Response to Motion to Determine Contents of Appeal Book or Adduce Fresh Evidence (September 29, 2014)

8/10/2019 Response to Motion to Determine Contents of Appeal Book or Adduce Fresh Evidence (September 29, 2014)

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Court File No.: A-357-14

FEDERAL COURT OF APPEAL

BETWEEN:

DR. GBOR LUKCSAppellant

and

CANADIAN TRANSPORTATION AGENCYRespondent

(Application under section 28 of theFederal Courts Act, R.S.C. 1985, c. F-7)

APPELLANT / RESPONDING PARTY

MOTION RECORD(Agencys motion to determine contents of appeal book

and/or to adduce fresh evidence)

Dated: September 29, 2014

DR. GBOR LUKCS

Halifax, NS

[email protected]

Appellant


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TABLE OFC ONTENTS

1 Affidavit of Dr. Gbor Lukcs,

affirmed on September 24, 2014 1

A Order of the Federal Court of Appeal granting

Leave to Appeal, dated July 16, 2014 4

B Notice of Appeal, dated August 1, 2014 7

C Snapshot of the Agencys webpage entitledAnnotated Dispute Adjudication Rules, taken onAugust 14, 2014 13

D Email of Ms. Barbara Cuber, counsel for the

Agency, to Dr. Lukcs, dated August 22, 2014 92

E Email of Dr. Lukcs to Ms. Cuber,

dated August 22, 2014 100

2 Written Representations of the Appellant 102

Authorities:

3 Canada Transportation Act, S.C. 1996, c. 10 120

4 Canadian Transportation Agency Rules (DisputeProceedings and Certain Rules Applicable to AllProceedings), S.O.R./2014-104 124

5 Immigration and Refugee Protection Act, S.C. 2001, c. 27 160

6 Statutory Instruments Act, R.S.C. 1985, c. S-22 164

7 Capricorn v. Antares Shipping Corporation,

[1978] 1 F.C. 116 173

8 R. v. Schwartz, [1988] 2 S.C.R. 443 177


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9 Teale v. Canada (Attorney General),

[2000] F.C.J. No. 1666 213


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Court File No.: A-357-14


BETWEEN:


and


AFFIDAVIT OF DR. GBOR LUKCS(Affirmed: September 24, 2014)

I, Dr. Gbor Lukcs, of the City of Halifax in the Regional Municipality of Halifax,

in the Province of Nova Scotia, AFFIRM THAT:

1. I am a Canadian citizen, a frequent traveller, and an air passenger rights

advocate. My activities in the latter capacity include:

(a) filing approximately two dozen successful complaints with the

Canadian Transportation Agency (the Agency), resulting in air-

lines being ordered to implement policies that reflect the legal

principles of the Montreal Convention or otherwise offer better

protection to passengers;

(b) promoting air passenger rights through the mass media, including

newspapers, radio, television, and the Internet; and

(c) referring passengers mistreated by airlines to legal information

and resources.


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2. On May 21, 2014, the Canadian Transportation Agency Rules (Dispute

Proceedings and Certain Rules Applicable to All Proceedings),

S.O.R./2014-104 (New Rules) were published in theCanada Gazette.

3. On July 16, 2014, the Federal Court of Appeal granted me leave to ap-

peal the New Rules. A copy of the Order granting leave to appeal is

attached and marked as Exhibit A.

4. On August 1, 2014, I filed a notice of appeal with the Federal Court of

Appeal, a copy of which is attached and marked as Exhibit B.

5. In June 2014, a page entitled Annotated Dispute Adjudication Rules

appeared on the Agencys website. A snapshot of this webpage, taken

on August 14, 2014 and showing the content of the webpage on that

date, is attached and marked as Exhibit C. The webpage (Exhibit C)

contains the following disclaimer:

Disclaimer: This document is not the official version of

the Canadian Transportation Agency Rules (Dispute Pro-ceedings and Certain Rules Applicable to All Proceedings)(Dispute Adjudication Rules). This document is a refer-ence tool only. It is not a substitute for legal advice andhas no official sanction.

[Emphasis added.]

6. On August 14, 2014, I had a Skype conference with Ms. Barbara Cuber,

counsel for the Agency, concerning the contents of the appeal book inthe present proceeding. Ms. Cuber advised me that the Annotated Dis-

pute Adjudication Rules webpage of the Agency would be amended,

and the Agency may want to rely on the amended version as evidence

in the present appeal.


