AMENDMENTS TO AMENDMENTS TO THE PROGRAM THE PROGRAM

COMPLIANCE COMPLIANCE REVIEW GUIDEREVIEW GUIDE

July 2006IFTA Annual Business

Meeting

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

Summary of Changes

• Strikes Section IV Executive Committee Appeal Process

AMENDMENTS TO AMENDMENTS TO THE PROGRAM THE PROGRAM

COMPLIANCE COMPLIANCE REVIEW GUIDEREVIEW GUIDE

July 2006IFTA Annual Business

Meeting

AMENDMENTS TO AMENDMENTS TO THE DISPUTE THE DISPUTE RESOLUTION RESOLUTION

PROCESSPROCESS

July 2006IFTA Annual Business

Meeting

General Layout of Current Document

Statement of PurposeI: DefinitionsII: Complaint Process A. General Information B. Complaint ProcessPenaltiesAppeals

General Layout of Proposed Document

Statement of PurposeI: Definitions and General Procedures A. Definitions B. General ProceduresII: Complaint Process A. General Information B. Complaint ProcessIII: Program Compliance Enforcement

Process A. General Information B. Referral ProcessIV: PenaltiesV: Appeals

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

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

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

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

Revised Complaint Process/ General Procedures Section

• Strikes provisions that were moved to the new General Procedures section

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

Added Program Compliance Enforcement Process Section

Subsections• General Information• Referral Process

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

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

Program Compliance Enforcement Process SectionReferral 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

Program Compliance Enforcement Process SectionReferral 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

Program Compliance Enforcement Process SectionReferral 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

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

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

Program Compliance Enforcement Process SectionReferral 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

Program Compliance Enforcement Process Section

Referral Process Subsection• Establishes process for

Respondent to petition DRC for relief from imposed penalties

Penalties Section

No changes

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

AMENDMENTS TO AMENDMENTS TO THE DISPUTE THE DISPUTE RESOLUTION RESOLUTION

PROCESSPROCESS

July 2006IFTA Annual Business

Meeting

Ballot 12-2006Ballot 12-2006

July 2006IFTA Annual Business

Meeting

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

Ballot 12-2006R1555 COMPLIANCE MATTERS

.100 Dispute Resolution ProcessDisputes 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.

Ballot 12-2006Ballot 12-2006

July 2006IFTA Annual Business

Meeting