Manager Sales

Location:

Lloydminster, AB, Canada

Posted:

February 11, 2020

Contact this candidate

Resume:

Version *

September **, ****

Industry Standards

POLICY

Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 1

Contents

Record of Updates 3 A. INTRODUCTION 4 Background 4 1.1 Industry Standards objectives 4 1.2 Purpose of this Policy 4 1.3 How this Policy is organized 5 1.4 Policy and the authority of the Director 5 1.5 Consignment, Wholesale, and off-site sale 5 Roles and Responsibilities 6 2.1 Manager of Industry Standards 6 2.2 Industry Standards Officer (ISO) 6 2.3 Industry Standards Officer (ISO) - Advertising 7 2.4 Industry Standards Coordinator 7 B. SUPPLIER SITE VISITS 8 Overview 8 Policy 8 Purpose of site visit 8 Type of contact 8 Frequency and documentation 8 C. INSPECTIONS 9 Overview 9 1.1 Purpose of inspections 9 1.2 Duty of the Supplier 9 1.3 Types of inspections 9 1.4 Inspection reports 10 1.5 Policy 10 Licence Classes Subject to Inspection 10 Notice of an inspection 10 Entering a Suppliers business premises for an Inspection 10 Display of AMVIC identification 11 Scope of inspection 11 Review of Supplier files 12 Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 2

Location of inspection 13 Telephone inspections 13 Reporting 13 Enforcement Action 14 Access to Inspection results 14 Conflict of Interest 14 Comprehensive Inspection 14 2.1 Description 14 Frequency of inspection 14 Initiating the Comprehensive Inspection 14 Change Inspection 15 3.1 Description 15 3.2 Policy 15 Initiating the Change Inspection 15 Conducting the Change Inspection 15 Cancellation/Voluntary Closure Inspection 16 4.1 Description 16 4.2 Policy 16 Initiating the Cancellation/Voluntary Closure Inspection 16 Conducting the Cancellation/Voluntary Closure Inspection 17 Re-inspection 17 5.1 Description 17 5.2 Policy 17 Conducting the re-inspection 17 Scheduling the Re-inspection 17 Inspection report 18 ACRONYMS AND ABBREVIATIONS 19 APPENDIX - KEY MESSAGES FOR SUPPLIERS 20 Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 3

Record of Updates

Version Date Summary of Update

1 March 12, 2014 Original – replaces Licensee Inspection Policy- approved 2 May 12, 2015 Reviewed and approved

3 September 20, 2017 Policy replaced in its entirety 4 February 8, 2018 Administrative change: Fair Trading Act to Consumer Protection Act Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 4

A. INTRODUCTION

Background

1.1 Industry Standards objectives

Under the Delegation Agreement (the “DA”) between the Alberta Motor Vehicle Industry Council

(“AMVIC”) and the Minister of Service Alberta, AMVIC is responsible for enforcing and administering the following legislation: The Consumer Protection Act (the “CPA”); the Automotive Business Regulation (The

“ABR”); the Cost of Credit Disclosure Regulation (the “COCD”), the Vehicle Inspection Regulation (the

“VIR”), the Internet Sales Contract Regulation (the “ISCR”), and all other related regulations. AMVIC also enforces of the Traffic Safety Act (the “TSA”) and the related Regulations. The Director of Fair Trading as delegated (the “Director”) has the authority to make inquiries, investigate complaints and inspect registered Suppliers under legislation as it pertains to the automotive industry in Alberta.