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7. On August 22, 2014, Ms. Cuber advised me by email that the Anno-

tation has been amended to reflect concerns that you raised about the

Agencys procedures. Ms. Cuber also provided in her email highlights of

the amendments. A copy of Ms. Cubers email is attached and markedas Exhibit D.

8. On August 22, 2014, I advised Ms. Cuber that it was inappropriate to

include any version of the Annotated Dispute Adjudication Rules in the

appeal book for a number of reasons, including lack of official status of

the document, lack of legal authority to make the document, and con-

cerns related to authorship and multiplicity of versions. A copy of my

email to Ms. Cuber is attached and marked as Exhibit E.

AFFIRMEDbefore me at the City of Halifaxin the Regional Municipality of Halifaxon September 24, 2014. Dr. Gbor Lukcs

Halifax, NSTel:[email protected]


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This isExhibit Ato the Affidavit of Dr. Gbor Lukacs

affirmed before me on September 24, 2014

Signature


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Date: 20140716

Docket: 14-A-36

Ottawa, Ontario, July 16, 2014

CORAM: NADON J.A.

STRATAS J.A.

BOIVIN J.A.

BETWEEN:

DR. GABOR LUKACS

Applicant

and

CANADIAN TRANSPORTATION AGENCY

Respondent

ORDER

UPONNotice of motion by Dr. Gabor Lukacs for an Order granting leave to appeal a

decision of the Canadian Transportation Agency RulesS.O.R./2014-104 (the New Rules)

made by the Canadian Transportation Agency and published in the Canada Gazetteon May 21,

2014;

UPONthe affidavit of Ms. Karen Kipper sworn June 17, 2014;

UPONthe Memorandum of Fact and Law filed by Dr. Lukacs;


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Page: 2

UPONa letter dated July 10, 2014 by the Canadian Transportation Agency informing the

Court that it would not be filing written representations in response to Dr. Lukacs Notice of

motion for leave to appeal;

THE COURT ORDERS:

Leave is granted to Dr. Lukacs to appeal the New Rules;

Costs on the Motion shall be in the cause.

M. Nadon

J.A.

DS

RB


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This isExhibit Bto the Affidavit of Dr. Gbor Lukacs


Signature


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Court File No.:


BETWEEN:


and


NOTICE OF APPEAL

TO THE RESPONDENT:

A LEGAL PROCEEDING HAS BEEN COMMENCED AGAINST YOU by theappellant. The relief claimed by the appellant appears on the following page.

THIS APPEAL will be heard by the Federal Court of Appeal at a time and place

to be fixed by the Judicial Administrator. Unless the court directs otherwise, theplace of hearing will be as requested by the appellant. The appellant requests

that this appeal be heard inHalifax, Nova Scotia.

IF YOU WISH TO OPPOSE THIS APPEAL, to receive notice of any step in

the appeal or to be served with any documents in the appeal, you or a solicitoracting for you must prepare a notice of appearance in Form 341A prescribed

by the Federal Courts Rulesand serve it on the appellants solicitor, or wherethe appellant is self-represented, on the appellant, WITHIN 10 DAYS of being

served with this notice of appeal.

IF YOU INTEND TO SEEK A DIFFERENT DISPOSITION of the judgment ap-pealed from, you must serve and file a notice of cross-appeal in Form 341B

prescribed by theFederal Courts Rulesinstead of serving and filing a notice ofappearance.

Copies of theFederal Courts Rules, information concerning the local offices of

the court and other necessary information may be obtained on request to theAdministrator of this court at Ottawa (telephone 613-996-6795) or at any local

office.


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IF YOU FAIL TO OPPOSE THIS APPEAL, JUDGMENT MAY BE GIVEN INYOUR ABSENCE AND WITHOUT FURTHER NOTICE TO YOU.

Date: August 1, 2014 Issued by:

Address of

local office: Federal Court of Appeal1801 Hollis Street, Suite 1720

Halifax, Nova Scotia, B3J 3N4

TO: CANADIAN TRANSPORTATION AGENCY15 Eddy StreetGatineau, Quebec J8X 4B3

Ms. Cathy Murphy, Secretary

Tel: 819-997-0099Fax: 819-953-5253


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APPEAL

THE APPELLANT APPEALS to the Federal Court of Appeal from the Cana-

dian Transportation Agency Rules (Dispute Proceedings and Certain Rules Ap-

plicable to All Proceedings), S.O.R./2014-104 (the New Rules) made by the

Canadian Transportation Agency (the Agency) and published in the Canada

Gazetteon May 21, 2014.

