Canadian Transportation Agency Rules (Dispute Proceedings and Certain Rules Applicable to All Proceedings) (SOR/2014-104)

Interpretation

Marginal note:Definitions

1 The following definitions apply in these Rules.

Act

Act means the Canada Transportation Act. (Loi)

affidavit

affidavit means a written statement confirmed by oath or a solemn declaration. (affidavit)

applicant

applicant means a person that files an application with the Agency. (demandeur)

application

application means a document that is filed to commence a proceeding before the Agency under any legislation or regulations that are administered in whole or in part by the Agency. (demande)

business day

business day means a day that the Agency is ordinarily open for business. (jour ouvrable)

dispute proceeding

dispute proceeding means any contested matter that is commenced by application to the Agency. (instance de règlement des différends)

document

document includes any information that is recorded in any form. (document)

intervener

intervener means a person whose request to intervene filed under section 29 has been granted. (intervenant)

party

party means an applicant, a respondent or a person that is named by the Agency as a party. (partie)

person

person includes a partnership and an unincorporated association. (personne)

proceeding

proceeding means any matter that is commenced by application to the Agency, whether contested or not. (instance)

respondent

respondent means a person that is named as a respondent in an application and any person that is named by the Agency as a respondent. (défendeur)

Application

Marginal note:Dispute proceedings

2 Subject to sections 3 and 4, these Rules apply to dispute proceedings other than a matter that is the subject of mediation.

All Proceedings

Marginal note:Quorum

3 In all proceedings, one member constitutes a quorum.

Marginal note:Principle of proportionality

4 The Agency is to conduct all proceedings in a manner that is proportionate to the importance and complexity of the issues at stake and the relief claimed.

Dispute Proceedings

General

Interpretation and Dispensing with Compliance

Marginal note:Interpretation of Rules

• 5 (1) These Rules are to be interpreted in a manner that facilitates the most expeditious determination of every dispute proceeding, the optimal use of Agency and party resources and the promotion of justice.

• Marginal note:Agency’s initiative

  (2) Anything that may be done on request under these Rules may also be done by the Agency of its own initiative.

Marginal note:Dispensing with compliance and varying rule

6 The Agency may, at the request of a person, dispense with compliance with or vary any rule at any time or grant other relief on any terms that will allow for the just determination of the issues.

Filing of Documents and Sending of Copy to Parties

Marginal note:Filing

• 7 (1) Any document filed under these Rules must be filed with the Secretary of the Agency.

• Marginal note:Agency’s public record

  (2) All filed documents are placed on the Agency’s public record unless the person filing the document files, at the same time, a request for confidentiality under section 31 in respect of the document.

Marginal note:Copy to parties

8 A person that files a document must, on the same day, send a copy of the document to each party or, if a party is represented, to the party’s representative, except if the document is

• (a) a confidential version of a document in respect of which a request for confidentiality is filed under section 31;

• (b) an application; or

• (c) a position statement.

Marginal note:Means of transmission

9 Documents may be filed with the Agency and copies may be sent to the other parties by courrier, personal delivery, email, facsimile or other electronic means specified by the Agency.

Marginal note:Facsimile — cover page

10 A person that files or sends a document by facsimile must include a cover page indicating the total number of pages transmitted, including the cover page, and the name and telephone number of a contact person if problems occur in the transmission of the document.

Marginal note:Electronic transmission

• 11 (1) A document that is sent by email, facsimile or other electronic means is considered to be filed with the Agency and received by the other parties on the date of its transmission if it is sent at or before 5:00 p.m. Gatineau local time on a business day. A document that is sent after 5:00 p.m. Gatineau local time or on a day that is not a business day is considered to be filed with the Agency and received by the other parties on the next business day.

• Marginal note:Courier or personal delivery

  (2) A document that is sent by courier or personal delivery is filed with the Agency and received by the other parties on the date of its delivery if it is delivered to the Agency and the other parties at or before 5:00 p.m. Gatineau local time on a business day. A document that is delivered after 5:00 p.m. Gatineau local time or on a day that is not a business day is considered to be filed with the Agency and received by the other parties on the next business day.

Marginal note:Filing after time limit

• 12 (1) A person must not file a document after the end of the applicable time limit for filing the document unless a request has been filed under subsection 30(1) and the request has been granted by the Agency.

