Administrative Monetary Penalties Regulations (Canadian Energy Regulator)
SOR/2013-138
Registration 2013-06-18
Administrative Monetary Penalties Regulations (Canadian Energy Regulator)
P.C. 2013-825 2013-06-18
The National Energy Board, pursuant to section 134Footnote a of the National Energy Board ActFootnote b, makes the annexed Administrative Monetary Penalties Regulations (National Energy Board).
Calgary, May 17, 2013
His Excellency the Governor General in Council, on the recommendation of the Minister of Natural Resources, pursuant to section 134Footnote a of the National Energy Board ActFootnote b, approves the annexed Administrative Monetary Penalties Regulations (National Energy Board), made by the National Energy Board on May 17, 2013.
Return to footnote aS.C. 2012, c. 19, s. 98
Return to footnote bR.S., c. N-7
Interpretation
Marginal note:Definition of Act
1 In these Regulations, Act means the Canadian Energy Regulator Act.
Designated Provisions
Marginal note:Provisions of the Act or regulations
2 (1) The contravention of a provision of the Act or any of its regulations that is set out in column 1 of Schedule 1 is designated as a violation that may be proceeded with in accordance with sections 116 to 135 of the Act.
Marginal note:Orders and decisions
(2) The contravention of any order or decision made under the Act is designated as a violation that may be proceeded with in accordance with sections 116 to 135 of the Act.
Marginal note:Conditions
(3) The failure to comply with a condition of any certificate, licence, permit, authorization, leave or exemption that is granted under the Act is designated as a violation that may be proceeded with in accordance with sections 116 to 135 of the Act.
Marginal note:Discrepancy
(4) In the event of a discrepancy between the short-form descriptions in Schedule 1 and the provision to which it pertains, the provision prevails.
Classification
Marginal note:Provisions
3 (1) The violation of a provision that is set out in column 1 of Schedule 1 is classified as a Type A or Type B violation as set out in column 3 of that Schedule.
Marginal note:Orders, decisions or conditions
(2) The contravention of an order or decision referred to in subsection 2(2) or the failure to comply with a condition referred to in subsection 2(3) is a Type B violation.
Penalties
Marginal note:Penalty
4 (1) The penalty for a violation is the amount set out in column 2 or 3 of Schedule 2 that corresponds to the type of violation, the total gravity value set out in column 1 and whether the violation was committed by an individual or a person other than an individual.
Marginal note:Determination of final gravity level
(2) The total gravity value in respect of a violation is to be established by considering each of the criteria in column 1 of the table to this section, by ascribing to each criterion an appropriate gravity value, having regard to the circumstances of the violation, from those set out in column 2 and by adding the values obtained.
Item Column 1 Column 2 Criteria Effect on Gravity Value 1 Whether the person who committed the violation has other violations in the previous 7 years 0 to +2 2 Whether the person derived any competitive or economic benefit from the violation 0 to +2 3 Whether the person made reasonable efforts to mitigate or reverse the violation’s effects –2 to +2 4 Whether there was negligence on the part of the person who committed the violation 0 to +2 5 Whether the person provided all reasonable assistance to the Regulator with respect to the violation –2 to +2 6 Whether the person, after becoming aware of the violation, promptly reported the violation to the Regulator –2 to +2 7 Whether the person has taken any steps to prevent recurrence of the violation –2 to +2 8 For type B violations, whether the violation was primarily a reporting or record-keeping requirement failure –2 to 0 9 Whether there are any other aggravating factors in relation to the risk of harm to people or the environment 0 to +3
Service of Documents
Marginal note:Manner of service
5 (1) The service of a document required or authorized under subsection 120(1) or 128(2) of the Act is to be made by
(a) in the case of an individual,
(i) leaving a copy of it with the individual,
(ii) leaving a copy of it with someone who appears to be an adult member of the same household at the individual’s last known address or usual place of residence, or
(iii) sending a copy of it by registered mail, courier, fax or other electronic means to the individual’s last known address or usual place of residence; and
(b) in the case of a person other than an individual,
(i) leaving a copy of it at the person’s head office or place of business with an officer or other individual who appears to manage or be in control of the head office or place of business,
(ii) sending a copy of it by registered mail, courier or fax to the person’s head office or place of business, or
(iii) sending a copy of it by electronic means other than by fax to any individual referred to in subparagraph (i).