THE APPELLANT ASKS that:

(i) this Honourable Court quash subsections 41(2)(b), 41(2)(c), and 41(2)(d)

of the New Rules and declare these provisions to beultra viresthe powers

of the Agency and/or invalid and/or of no force or effect;

(ii) this Honourable Court declare that the New Rules are invalid because

they are unreasonable and establish inherently unfair procedures that are

inconsistent with the intent of Parliament in establishing the Agency;

(iii) this Honourable Court refer the New Rules back to the Agency with direc-

tions to revise them within 60 days by establishing rules that:

(a) provide parties a reasonable opportunity to respond and object to

requests of non-parties to intervene;

(b) require the Agency to provide reasons in support of any of its orders

and decisions that do not allow the relief requested, or if opposition

has been expressed; and

(c) govern examinations of deponents and affiants, oral hearings, and

in particular, requests for oral hearings.

(iv) the Appellant be awarded costs and/or reasonable out-of-pocket expenses

incurred in relation to the appeal; and

(v) this Honourable Court grant such further and other relief as is just.

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THE GROUNDS OF APPEALare as follows:

1. Section 44 of the New Rules repeals the Canadian Transportation

Agency General Rules, S.O.R./2005-35 (the Old Rules).

Ultra viresprovisions

2. Subsections 41(2)(b), 41(2)(c), and 41(2)(d) of the New Rules areultra

viresand/or invalid, because:

(a) they purport to grant the Agency powers that Parliament never

conferred upon the Agency; and

(b) they are inconsistent with the doctrine offunctus officio.

Denial of natural justice and access to justice

3. A significant portion of the dispute proceedings before the Agency in-

volve unrepresented individuals with no legal knowledge or experience

as applicants, and airlines represented by counsel as respondents.

4. The Agencys longstanding position has been that its rules provide a

complete code of procedure that unrepresented parties can read and

understand.

5. The New Rules are unreasonable and establish inherently unfair proce-

dures that are inconsistent with the intent of Parliament in establishing

the Agency, because:

(a) section 29 of the New Rules deprives parties of any opportunity

to respond and object to requests of non-parties to intervene;

(b) the New Rules abolish the requirement that the Agency provide

reasons in support of any of its orders and decisions that do not

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allow the relief requested, or if opposition has been expressed

(section 36 of the Old Rules); and

(c) the New Rules abolish all provisions about examinations of de-

ponents or affiants (section 34 of the Old Rules) and about oralhearings (sections 48-66 of the Old Rules).

Statutes and regulations relied on

6. Sections 17, 25, 29, 32, and 41 of theCanada Transportation Act, S.C.

1996, c. 10.

7. Such further and other grounds as the Appellant may advise and theHonourable Court permits.

August 1, 2014

DR. GBOR LUKCS

Halifax, Nova Scotia

[email protected]

Appellant

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1

This isExhibit Cto the Affidavit of Dr. Gbor Lukacs


Signature


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Act

affidavit

Home> Publicat ions> Annotated Dispute Adjudication Rules

Annotated Dispute Adjudication RulesDisclaimer: T h i s d o c u m e n t i s n o t t h e o f f i c i a l v e r s i o n o f t h e Canadian Transportation Agency Rules

(Dispute Proceedings and Certain Rules Applicable to All Proceedings) ( D i s p u t e A d j u d i c a t i o n

R u l e s ) . T h i s d o c u m e n t i s a r e f e r e n c e t o o l o n l y . I t i s n o t a s u b s t i t u t e f o r l e g a l a d v i c e a n d h a s n o

o f f i c i a l s a n c t i o n .

About the Annotated Dispute Adjudication Rules

T h i s i s a c o m p a n i o n d o c u m e n t t o t h e Dispute Adjudication Rules .

T h e A g e n c y ' s D i s p u t e A d j u d i c a t i o n R u l e s s e t o u t t h e p r o c e s s t h a t i s f o l l o w e d d u r i n g

a d j u d i c a t i o n . T h e y a l s o p r o v i d e i n f o r m a t i o n o n h o w t o m a k e a v a r i e t y o f p r o c e d u r a l r e q u e s t s t o t h e

Agency on matte rs that comm only arise in dispute proce edings, including requ ests to keep

i n f o r m a t i o n c o n f i d e n t i a l .