• Marginal note:Filing not provided for in Rules

  (2) A person must not file a document whose filing is not provided for in these Rules unless a request has been filed under subsection 34(1) and the request has been granted by the Agency.

• Marginal note:Failure to comply

  (3) A document that is filed in contravention of subsection (1) or (2) will not be placed on the Agency’s record.

Language of Documents

Marginal note:English or French

• 13 (1) Every document filed with the Agency must be in either English or French.

• Marginal note:Translation

  (2) If a person files a document that is in a language other than English or French, they must at the same time file an English or French translation of the document and the information referred to in Schedule 1.

• Marginal note:Treated as original

  (3) The translation is treated as the original for the purposes of the dispute proceeding.

Amended Documents

Marginal note:Substantive amendment

• 14 (1) If a person proposes to make a substantive amendment to a previously filed document, they must file a request under subsection 33(1).

• Marginal note:Identification of amendment

  (2) A person that files a document that amends a previously filed document, whether the amendment is substantive or not, must ensure that the amendment is clearly identified in the document and that the word “AMENDED” appears in capital letters in the top right corner of the first page.

Verification by Affidavit or by Witnessed Statement

Marginal note:Verification of contents

• 15 (1) If the Agency considers it just and reasonable, the Agency may, by notice, require that a person provide verification of the contents of all or any part of a document by affidavit or by witnessed statement.

• Marginal note:Filing of verification

  (2) The verification by affidavit or by witnessed statement must be filed within five business days after the date of the notice referred to in subsection (1) and must include the information referred to in Schedule 2 or Schedule 3, respectively.

• Marginal note:Failure to file verification

  (3) The Agency may strike the document or the part of the document in question from the Agency’s record if the person fails to file the verification.

Representation and Change of Contact Information

Marginal note:Representative not a member of the bar

16 A person that is represented in a dispute proceeding by a person that is not a member of the bar of a province must authorize that person to act on their behalf by filing the information referred to in Schedule 4.

Marginal note:Change of contact information

17 A person must, if the contact information they provided to the Agency changes during the course of a dispute proceeding, provide their new contact information to the Agency and the parties without delay.

Pleadings

Application

Marginal note:Filing of application

• 18 (1) Any application filed with the Agency must include the information referred to in Schedule 5.

• Marginal note:Application complete

  (2) If the application is complete, the parties are notified in writing that the application has been accepted.

• Marginal note:Incomplete application

  (3) If the application is incomplete, the applicant is notified in writing and the applicant must provide the missing information within 20 business days after the date of the notice.

• Marginal note:Closure of file

  (4) If the applicant fails to provide the missing information within the time limit, the file is closed.

• Marginal note:New application

  (5) An applicant whose file is closed may file a new application in respect of the same matter.

Answer

Marginal note:Filing of answer

19 A respondent may file an answer to the application. The answer must be filed within 15 business days after the date of the notice indicating that the application has been accepted and must include the information referred to in Schedule 6.

Reply

Marginal note:Filing of reply

• 20 (1) An applicant may file a reply to the answer. The reply must be filed within five business days after the day on which they receive a copy of the answer and must include the information referred to in Schedule 7.

• Marginal note:No new issues

  (2) The reply must not raise issues or arguments that are not addressed in the answer or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

Intervention

Marginal note:Filing of intervention

• 21 (1) An intervener may file an intervention. The intervention must be filed within five business days after the day on which their request to intervene is granted by the Agency and must include the information referred to in Schedule 8.

• Marginal note:Participation rights

  (2) An intervener’s participation is limited to the participation rights granted by the Agency.

Marginal note:Response to intervention

22 An applicant or a respondent that is adverse in interest to an intervener may file a response to the intervention. The response must be filed within five business days after the day on which they receive a copy of the intervention and must include the information referred to in Schedule 9.

Position Statement

Marginal note:Filing of position statement

• 23 (1) An interested person may file a position statement. The position statement must be filed before the close of pleadings and must include the information referred to in Schedule 10.

• Marginal note:No participation rights

  (2) A person that files a position statement has no participation rights and is not entitled to receive any notice in the dispute proceeding.