Marginal note:Deemed service
(2) A document — other than a document that is personally served — is considered to be served
(a) in the case of a copy that is left with an adult referred to in subparagraph (1)(a)(ii), on the day on which the document is left with the adult;
(b) in the case of a copy that is sent by registered mail or courier, on the tenth day after the date indicated in the receipt issued by the postal or courier service; and
(c) in the case of a copy sent by fax or other electronic means, on the day on which it is transmitted.
Coming into Force
Marginal note:S.C. 2012, c. 19
Footnote *6 These Regulations come into force on the day on which section 98 of the Jobs, Growth and Long-term Prosperity Act comes into force, but if they are registered after that day, they come into force on the day on which they are registered.
Return to footnote *[Note: Regulations in force July 3, 2013, see SI/2013-69.]
SCHEDULE 1(Subsections 2(1) and (4) and subsection 3(1))Violations
Canadian Energy Regulator Act
Column 1 | Column 2 | Column 3 | |
---|---|---|---|
Item | Provision | Short-form Description | Classification |
1 | 103(4) | Failure to provide assistance | Type B |
2 | 179(1) | Construction, operation or abandonment of a pipeline by a person other than a company | Type B |
3 | 180(1) | Operation of a pipeline without a certificate and leave to open | Type B |
4 | 181(1) | Failure to obtain required leave | Type B |
5 | 198(a) | Begin construction of a pipeline without a certificate | Type B |
6 | 198(c) | Begin construction of a pipeline without an approved plan, profile and book of reference | Type B |
7 | 211(1) | Failure to submit for approval a plan, profile and book of reference | Type B |
8 | 213(1) | Opening a pipeline or a section of a pipeline for transmission without leave | Type B |
9 | 217(1) | Construction of a pipeline without a certificate or order | Type B |
10 | 218 | Construction or operation of a pipeline without a certificate or order | Type B |
11 | 241(1) | Abandonment of a pipeline without leave | Type B |
12 | 247 | Construction or operation of an international power line without a permit or certificate | Type B |
13 | 265(a) | Begin construction of an international or interprovincial power line without approval of a plan, profile and book of reference | Type B |
14 | 267 | Construction or operation of an interprovincial or international power line without a permit or certificate | Type B |
15 | 273(1) | Construction of a facility, or engaging in an activity that causes a ground disturbance, without authorization | Type B |
16 | 273(2) | Operation of a vehicle or mobile equipment across an international or interprovincial power line in contravention of subsection 273(2) of the Act | Type B |
17 | 277(1) | Abandonment of a designated international power line or interprovincial power line without leave | Type B |
18 | 314 | Failure to do as little damage as possible in exercising the powers granted and to compensate all persons interested for damage sustained | Type B |
19 | 335(1) | Unauthorized construction of a facility or engaging in an unauthorized activity that causes a ground disturbance | Type B |
20 | 335(2) | Operation of a vehicle or mobile equipment across a pipeline in contravention of subsection 335(2) of the Act | Type B |
21 | 338(1) | Working or prospecting for mines or minerals without authorization | Type B |
Canadian Energy Regulator Onshore Pipeline Regulations
Item | Column 1 | Column 2 | Column 3 |
---|---|---|---|
Provision | Short-form Description | Classification | |
1 | 4 | Failure to ensure that a pipeline is designed, constructed, operated or abandoned as prescribed | Type B |
2 | 5.1(1) | Failure to submit prescribed documents for approval | Type B |
3 | [Repealed, SOR/2022-199, s. 9] | ||
4 | 6.1 | Failure to establish, implement and maintain a management system as prescribed | Type B |
5 | 6.2(1) | Failure to appoint an accountable officer and to ensure that the management system is established, implemented and maintained as prescribed | Type B |
6 | 6.2(2) | Failure to notify the Regulator as prescribed | Type A |
7 | 6.2(3) | Failure to ensure that the accountable officer has authority as prescribed | Type B |
8 | 6.3(1) | Failure to establish policies and goals as prescribed | Type B |
9 | 6.3(2) | Failure to base the management system on established policies and goals as prescribed | Type B |