T h e a n n o t a t i o n p r o v i d e s e x p l a n a t i o n s a n d c l a r i f i c a t i o n s o f t h e R u l e s w h i c h w i l l b e u s e f u l t o t h o s e

u n f a m i l i a r w i t h t h e A g e n c y a n d i t s p r o c e s s e s . I t i s o r g a n i z e d b y s e c t i o n n u m b e r t o m a k e a c c e s s i n g

t h e i n f o r m a t i o n e a s i e r , b u t i t a l s o c o n t a i n s h y p e r l i n k s t h a t a l l o w e a s y n a v i g a t i o n t o r e l a t e d s e c t i o n s

a n d f u r t h e r e x p l a n a t o r y t e x t t h a t t h e r e a d e r w i l l f i n d u s e f u l .

Interpretation

1. Definitions

T h e f o l l o w i n g d e f i n i t i o n s a p p l y i n t h e s e R u l e s .

m e a n s t h e C a n a d a T r a n s p o r t a t i o n A c t .

m e a n s a w r i t t e n s t a t e m e n t c o n f i r m e d b y o a t h o r a s o l e m n d e c l a r a t i o n .

Annot at ion: Def init ions (Af f idavit )

An affidavit is a written statem ent that contains impor tant facts that a perso n

w a n t s t h e A g e n c y t o k n o w a b o u t . I t i s s w o r n b y t h e p e r s o n m a k i n g t h e a f f i d a v i t

i n t h e p r e s e n c e o f s o m e o n e a u t h o r i z e d t o a d m i n i s t e r a n o a t h , s u c h a s a

Government of Canada

Ca n a d i a n T r a n sp o r t a t i o n A g e n c y

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applicant

application

c o m m i s s i o n e r f o r t a k i n g o a t h s , a n o t a r y p u b l i c , a n o t a r y ( p r o v i n c e o f Q u e b e c )

o r a l a w y e r . T h e p e r s o n s w e a r i n g t h e a f f i d a v i t s h o u l d h a v e d i r e c t k n o w l e d g e

o f t h e e v e n t s o r f a c t s s e t o u t i n t h e s t a t e m e n t . " T o s w e a r " m e a n s y o u p r o m i s e

t h a t t h e i n f o r m a t i o n c o n t a i n e d i n t h e a f f i d a v i t i s t r u e . N o t e t h a t t h e r e a r e

p o t e n t i a l l e g a l s a n c t i o n s t o s w e a r i n g a n a f f i d a v i t i f y o u k n o w t h a t t h e c o n t e n t

o f t h e a f f i d a v i t i s n o t t r u e , a c c u r a t e o r c o m p l e t e .

T h e a f f i d a v i t i s u s e d b y t h e A g e n c y t o v e r i f y t h e t r u t h f u l n e s s , i n c l u d i n g b o t h

t h e a c c u r a c y a n d c o m p l e t e n e s s , o f s o m e o r a l l o f t h e i n f o r m a t i o n i n a

d o c u m e n t .

F o r m o r e i n f o r m a t i o n , r e f e r t o s e c t i o n 1 5 : Verification by Affidavit or

Witnessed Statement

m e a n s a p e r s o n t h a t f i l e s a n a p p l i c a t i o n w i t h t h e A g e n c y .

Annot at ion: Def init ions (Applicant )

An applican t is a perso n who comes befor e the Agency seeking a decision on

a p a r t i c u l a r m a t t e r w i t h i n t h e j u r i s d i c t i o n o f t h e A g e n c y .

T h e a p p l i c a n t f i l e s a n application w i t h t h e A g e n c y w h i c h s e t s o u t t h e

i n f o r m a t i o n t h a t t h e a p p l i c a n t w a n t s t h e A g e n c y t o t a k e i n t o a c c o u n t w h e n

m a k i n g a d e c i s i o n . S c h e d u l e 5 o f t h e D i s p u t e A d j u d i c a t i o n R u l e s s e t s o u t t h e

i n f o r m a t i o n t h a t m u s t b e i n c l u d e d i n a n a p p l i c a t i o n s u c h a s t h e i s s u e s t h a t t h e

a p p l i c a n t w a n t s t h e A g e n c y t o c o n s i d e r , t h e f a c t s , t h e r e l i e f / r e m e d i e s b e i n g

a s k e d f o r ) a n d a r g u m e n t s i n s u p p o r t o f t h e a p p l i c a t i o n .