Written Questions and Production of Documents

Marginal note:Notice

• 24 (1) A party may, by notice, request that any party that is adverse in interest respond to written questions that relate to the matter in dispute or produce documents that are in their possession or control and that relate to the matter in dispute. The notice must include the information referred to in Schedule 11 and must be filed

  • (a) in the case of written questions, before the close of pleadings; and

  • (b) in the case of the production of documents, within five business days after the day on which the party becomes aware of the documents or before the close of pleadings, whichever is earlier.

• Marginal note:Response to notice

  (2) The party to which a notice has been given must, within five business days after the day on which they receive a copy of the notice, file a complete response to each question or the requested documents, as the case may be, accompanied by the information referred to in Schedule 12.

• Marginal note:Objection

  (3) If a party wishes to object to a question or to producing a document, that party must, within the time limit set out in subsection (2), file an objection that includes

  • (a) a clear and concise explanation of the reasons for the objection including, as applicable, the relevance of the information or document requested and their availability for production;

  • (b) any document that is relevant in explaining or supporting the objection; and

  • (c) any other information or document that is in the party’s possession or control and that would be of assistance to the party making the request.

Expedited Process

Marginal note:Decision to apply expedited process

• 25 (1) The Agency may, at the request of a party under section 28, decide that an expedited process applies to an answer under section 19 and a reply under section 20 or to any request filed under these Rules.

• Marginal note:Time limits for filing — answer and reply

  (2) If an expedited process applies to an answer under section 19 and a reply under section 20, the following time limits apply:

  • (a) the answer must be filed within five business days after the date of the notice indicating that the application has been accepted; and

  • (b) the reply must be filed within three business days after the day on which the applicant receives a copy of the answer.

• Marginal note:Time limits for filing — request

  (3) If an expedited process applies to a request filed under these Rules, the following time limits apply:

  • (a) any response to a request must be filed within two business days after the day on which the person who is responding to the request receives a copy of the request; and

  • (b) any reply to a response must be filed within one business day after the day on which the person who is replying to the response receives a copy of the response.

Close of Pleadings

Marginal note:Normal process

• 26 (1) Subject to subsection (2), pleadings are closed

  • (a) if no answer is filed, 20 business days after the date of the notice indicating that the application has been accepted;

  • (b) if an answer is filed and no additional documents are filed after that answer, 25 business days after the date of the notice indicating that the application has been accepted; or

  • (c) if additional documents are filed after an answer is filed, the day on which the last document is to be filed under these Rules.

• Marginal note:Expedited process

  (2) Under the expedited process, pleadings are closed

  • (a) if no answer is filed, seven business days after the date of the notice indicating that the application has been accepted;

  • (b) if an answer is filed and no additional documents are filed after that answer, 10 business days after the date of the notice indicating that the application has been accepted; or

  • (c) if additional documents are filed after an answer is filed, the day on which the last document is to be filed under these Rules.

Requests

General Request

Marginal note:Filing of request

• 27 (1) A person may file a request for a decision on any issue that arises within a dispute proceeding and for which a specific request is not provided for under these Rules. The request must be filed as soon as feasible but, at the latest, before the close of pleadings and must include the information referred to in Schedule 13.

• Marginal note:Response

  (2) Any party may file a response to the request. The response must be filed within five business days after the day on which they receive a copy of the request and must include the information referred to in Schedule 14.

• Marginal note:Reply

  (3) The person that filed the request may file a reply to the response. The reply must be filed within two business days after the day on which they receive a copy of the response and must include the information referred to in Schedule 15.

• Marginal note:No new issues

  (4) The reply must not raise issues or arguments that are not addressed in the response or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

Specific Requests

Request for Expedited Process

Marginal note:Expedited process

• 28 (1) A party may file a request to have an expedited process applied to an answer under section 19 and a reply under section 20 or to another request filed under these Rules. The request must include the information referred to in Schedule 13.

• Marginal note:Justification for request

  (2) The party filing the request must demonstrate to the satisfaction of the Agency that adherence to the time limits set out in these Rules would cause them financial or other prejudice.

