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From: mirele@super.zippo.com (Deana Holmes)
Newsgroups: alt.religion.scientology
Subject: CoS / IRS Closing Agreement here!
Date: Tue, 30 Dec 1997 15:40:01 GMT
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Courtesy of Ron Newman...thanks Ron
Form 906
Rev. January 1987
Department of the Treasury -- Internal Revenue Service
Closing Agreement On Final Determination Covering Specific Matters
Under section 7121 of the Internal Revenue Code, the parties named
herein and the Commissioner of Internal Revenue make the following
closing agreement:
WHEREAS, the Church of Scientology and its constituent entities
(the
"Church") and the Internal Revenue Service (the "Service") have a
long
history of controversy spanning over 30 years;
WHEREAS, the Church has pending with the Service applications on
Form
1023 requesting that the Service recognize certain constituent
entities within the Church as exempt from income taxation pursuant
to
section 501(a) of the Internal Revenue Service Code, as exclusively
charitable organizations described in section 501 (c) (3) of the
Code;
WHEREAS, the controversy between the parties includes litigation
(hereinafter "the section 170 litigation") in which the
deductibility
under Code section 170 of parishioners' payments to the Church in
connection with their participation in religious services of the
Scientology faith is at issue;
WHEREAS, the Church signatories and individual Scientologists have
initiated, supported and/or otherwise participated in litigation
under
the Freedom of Information Act (FOIA) to compel the Service to
disclose information withheld by the Service in response to FOIA
requests about its treatment of Scientologists and Churches of
Scientology (hereinafter "FOIA litigation");
WHEREAS, in October of 1991, the key officials of the Church, David
Miscavige and Mark Rathbun, approached the Service seeking to
negotiate the resolution of the above-described matters, and met
with
the then Commissioner;
WHEREAS, at this meeting, the Commissioner indicated his desire to
resolve all outstanding issues between the Church and the Service
and
appointed the Assistant Commissioner to negotiate and conclude a
settlement with the Church on behalf of the Service;
WHEREAS, the Church and the Service intend this closing agreement
to
be final and conclusive with respect to all matters but, while also
final and conclusive, that its provisions relating to the
continuing
duties and obligations of both parties during the transition period
shall generally be effective until December 31, 1999;
NOW IT IS HEREBY DETERMINED AND AGREED, for purposes the Internal
Revenue laws of the United States, and in consideration of the
provisions contained herein that:
TABLE OF CONTENTS
I. Introduction
II. Resolution of Outstanding Issues
A. In General
B. Payment in Consideration of Resolution of Outstanding Issues
C. Effect of Agreement on Prior Tax Years and Waiver of Rights of
Action
D. Effect of Outstanding Administrative Matters
1. Church tax inquiries under Code section 7611
2. Other examinations of Scientology-related entities
3. Outstanding tax assessments
4. Trust fund recovery penalties
5. Time period in which to effectuate paragraph D
E. Effect on Outstanding Litigation Matters
1. In general
2. Zolin
3. Stipulations
4. Certain pending cases requiring coordination
F. After-Discovered Cases of Examinations in Existence as of the
Date
of this Agreement
G. Finality
III. Service Determinations Regarding Scientology-Related Entities
A. Issuance of Determination Letters
B. Individual Determination Letters
C. Group Determination Letters
IV. Obligations and Undertakings During the Transaction Period
A. Establishment of Church and Tax Compliance Committee
1. Purpose of Church Tax Compliance Committee
2. Membership of Church Tax Compliance Committee
a. Corporate CTCC members
b. At-large members of CTCC
c. Individual CTCC members
3. Responsibilities of CTCC
a. Annual report
b. Communications
c. Meetings
d. Guaranty
e. Liability for penalties
4. Actions of CTCC
B. Financial Reporting Requirements
1. Special accounting procedures
a. In general
b. Special Accounting Procedures --Operational aspects
c. CPA's reports -- In general
d. CTCC responsibilities
e. Selection of a qualified CPA
f. Definition of qualified CPA
g. CTCC's approval of selection
h. Notification of selection
i. First Qualified CPA
j. Special Purpose Report agreement
k. Special Purpose Report scope limitation
l. Access to Special Purpose Report - related to documents
m. Required disclosures to CPA
n. Submission of Special Purpose Reports
o. Submission of plan of corrective action
2. Internal financial reports
3. Report on central reserves transactions and balances
4. Tax returns
5. Term
C. Fiduciary Reporting Requirements
1. Compensation information
2. Modifications of organizational documents
3. Reporting of any dividend payment with respect to any entity
4. Reporting of any ownership change with respect to any entity
5. Reporting on creation of new entities
6. Reporting of any ecclesiastical modification or the
restructuring
of any entity
7. Reporting of certain asset transfers and expenditures
8. Reporting of certain asset transfers that diminish the assets of
the corporate members of the CTCC
9. Reporting of any amendment of any directive concerning the
treatment of funds
10. Activity or inaction in contravention of this Agreement
11. Update on operational modifications
12. Education and training issues under Code section 170
F. Term of fiduciary reporting under section IV C
D. Certifications
1. In general
2. Section 501 (c) (3)
3. Continuing certifications
E. Operational modifications
F. Treatment of Information Exchanges
V. Treatment of the Code Section 6104 Public Inspection
File and Certain Other Materials
A. Code section 6104 Public Inspection File
B. Disclosure of Information by the Service
C. Disclosure of Information by the CTCC
D. Proceeding Under Agreement
E. Disclosure Following Inquiries
F. Correction of Misstatements
G. Term of Undertaking
VI. Penalty Provisions During Transition Period and Other
Procedural
Matters
A. Introduction: Purpose and Scope of Sanctions
B. Self-Dealing Transactions
1. First-tier penalties
a. On Individual CTCC member who is
a self-dealer or who is related to
a self-dealer
b. On Individual CTCC member with
knowledge of transaction
2 . Second-tier penalties
a. On Individual CTCC member who is a
a self-dealer or who is related to
a self-dealer
b. On Individual CTCC member refusing
to correct
3. Self-dealing
a. In general
b. Special rules
c. Exceptions
d. Amount involved
C. Noncharitable Expenditures
First-tier penalties
a. On Corporate CTCC members
b. On Individual CTCC members
2. Second-tier penalties
a. On Corporate CTCC members
b. On Individual CTCC members
3. Noncharitable expenditure
a. Noncharitable expenditure
b. Expenditure responsibility
c. Governing principles
4. Special noncharitable expenditure
5. Amount involved
D. Reporting Obligations
1. Penalty on Corporate CTCC members
2. Penalty on Individual CTCC members
a. Failure to comply with demand
b. Application of penalties for failure
to provide information
3. Exception for reasonable cause
4. Exception for inability to certify
specific information
E. Joint and Several Liability and Certain
Penalty Limitations for Individual
CTCC members
F. Additional Penalty
G. Third-Tier Penalty
H. Procedures for Penalty Determinations
1. a. First-tier penalty
b. Second-tier penalties
c. Other penalties
2. Interest
3. Non-assertion of penalties
VII. Treatment of Parishioner's Contributions
VIII. Definitions
A. Code
B. Entity
C. Scientology-related entity
D. Scientology-related individual
E. Qualified Written Material
F. Service
G. Taxable Year
H. Transition Period
I. Agreement
J. CTCC
K. Church Signatories
L. Settlement Agreement
M. Annual Report
N. Disqualified Person
O. Willful
P. Sanction Period
Q. First-Tier Penalty
R. Second-tier Penalty
S. Correction
T. Correction Period
U. Church
V. Commissioner
W. Assistant Commissioner
X. Knowing
Y. Reasonable cause
IX. Other Matters A. Representations
B. Notices
C. Rules of Construction
D. Entire Agreement
E. Survival of Agreement
F. Cost of Compliance with Agreement
G. Counterparts
H. Finality
I. Date of Agreement
Signatures
List of Exhibits
I. Introduction.
The parties have entered into this Agreement in order to put the
past
controversy behind them, to extinguish all potential claims and
liabilities arising as a result of action or inaction prior to the
date of this Agreement and to structure their relationship into the
future. While complex, there are certain basic principles
underlying
the Agreement that will aid in its comprehension.