The objectives of AMVIC’s Industry Standards activities are to

• educate AMVIC Licenced businesses and salespeople (the “Suppliers”) on legislative requirements or changes and provide advice on business best practices;

• ensure Suppliers are in compliance with the applicable legislation;

• ensure Supplier locations, motor vehicles for sale and Supplier records pertaining to purchase and sale of motor vehicles meet the applicable legislative requirements;

• develop relationships with Suppliers and encourage support from all licensees;

• become familiar with the general operations of Suppliers; and

• take a pro-active approach to ensuring industry compliance. 1.2 Purpose of this Policy

The purpose of the Industry Standards Policy is to document policy that supports AMVIC’s efforts to promote compliance with and enforce the laws regulating the automotive industry in Alberta. It is intended to assist AMVIC in maintaining fair and consistent processes for compliance activities and decision-making that meets the requirements of the Consumer Protection Act and the regulations, the Traffic Safety Act and the regulations, administrative fairness and natural justice. Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 5

1.3 How this Policy is organized

This Policy is divided into the following parts:

• Part A – Introduction. This part provides background about this Policy, the authority of the Director and the roles and responsibilities of AMVIC staff in compliance and enforcement activities.

• Part B – Supplier Site Visits. This part provides the policy regarding an Industry Standards Officer’s

(“ISO”) routine site contacts with a Supplier.

• Part C – Inspections. This part provides the policy and procedures regarding Supplier inspections conducted by ISOs.

• Acronyms and abbreviations. This part lists all of the acronyms and abbreviations used in this Policy.

• Appendix. This part includes the Key Messages for Suppliers, which provides ISOs with points that should be addressed in routine communication with Suppliers. 1.4 Policy and the authority of the Director

The authority to inspect, investigate and enforce the statutory requirements governing the automotive industry is granted to the Director under the CPA and the regulations. Under the CPA, the Director is given the authority to delegate any of the powers of the Director to AMVIC staff or any other person the Director deems appropriate to exercise those powers. Those acting with the Director’s delegated authority are under the same obligations as the Director when exercising that authority. The role of the Industry Standards Policy is to assist the Director and AMVIC staff in ensuring that compliance activities and decisions regarding enforcement of statutory requirements are undertaken in an open, structured and consistently fair manner.

The policy does not bind the Director or otherwise hinder or limit the authority and discretion of the Director when making decisions about compliance and enforcement. The principles of natural justice require that the Director consider the facts and context of each case when making these decisions. 1.5 Consignment, Wholesale, and off-site sale

Consignment, Wholesale businesses and off-site sales are defined in the Licensing Policy. Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 6

Roles and Responsibilities

2.1 Manager of Industry Standards

The Manager of Industry Standards is appointed as an inspector by the Director. The role of the Manager of Industry Standards is to:

• supervise, provide advice and support to ISOs as required;

• oversee the ISO’s conduct with regard to compliance inspections and advertising compliance;

• provide advice and direction on the conduct of compliance inspections where required;

• determine whether a compliance issue identified by an ISO should go to review before the Director or to Investigations, and be scheduled for a follow up compliance inspection;

• determine and approve the best method of progressive enforcement on non-compliant Suppliers as required;

• amend and approve industry standards’ procedures as required;

• ensure efficient use of resources through the formal risk assessment process; and

• liaise with other AMVIC departments as necessary. 2.2 Industry Standards Officer (ISO)

The ISO reports to the Manager of Industry Standards and is appointed as an inspector by the Director. The role of the ISO is to:

• establish and maintain relationships with Suppliers in their region and be the primary point of contact on compliance issues for Suppliers;

• conduct compliance inspections and operational reviews, as required; and

• refer serious compliance issues to the Manager of Industry Standards, where required. The ISO is responsible for:

• reviewing expired licenses and advising Manager of Industry Standards with a list of potential inspections;

• drafting inspection findings letters and warning letters;

• drafting Application Reports;

• participating in special projects as directed by the Manager of Industry Standards;

• conducting Supplier site visits and inspections;

• follow up on issues that arise from a compliance inspection;

• providing information on best practices to Suppliers;

• providing advice on compliance issues to Suppliers;

• recommending penalties via Application Reports to the Manager of Industry Standards; and Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 7

• inquiring into compliance issues, and referring any serious compliance issues to the Manager of Industry Standards for referral to Investigations for appropriate enforcement measures. 2.3 Industry Standards Officer (ISO) - Advertising The ISO - Advertising is responsible for overseeing vehicle advertising and supporting advertising compliance activities in order to provide for consistent application of advertising standards across the province. The ISO - Advertising is an Inspector. The ISO - Advertising reports to the Manager of Industry Standards.

