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Rule 9-103: Enforcement Actions Against a Defaulting State

1. The Commission shall seek the minimum level of penalties necessary to ensure the defaulting state’s performance of such obligations or responsibilities as imposed upon it by this Compact

2. If the Commission determines that any state has at any time defaulted (“defaulting state”) in the performance of any of its obligations or responsibilities under this Compact, the By-laws or any duly promulgated rules the Commission may impose any or all of the following penalties.

a. Remedial training and technical assistance as directed by the Commission;

b. Alternative dispute resolution;

c. Fines, fees and costs in such amounts as are deemed to be reasonable as fixed by the Commission;

d. Suspension and/or termination of membership in the Compact. Suspension or termination shall be imposed only after all other reasonable means of securing compliance under the By-laws and rules have been exhausted, and the Commission has therefore determined that the offending state is in default. Immediate notice of suspension shall be given by the Commission to the governor, the chief justice or chief judicial officer of the state; the majority and minority leaders of the defaulting state’s legislature, and the State Council.

3. The grounds for default include, but are not limited to, failure of a compacting state to perform such obligations or responsibilities imposed upon it by this Compact, Commission By-laws, or duly promulgated rules, and any other grounds designating on Commission By-laws and rules. The Commission shall immediately notify the defaulting state in writing of the default and the time period in which the defaulting state must cure said default. The Commission shall also specify a potential penalty to be imposed on the defaulting state pending a failure to cure the default. If the defaulting state fails to cure the default within the time period specified by the Commission, in addition to any other penalties imposed herein, the defaulting state may be terminated from the Compact upon an affirmative vote of a majority of the compacting states and all rights, privileges and benefits conferred by this Compact shall be terminated from the effective date of termination.

4. Within sixty (60) days of the effective date of termination of a defaulting state, the Commission shall notify the governor, the chief justice or chief judicial cfficer, and the Majority and Minority Leaders of the defaulting state’s legislature and the State Council of such termination.

5. The defaulting state is responsible for all assessments, obligations, and liabilities incurred through the effective date of termination including any obligations, the performance of which extends beyond the effective date of termination.

6. The Commission shall not bear any costs relating to the defaulting state unless otherwise mutually agreed upon between the Commission and the defaulting state.

7. Reinstatement following termination of any compacting state requires both a reenactment of the Compact by the defaulting state and the approval of the Commission pursuant to the rules.

History: Adopted December 3, 2009, effective March 1, 2010; amended August 26, 2015, effective February 1, 2016

 
 
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