First, under section II of the Agreement the Church will make a
single
payment that is intended to extinguish any potential tax liability
that may be due and unpaid by any Scientology-related entity for
all
tax years up to and including the tax year ending in 1992. Thus, as
of
December 31, 1992, the Church will be current with respect to all
income, employment and estate tax liability.
Second, under section II of the Agreement, the Church and the
Service
will withdraw from virtually all existing controversy, including
ongoing examinations of Church entities, ongoing litigation by the
Service to enforce summonses for Church records, and all litigation
by
the Church against the Service and its current or former personnel.
In
addition, because the parties intend that the relationship between
them begin anew, and in light of the other provisions contained in
this Agreement, including the payment with respect to potential
past
tax liability, the Service and the Church agree under this section
II
of the Agreement that the Service will not examine the Church for
any
year ending prior to January 1, 1993. Similarly, no
Scientology-related entity may initiate or support any legal action
against the Service or any Service employee for any claim arising
prior to the date of this Agreement.
Third, it is the view of the Service that certain Church entities
are
entitled to recognition of tax-exempt status as entities described
in
section 501(c) (3) of the Internal Revenue Code. Thus, section III
of
the Agreement contains a list of entities that will be recognized
as
tax exempt entities, including certain entities that will receive
group exemption letters covering their subordinate organizations.
Notwithstanding the above, in light of, inter alia, the size and
complexity of the Church and the Service, certain concerns of the
Service and the Church remain. In addition, there is a need for
improved communication between the parties. Thus, under section IV,
a
Church Tax Compliance Committee (CTCC) has been created to
undertake
certain obligations during a seven-year transition period. The CTCC
is
to be comprised of the largest United States Church entities, as
well
as those individuals who are the highest ecclesiastical or
corporate
authorities within the Church. The Service, through the Assistant
Commissioner, has agreed to meet with the CTCC upon their request
during the transition period to address any questions arising from
the
ongoing performance of the parties' obligations under this
Agreement.
The CTCC is in a position to monitor and effect the operations of
the
group entities that are defined as "Scientology-related entities"
under this Agreement.
Under section IV, the CTCC is responsible for certain reports
produced
and provided annually to the Service. These reports will include a
report on the application of certain agreed-upon procedures by an
independent certified public accounting firms, as well as certain
other information collected and reported by the CTCC. These
reports,
and the information the CTCC collects
from Scientology-related entities in order to prepare them, are
intended solely for the purposes of administration of the tax laws
and
not for any other purpose.
In light of the CTCC and its relationship to the whole of
Scientology,
the CTCC has agreed under section IV to guarantee the collection of
taxes (including interest and penalties) from any
Scientology-related
entity for tax liability arising during the first three years of
the
seven-year transition period. The parties have agreed under section
V
to keep confidential both this Agreement and all underlying
information that is not part of the public record under Code
section
6104 except to the extent that disclosure is necessary to interpret
or
apply this agreement or is permitted under the authority of law. In
addition, the CTCC has agreed under section VI to certain
consensual
penalties intended to provide the Service intermediate sanctions
for
activities or conduct not in accordance with the Code or with this
Agreement.
Finally, under section VII, the Service and the Church have come to
an
agreement with respect to the treatment of contribution by Church
parishioners and the extent to which those contributions are
deductible under section 170 of the Internal Revenue Code, as well
as
the Service's acknowledgment of its obligation to interpret and
apply
the "gift or contribution" requirement of Code section 170 (c)
equally
and consistently to the fundraising practices of all religious
organizations that receive fixed donations from parishioners in
connection with participation in worship and similar religious
rituals
or services.
II. Resolution of Outstanding Issues.
A. In General. In general, the parties to the Agreement intend that
the below-described issues be finally and conclusively resolved
under
this Agreement.
B. Payment in Consideration of Resolution of Outstanding Issues.
1. At the same time this Agreement is executed, Church of
Scientology
International is paying by banker's draft the sum of Twelve and
One-Half Million United States Dollars (US$12,500,000.00), receipt
of
which the Service hereby acknowledges, as consideration for the
settlement of outstanding issues with the Service as set forth in
this
Agreement.
2.The amount paid under this Agreement includes recognition that
the
Church will not collect the attorneys' fees awarded to the Church
in
the Church of Scientology of Boston, Inc. litigation referred to in
Exhibit II-2, thus extinguishing the Service's liability under that
decision.
3. The amount paid under this Agreement is not considered part of,
or
attributable to, the federal tax liability of any
Scientology-related
individual or Scientology parishioner, and is not deductible,
refundable or creditable to any such individual for any purpose,
nor
may the amount be the subject of any other offset of liability
under
this Agreement.
4. If, after application of the provisions of paragraph IX.H., the
Service assesses a tax liability for a taxable year ending before
January 1, 1993 against any Scientology-related entity, the amount
paid under this Agreement shall be treated as a payment of the
taxes
so assessed against such entity as of the date of this Agreement in
the manner designated by the CTCC. Otherwise, such amount shall not
be
considered part of, or attributable to, the federal tax liabilities
of
any Scientology-related entity and is not deductible, refundable or
creditable to any such entity for any purpose, nor may the amount
be
the subject of any other offset of liability under this Agreement.
5. The amount paid under this Agreement may be designated as the
Service provides (including penalties or liquidated damages) so as
to
avoid characterization as a refundable or creditable amount.
6. The amount paid under this Agreement shall not be deductible in
computing the taxable income of any Scientology-related entity or
Scientology parishioner and shall not be treated as compensation of
either income to any Scientology-related entity or Scientology
parishioner.
7. The performance of the various obligations under this Agreement
by
the CTCC or by any Scientology-related entity, including (but not
limited to) the payment under paragraph II.B.1. hereof, shall not
in
and of itself be considered by the Service to constitute the
conferring of substantial private benefits by any
Scientology-related
entity, the private inurement of the net earnings of any
Scientology-related entity, nor shall such performance adversely
affect in any other way the tax exempt status under Code section
501
(c) (3) of any Scientology-related entity.
8. No inference shall be drawn from the fact that the payment
provided
in paragraph II.B.1 has been made with respect to whether any
Scientology-related entity agrees that any tax liability was
actually
due or owing for any pre-1993 period.
C. Effect of Agreement on Prior Tax Years and Waiver of Rights of
Action.
1. The Service agrees not to commence an examination or assess any
tax
liability under subtitles A, B, or C of the Code or under Chapter
42
of subtitle D of the Code for any taxable period ending on or
before
December 31, 1992, with respect to any Scientology-related entity.
Similarly, no Scientology-related entity shall have any right to
refund or offset with respect to any payment made for any taxable
period ending prior to the date this Agreement is executed.