The role of the ISO - Advertising is to:

• monitor vehicle advertising in all forms of media, including the internet and identify compliance issues,

• address compliance issues with Suppliers;

• advise the Manager of Industry Standards of unlicensed dealer advertising to determine whether an investigation is warranted;

• creating relationships with the Suppliers as a source for advertising compliance assistance;

• liaise with Suppliers and manufacturers on the application of the legislative requirements as stated in the ABR Section 11 and in other act and regulations;

• liaise with the media to ensure their awareness of the legislative requirements as stated in the ABR Section 11 and in other act and regulations;

• liaise with other automotive regulatory bodies on advertising trends and issues;

• conduct research on Supplier advertising as required to assist ISOs and Investigators with inspections or investigations; and

• assist with educating the automotive industry in advertising compliance. 2.4 Industry Standards Coordinator

The Industry Standards Coordinator is responsible for providing administrative and compliance support to the ISOs.

The Industry Standards Coordinator reports to the Manager of Industry Standards. The role of the Industry Standards Coordinator is to:

• ensure that inspections scheduled by the ISOs are confirmed;

• review inspection findings letters and determine if the Supplier has complied with the CPA;

• provide education to Suppliers about the CPA and the regulations;

• creating relationships with the Suppliers as a source for compliance assistance;

• review complaints that are submitted by consumers and contact the Supplier to ensure compliance as necessary; and

• tasks as assigned by the Manager of Industry Standards. Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 8

B. SUPPLIER SITE VISITS

Overview

In addition to conducting inspections, an ISO will establish regular contact with Suppliers to further develop their relationship with the Supplier outside of the compliance context, as time and resources permit.

The purpose of the Supplier site visits is to build rapport between the ISO and the Supplier, and provide an opportunity for a mutually beneficial exchange of information about the automotive industry in Alberta.

Policy

Purpose of site visit

2.1.1 The purpose of a Supplier site visit is to review the Supplier’s business practises and documentation, to inform and educate the Supplier, and to build rapport between the ISO and the Supplier by exchanging information with the Supplier, including:

(a) responding to Supplier questions or complaints;

(b) educating Suppliers about industry standards and updating them on current issues that could affect their business;

(d) gathering information about the automotive industry. Type of contact

2.1.2 A Supplier site visit is considered informal contact with a Supplier and does not form part of conducting an inspection.

2.1.3 A Supplier site visit may be conducted in person, by telephone, or by email. It is at the discretion of the ISO based on the location and size of the Supplier’s business. Frequency and documentation

2.1.4 Where an ISO has had no other contact with a Supplier, and is in the geographic area of a Supplier, the officer may, without notice, conduct a Supplier site visit during the course of travel as time allows.

2.1.5 After completing a site visit, the ISO will add a brief description of the visit to the Supplier record in the AMVIC database.

Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 9

C. INSPECTIONS

Overview

1.1 Purpose of inspections

AMVIC ISOs regularly conduct Supplier inspections. The purpose of an inspection is to:

• determine whether a Supplier is operating incompliance with legislation governing Suppliers and the terms and conditions of the Supplier’s licence;

• increase the potential for compliance by educating Suppliers about industry standards and compliance issues they may face;

• develop and maintain a trusted, professional relationship between the ISO and the Supplier; and

• gather information about developments and issues that can assist the Industry Standards department and other AMVIC operations in better understanding the automotive industry in their region.

1.2 Duty of the Supplier

The CPA states that:

132(1) Every licensee and former licensee must create and maintain

(a) complete and accurate financial records of its operations in Alberta for at least 3 years after the records are made, and

(b) other records and documents described in the regulations for the period specified in the regulations.

