMENDMENTS TO THE PROGRAM COMPLIANCE REVIEW GUIDE

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  1. AMENDMENTS TO THE PROGRAM COMPLIANCE REVIEW GUIDE July 2006 IFTA Annual Business Meeting

  2. Summary of Changes • Strikes language allowing PCRC to seek expulsion after issuance of a Final Determination Finding of Non-Compliance • Adds language requiring PCRC to refer matter to DRC within 60 days of issuing a Final Determination Finding of Non-Compliance

  3. Summary of Changes • Strikes Section IV Executive Committee Appeal Process

  4. AMENDMENTS TO THE PROGRAM COMPLIANCE REVIEW GUIDE July 2006 IFTA Annual Business Meeting

  5. AMENDMENTS TO THE DISPUTE RESOLUTION PROCESS July 2006 IFTA Annual Business Meeting

  6. General Layout of Current Document Statement of Purpose I: Definitions II: Complaint Process A. General Information B. Complaint Process Penalties Appeals

  7. General Layout of Proposed Document Statement of Purpose I: Definitions and General Procedures A. Definitions B. General Procedures II: Complaint Process A. General Information B. Complaint Process III: Program Compliance Enforcement Process A. General Information B. Referral Process IV: Penalties V: Appeals

  8. Statement of Purpose Language added to reflect that the DRP: • Offers opportunity for the PCRC to address compliance issues • Provides a means for resolution of continuing compliance issues identified through the PCR process

  9. Revised Definitions Complainant • Revised to reflect that the PCRC can be a complainant Respondent • Revised to reflect that the PCRC can be the party alleging that a jurisdiction (the respondent) is in non-compliance

  10. Added Definitions • Referral: A formal Referral for Enforcement of a Final Determination Finding of Non-compliance from the Program Compliance Review Committee • Review: A Program Compliance Review • Review Committee: The IFTA Program Compliance Review Committee

  11. Added General Procedures Section • Consolidates general procedures applicable to all types of disputes into single section • Appropriate provisions moved from the prior General Information section Examples: • When actions considered filed • Acceptable methods of filing • Proof of service • Requesting extensions of time on filing dates

  12. Revised Complaint Process/ General Procedures Section • Strikes provisions that were moved to the new General Procedures section

  13. Revised Complaint Process/ Complaint Process Section • Strikes provisions that were moved to the new General Procedures section • Adds language to correct a prior error: “… must be approved by a majority of the voting members of the Committee.” • Adds language requiring the distribution of DRC findings to include the Chief Executive of the Respondent to maintain consistency with recipients of the original complaint

  14. Added Program Compliance Enforcement Process Section Subsections • General Information • Referral Process

  15. Program Compliance Enforcement Process Section General Information Subsection • Authorizes PCRC to make a referral for enforcement • Outlines how referral is filed • Requires review process to be complete and a Final Determination Finding of Non-compliance to be issued • Requires PCRC to make referral within 60 days of issuing Final Determination

  16. Program Compliance Enforcement Process Section Referral Process Subsection • Requires PCRC to file a Referral when a Final Determination Finding of Non-compliance is issued • Outlines documentation PCRC is required to file with a Referral • Establishes the findings of the PCRC as prima facie evidence of non-compliance

  17. Program Compliance Enforcement Process Section Referral Process Subsection • Outlines process and required documentation for Respondent to protest Referral • Establishes the Final Determination Finding as the Compliance Findings and Order of the DRC in the event of no protest • Allows a protest to be amended once within 30 days

  18. Program Compliance Enforcement Process Section Referral Process Subsection • Requires Executive Director to schedule date and location for DRC to review party submissions • Allows Respondent to request and DRC option of granting a hearing • Allows Respondent and PCRC to provide briefs and establishes schedule for submission

  19. Program Compliance Enforcement Process Section Referral Process Subsection • Requires Respondent to file a Statement of Compliance within 30 days of time scheduled for DRC to consider protest • Allows Respondent to request and justify that witness testimony be permitted at a hearing • Allows PCRC to respond to Statement of Compliance and to object to proposed witnesses or evidence

  20. Program Compliance Enforcement Process Section Referral Process Subsection • Allows DRC to grant permission for oral testimony by majority vote • Requires testimony to be informal and confined to actions related to compliance since the review was conducted • Respondent carries the burden of proof • Allows Respondent and then PCRC to make its argument to the DRC

  21. Program Compliance Enforcement Process Section Referral Process Subsection • Allows arguments/counter-arguments to continue until majority of DRC has facts sufficient to make decision • Requires findings to be approved by majority of voting members or voting members present in the event of a hearing • Findings and Order allows for approval by signature and dissent by signature

  22. Program Compliance Enforcement Process Section Referral Process Subsection • Requires findings to include a determination on issues stated in the protest, including grounds for finding • Allows for immediate assessment of any or all penalties and/or a resolution for expulsion • Allows penalties to be linked to failure to attain certain goals and sets out process for Respondent to report progress

  23. Program Compliance Enforcement Process Section Referral Process Subsection • Establishes process for Respondent to petition DRC for relief from imposed penalties

  24. Penalties Section No changes

  25. Appeals Section • Adds language to clarify that the Board shall review accepted appeal matters at the next Board meeting • Corrects language to require the Board to issue its decision within 45 days of reviewing the appeal rather than receiving the appeal

  26. AMENDMENTS TO THE DISPUTE RESOLUTION PROCESS July 2006 IFTA Annual Business Meeting

  27. Ballot 12-2006 July 2006 IFTA Annual Business Meeting

  28. Ballot 12-2006 Sponsors: • Board of Trustees • PCRC Intent: • Allow PCRC to initiate a compliance matter under R1555 against a jurisdiction that remains out of compliance following a review and reassessment

  29. Ballot 12-2006 R1555 COMPLIANCE MATTERS .100 Dispute Resolution Process Disputes concerning issues of compliance with the International Fuel Tax Agreement may be resolved pursuant to the IFTA Dispute Resolution Process. The IFTA Dispute Resolution Process may be utilized to resolve only: .005 Compliance disputes between member jurisdictions; and .010 Compliance disputes between member jurisdictions and IFTA licensees …. ; and .015 Compliance matters from the Program Compliance Review Committee.

  30. Ballot 12-2006 July 2006 IFTA Annual Business Meeting

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