Notwithstanding the previous sentence, any amounts held in accounts
under the joint signatory authority of any Scientology-related
entity
and a representative of the Service, and any other amounts
otherwise
in the nature of bond, to defer collection action by the Service
with
respect to any liability assessed against a Scientology-related
entity
for the a pre- taxable period (including, but not limited to, joint
signature accounts at Sumitomo Bank to serve as collateral for FICA
assessments against CSI, RTC, CSWUS, and CST) shall be released or
otherwise returned to the Scientology-related entity. The Service
and
the CTCC shall jointly draft notice to the bank (s) to effectuate
release of such funds.
2. To the extent any payments have been made and/or claims for
refund
filed
for any taxable period prior to the date of this Agreement by a
Scientology- related entity, the Church and Service agree that such
payments are not subject to refund and will not be refunded. The
CTCC
certifies that no Scientology-related entity will continue to
pursue
such claim for refund or file any new claim for refund for any
pre-1993 period.
3. The Service and the Church agree that no inference is to be
drawn
from any provision of the Agreement as to the tax treatment of any
activity or item relating to any liability under the Code for any
post-1992 periods unless expressly provided herein. For example,
the
fact that the Service has not assessed any unrelated business
income
tax for past years may not be construed to mean that activities
that
occurred in those years did not give rise to such liability and
that
if such activities continue into post-1992 taxable years, that they
will not give rise to such income. For further example, the fact
that
the Church has made the payment provided in paragraph B.1. shall
not
be construed as an admission, or otherwise used in any way as
evidence, that any Scientology-related entity was not exempt from
federal tax for any taxable period before 1993.
4. In reliance upon the covenant of good faith and fair dealing
that
underlies this Agreement, the Church signatories, as well as the
Individual At-large members of the CTCC agree to relinquish all
claims
arising out of any action or inaction of the Service of current or
former Service employees that occurred prior to the date of this
Agreement, including, but not limited to, any claims of continued
conspiracy having a genesis prior to the date of this Agreement. In
addition, the Church signatories, and the Individual and At-large
members of the CTCC certify that no Scientology-related entity or
Scientology-related individual shall assist (directly or
indirectly)
any party in any suit against the United States, the Service or
current or former Service employees based upon any claim arising
out
of any action or inaction of the Service or former or current
employees that occurred prior to the date of this Agreement
including,
but not limited to, any claims of continued conspiracy having its
genesis prior to the date of this Agreement. If any
Scientology-related entity or Scientology-related individual
commences
any such action or provides any such assistance, then section VI
shall
apply.
5. The CTCC shall indemnify and hold the United States, the Service
or
any Service employee (former or present) harmless with respect to
any
litigation filed or pursued in contravention of the Agreement, that
is, any litigation filed or pursued by or with the assistance of
any
Scientology-related entity or Scientology-related individual. For
purposes of this paragraph C.5, direct or indirect assistance
includes, but is not limited to, financial aid, litigation support,
or
the use in connection with litigation of documents obtained from
the
Service by any Scientology-related entity or Scientology-related
individual prior to the date of this Agreement or under the
Inspection
provisions of the Settlement Agreement entered into by the parties
on
even date herewith.
6. Subject to the requirements of section VII, paragraph G.,
nothing
in the preceding two paragraphs shall be construed to prevent any
Scientology-related entity from conducting, supporting, or
participating in, directly or indirectly, any judicial proceeding
to
construe or enforce the obligation under this Agreement, nor to
impose
any sanction or require indemnification to the Service as a result
of
such proceeding.
D. Effect on Outstanding Administrative Matters.
1. Church tax inquiries under Code section 7611. The Service shall
close the following church tax inquiries on a no-change basis:
Church of Scientology International
Church of Scientology Flag Service Organization, Inc. (two
outstanding
inquiries)
Church of Scientology Western United States
2. Other examinations of Scientology-related entities The Service
shall close the following income or employment tax examinations on
a
no-change basis:
Church of Scientology Expansion Trust
Church of Scientology Religious Trust
Scientology Endowment Trust
Bridge Publications, Inc.
Applied Scholastics International
Author's Family Trust B
International Association of Scientologists
Religious Technology Center
Church of Scientology International
Church of Spiritual Technology
Church of Scientology Flag Service Organization, Inc.
Church of Scientology Western United States
Church of Scientology of California (employment)
3. Outstanding tax assessments. The Service shall abate in their
entirety the following unpaid tax assessments:
Church of Scientology of California, FICA and FUTA for all quarters
of
the years 1976 through 1986.
Religious Technology Center, FICA for all quarters of the years
1986
and 1987.
Church of Scientology International, FICA for all quarters of the
years 1986 and 1987.
Church of Spiritual Technology, FICA for all quarters of the years
1986 and 1987.
Church of Scientology Western United States, FICA for all quarters
of
the years 1986 and 1987.
Religious Technology Center, Form 1120 Corporate Income Taxes,
interest and penalties for the years 1982 to 1988.
Church of Scientology International, Form 1120 Corporate Income
Taxes,
interest and penalties for the years 1981 to 1988.
With respect to the foregoing tax assessments, the Service agrees
to
withdraw any notices of levy and to release any notices of tax lien
filed or made prior to the date of this Agreement.
4. Trust fund recovery penalties. The Service shall abate in their
entirety assessments made under Code section 6672 with respect to
certain FICA assessments against Church of Scientology of
California
(1985-1986), Church of Scientology International (1988), Church of
Spiritual Technology (1988), Religious Technology Center (1988),
and
Church of Scientology Western United States (1988), against the
following individuals: David Miscavige, Norman F. Starkey, Marc
Yager,
Mark Ingber, Lyman Spurlock, Patrick Broeker, and Ann Marie Tidman
(Broeker). In addition, with respect to the foregoing penalty
assessments, the service shall (1) refund upon proper claim any
amounts collected, along with interest as permitted by law, (2)
withdraw any notices of levy, and (3) release any notices of tax
lien
filed.
5. Time period in which to effectuate paragraph D. The Service
shall
take the actions required under this paragraph D. by April 1, 1994.
E. Effect on Outstanding Litigation Matters.
1. In general. The Service and the CTCC agree that all litigation
set
forth in Exhibits II-1 and II-2 shall be dismissed with prejudice
by
stipulation of the parties (or, where appropriate, the pending
appeal
shall be withdrawn) with all litigation costs (e.g., attorney fees)
to
be borne by the respective parties. The parties agree that no
damages,
costs, attorney fees, or any other amounts of relief shall be
sought
by any Scientology-related entity or Scientology-related
individual,
the United States, the Service or any individual plaintiff in any
suit
contained in Exhibits II-1 or II-2.
2. Zolin. The Service further agrees that following dismissal of
the
litigation listed on Exhibit II-2 as Zolin, it shall use its best
efforts to return to the CTCC all materials and all copies thereof
produced to the Service in response to the summons at issue in that
litigation by no later than April 1, 1994. The CTCC hereby
certifies
that CSI shall retain all such materials during the transition
period.
No inference shall be drawn from the fact the Service is returning
these materials that they were summonsed for an improper law
enforcement purpose and the CTCC agrees not to assert such an
inference in any future litigation.
3. Stipulations. At Exhibit II-3, are copies of stipulations to
dismiss the cases discussed at paragraph E.1. executed by counsel
of
record for the non-governmental parties thereto. The parties agree
that, to the extent practicable, these stipulations shall be used
to
cause the dismissal of these cases and will provide a complete
resolution of all issues arising out of the same subject matter.