(2) Every licensee and former licensee must make the records referred to in subsection (1) available for inspection by an inspector at a place in Alberta and at a time specified by the inspector. Further, the ABR states that:

9 In addition to the requirement to create and maintain financial records in accordance with section 132(1) of the Act, every business operator and former business operator must maintain all records and documents created or received while carrying on the activities authorized by the licence for at least 3 years after the records were created or received. 1.3 Types of inspections

While the essential structure of an inspection does not vary, the focus of an inspection will change depending on the circumstances and reason for the inspection. The following types of inspections are described in this Policy:

Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 10

• Comprehensive Inspection;

• Change Inspection;

• Cancellation/Voluntary Closure Inspection; and

• re-inspection.

1.4 Inspection reports

AMVIC uses a standardized inspection report applicable to the type of inspection as indicated in C. (1.3), to guide the ISO through the inspection process and to provide for consistent review and documentation of the results of an inspection. The use of the inspection report ensures that ISOs are inspecting the same aspects of a Supplier and applying the same standards across the Province of Alberta. When conducting an inspection, the ISO will complete all sections of the inspection report that are relevant to the inspection type.

1.5 Policy

Licence Classes Subject to Inspection

1.5.1 The following licence classes may be subject to any of the inspection types indicated in C. (1.3):

(a) automotive sales licence;

(b) automotive leasing licence;

(d) automotive repair licence; and

(e) any licence classes not otherwise specified above. Notice of an inspection

1.5.2 The ISO may conduct an inspection without notice to the Supplier. When making a decision regarding whether to provide notice, the ISO will consider:

(a) the Supplier’s past compliance history;

(b) any unresolved complaints against the Supplier and the nature of the complaint; and

Entering a Suppliers business premises for an Inspection 1.5.3 The CPA states:

145(1) An inspector may enter the business premises of a regulated person at any reasonable time to conduct an inspection to determine if there is compliance with this Act and the regulations.

(2) If an inspector has reasonable grounds to believe that Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 11

(a) books, records or documents of a regulated person are located in another person’s business premises, and

(b) those books, records or documents are relevant to determine if there is compliance with this Act or the regulations, the inspector may enter those other business premises at any reasonable time.

(3) An inspector may in the course of an inspection request a person who is working in business premises referred to in subsection (1) or (2)

(a) to give written or oral replies to questions,

(b) to produce any books, records, documents or other things and to provide copies of them, and

(4) An inspector may in the course of an inspection inspect, examine and make copies of or temporarily remove books, records or documents or other things that are relevant to determine if there is compliance with this Act and the regulations.

(5) When an inspector removes any books, records, documents or other things under subsection (4), the inspector

(a) must give a receipt for them to the person from whom they were taken,

(b) may make copies of, take photographs of or otherwise record them, and

(6) A licensee and any person working in the business premises of a licensee must co-operate with an inspector acting under the authority of this section. Display of AMVIC identification

1.5.4 Under the CPA:

144 An inspector who enters any place under the authority of this Act must, on request,

(a) produce a document that identifies the person as an inspector under this Act, and

(b) explain the inspector’s purpose for entering the place. Scope of inspection

1.5.5 When conducting any type of inspection indicated in this policy, the ISO may review records of the Supplier for the past three (3) years. This may include but is not limited to the following:

(a) all sales and consignment agreements;

(b) Mechanical Fitness Assessments in relation to the above sales and consignment agreements;

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 12

(d) any samples of advertisements published (print, online, social media etc.);

(e) repair invoices and estimates;

(f) review of vehicle inventory;

(g) banking records;

(h) payroll Records;

(i) GST Remittances;

(j) financial records, statements and income tax Notice of Assessments; and

(k) all other financial documents and records that are required for the ISO to confirm compliance with the CPA and the regulations.

