§  64.633   Procedures for resolution of unauthorized changes in default
provider.

   (a) Notification of alleged unauthorized provider change. Original
   default providers who are informed of an unauthorized default provider
   change by an iTRS user shall immediately notify the allegedly
   unauthorized provider and the Commission's Consumer and Governmental
   Affairs Bureau of the incident.

   (b) Referral of complaint. Any iTRS provider that is informed by an
   iTRS user or original default provider of an unauthorized default
   provider change shall:

   (1) Notify the Commission's Consumer and Governmental Affairs Bureau,
   and

   (2) Shall inform that iTRS user of the iTRS user's right to file a
   complaint with the Commission's Consumer and Governmental Affairs
   Bureau. iTRS providers shall also inform the iTRS user that the iTRS
   user may contact and file a complaint with the alleged unauthorized
   default provider. An original default provider shall have the right to
   file a complaint with the Commission in the event that one of its
   respective iTRS users is the subject of an alleged unauthorized default
   provider change.

   (c) Notification of receipt of complaint. Upon receipt of an
   unauthorized default provider change complaint or notification filed
   pursuant to this section, the Commission will notify the allegedly
   unauthorized provider and the Fund administrator of the complaint or
   notification and order that the unauthorized provider identify to the
   Fund administrator all minutes attributable to the iTRS user after the
   alleged unauthorized change of default provider is alleged to have
   occurred. The Fund administrator shall withhold reimbursement for such
   minutes pending Commission determination of whether an unauthorized
   change, as defined by §  64.601(a) of this part, has occurred, if it
   has not already done so.

   (d) Proof of verification. Not more than 30 days after notification of
   the complaint or other notification, the alleged unauthorized default
   provider shall provide to the Commission's Consumer and Governmental
   Affairs Bureau a copy of any valid proof of verification of the default
   provider change. This proof of verification must clearly demonstrate a
   valid authorized default provider change, as that term is defined in
   §  §  64.631 through 64.632 of this part. The Commission will determine
   whether an unauthorized change, as defined by §  64.601(a) of this
   part, has occurred using such proof and any evidence supplied by the
   iTRS user or other iTRS providers. Failure by the allegedly
   unauthorized provider to respond or provide proof of verification will
   be presumed to be sufficient evidence of a violation.

   [ 78 FR 40609 , July 5, 2013]

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