The
parties agree that these stipulations shall be executed by counsel
of
record for the government and returned to the CTCC. The CTCC will
file
the fully executed stipulations with the appropriate court within
30
days of its receipt of the executed stipulations. The parties
further
agree not to undertake any further actions to prosecute or defend
any
such litigation during the period of time following execution of
this
Agreement until the court has acted on the parties' dismissal
stipulations. In addition, the parties agree to file as necessary
requests to stay any action on such cases pending dismissal.
4. Certain pending cases requiring coordination. Recognizing that
carrying out the provisions of this paragraph E. shall require
coordination with persons and agencies not parties to this
Agreement,
the parties further agree as follows:
a. The Service shall use its best efforts to secure the voluntary
dismissal with prejudice of all litigation listed in Exhibits II-1
and
II-2 in which the Commissioner, the Service and /or Service
employees
are represented by the United States Department of Justice.
b. The CTCC shall use its best efforts to secure the voluntary
dismissal with prejudice of all litigation listed in Exhibits II-1
and
II-2 insofar as it involves litigants who are not
Scientology-related
entities or individual members of the CTCC. Following execution of
this agreement, the Church signatories, and the Individual and
At-large members of the CTCC certify that no Scientology-related
entity nor Scientology-related individual shall provide any further
support or assistance (directly or indirectly) in such litigation.
F. After-Discovered Cases or Examinations in Existence as of the
Date
of this Agreement. It is the intention of the parties to cease
activity and dismiss with prejudice all existing cases in
controversy
between the Service and any Scientology-related entity or
Scientology-related individual, costs to be borne by each party
(e.g.,
attorney fees), as well as all existing current examinations of
Scientology-related entities for years prior to 1993. Thus, if
there
exists other civil actions that are not contained in Exhibits II-1
and
II-2 or in the Settlement Agreement, Exhibit IV-6, or an
examination
of a Scientology-related entity is not listed in paragraphs D.1 and
D.2, and the exclusion of such suit was inadvertent (i.e., not
specifically discussed and intentionally excluded by the parties
during their negotiations), the parties agree to dismiss such suit
or
cease such examination as soon as administratively feasible.
G. Finality. The provisions of this section II. are final and
conclusive, except as provided in section IX, paragraph H.,
notwithstanding the seven-year transition period set forth in other
provisions of this agreement.
III. Service Determinations Regarding Scientology-Related Entities.
A. Issuance of Determination Letters.
Having received and reviewed the completed Forms 1023, Applications
For Recognition of Exemption and the attachments thereto for the
entities described in paragraphs B.1, B.2, B.3, B.4, B.5, B.6, B.7,
B.8, and B.9 together with requests for group exemption letters and
the attachments thereto described in paragraphs in paragraphs C.1,
C.2, C.3 and C.4, on the basis of that information, the Service is
issuing the individual determination letters and group
determination
letters described below and copies of which are attached at
Exhibits
III-1 through III-30.
B. Individual Determination Letters.
1. The Service hereby issues individual determination letters
(copies
attached as Exhibits III-1 through III-5, respectively) that the
following entities are organizations described in Code sections
501(c)
(3), 170(c) (2), 509(a) (1), and 170 (b)(1)(A)(i):
Religious Technology Center ("RTC")
Church of Scientology International ("CSI")
Scientology Missions International ("SMI")
Church of Spiritual Technology ("CST")
Church of Scientology Flag Service Organization, Inc. ("CSFSO")
2. The Service hereby issues an individual determination letter
(copies attached as Exhibit III-6) that Foundation Church of
Scientology Flag Ship Service Organization ("CSFSSO") is an
organization described in Code sections 501(c) (3), 509(a) (1), and
170(b)(1) (A) (i). CSFSSO is not described in Code section 170 (c)
(2)
because it is a foreign entity.
3. The Service hereby issues individual determination letters
(copies
attached as Exhibits III-7 through III-14, respectively) that the
following Scientology-related entities are organizations described
in
Code sections 501(c) (3), 170(c) (2), and 509(a) (3):
Inspector General Network ("IGN")
International Hubbard Ecclesiastical League of Pastors ("IHELP")
Building Management Services ("BMS")
Bridge Publications, inc. ("BPI")
Dianetics Centers International ("DCI")
Dianetics Foundation International ("DFI")
Hubbard Dianetics Foundations ("HDF")
U.S. IAS Members' Trust
4. The Service hereby issues individual determination letters
(copies
attached as Exhibits III-15 and III-16, respectively) that the
following Scientology-related entities are organizations described
in
Code sections 501 (c) (3), 170 (c) (2), 509 (a) (1) and, 170 (b)
(1)
(A) (vi):
The Way to Happiness Foundation ("TWTH")
Association for Better Living and Education ("ABLE")
5. The Service hereby issues individual determination letters
(copies
attached as Exhibits III-17 and III-19, respectively) that the
following Scientology-related entities are organizations described
in
Code sections 501 (c) (3) and 509 (a) (3):
Scientology International Reserves Trust ("SIRT")
Flag Ship Trust ("FST")
New Era Publications International ApS ("NEP")
However, these organizations are not describe in Code section 170
(c)
(2) because they are foreign entities.
6. Pursuant to a ruling request, the Service hereby modifies the
individual determination letter (copy attached as Exhibit III-20)
that
the Church of Scientology Religious Trust ("CSRT") is an
organization
described in Code sections 501(c) (3), 170 (c) (2), and 509(a) (3).
7. The Service hereby issues individual determination letters
(copies
attached as Exhibits III-21 through III-23, respectively) that the
International Association of Scientologists ("IAS") and its
operating
arms: Membership Services Administration, Ltd., and Foundation
International Membership Services Administration d/b/a IAS
Administrations, are organizations described in Code sections
501(c)
(3), and 509(a) (3). IAS and its operating arms are not described
in
Code section 170(c) (2) because they are foreign entities.
8. The Service hereby issues an individual determination letter
(copy
attached as Exhibit III-24) that the Hubbard College of
Administration
("HCA") is an organization described in Code sections 501(c) (3),
170
(c) (2), 509 (a) (1), and 170 (b) (1) (A) (ii).
9. Having previously issued a determination letter to the Church of
Scientology Western United States ("CSWUS") (under the name Church
of
Scientology of San Diego) recognizing CSWUS as an organization
described in Code sections 501(c) (3), 170 (c) (2), 509 (a) (1),
and
170 (b) (1) (A) (i), and having received and reviewed an updated
Form
1023 and attachments thereto (dated August 30, 1993), the Service
hereby issues a revised determination letter (copy attached as
Exhibit
III-25) recognizing CSWUS as an organization described in Code
sections 501(c) (3), 170 (c) (2), 509 (a) (1), and 170 (b)(1) (A)
(i).
10. The Service agrees that the organizations listed in paragraphs
B.1, B.2. and B.9. are churches described in Code section 6033 (a)
(2)
(A) (i). Pursuant to Code section 6033(a) (2), Treas. Reg.
[Section]
1.6033-2(g) (6), and Rev. Proc. 86-23, 1986-1 C.B. 564, the service
determines that the organizations described in paragraphs B.3, B.5,
B.6, B.7, and B.8. are church-affiliated organizations that need
not
file annual Forms 990. However, nothing in this Agreement relieves
any
Scientology-related entity from any requirement to file a return
(e.g., filing the Form 990-T in the event of unrelated business
taxable income).