1.5.6 When conducting an inspection, the ISO will ensure all information with respect to the inspection is kept confidential in accordance with AMVIC’s Confidentiality Policy. 1.5.7 When conducting an inspection, the ISO will fully complete the designated sections of the inspection report that are relevant to the inspection type. When conducting a re-inspection, the ISO will complete only those portions of the applicable inspection report that the ISO feels are relevant to the re-inspection. However, the ISO may conduct a full Comprehensive Inspection if deemed appropriate.

1.5.8 The ISO may inspect items that are not included in the designated sections of the inspection report if the officer believes there may be a compliance issue not addressed by those sections of the report.

Review of Supplier files

1.5.9 Where an inspection requires the ISO to review Supplier records on sales, consignment agreements or inventory, the ISO will review a sample of records depending on the number of sales, consignments, or inventory.

1.5.10 Where a review of files indicates possible compliance issues, the ISO will review additional files as required to determine the nature and scope of the issues. The Industry Standard Officer will use best efforts to provide in-person feedback after the inspection has concluded. 1.5.11 After the initial set of documents is added to the Supplier’s file, the ISO may refresh the copies of those documents:

(a) whenever there is a change of name or ownership;

(b) when there are compliance issues with the Supplier;

(d) as required at the discretion of the ISO.

Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 13

Location of inspection

1.5.12 Inspections that are to be conducted in a private residence of a Supplier should not be conducted without first contacting the Manager of Industry Standards and completion of a safety assessment.

1.5.13 Every effort will be made to conduct an inspection at the Supplier’s place of business except in unusual circumstances including:

(a) where the Supplier or applicant is based in a remote location and a telephone inspection is satisfactory; or

(b) an off-site sale where it is not feasible for the ISO to attend in person. 1.5.14 For the purposes of this policy, the determination of remote locations is discretionary. 1.5.15 Inspections in remote geographical areas, will be completed subject to seasonal weather conditions with the ISO visiting other Suppliers located in the same geographical area. Telephone inspections

1.5.16 If a Supplier is in a remote location, any inspection may be conducted by telephone. A full inspection cannot be done over the telephone.

Where an inspection is conducted by telephone, an inspection at the Supplier’s premises may be completed the next time the ISO is in the Supplier’s area. Reporting

1.5.17 Where the inspection has revealed compliance issues, the ISO will discuss any issues identified during the inspection and indicate to the person in charge of the Supplier whether the Supplier is in compliance and document the issues in the inspection report including:

(a) a time frame for resolution of the issues by the Supplier;

(b) the time frame in which the ISO will conduct a re-inspection to determine whether the issues have been resolved; and

1.5.18 After the ISO has reviewed the results of the inspection, the person in charge of the Supplier or their delegate, will be asked to sign the inspection report. If the person in charge will not sign the form, then the ISO will document who was offered the opportunity to sign and refused and leave an unsigned copy with the Supplier.

1.5.19 A findings letter in writing shall be sent to the Supplier within a reasonable amount of time in writing outlining all compliance concerns that were identified during the inspection. Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 14

Enforcement Action

1.5.20 The ISO in consultation with the Manager of Industry Standards, may recommend enforcement action against a Supplier for non-compliance of the CPA and the regulations. AMVIC follows a progressive enforcement model which may include written warnings or administrative action. Access to Inspection results

1.5.21 Upon an ISO completing an inspection, the inspection results may be accessed by various departments at AMVIC.

Conflict of Interest

1.5.22 Should there be a potential conflict of interest or perceived conflict of interest for an ISO to complete an inspection, the ISO shall inform the Manager of Industry Standards and the Manager of Industry Standards shall evaluate the potential conflict of interest and determine how the inspection will proceed.

Comprehensive Inspection

2.1 Description

A Comprehensive Inspection is an inspection that is conducted on a regular basis as a means of communicating and ensuring continued compliance with Suppliers, along with providing education about the CPA.