10 | 6.3(3) | Failure of the accountable officer to prepare and communicate a policy statement as prescribed | Type B |
11 | 6.4 | Failure to have an organizational structure as prescribed | Type B |
12 | 6.5 | Failure to establish, develop, implement, maintain and document processes as prescribed | Type B |
13 | 6.6 | Failure to complete an annual report and submit a statement as prescribed | Type B |
14 | 9 | Failure to develop detailed designs of a pipeline and to submit them to the Regulator when required | Type B |
15 | 10(1) | Failure to develop a documented risk assessment as prescribed | Type B |
16 | 10(2) | Failure to submit a documented risk assessment to the Regulator when required to do so | Type A |
17 | 11 | Failure to design and equip a station as prescribed | Type B |
18 | 12 | Failure to equip a compressor station or pump station with an alternate source of power as prescribed | Type B |
19 | 13 | Failure to locate, service or design a storage facility as prescribed | Type B |
20 | 14 | Failure to develop prescribed specifications, and to submit them to the Regulator when required | Type B |
21 | 15 | Failure to develop a quality assurance program as prescribed | Type B |
22 | 16 | Failure to develop a joining program as prescribed, and to submit it to the Regulator when required | Type B |
23 | 17 | Failure to examine each joint as prescribed | Type B |
24 | 18 | Failure to contract for services as prescribed | Type B |
25 | 19(a) | Failure to ensure that the construction activities do not create a hazard to the public or the environment | Type B |
26 | 19(b) | Failure to inform persons of safety practices and procedures as prescribed | Type B |
27 | 20(1) | Failure to develop a construction safety manual and to submit it to the Regulator | Type B |
28 | 20(1.1) | Failure to set out responsibilities as prescribed | Type B |
29 | 20(2) | Failure to keep a copy of the construction safety manual or relevant parts of it as prescribed | Type B |
30 | 21 | Failure to restore the right-of-way and temporary work areas of a pipeline as prescribed | Type B |
31 | 22 | Failure to ensure that there is no undue interference with the use of a utility or private road during the construction of a pipeline | Type B |
32 | 23 | Failure to develop a pressure testing program as prescribed, and to submit it to the Regulator when required | Type B |
33 | 24 | Conducting a pressure test without required permits | Type B |
34 | 25 | Failure to perform pressure testing as prescribed | Type B |
35 | 26 | Failure to minimize the number of welds that are not pressure-tested as prescribed | Type B |
36 | 27 | Failure to develop, regularly review and update as required operation and maintenance manuals as prescribed and to submit them to the Regulator when required | Type B |
37 | 28 | Failure to inform persons of practices and procedures and to make available to them the relevant portion of operation and maintenance manuals as prescribed | Type B |
38 | 29 | Failure to contract for services as prescribed | Type B |
39 | 30(a) | Failure to take reasonable steps to ensure that maintenance activities do not create a hazard to the public or the environment | Type B |
40 | 30(b) | Failure to take reasonable steps to inform persons of safety and environmental protection practices and procedures as prescribed | Type B |
41 | 31(1) | Failure to develop a maintenance safety manual and to submit it to the Regulator when required | Type B |
42 | 31(1.1) | Failure to set out responsibilities as prescribed | Type B |
43 | 31(2) | Failure to keep a copy of the maintenance safety manual or the relevant parts of it as prescribed | Type B |
44 | 32(1) | Failure to develop, implement and maintain an emergency management program as prescribed | Type B |
45 | 32(1.1) | Failure to develop, regularly review and update an emergency procedures manual | Type B |
46 | 32(2) | Failure to submit to the Regulator the emergency procedures manual and any updates | Type A |
47 | 33 | Failure to establish and maintain liaison as prescribed, and failure to consult as prescribed | Type B |
48 | 34 | Failure to inform persons who may be associated with an emergency response activity as prescribed | Type B |
49 | 35 | Failure to develop a continuing education program as prescribed | Type B |