C. Group Determination Letters.
1. The Service hereby issues a group determination letter (as
described in Rev. Proc. 80-27, 1980-1 C.B. 677 and Treas. Reg.
[Section] 601.201 (n) (8) (copy attached as Exhibit III-26)) that
the
subordinate organizations of the Church of Scientology
International
are organizations described in Code sections 501(c) (3), 170 (c)
(2),
509 (a) (1), 170 (b) (1) (A) (i), and 6033 (a) (2) (A) (i).
2. The Service hereby issues a group determination letter (as
described in Rev. Proc. 80-27, 1980-1 C.B. 677 and Treas. Reg.
[Section] 601.201(n)(8) (copy attached as Exhibit III-27)) that the
subordinate organizations of Scientology Missions International are
organizations described in Code sections 501(a) (2) (A) (I), 170
(c)(2), 509(a)(1), 170(b) (1)(A)(i), and 6033 (a)(2)(A)(i).
3. The Service hereby issues a group determination letter (as
described in Rev. Proc. 80-27, 1980-1 C.B. 677 and Treas. Reg.
[Section] 601.201(n)(8) (copies attached as Exhibit III-28 and
III-29,
respectively)) that the subordinate organizations of the following
Scientology-related entities, are organizations described in Code
sections 501 (c) (3), 170 (c) (2), 509 (a) (1), 170 (b) (1) (A)
(ii)
(but are not described in Code section 6033 (a) (2) (A) (I):
Applied Scholastics Inc.
Hubbard College of Administration ("HCA")
4. The Service hereby issues a group determination letter (as
described in Rev. Proc. 80-27, 1980-1 C.B. 677 and Treas. Reg.
Section
601.201(n)(8) (copy attached as Exhibit III-30)) that the
subordinate
organizations of the Citizens Commission on Human Rights ("CCHR")
are
described in Code sections 501 (c) (3), 170 (c) (2), 509 (a) (1),
170
(b) (1) (A) (vi) (but are not described in Code section 6033(a) (2)
(A) (i)).
5. Subordinate organizations initially covered by the group
exemptions
recognized under paragraphs C.1, C.2, C.3 and C.4 are set forth in
the
following respective Exhibits:
Church of Scientology International Exhibit III-31
Scientology Missions International Exhibit III-32
Applied Scholastics Inc. Exhibit III-33
Citizens Commission on Human Rights Exhibit III-34
Hubbard College of Administration Exhibit III-35
IV. Obligations and Undertakings During the Transition Period.
A. Establishment of Church Tax Compliance Committee
1. Purpose of Church Tax Compliance Committee. The Church
Signatories
and others as described below shall form a Church Tax Compliance
Committee (the "CTCC"). The purpose of the CTCC is to ensure that
Scientology-related entities, including those recognized under
section
III of this Agreement as tax-exempt continue to be organized and
operated in conformity with the requirements of Code section 501
(c)
(3) and the provisions of this Agreement. Further, the CTCC is to
ensure that no Scientology-related entity, regardless of whether
the
entity is described in Code section 501 (c) (3), engages in any
conduct that may endanger the tax-exempt status of any other
Scientology-related entity or that would otherwise be in
contravention
of this Agreement. The membership of the CTCC shall guarantee the
obligations of any Scientology-related entity as to necessary
compliance with the Code and the requirements of this Agreement. In
addition, the CTCC will facilitate communication between the
parties
to this Agreement.
2. Membership of Church Tax Compliance Committee. The CTCC shall
consist of Corporate, At-large and Individual members.
a. Corporate CTCC members. The Corporate CTCC members are RTC, CST,
CSFSO, CSWUS, BMS, and CSRT (hereinafter "Corporate CTCC members").
The Church of Scientology Religious Trust is also a Corporate
member,
to be represented by one CSRT trustee designated for this purpose.
The
Presidents of RTC, CSI, CST, CSFSO, CSWUS and BMS shall serve as
representatives of their respective entities on the CTCC. No
Corporate
CTCC member many withdraw from the CTCC.
b. At-large members of CTCC. The Watchdog Committee (as described
in
the Qualified Written Material) shall be an At-large member of the
CTCC and shall be represented on the CTCC by the Chairman of the
WDC.
In addition, the International Finance Director and the Chief
Accountant International shall serve as At-large representatives on
the CTCC. The At-large members of the CTCC may not withdraw from
the
CTCC, although the individuals representing WDC or serving as
Finance
Director or Chief Accounting International may be replaced by
reason
of the prior office holder no longer serving in that capacity. The
CTCC shall give prompt notice to the Service of any replacement of
these individuals on the CTCC.
c. Individual CTCC members. The individual members of the CTCC are
David Miscavige, Norman Starkey, Mark Rathbun and Heber Jentzsch.
No
individual member of the CTCC shall be permitted to withdraw from
service on the CTCC, except by reason of death, being adjudicated
an
incompetent, or by mutual agreement of the parties to this
Agreement.
3. Responsibilities of CTCC. In general, the CTCC is responsible
for
overall implementation of the duties and obligations imposed with
respect to the Scientology-related entities by this Agreement
during
the transition period. Specific responsibilities and duties of the
CTCC shall include the following:
a. Annual Report. The CTCC is responsible for submission of the
Annual
Report transmitting the information required under section IV.
paragraphs B., C., D.2 and D.3 of this Agreement (the Annual
Report).
The CTCC is also responsible for engaging the certified public
accounting firm that is required to perform and report on certain
agreed-upon accounting procedures under section IV. paragraph B. of
this Agreement. Information required to be reported shall be
contained
in the Annual Report relating to the taxable year at issue and due
no
later than July 15 following the end of such year. This date may be
extended by written agreement between the Service and the CTCC. No
extensions beyond November 15 shall be granted, absent
extraordinary
circumstances . The Annual Report, any supplements thereto, and any
responses to inquiries under paragraphs B. and C. shall be
submitted
under penalties of perjury in a manner similar to that set out in
the
form 990 (hence subject to prosecution under Code section 7206(1)).
This report will be signed by all members of the CTCC.
b. Communications. i. If the CTCC determines that it needs to
communicate with the Service regarding any issue related to the
Church
and the Service, the CTCC may so notify the Service in writing.
Included within the notice will be specific information regarding
the
issue the CTCC wishes to raise. Such disclosure is intended to
provide
the Service with sufficient information to determine if waivers
under
Code section 6103 may be required. If the Service determines that
it
needs to communicate with the CTCC regarding any issues related to
the
Church, the Assistant Commissioner may so notify the CTCC in
writing.
ii. The CTCC shall submit waivers in favor of CTCC members and
their
counsel as required under Code section 6103 on behalf of all
Scientology-related entities recognized as described in Code
section
501(c)(3) under section III of this Agreement as soon as
practicable
but in no event later than 120 days after execution of this
Agreement.
Every such waiver also shall be submitted to the Service not more
than
60 days after its execution by the relevant Scientology-related
entity.
iii. Not withstanding the provisions for written notice in
subparagraph i., nothing shall prohibit the parties from other,
less
formal modes of communication, such as the telephone. It is
contemplated that there will be regular and frequent informal
communications with respect to matters arising under this
Agreement.
c. Meetings. i. The CTCC and the Assistant Commissioner shall meet
no
less than once each year during the transition period, such meeting
to
be held no later than 90 days following the Service's receipt of
the
CTCC's annual report under subparagraph a.
ii. If the CTCC submits a written request for a meeting, then a
meeting with the Assistant Commissioner shall be held within 15
working days after the receipt of such written request.
iii. All meetings under this subparagraph c. shall be held at a
mutually agreeable time at the National Office of the Service or
other
mutually agreeable location.
d. Guaranty.
i. In general. The Corporate CTCC members absolutely and
unconditionally, jointly and severally, guarantee to the Service
the
full and prompt payment of all U.S. tax liabilities under the Code
(including but not limited to income tax (including tax imposed
under
Code section 511) and employment tax), together with all interest
and
penalties, accruing or arising during the first three years of the
transition period with respect to all Scientology-related entities.