• Marginal note:Time limit for filing

  (3) The request must be filed

  • (a) if the request is to have an expedited process apply to an answer and a reply,

    • (i) in the case of an applicant, at the time that the application is filed, or

    • (ii) in the case of a respondent, within one business day after the date of the notice indicating that the application has been accepted; or

  • (b) if the request is to have an expedited process apply to another request,

    • (i) in the case of a person filing the other request, at the time that that request is filed, or

    • (ii) in the case of a person responding to the other request, within one business day after the day on which they receive a copy of that request.

• Marginal note:Response

  (4) Any party may file a response to the request. The response must be filed within one business day after the day on which they receive a copy of the request and must include the information referred to in Schedule 14.

• Marginal note:Reply

  (5) The party that filed the request may file a reply to the response. The reply must be filed within one business day after the day on which they receive a copy of the response and must include the information referred to in Schedule 15.

• Marginal note:No new issues

  (6) The reply must not raise issues or arguments that are not addressed in the response or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

Request to Intervene

Marginal note:Request to intervene

• 29 (1) A person that has a substantial and direct interest in a dispute proceeding may file a request to intervene. The request must be filed within 10 business days after the day on which the person becomes aware of the application or before the close of pleadings, whichever is earlier, and must include the information referred to in Schedule 16.

• Marginal note:Limits and conditions

  (2) If the Agency grants the request, it may set limits and conditions on the intervener’s participation in the dispute proceeding.

Request to Extend or Shorten Time Limit

Marginal note:Extend or shorten

• 30 (1) A person may file a request to extend or shorten a time limit that applies in respect of a dispute proceeding. The request may be filed before or after the end of the time limit and must include the information referred to in Schedule 13.

• Marginal note:Response

  (2) Any party may file a response to the request. The response must be filed within three business days after the day on which they receive a copy of the request and must include the information referred to in Schedule 14.

• Marginal note:Reply

  (3) The person that filed the request may file a reply to the response. The reply must be filed within one business day after the day on which they receive a copy of the response and must include the information referred to in Schedule 15.

• Marginal note:No new issues

  (4) The reply must not raise issues or arguments that are not addressed in the response or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

Request for Confidentiality

Marginal note:Confidential treatment

• 31 (1) A person may file a request for confidentiality in respect of a document that they are filing. The request must include the information referred to in Schedule 17 and must be accompanied by, for each document identified as containing confidential information,

  • (a) one public version of the document from which the confidential information has been redacted; and

  • (b) one confidential version of the document that identifies the confidential information that has been redacted from the public version of the document and that includes, at the top of each page, the words: “CONTAINS CONFIDENTIAL INFORMATION” in capital letters.

• Marginal note:Agency’s record

  (2) The request for confidentiality and the public version of the document from which the confidential information has been redacted are placed on the Agency’s public record. The confidential version of the document is placed on the Agency’s confidential record pending a decision of the Agency on the request for confidentiality.

• Marginal note:Request for disclosure

  (3) Any party may oppose a request for confidentiality by filing a request for disclosure. The request must be filed within five business days after the day on which they receive a copy of the request for confidentiality and must include the information referred to in Schedule 18.

• Marginal note:Response to request for disclosure

  (4) The person that filed the request for confidentiality may file a response to a request for disclosure. The response must be filed within three business days after the day on which they receive a copy of the request for disclosure and must include the information referred to in Schedule 14.

• Marginal note:Agency’s decision

  (5) The Agency may

  • (a) if the Agency determines that the document is not relevant to the dispute proceeding, decide to not place the document on the Agency’s record;

  • (b) if the Agency determines that the document is relevant to the dispute proceeding and that no specific direct harm would likely result from its disclosure or that any demonstrated specific direct harm is not sufficient to outweigh the public interest in having it disclosed, decide to place the document on the Agency’s public record; or

  • (c) if the Agency determines that the document is relevant to the dispute proceeding and that the specific direct harm likely to result from its disclosure justifies confidentiality,

    • (i) decide to confirm the confidentiality of the document or any part of it and keep the document or part of the document on the Agency’s confidential record,

    • (ii) decide to place a version of the document or any part of it from which the confidential information has been redacted on the Agency’s public record,

    • (iii) decide to keep the document or any part of it on the Agency’s confidential record but require that the person requesting confidentiality provide a copy of the document or part of the document in confidence to any party to the dispute proceeding, or to certain of their advisors, experts and representatives, as specified by the Agency, after the person requesting confidentiality has received a signed undertaking of confidentiality from the person to which the copy is to be provided, or

    • (iv) make any other decision that it considers just and reasonable.