50 | 36(a) | Failure to maintain communication facilities as prescribed | Type B |
51 | 36(b) | Failure to periodically test instruments and equipment as prescribed | Type B |
52 | 36(c) | Failure to continually record as prescribed | Type B |
53 | 36(d) | Failure to clearly mark valves as prescribed | Type B |
54 | 36(e) | Failure to clearly mark valves as prescribed | Type B |
55 | 36(f) | Failure to post signage as prescribed | Type B |
56 | 37 | Failure to develop and implement a pipeline control system as prescribed | Type B |
57 | 38(1) | Performing welding on a liquid-filled pipeline other than as prescribed | Type B |
58 | 38(2) | Failure to treat weld as a temporary installation and replace that installation with a permanent one as soon as is practicable | Type B |
59 | 38(3) | Failure to submit specifications, procedures and results for approval as prescribed | Type B |
60 | 39 | Failure to develop a surveillance and monitoring program as prescribed | Type B |
61 | 40 | Failure to develop, implement and maintain an integrity management program as prescribed | Type B |
62 | 41(1) | Failure to document the particulars of a defect on a pipeline as prescribed | Type B |
63 | 41(2) | Failure to submit the documentation in 41(1) when required | Type A |
64 | 42 | Failure to submit a proposed plan as prescribed | Type B |
65 | 43 | Failure to submit an application for a change or increase as prescribed | Type B |
66 | 44 | Failure to submit an application for proposed deactivation as prescribed | Type B |
67 | 45 | Failure to submit an application for reactivation as prescribed | Type B |
68 | 45.1 | Failure to submit an application for decommissioning as prescribed | Type B |
69 | 46 | Failure to develop and implement a training program as prescribed | Type B |
70 | 47 | Failure to develop, implement and maintain a safety management program as prescribed | Type B |
71 | 47.1 | Failure to develop, implement and maintain a security management program as prescribed | Type B |
71.1 | 47.2 | Failure to develop, implement and maintain a damage prevention program as prescribed | Type B |
72 | 48 | Failure to develop, implement and maintain an environmental protection program as prescribed | Type B |
73 | 51(a) | Failure to notify as prescribed | Type A |
74 | 51(b) | Failure to submit to the Regulator on request a crossing report as prescribed | Type A |
75 | 52(1) | Failure to notify and submit a report to the Regulator as prescribed | Type A |
76 | 53(1) | Failure to conduct inspections and audits as prescribed | Type B |
77 | 53(2) | Failure to document the audit as prescribed | Type B |
78 | 54(1) | Failure to inspect the construction of a pipeline as prescribed | Type B |
79 | 54(2) | Performance of an inspection by a person who does not have sufficient expertise, knowledge and training to competently carry out the inspection | Type B |
80 | 55 | Failure to conduct and document audits as prescribed | Type B |
81 | 56 | Failure to retain records as prescribed | Type A |
Canadian Energy Regulator Processing Plant Regulations
Item | Column 1 | Column 2 | Column 3 |
---|---|---|---|
Provision | Short-form Description | Classification | |
1 | 4(1) | Failure to ensure that the company’s processing plant is designed, constructed, operated or abandoned as prescribed | Type B |
2 | 5 | Failure to ensure that the company’s processing plant is designed, constructed, operated or abandoned as prescribed | Type B |
3 | 9 | Failure to develop and submit to the Regulator the prescribed program | Type B |
4 | 10 | Failure to develop, implement and maintain quality control and quality assurance programs as prescribed | Type B |
5 | 11 | Failure to conduct a risk analysis as prescribed | Type B |
6 | 12 | Failure to ensure that employees have required knowledge and training | Type B |
7 | 13 | Failure to develop and implement a safety program as prescribed | Type B |
8 | 14 | Failure to develop and implement an environmental protection program as prescribed | Type B |
9 | 15 | Failure to contract for services as prescribed | Type B |
10 | 16 | Failure to develop, implement and maintain detailed designs of its processing plant | Type B |
11 | 17 | Failure to ensure that a processing plant is equipped with an emergency power source | Type B |
12 | 18 | Failure to ensure that each tank, bullet, sphere or other container is designed, constructed and maintained as prescribed | Type B |