This guaranty is for the sole benefit of the Service and is for
purposes of collection of the tax. The specific Scientology-related
entity that is allegedly liable for the tax may contest the
liability
as permitted under the Code and regulations, and any final
adjudication thereof, after exhaustion of all appeals, shall be
binding and conclusive on the CTCC. If the liability is assessed
against the specific Scientology-related entity without judicial
review, the CTCC may dispute the underlying liability in any suit
by
the Service under paragraph A.3.d.ii. of this section IV. to
collect
on the guaranty. In addition, the guaranty shall not be operative
to
the extent that the Scientology-related entity satisfies the
underlying liability or is successful in disputing the fact or
amount
of such liability.
ii. Procedure for collection. At the time such liability is due and
owing (i.e., the Scientology-related entity has exhausted its
remedies), the Service may, at its sole option, present the CTCC
with
a notice substantially in the form of a Revenue Agent's Report
detailing the unpaid tax, interest and penalty. The CTCC shall have
180 days from such notice to make the payment, with interest, or to
arrange for installment payments, with interest, to be made over a
period not to exceed three years, which will provide the Service
the
present value of the liability. If no payment (and no arrangement
for
installment payments) is timely made, the Service may enforce the
guaranty provisions of this Agreement.
iii. Term of guaranty. This guaranty will apply only to tax
liabilities of Scientology-related entities for taxable years 1993
through 1995. The Service must present the CTCC with notice for
payment in accordance with subparagraph ii., no more than two years
following its receipt of the CTCC's report under paragraph A.3.a
for
the year 1997 or be forever barred from collecting on this
guaranty.
For purposes of this subparagraph d.iii, the notice under
subparagraph
d.ii may be given the CTCC prior to such time as the
Scientology-related entity has exhausted its judicial remedies.
iv. Example. A Class V church is determined by the Service to have
engaged in an activity giving rise to unrelated business taxable
income. The Class V Church disputes that the activity was a trade
or
business and the Class V Church brings suit in Tax Court. The Tax
Court upholds the Service's position and the decision becomes final
(including completion of appeal thereof or expiration of the time
for
bringing an appeal). At this time, the Service may collect the UBIT
along with any applicable interest or penalties, upon notice, from
the
CTCC.
v. Certain events not impairing guaranty. Without in any way
limiting
the generality of the absolute and unconditional guaranty in
paragraph
A.3.d, the obligations of the Corporate CTCC members under this
Agreement shall not be affected or impaired by reason of the
happening
from time to time of any of the following events with respect to
this
Agreement, even if any such events happen without the giving of
notice
to, or obtaining the consent of, the Corporate CTCC member:
a. any compromise, settlement, release, renewal, extension,
indulgence, modification or termination of any or all of the
obligations, covenants or agreements of any Church signatory,
Scientology-related entity, or any Corporate CTCC member under this
Agreement, including but not limited to any modification or
amendment
(whether material or otherwise) of any obligation, covenant, or
agreement set forth in this Agreement;
b. any waiver of the performance or observance by the Service or
any
Church signatory or Scientology-related entity, as the case may be,
of
any of the obligations, covenants, agreements, duties, terms or
conditions in this Agreement;
c. any extension of time for the filing of any tax return, payment
of
all or any part of any U.S. tax liability or the extension of the
time
for payment of any sums of money due under this Agreement or of the
time for performance of any obligation under or arising out of this
Agreement;
d. any change in the composition of the CTCC, whether by the
addition
of any Individual, At-large or Corporate member, or the
substitution,
admission, withdrawal or removal of any CTCC member;
e. any voluntary or involuntary liquidation, dissolution, merger,
sale
or other disposition of all or substantially all of the assets,
marshaling of assets and liabilities, receivership, insolvency,
bankruptcy, assignment for the benefit of creditors,
reorganization,
arrangement, composition, readjustment of debt, or other similar
proceeding affecting any Church signatory, Scientology-related
entity,
any member of the CTCC or any of their assets, any say of the
enforcement by the Service of any remedies against any Church
signatory, Scientology-related entity or any member of the CTCC, in
connection with any of the foregoing;
f. the taking of any actions referred to in the Agreement or any
failure, omission, delay, or deficiency on the part of the Service
in
enforcing, asserting or exercising any right, power, sanction or
remedy pursuant to the Code or this Agreement;
g. any release or discharge of any Church signatory,
Scientology-related entity, or CTCC member from the performance or
observance of any obligation, covenant, agreement, duty, term or
condition herein, respectively, by operation of law;
h. any merger, consolidation or sale, transfer, gift or other
disposition of assets by any Church signatory, Scientology-related
entity or CTCC member; or
i. any default or failure by any member of the CTCC fully to
perform
the obligations, agreements, covenants, or duties under this
Agreement.
vi. No set-off. No set-off, counterclaim, reduction or diminution
of
obligation, claim for refund, abatement, or any defense of any kind
or
nature which any member of the CTCC has or may have against the
Service shall be available to any member of the CTCC against the
Service with respect to the guaranty set forth in this section IV.
paragraph A.3.d.
vii. Right to proceed directly against Corporate CTCC members. The
Service, in its sole discretion, shall have the right to proceed
first
and directly against any one or all Corporate CTCC members under
this
Agreement, without proceeding against or exhausting its remedies
against any other Corporate CTCC member of any other
Scientology-related entity.
viii. Agreement by CTCC not to diminish assets during transition
period. The CTCC agrees that it shall not allow the material
diminution of the assets of the Corporate members of the CTCC
during
the transition period. Diminution of assets will be deemed to be
material to the extent that there has been in any year during the
transition period, the transfer, grant, contribution, loan, payment
for services, gift, voluntary or involuntary conversion, exchange,
sale or any other disposition of assets (including but not limited
to
trademarks, copyrights, cash, securities, mortgages, etc.) by one
or
more Corporate CTCC members within the taxable year at issue
resulting
in the reduction in aggregate value, reflecting the greater of cost
or
market, of ten-percent or more of the aggregate total value
(reflecting the greater of cost or market) of all Corporate CTCC
members as of the beginning of the taxable year at issue. At no
time
during the transition period may the aggregate value of gross
assets
of the Corporate CTCC members be reduced by over fifty percent from
the aggregate net value of their assets on December 31, 1993
through
the disposition of assets as defined in this subparagraph.
Transfers,
etc., within the Corporate membership of the CTCC shall be
disregarded
for purposes of determining whether there has been a material
diminution of assets, as will transfers between a Corporate CTCC
member and a party that is not a Scientology-related entity for
which
the Corporate CTCC member receives fair market value in exchange.