• Marginal note:Filing of undertaking of confidentiality

  (6) The original copy of the undertaking of confidentiality must be filed with the Agency.

Request to Require Party to Provide Complete Response

Marginal note:Requirement to respond

• 32 (1) A party that has given notice under subsection 24(1) may, if they are not satisfied with the response to the notice or if they wish to contest an objection to their request, file a request to require the party to which the notice was directed to provide a complete response. The request must be filed within two business days after the day on which they receive a copy of the response to the notice or the objection, as the case may be, and must include the information referred to in Schedule 13.

• Marginal note:Agency’s decision

  (2) The Agency may do any of the following:

  • (a) require that a question be answered in full or in part;

  • (b) require that a document be provided;

  • (c) require that a party submit secondary evidence of the contents of a document;

  • (d) require that a party produce a document for inspection only;

  • (e) deny the request in whole or in part.

Request to Amend Document

Marginal note:Amendment

• 33 (1) A person may, before the close of pleadings, file a request to make a substantive amendment to a previously filed document. The request must include the information referred to in Schedule 13 and a copy of the amended document that the person proposes to file.

• Marginal note:Response

  (2) Any party may file a response to the request. The response must be filed within three business days after the day on which they receive a copy of the request and must include

  • (a) the information referred to in Schedule 14; and

  • (b) a description of any prejudice that would be caused to the party if the request were granted including, if applicable, an explanation of how the proposed amendments would hinder or delay the fair conduct of the dispute proceeding.

• Marginal note:Reply

  (3) The person that filed the request may file a reply to the response. The reply must be filed within one business day after the day on which they receive a copy of the response and must include the information referred to in Schedule 15.

• Marginal note:No new issues

  (4) The reply must not raise issues or arguments that are not addressed in the response or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

• Marginal note:Agency’s decision

  (5) The Agency may

  • (a) deny the request; or

  • (b) approve the request in whole or in part and, if the Agency considers it just and reasonable to do so, provide parties that are adverse in interest with an opportunity to respond to the amended document.

Request to File Document Whose Filing is not Otherwise Provided for in Rules

Marginal note:Filing

• 34 (1) A person may file a request to file a document whose filing is not otherwise provided for in these Rules. The request must include the information referred to in Schedule 13 and a copy of the document that the person proposes to file.

• Marginal note:Response

  (2) Any party may file a response to the request. The response must be filed within three business days after the day on which they receive a copy of the request and must include

  • (a) the information referred to in Schedule 14; and

  • (b) a description of any prejudice that would be caused to the party if the request were granted including, if applicable, an explanation of how the proposed filing would hinder or delay the fair conduct of the dispute proceeding.

• Marginal note:Reply

  (3) The person that filed the request may file a reply to the response. The reply must be filed within one business day after the day on which they receive a copy of the response and must include the information referred to in Schedule 15.

• Marginal note:No new issues

  (4) The reply must not raise issues or arguments that are not addressed in the response or introduce new evidence unless a request has been filed to that effect and the request has been granted by the Agency.

• Marginal note:Agency’s decision

  (5) The Agency may

  • (a) deny the request; or

  • (b) approve the request and, if pleadings are closed and if the Agency considers it just and reasonable to do so, reopen pleadings to provide the other parties with an opportunity to comment on the document.

Request to Withdraw Document

Marginal note:Withdrawal of document

• 35 (1) Subject to section 36, a person may file a request to withdraw any document that they filed in a dispute proceeding. The request must be filed before the close of pleadings and must include the information referred to in Schedule 13.

• Marginal note:Terms and conditions

  (2) If the Agency grants the request, it may impose any terms and conditions on the withdrawal that it considers just and reasonable, including the awarding of costs.

Request to Withdraw Application

Marginal note:Withdrawal of application

• 36 (1) An applicant may file a request to withdraw their application. The request must be filed before a final decision is made by the Agency in respect of the application and must include the information referred to in Schedule 13.

