Wyo. Code R. 015-0016-2
Tobacco Settlement Unit - Administration of the Complementary Act
Chapter 2: Certification, Directory Listing and Escrow
Effective Date: 12/19/2018 to Current
Rule Type: Current Rules & Regulations
Reference Number: 015.0016.2.12192018
(a) The Agency accepts Certifications for review between March 1st and April 30th of each year. Certifications for tobacco product manufacturers not currently listed in the Directory that are received outside of this time period may be deferred for review until the following March 1st.
(b) Certifications for tobacco product manufacturers received by the Agency after April 30th for the previous calendar year's cigarette sales will result in the tobacco product manufacturer and its brand families being delisted from the Directory or, if not currently listed in the Directory, a decision not to list the tobacco product manufacturer and its brand families in the directory. In the event that such a delisting action or decision not to list applies to a nonparticipating manufacturer, the nonparticipating manufacturer shall not be relieved of its obligation to deposit escrow under Wyo. Stat. § 9-4-1202.
(c) Certifications must be made on Certification forms prepared by the Agency for the year certified.
(d) Changes, corrections, or modifications to tobacco product manufacturers, Brands, or brand families currently listed in the Directory may be submitted to the Agency and acted upon as necessary.
(e) Upon notice by the Attorney General, all Certifications submitted under this Section shall be submitted electronically, through an internet-based platform designated by the Attorney General
(i) Notice under this subsection shall be posted on the Attorney General's website, at: http://ag.wyo.gov/tobacco-settlement-unit. Manufacturers shall be responsible for periodically checking the Attorney General's website for such notice;
(ii) Sixty days after notice is posted on the Attorney General's website, Certifications not timely submitted through the internet-based electronic filing platform designated by the Attorney General shall not be accepted or considered.
Section 2. Grounds for denial of listing or removal from the Directory. In addition to all other grounds for removal or denial of listing in the Directory stated in the Rules, Wyo. Stat. § 9-4-1202, or Wyo. Stat. §§ 9-4-1205 through -1210, the Agency may deny listing a tobacco product manufacturer, Brand, and/or brand family in the Directory or may remove a tobacco product manufacturer, Brand and/or brand family from the Directory, on one or more of the following grounds:
(j) The nonparticipating manufacturer failed to fully deposit escrow when due for sales in another state or territory;
(k) The Agency’s determination that the tobacco product manufacturer shares common management or ownership with a tobacco product manufacturer or other party that has failed to satisfy its legal obligations under Wyo. Stat. § 9-4-1202, Wyo. Stat. §§ 9-4-1205 through -1210, or the Rules or has failed to satisfy its legal obligations under substantially similar laws of another state;
(l) The tobacco product manufacturer failed to Initiate Sales or Sustain Sales;
(m) The tobacco product manufacturer failed to submit its Certification by April 30th;
(n) The tobacco product manufacturer is not in full compliance with all provisions of local, state and federal law applicable to tobacco product manufacturers;
(o) The tobacco product manufacturer failed to execute sufficient waivers of sovereignty to address any Native American or tribal ownership interests, or any tribal jurisdiction considerations as required by the Agency;
(p) All final judgments and penalties, including interest, costs, and attorney fees thereon, in favor of the State of Wyoming, for violation of any Wyoming statute, rule or other law, including but not limited to violations of Wyo. Stat. § 9-4-1202 or Wyo. Stat. §§ 9-4-1205 through -1210, have not been fully satisfied for the Brand, brand family, or the tobacco product manufacturer;
(q) The tobacco product manufacturer, predecessor or previous tobacco product manufacturer of the Brand or brand family is subject to an injunction by the State of Wyoming for failure to comply with Wyo. Stat. § 9-4-1202 or Wyo. Stat. §§ 9-4-1205 through -1210;
(r) The tobacco product manufacturer failed to use the Agency’s current Certification form or failed to submit their Certification electronically, if required by the Attorney General;
(s) A Brand or brand family of the tobacco product manufacturer is shipped to retailers in Wyoming, sold, or offered for sale in Wyoming during any period of time in which the Brand or brand family is not listed in the Directory; or
(t) Any other reason consistent with Wyo. Stat. § 9-4-1202, Wyo. Stat. §§ 9-4-1205 through -1210 and the Rules.
(a) If a Certification does not meet the requirements of the Rules, Wyo. Stat. § 9-4-1202 or Wyo. Stat. §§ 9-4-1205 through -1210, the Agency may deny listing of the tobacco product manufacturer, Brand and/or brand family in the Directory.
(b) If the Agency determines that the deficiency identified in the Certification may be cured in a timely fashion, the Agency shall send notice to the tobacco product manufacturer describing the deficiency and providing a time certain in which the deficiency may be cured. If the deficiency is not cured within the time provided, the Agency may deny listing of the tobacco product manufacturer, Brand and/or brand family in the Directory.
(a) If a tobacco product manufacturer, Brand, or brand family listed on the Directory no longer meets the requirements of the Rules, Wyo. Stat. § 9-4-1202, or Wyo. Stat. §§ 9-4-1205 through -1210, the Agency may remove the tobacco product manufacturer, Brand or brand family from the Directory.
(b) If the Agency determines that the deficiency may be cured in a timely fashion, the Agency shall send notice to the tobacco product manufacturer describing the deficiency and providing a time certain in which the deficiency may be cured. If the deficiency is not cured within the time provided, the Agency may remove the tobacco product manufacturer, Brand, or brand family from the Directory.
(c) If the tobacco product manufacturer has Initiated Sales or Sustained Sales, the Agency may delay the effective date of the delisting for up to thirty (30) days to allow for removal of the tobacco product manufacturer's Brands and brand families from Wyoming.
Section 5. Notices. Agency notices denying listing on the Directory or delisting from the Directory shall be sent by first class mail to the tobacco product manufacturer's mailing address as provided in the Certification.
Section 6. Escrow Reporting. No later than thirty (30) days following the end of a calendar quarter, nonparticipating manufacturers shall provide, or ensure that the financial institution at which it has a qualified escrow fund provides, the Agency with bank statements reflecting transactions in the qualified escrow fund during the previous calendar quarter.
(a) Nonparticipating manufacturers shall deposit the escrow required by Wyo. Stat. § 9-4-1202 for each unit sold in Wyoming on a quarterly basis no later than thirty (30) days following the end of the calendar quarter in which cigarette sales were made.
(b) The Agency may require that the nonparticipating manufacturer renew its Certification with the Agency on a monthly or quarterly basis if the Agency concludes, in its discretion, that a nonparticipating manufacturer lacks sufficient solvency to timely comply with its escrow obligations, as evidenced by a failure to timely deposit escrow when due in any state or territory or a failure to timely pay any taxes or fees due in any jurisdiction.