The
involuntary loss or diminution in value of assets not attributable
to
the action or conduct of any Scientology-related entity shall not
be
considered in determining whether there has been a diminution of
assets to which this subparagraph applies.
ix. Discharge of guaranty. Upon a material breach by the Service of
any of its obligations under this Agreement, the guaranty under
this
paragraph A.3.d. shall be null and void as to amounts not yet
collected, and no amounts may be collected that would otherwise
have
been due under the guaranty prior to such material breach. For
purposes of this subparagraph, only the following actions will be
considered to be a material breach by the Service:
a. the filing of suit to collect sanctions under section VI. from
any
corporate or individual CTCC member without engaging in substantive
discussion with the CTCC of the parties' respective positions as
required by paragraph H.3.a.iii of section VI;
b. the issuance of a Regulation, Revenue Ruling or other
pronouncement
of general applicability providing that fixed donations to a
religious
organization other than a church of Scientology are fully
deductible
unless the Service has issued previously or issues
contemporaneously a
similar pronouncement that provides for consistent and uniform
principles for determining the deductibility of fixed donations for
all churches including the Church of Scientology;
c. the knowing, negligent or willfull disclosure of information
described in section V. paragraph A.4 of this Agreement in
violation
of any provision of section 6103, to the extent such disclosure is
not
the result of a good faith but erroneous interpretation of section
6103; or
d. the knowing, negligent or willful failure to disseminate the
Church
Fact Sheet as required by paragraph 5 of the Settlement Agreement
attached hereto as Exhibit IV-5; or
e. examining, assessing or seeking to collect any tax liability of
any
Scientology-related entity for any taxable year ending before
January
1, 1993, unless the Service terminates such action and refunds or
credits any amounts collected within 90 days of notice from the
CTCC,
or unless section IX, paragraph H. applies.
e. Liability for penalties. The CTCC shall be liable for the
penalties
set forth in section VI. of this Agreement.
4. Actions of CTCC. David Miscavige will act as the initial
Chairman
of the CTCC. He may be removed from this office and replaced by
another individual CTCC member by majority vote of the CTCC
members.
The CTCC shall promptly notify the Service of any change in the
Chairmanship. The Chairman may act on behalf of the CTCC, and bind
the
CTCC, except where a specific provision of this Agreement requires
the
action of more than one CTCC member.
B. Financial Reporting Requirements.
1. Special Accounting Procedures.
a. In general. The special accounting procedures of this section
IV.
paragraph B. apply to each corporate member of the CTCC, CSFSSO,
NEP,
BPI, Church of Scientology Celebrity Centre International, and to
(i)
any other Scientology-related entity formed under the laws of, and
operating primarily in, a country other than the United States for
any
year in which such entity has United States source gross receipts
(including contributions) in excess of $1,000,000 in value, and to
(ii) any Scientology-related entity formed under the laws of, and
operating primarily in, the United States for any year in which it
has
either (a) gross assets, or (b) gross receipts in excess of
$10,000,000 in value. The entities with respect to which special
accounting procedures apply are collectively called the "reporting
entities."
b. Special accounting procedures -- operational aspects.
i. Required procedures. The CTCC shall retain a qualified CPA
(defined
below) to perform the agreed-upon procedures enumerated in Exhibit
IV-2 of this Agreement with respect to each of the reporting
entities.
Following its performance of these procedures, the qualified CPA so
selected shall report to the CTCC and to the Service in the form
prescribed by the American Institute of Certified Public
Accountants
for engagements to apply Agreed-Upon Procedures (SAS No. 35,
Special
Reports -- Applying Agreed-upon Procedures to Specified Elements,
Accounts, or Items of a Financial Statement) (hereinafter referred
to
as "Special Purpose Reports"). These Special Purpose Reports shall
include a summary of any exceptions the qualified CPA discovers
through the agreed-upon procedures.
ii. Foreign entities. To the extent that the particular reporting
entity is required under the laws of a foreign jurisdiction to have
certified financial statements or an accountant's review prepared
annually, those reports (converted to the English language and to
United States dollars) may, in general, be substituted for the
special
purpose reports enumerated in Exhibit IV-2. However, the special
purpose reports relating to fundraising and overseas cash flows
must
be performed for all reporting entities. In addition, this section
IV.
paragraph B.1.b.ii. shall not apply unless: (a) the financial
statements are prepared by an accountant that otherwise meets the
definition of Qualified CPA under this Agreement (or their
equivalent
under the laws of the foreign jurisdiction in which the accountant
is
admitted to practice); (b) the financial statements include a
balance
sheet, income statement accountants' report, and accountants' notes
to
the financial statements, (statements of cash flows and management
letters shall be included to the extent they are prepared); and,
(c)
the foreign entity remains a reporting entity for purposes of
special
procedures to be performed in connection with other reporting
entities.
c. CPA's reports--In general. The CTCC shall also deliver to the
Service two (2) copies of the special purpose reports and
management
letter (described below) for all reporting entities for each year
during the Reporting Period. The Special Purpose Report must state
that the Special Purpose Report was conducted in accordance with
SAS
no. 35, Special Reports--Applying Agreed-upon Procedures to
Specified
Elements, Accounts, or Items of a Financial Statement and this
Agreement.
d. CTCC responsibilities. The CTCC shall cause all reporting
entities
to fully and timely cooperate with the Qualified CPA in the
preparation and submission of the Special Purpose Reports.
e. Selection of a qualified CPA. The CTCC shall be responsible for
the
selection of a qualified CPA that meets the requirements set forth
below. When selecting a CPA, the CTCC should consider, among other
matters:
i. The qualification of CPAs available to do the work;
ii. The CPA's experience in performing audits of churches and other
nonprofit organizations; and
iii. The CPA's ability to timely complete and submit the Special
Purpose Report.
f. Definition of a qualified CPA.
i. In general. For the first two taxable years to which this
section
IV. paragraph B. applies (i.e., for calendar years 1993 and 1994),
the
CPA must be a Big Six firm or, in the alternative, another firm
agreed
to by the Service. For the last taxable year to which this
paragraph
B. applies (i.e., 1995), the CPA may be designated by the CTCC,
provided that the firm or CPA is (i) a qualified CPA and (ii) is
acceptable to the Service. The Service consents to the designation
of
Richard D. Clark for the last year, provided that, at that time, he
otherwise meets the requirements of being a qualified CPA.
ii. Requirements for qualified CPA. For purposes of this Agreement,
any CPA that meets the qualifications criteria of this section IV.
paragraph B.1.f. and enters into a Special Purpose Report agreement
with the CTCC, Corporate CTCC members and all reporting entities,
and
that complies with the provisions of this Agreement, will be
considered a qualified CPA and acceptable to the Service.
(a) Certification. The CPA must be a CPA in good standing in a
state
or the District of Columbia. The CPA does not have to be licensed
by
the state in which the Corporate CTCC members are located; however,
the CPA must abide by the rules and regulations of professional
conduct promulgated by the accountancy board of the state in which
the
Corporate CTCC members are located.
(b) Practice before the Service. The CPA (or any accountant working
for such CPA who is participating in the required reporting process
under this Agreement) may not be, or have been, under suspension
from
practice before the Service.
(c) Independence. The CPA must be independent. A CPA will be
considered independent if the CPA meets the standards for
independence
contained in the AICPA Code of Professional Conduct in effect at
the
time the CPA's independence is under review. In addition, the CPA
may
not, at the time engaged (or at any time prior to that time), be a
Scientology-related individual, a Scientology-related entity or a
WISE
sublicensee.