• Marginal note:Terms and conditions

  (2) If the Agency grants the request, it may impose any terms and conditions on the withdrawal that it considers just and reasonable, including the awarding of costs.

Case Management

Marginal note:Formulation of issues

37 The Agency may formulate the issues to be considered in a dispute proceeding in any of the following circumstances:

• (a) the documents filed do not clearly identify the issues;

• (b) the formulation would assist in the conduct of the dispute proceeding;

• (c) the formulation would assist the parties to participate more effectively in the dispute proceeding.

Marginal note:Preliminary determination

38 The Agency may, at the request of a party, determine that an issue should be decided as a preliminary question.

Marginal note:Joining of applications

39 The Agency may, at the request of a party, join two or more applications and consider them together in one dispute proceeding to provide for a more efficient and effective process.

Marginal note:Conference

• 40 (1) The Agency may, at the request of a party, require the parties to attend a conference by a means of telecommunication or by personal attendance for the purpose of

  • (a) encouraging settlement of the dispute;

  • (b) formulating, clarifying or simplifying the issues;

  • (c) determining the terms of amendment of any document;

  • (d) obtaining the admission of certain facts or determining whether the verification of those facts by affidavit should be required;

  • (e) establishing the procedure to be followed in the dispute proceeding;

  • (f) providing for the exchange by the parties of documents proposed to be submitted;

  • (g) establishing a process for the identification and treatment of confidential information;

  • (h) discussing the appointment of experts; and

  • (i) resolving any other issues to provide for a more efficient and effective process.

• Marginal note:Written submissions

  (2) The parties may be required to file written submissions on any issue that is discussed at the conference.

• Marginal note:Minutes

  (3) Minutes are prepared in respect of the conference and placed on the Agency’s record.

• Marginal note:Agency decision or direction

  (4) The Agency may issue a decision or direction on any issue discussed at the conference without further submissions from the parties.

Marginal note:Stay of dispute proceeding

• 41 (1) The Agency may, at the request of a party, stay a dispute proceeding in any of the following circumstances:

  • (a) a decision is pending on a preliminary question in respect of the dispute proceeding;

  • (b) a decision is pending in another proceeding or before any court in respect of an issue that is the same as or substantially similar to one raised in the dispute proceeding;

  • (c) a party to the dispute proceeding has not complied with a requirement of these Rules or with a procedural direction issued by the Agency;

  • (d) the Agency considers it just and reasonable to do so.

• Marginal note:Stay of decision or order

  (2) The Agency may, at the request of a party, stay a decision or order of the Agency in any of the following circumstances:

  • (a) a review or re-hearing is being considered by the Agency under section 32 of the Act;

  • (b) a review is being considered by the Governor in Council under section 40 of the Act;

  • (c) an application for leave to appeal is made to the Federal Court of Appeal under section 41 of the Act;

  • (d) the Agency considers it just and reasonable to do so.

• Marginal note:Stay — terms and conditions

  (3) In staying a dispute proceeding or a decision or order, the Agency may impose any terms and conditions that it considers to be just and reasonable.

Marginal note:Notice of intention to dismiss application

• 42 (1) The Agency may, by notice to the applicant and before considering the issues raised in the application, require that the applicant justify why the Agency should not dismiss the application if the Agency is of the preliminary view that

  • (a) the Agency does not have jurisdiction over the subject matter of the application;

  • (b) the dispute proceeding would constitute an abuse of process; or

  • (c) the application contains a fundamental defect.

• Marginal note:Response

  (2) The applicant must respond to the notice within 10 business days after the date of the notice, failing which the application may be dismissed without further notice.

• Marginal note:Opportunity to comment

  (3) The Agency may provide any other party with an opportunity to comment on whether or not the application should be dismissed.

Transitional Provision, Repeal and Coming into Force

Transitional Provision

Marginal note:SOR/2005-35

43 The Canadian Transportation Agency General Rules, as they read immediately before the coming into force of these Rules, continue to apply to all proceedings before the Agency that were commenced before the coming into force of these Rules except proceedings in respect of which the application filed before that time was not complete.

Repeal

44 [Repeal]

Coming into Force

Marginal note:June 4, 2014

45 These Rules come into force on June 4, 2014, but if they are published after that day, they come into force on the day on which they are published.