All areas of C. (1.1-1.5.22) of this policy will apply to Comprehensive Inspections. In some cases, the Comprehensive Inspection outcome may be referred to investigations. Frequency of inspection

2.1.1 The ISO may conduct an on-site Comprehensive Inspection of a Supplier:

(a) on a random basis;

(b) on a targeted and complaint driven basis;

(d) at the ISOs discretion to ensure compliance with the CPA and the regulations. 2.1.2 Pursuant to C. (2.1.1)(c), Comprehensive Inspections in relation to Consignment licences shall be conducted on an annual basis subject to availability of the ISO. Consignment sales entail a unique relationship of trust between a consumer (consignor) and the Supplier (consignee), with a great potential for loss to the consumer. As such, consignment licensees will be inspected more frequently to ensure compliance with the CPA and the regulations. Initiating the Comprehensive Inspection

2.1.3 A Comprehensive Inspection may be completed as a result of the following: Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 15

(a) recommendation by the Manager of Licencing;

(b) recommendation by the Manager of Consumer Services;

(d) recommendation by the Director; or

(e) in the opinion of the ISO, an inspection should be completed to ensure compliance with the CPA and regulations.

2.1.4 Upon the Manager of Industry Standards receiving the request for inspection, the Manager of Industry Standards will assess the information provided and determine if conducting an inspection is the best course of action.

2.1.5 Upon completion of the Comprehensive Inspection the ISO shall inform the Supplier of any compliance issues found C.(1.5.19), and advise that the Supplier may be subject to a Re-inspection at a later date.

Change Inspection

3.1 Description

A Change Inspection may be conducted when a Supplier changes the location, licence category or ownership. The purpose of a change inspection is to ensure that the changes to the Supplier’s business are compliant with the CPA and the regulations.

All areas of C. (1.1-1.5.22) of this policy will apply to Change Inspections. In some cases, the Change Inspection outcome may be referred to Investigations. 3.2 Policy

Initiating the Change Inspection

3.2.1 The ISO may conduct a Change Inspection upon receiving notice from the Manager of Licencing that there has been a change to a Supplier’s:

(a) Location;

(b) licence category; or

3.2.2 Upon the Manager of Industry Standards receiving the request for inspection, the Manager of Industry Standards will assess the information provided and determine if conducting an inspection is the best course of action.

Conducting the Change Inspection

3.2.3 All documents indicated in C. (1.5.5) are subject to inspection. Industry Standards Policy Version 3

Approved: September 20, 2017

Version 3 – September 20, 2017 Page 16

3.2.4 Upon completion of the Change Inspection the ISO shall inform the Supplier of any compliance issues found C. (1.5.19), and advise that the Supplier may be subject to a re-inspection or Comprehensive Inspection at a later date.

3.2.5 The ISO has discretion to conduct a Change Inspections without notice to the Supplier. Cancellation/Voluntary Closure Inspection

4.1 Description

A Cancellation/Voluntary Closure Inspection is an inspection that is completed after a Supplier has voluntarily ceased operations or the Supplier’s licence has been cancelled by the Director. The purpose of a Cancellation/Voluntary Closure Inspection is to ensure that the former Supplier has completely ceased operations and is no longer selling vehicles to consumers, confirmed that all levies and warranty payments are made on vehicles sold to consumers, determine if there is unsold inventory, and confirmed who AMVIC can contact if there is a consumer complaint that requires the Suppliers attention, and reviewed any documentations and records to confirm compliance with the CPA and regulations. All areas of C. (1.1-1.5.22) of this policy will apply to Cancellation/Voluntary Closure Inspections. In some cases, the Cancellation/Voluntary Closure Inspection outcome may be referred to Investigations. 4.2 Policy

Initiating the Cancellation/Voluntary Closure Inspection 4.2.1 A Cancellation/Voluntary Closure Inspection will be completed on an exception basis only with the:

(a) recommendation by the Manager of Licencing;

(b) recommendation by the Manager of Consumer Services;

(d) recommendation by the Director; or

(e) in the opinion of the ISO, an inspection should be completed to ensure compliance with the CPA and regulations

where an issue is identified or outstanding.

4.2.2 Upon

Contact this candidate