13 | 19 | Failure to ensure that process equipment and flammable vapour sources are separated as prescribed | Type B |
14 | 20 | Failure to ensure that process vessels and equipment are vented as prescribed | Type B |
15 | 21 | Failure to equip all flare headers as prescribed | Type B |
16 | 22 | Failure to ensure reliable fire suppression systems as prescribed | Type B |
17 | 23 | Failure to equip a processing plant with systems as prescribed | Type B |
18 | 24 | Failure to equip a processing plant with alarm devices as prescribed | Type B |
19 | 25 | Failure to ensure that all pressure-relief piping and systems are designed and constructed as prescribed | Type B |
20 | 26(a) | Failure to ensure construction does not create a detriment or hazard as prescribed | Type B |
21 | 26(b) | Failure to inform persons at the construction site as prescribed | Type B |
22 | 26(c) | Failure to inform persons on the work site as prescribed | Type B |
23 | 27(1) | Failure to develop, implement and submit a construction safety manual | Type B |
24 | 27(2) | Failure to keep a copy of the construction safety manual at the processing plant as prescribed | Type B |
25 | 28(1) | Failure to ensure direct supervision of pressure tests as prescribed | Type B |
26 | 28(2) | Failure to ensure the independence of the test supervisor as prescribed | Type B |
27 | 28(3) | Failure to date and sign records | Type B |
28 | 29 | Failure of the company to develop and implement a non-destructive weld examination program as prescribed | Type B |
29 | 30(1)(a) | Failure to develop, implement, regularly review and update operations manuals as prescribed | Type B |
30 | 30(1)(b) | Failure to keep a copy of the operations manuals as prescribed | Type B |
31 | 30(2) | Failure to ensure that the operations manuals contain the prescribed procedures | Type B |
32 | 31(2) | Failure to develop and implement a safe-work permit system as prescribed | Type B |
33 | 32 | Failure to ensure that a processing plant is staffed as prescribed | Type B |
34 | 33(a) | Failure to ensure maintenance activities do not create a detriment or hazard as prescribed | Type B |
35 | 33(b) | Failure to inform persons at a maintenance site as prescribed | Type B |
36 | 34 | Operation of equipment with a hazard-detection alarm or shutdown device bypassed or rendered inoperable | Type B |
37 | 35(a) | Failure to develop, implement, regularly review and update an emergency procedures manual | Type B |
38 | 35(b) | Failure to submit the emergency procedures manual as prescribed | Type A |
39 | 35(c) | Failure to submit updates as prescribed | Type A |
40 | 36 | Failure to establish and maintain liaison as prescribed and failure to consult as prescribed | Type B |
41 | 37 | Failure to inform persons who may be associated with an emergency response activity as prescribed | Type B |
42 | 38 | Failure to develop and implement a continuing educational program as prescribed | Type B |
43 | 39(a) | Failure to maintain communication facilities as prescribed | Type B |
44 | 39(b) | Failure to retain incident data as prescribed | Type B |
45 | 39(c) | Failure to clearly mark valves as prescribed | Type B |
46 | 39(d) | Failure to post signage as prescribed | Type B |
47 | 39(e) | Failure to post signage as prescribed | Type B |
48 | 40(a) | Failure to test hazard-detection devices as prescribed | Type B |
49 | 40(b) | Failure to document and maintain prescribed records | Type B |
50 | 41 | Failure to develop and implement a processing plant integrity program as prescribed | Type B |
51 | 42 | Failure to notify of plant deactivation as prescribed | Type A |
52 | 43.1 | Failure to submit an application for decommissioning as prescribed | Type B |
53 | 44 | Failure to develop and implement a training program as prescribed | Type B |
54 | 45 | Failure to ensure visitors are made familiar with the safety program as prescribed | Type B |
55 | 46 | Failure to provide immediate notice of any incident and to submit prescribed reports | Type B |
56 | 47(a) | Failure to notify of any hazard as prescribed | Type A |
57 | 47(b) | Failure to provide a report as prescribed | Type B |
58 | 48 | Failure to report burning as prescribed | Type A |
59 | 49(1.1) | Failure to notify as prescribed | Type A |
60 | 50 | Failure to prepare and keep current a report as prescribed | Type B |
