|(a) What are the definitions for the terms used in
(1) Determination letter--A notice issued by the director
stating the basis for the conclusion that a violation occurred, recommending
that an administrative penalty be imposed on the person alleged to
have committed the violation, and recommending the amount of the proposed
penalty. The notice must include a brief summary of the alleged violation;
include the amount of the administrative penalty recommended; and
inform the person of the person's right to a hearing on the occurrence
of the violation, the amount of the penalty, or both.
(2) Dispute resolution--An informal process available
to licensees to resolve regulatory disputes in a fair, competent,
and consistent manner.
(3) Dispute resolution conference--An informal meeting
to resolve a disputed issue(s) related to a Notice of Administrative
Violation and Settlement Agreement (NAVSA), an audit finding(s) contained
within a final audit report, a determination letter or a notice of
opportunity to show compliance letter.
(4) Dispute resolution officer--The Director or his
designee who will facilitate or manage the dispute resolution conference
and guide and assist the participants.
(b) Who may request a dispute resolution conference?
A licensee that does not agree with the findings in its NAVSA, final
audit report, determination letter or the information in a notice
of opportunity to show compliance letter may request a dispute resolution
(c) How do I request a dispute resolution conference?
(1) You may request a dispute resolution conference
by completing and submitting a Request for Informal Dispute Resolution
to the Director.
(2) Disputed issues must be identified on the request.
(3) The request must be signed by:
(4) A request for a dispute resolution conference related
to a NAVSA must be submitted in accordance with §402.707(e).
All other requests for a dispute resolution conference must be submitted
no later than 15 working days from the latest date of receipt of a
determination letter, the final audit report, or notice of opportunity
to show compliance letter.
(5) You may provide supporting documentation related
to your position with your request.
(d) Under what circumstances will the Director deny
a request for a dispute resolution conference? The Director will not
grant a request for a dispute resolution conference if:
(1) You are not a licensee that disputes the findings
in the NAVSA, final audit report, determination letter or the information
in a notice of opportunity to show compliance letter;
(2) You fail to timely submit the completed Request
for Informal Dispute Resolution as required in subsection (c)(4) of
this section or §402.707(e) of this chapter; or
(3) A dispute resolution conference has been held previously
on the disputed issue(s).
(e) When and where will the Dispute Resolution Conference
(1) Charitable Bingo Operations Division staff will
contact you within 15 calendar days from the date we receive a Request
for Informal Dispute Resolution, in order to schedule a mutually agreeable
date, time, and location for the dispute resolution conference. However,
for conferences related to a NAVSA, the Division will contact the
respondent in sufficient time to schedule the conference within 20
days of the respondent's receipt of the NAVSA, as required under §402.707(e).
(2) The dispute resolution conference may be held in
person, by video conference, or by telephone conference call. The
date, time, and location of the conference must be agreeable to all
(3) You must contact the Commission at least 24 hours
prior to the scheduled conference time to reschedule a dispute resolution
conference. However, in the event of unforeseen events, upon agreement
of the parties, a dispute resolution conference may be rescheduled.
(f) What happens if I don't attend or reschedule a
Dispute Resolution Conference? The dispute resolution process will
end. The administrative process will continue and a formal hearing
may proceed. We will notify you of the date of the administrative
(g) Who attends the Dispute Resolution Conference?
Depending on your regulatory classification, certain individuals from
your organization must attend the dispute resolution conference. You
must notify the Director at least 24 hours before the scheduled dispute
resolution conference of who is attending.
(h) Who will represent the Charitable Bingo Operations
Division at a Dispute Resolution Conference?
(1) Appropriate Commission staff from the Charitable
Bingo Operations Division, Legal Services Division, and/or Enforcement
Division will attend and participate in the dispute resolution conference
to provide relevant information and documentation regarding the disputed
issues and to attempt to reach a resolution of the dispute.
(2) The dispute resolution officer and dispute resolution
support staff will facilitate the dispute resolution process but will
not advocate on behalf of any party.
(i) What happens at the Dispute Resolution Conference?
(1) Each party states their position related to the
disputed issues and presents appropriate documentation to substantiate
their position on all disputed issues.
(2) The dispute resolution officer works with the parties
to reach a settlement.
(3) Any resolution reached as a result of the dispute
resolution conference will be through voluntary agreement of the parties.
(j) Do I need to provide any information prior to the
Dispute Resolution Conference? If the Dispute Resolution Conference
is conducted via telephone or video conferencing, you must provide
to the Director a copy of any documentation you plan to present at
least 48 hours prior to the conference. If the basis of the dispute
involves an audit finding, the Director will provide the dispute resolution
officer with the information submitted by the organization, the final
audit report, and the determination letter. If the basis of the dispute
is other than an audit finding, the Director will provide the dispute
resolution officer the notice of opportunity to show compliance letter
and the underlying report that is the basis for the notice of opportunity
to show compliance letter. The dispute resolution officer may contact
both parties and request additional information be submitted to him
prior to the dispute resolution conference.
(k) What happens if an agreement is reached at the
dispute resolution conference?
(1) If the parties agree to a resolution of disputed
issues, the dispute resolution officer will prepare a Dispute Resolution
Settlement Agreement for review, approval, and signature by both parties
at the dispute resolution conference.
(2) The Agreement will include:
(A) the violation(s);
(B) the resolution of the disputed issues(s); and
(C) corrective action you must take.
(3) The Agreement must be signed by an officer, director,
or bingo chairperson and the primary operator.
(l) What happens if an agreement is not reached at
the dispute resolution conference? The matter may proceed to a formal