(d) Peer review requirement. The CPA must belong to and participate
in
a peer review program, and must have undergone a satisfactory peer
review conducted by the AICPA's Division for CPA Firms. After the
initial peer review has been performed, the CPA must submit to a
peer
review of the accounting and audit practice every three years or at
such additional times as designated by the peer review executive
committee.
g. CTCC's approval of selection. The CTCC's approval of a CPA must
be
recorded in writing and state the following:
i. The CPA meets the Service's qualifications to perform the
Special
Purpose Report required by this Agreement; and
ii. The CTCC, the Corporate CTCC members and all reporting entities
and CPA will enter into a Special Purpose Report agreement in
accordance with the provisions of this Agreement.
h. Notification of selection. When the selection of a CPA by the
CTCC
has been made, the CTCC must notify the Service, in writing, prior
to
the execution of the Special Purpose Report agreement (as defined
below) and in no event less than 90 days prior to the end of the
taxable year for which the change of CPA is effective. The Service
will notify the CTCC, in writing, within 30 days of the date of
receipt of such notice, if the selection of a CPA is not
satisfactory.
A copy of the Special Purpose Report agreement, or any amendment to
such agreement, is to be provided to the Service as soon as
feasible
after the execution thereof. One copy of the current Special
Purpose
Report agreement must be maintained in the CPA's workpapers or
permanent file.
i. First qualified CPA. The Service has been notified that the CTCC
has selected Nanas, Stern, Biers, Neinstein and Co., 9454 Wilshire
Boulevard, Beverly Hills, California, 90212 as its first qualified
CPA. The Service approves of such selection. Notwithstanding
paragraph
h., the Special Purpose Report Agreement with Nanas, Stern, Biers,
Neinstein and Co. shall be provided to the Service no later than
with
the First Annual Report due under this Agreement.
j. Special Purpose Report agreement. The CTCC, Corporate CTCC
members
and all reporting entities shall enter into a Special Purpose
Report
agreement with the CPA that specifically complies with all of the
following:
i. The CTCC, Corporate CTCC members, all reporting entities and CPA
acknowledge that the agreed-upon procedures are being performed and
the Special Purpose Report is being issued in order to enable the
CTCC, the Corporate CTCC members and the reporting entities to
comply
with the provisions of the Code and this Agreement.
ii. The CTCC, Corporate CTCC members and all reporting entities
acknowledge that this Agreement provides that if the CTCC fails to
have a Special Purpose Report performed and documented in
compliance
with this Agreement, the CTCC and Corporate CTCC members are in
violation of the provisions of this Agreement.
iii. The CPA represents that he meets the requirements under this
Agreement satisfactory to the Service.
iv. The CPA will perform the agreed upon procedures in Exhibit IV-1
and will prepare the Special Purpose Report in accordance with the
requirements of this Agreement.
v. The CPA will document the Special Purpose Report work performed
in
accordance with the professional standards of the AICPA and the
requirements of this Agreement.
k. Special Purpose Report scope limitation. The CTCC, Corporate
CTCC
members and reporting entities shall not limit the scope of the
Special Purpose Report, nor suffer or permit the Special Purpose
Report scope to be limited, to the extent that the CPA is unable to
meet the Service's Special Purpose Report requirements.
l. Access to Special Purpose Report-related documents. Pursuant to
the
terms of the Special Purpose Report agreement, the CPA must (at no
charge to the Service):
i. retain all Special Purpose Report-related documents (including
but
not limited to CPA's reports, workpapers, and management letters)
for
a period of four years after the close of the taxable year for
which
each Special Purpose Report was prepared; and
ii. following the Service's request of, and the consent by, the
CTCC,
(a) make all Special Purpose Report-related documents available to
the
Service, and
(b) permit the Service to photocopy all Special Purpose
Report-related
documents.
m. Required disclosures to CPA. Prior to commencing the agreed upon
procedures, the CTCC shall provide to the CPA a copy of all
Scientology scripture concerning finances and accounting (e.g. the
Treasury Division volumes) and any other written material relating
to
or involving the handling of funds by Church personnel in effect at
that time. The CTCC also shall promptly provide to the CPA copies
of
any newly-issued materials on these subjects or any modification,
amendment, or rescission of any existing material on the subject.
In
addition, the CPA is to be given a copy of the Agreement and any
future amendments to the Agreement.
n. Submission of Special Purpose Reports. The Annual Report shall
include separate Special Purpose Reports for each reporting entity.
These Special Purpose Reports are for the use of only the CTCC and
the
Service.
o. Submission of plan of corrective action. The CTCC shall submit
written comments to the Service on the exceptions and
recommendations
in the Special Purpose Reports and shall also submit to the
Service:
(i) a written plan for any corrective action taken or planned; and,
(ii) comments on the status of any corrective action taken on
previously reported exceptions and recommendations.
2. Internal financial reports.
a. As part of the Annual Report, the CTCC shall deliver a copy of
the
internally generated annual financial statements (either (i) income
and expense statement, balance sheet, and all notes to financial
statements or (ii) if such records are not generated in the normal
course of church operations, then the adjusted trial balance and
all
adjusting journal entries) prepared for the internal use of the
particular entity or other Scientology-related entity for the
following entities.
Church of Scientology International
Religious Technology Center
Church of Spiritual Technology
Foundation Church of Scientology Flag Ship Service Organization
Church of Scientology Flag Service Organization, Inc.
Church of Scientology Western United States
Church of Scientology Religious Education College, Inc.
Church of Scientology Celebrity Centre International
Scientology Missions International
International Hubbard Ecclesiastical League of Pastors
Church of Scientology Religious Trust
Scientology International Reserves Trust
Flag Ship Trust
New Era Publications International ApS (including subsidiaries)
Bridge Publications, Inc.
Building Management Services
FSO Oklahoma Investments Corporation
World Institute of Scientology Enterprises
Church of Scientology Advanced Organization Saint Hill, Europe and
Africa (CS AOSH EU&AF)
Church of Scientology, Inc. (CS AOSH ANZO)
SOR Services (UK) Ltd.
SOR Services Ltd. (Cyprus)
Transcorp Services S.A.
San Donato Properties Corporation
In addition, internal annual financial statements as required above
are to be provided for any Scientology-related entity not
designated
above (or in paragraph B.1.a. above) for any year in which it has
either (a) gross assets (based on the greater of cost or fair
market
value) in excess of $15,000,000 in value, or (b) gross receipts in
excess of $15,000,000 in value.
b. As part of each Annual Report, the CTCC also shall include a
consolidation of the above internal reports in a master balance
sheet,
and income and expense statement prepared in the same manner as the
consolidated financial data submitted with the Qualified Written
Materials. These consolidations are to be done in accordance with
reasonable accounting practices and consistently year to year. The
Annual Report also shall include a separate consolidated balance
sheet
for the corporate CTCC members. Consolidating adjustments shall
include, but are not limited to, liabilities and corresponding
receivables between Corporate members of the CTCC. The nature of
consolidating adjustments will be explained in the Annual Report.
All
amounts shall be reported in United States dollars.
c. As part of each Annual Report, the CTCC also shall include
copies
of audited financial statements (in the English language and U.S.
dollars) for the International Association of Scientologists,
Foundation International Membership Services Administrations,
Membership Services Administration (U.K.), Ltd., and the U.S. IAS
Members' Trust.
3. Report on central reserves transactions and balances. As part of
the Annual Report, the CTCC shall deliver to the Service a summary
of
central reserves transactions containing information in similar
format
to the summary information that was provided as part of the
Qualified
Written Material, with the exception that the information included
in
the Annual Report need not contain a list of reserves transfers to
non-reserves accounts of the same Scientology-r