61 | 51 | Failure to regularly conduct balance analysis as prescribed | Type B |
62 | 52(1) | Failure to conduct audits and inspections as prescribed | Type B |
63 | 52(2) | Failure to document an audit as prescribed | Type B |
64 | 53 | Failure to inspect as prescribed | Type B |
65 | 54 | Failure to annually audit the competency of all employees as prescribed | Type B |
66 | 55 | Failure to develop, implement and maintain a record retention and handling program | Type A |
Canadian Energy Regulator Pipeline Damage Prevention Regulations — Authorizations
Item | Column 1 | Column 2 | Column 3 |
---|---|---|---|
Provision | Short-form Description | Classification | |
1 | 3 | Failure to make a locate request as prescribed | Type B |
2 | 4 | Failure to inform all persons as prescribed | Type A |
3 | 7(3) | Failure to comply with any of the prescribed measures when undertaking the construction of a facility | Type B |
4 | 8 | Failure to meet any of the obligations that relate to a facility | Type B |
5 | 9(2) | Failure to comply with any of the prescribed measures with respect to the construction of an overhead line | Type B |
6 | 10(3) | Failure to comply with any of the prescribed measures with respect to an activity that causes a ground disturbance within the prescribed area | Type B |
Canadian Energy Regulator Pipeline Damage Prevention Regulations — Obligations of Pipeline Companies
Item | Column 1 | Column 2 | Column 3 |
---|---|---|---|
Provision | Short-form Description | Classification | |
1 | 2 | Failure to be a member of a one-call centre when one exists within the geographical area where the pipeline company operates its pipeline | Type B |
2 | 3(1) | Failure to inform the person that made a request within 10 working days after receiving a request | Type A |
3 | 4 | Failure to provide information and all reasonable assistance as prescribed | Type B |
4 | 5 | Failure to send comments to the Regulator as prescribed | Type A |
5 | 6(1)(a) | Failure to inform, in writing, as prescribed | Type B |
6 | 6(1)(b) | Failure to mark location of a pipe as prescribed | Type B |
7 | 6(1)(c) | Failure to provide information as prescribed | Type B |
8 | 7 | Failure to identify and notify of locations as prescribed | Type B |
9 | 8(a) | Failure to carry out inspections that are necessary as prescribed | Type B |
10 | 8(b) | Failure to inspect all exposed pipe prior to backfilling as prescribed | Type B |
11 | 9(1) | Failure to notify the facility’s owner in writing of any deterioration as prescribed | Type B |
12 | 9(2) | Failure to notify the Regulator in writing as prescribed | Type A |
13 | 10(2) | Failure to notify the Regulator in writing of a suspension of consent | Type A |
14 | 11 | Failure to report to the Regulator as prescribed | Type A |
15 | 12 | Failure to keep records as prescribed | Type A |
16 | 13 | Failure to make records and all other materials available to officers of the Regulator and other authorized persons and give them assistance as necessary to inspect the records as prescribed | Type B |
17 | 14 | Failure to provide a list as prescribed | Type A |
18 | 15 | Failure to develop and maintain guidelines as prescribed and to make them public | Type B |
International and Interprovincial Power Line Damage Prevention Regulations — Authorizations
Column 1 | Column 2 | Column 3 | |
---|---|---|---|
Item | Provision | Short-form Description | Classification |
1 | 7 | Failure to construct a facility as prescribed or failure to obtain authorization | Type B |
2 | 8 | Failure to conduct a ground disturbance activity as prescribed or failure to obtain authorization | Type B |
3 | 10 | Failure to construct a power line as prescribed | Type B |
SCHEDULE 2(Subsection 4(1))
Penalties
Item | Column 1 | Column 2 | Column 3 | ||
---|---|---|---|---|---|
Gravity Level | Type A Violation | Type B Violation | |||
Individual | Any Other Person | Individual | Any Other Person | ||
1 | –3 or less | $250 | $1,000 | $1,000 | $4,000 |
2 | –2 | $595 | $2,375 | $4,000 | $16,000 |
3 | –1 | $990 | $3,750 | $7,000 | $28,000 |
4 | 0 | $1,365 | $5,025 | $10,000 | $40,000 |
5 | 1 | $1,740 | $6,300 | $13,000 | $52,000 |
6 | 2 | $2,115 | $7,575 | $16,000 | $64,000 |
7 | 3 | $2,490 | $8,850 | $19,000 | $76,000 |
8 | 4 | $2,865 | $10,125 | $22,000 | $88,000 |
9 | 5 or more | $3,000 | $12,000 | $25,000 | $100,000 |
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