An applican t includes a compla inant under section 52 or 94 of the Canada

Marine Act o r s e c t i o n 1 3 o f t h e Shipping Conferences Exemption Act, 1987

a n a p p e l l a n t u n d e r s u b s e c t i o n 4 2 ( 1 ) o f t h e Civil Air Navigation Services

Commercialization Act o r a n o b j e c t o r u n d e r s u b s e c t i o n 3 4 ( 2 ) o f t h e Pilotage

Act.

m e a n s a d o c u m e n t t h a t i s f i l e d t o c o m m e n c e a p r o c e e d i n g b e f o r e t h e A g e n c y

u n d e r a n y l e g i s l a t i o n o r r e g u l a t i o n s t h a t a r e a d m i n i s t e r e d i n w h o l e o r i n p a r t

b y t h e A g e n c y .

Annot at ion: Def init ions (Applicat ion)

T h e t e r m " a p p l i c a t i o n " i s d e f i n e d b r o a d l y t o m e a n a document t h a t

c o m m e n c e s a n y proceeding b e f o r e t h e A g e n c y , i n c l u d i n g b o t h dispute

proceedings a n d u n c o n t e s t e d e c o n o m i c r e g u l a t o r y p r o c e e d i n g s . H o w e v e r ,

w i t h t h e e x c e p t i o n o f s e c t i o n s 3 a n d 4 , t h e D i s p u t e A d j u d i c a t i o n R u l e s a p p l y

o n l y t o d i s p u t e p r o c e e d i n g s .

F o r e x a m p l e , a n a p p l i c a t i o n f o r a d i s p u t e p r o c e e d i n g i n c l u d e s :

A compla int under section 52 or 94 of the Canada Marine Act

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dispute proceeding

I f a h o l i d a y w i t h a s p e c i f i e d d a t e f a l l s o n a S a t u r d a y o r S u n d a y , t h e s t a t u t o r y

h o l i d a y w i l l f a l l o n t h e n e x t b u s i n e s s d a y .

F o r e x a m p l e , i f a p e r s o n h a s f i v e b u s i n e s s d a y s f r o m F r i d a y , M a y 1 6 t o f i l e a

d o c u m e n t , i t w i l l b e r e q u i r e d t o b e f i l e d o n M o n d a y , M a y 2 6 b e c a u s e M o n d a y ,

M a y 1 9 w o u l d b e a s t a t u t o r y h o l i d a y f o r V i c t o r i a D a y a n d w o u l d n o t b e

c o n s i d e r e d a b u s i n e s s d a y .

m e a n s a n y c o n t e s t e d m a t t e r t h a t i s c o m m e n c e d b y a p p l i c a t i o n t o t h e A g e n c y .

Annot at ion: Def init ions (Disput e proceeding)

A dispute proce eding involves two or mor e parties a n d i s s t a r t e d w h e n a n

applicant f i l e s a n a p p l i c a t i o n a g a i n s t a r e s p o n d e n t o r r e s p o n d e n t s a n d t h e

a p p l i c a t i o n i s a c c e p t e d a s c o m p l e t e .

Triage

After an applicatio n is filed, Agency staff will review it to make sure that it isc o m p l e t e a s t h e a p p l i c a t i o n m u s t b e c o m p l e t e b e f o r e t h e d i s p u t e p r o c e e d i n g

c a n f o r m a l l y b e g i n . A p p l i c a n t s w i l l b e n o t i f i e d a s t o w h e t h e r t h e i r a p p l i c a t i o n i s

c o m p l e t e o r i n c o m p l e t e . I n s o m e c a s e s , A g e n c y s t a f f m a y s u g g e s t o t h e r

d i s p u t e r e s o l u t i o n o p t i o n s , l i k e f a c i l i t a t i o n o r m e d i a t i o n , a s a n a l t e r n a t i v e t o

a d j u d i c a t i o n .

F o r m o r e i n f o r m a t i o n o n c o m p l e t e a n d i n c o m p l e t e a p p l i c a t i o n s , r e f e r t o

s e c t i o n 1 8 :Application

T h e r e a r e t w o s t a g e s i n a n y d i s p u t e p r o c e e d i n g b e f o r e t h e A g e n c y :

1. PleadingsP l e a d i n g s s t a r t w h e n n o t i f i c a t i o n i s s e n t t o t h e p a r t i e s t h a t t h ea p p l i c a t i o n i s a c c e p t e d a s c o m p l e t e . T h i s i s t h e e v i d e n c e a n di n f o r m a t i o n g a t h e r i n g s t a g e o f t h e d i s p u t e p r o c e e d i n g w h e r e t h ep a r t i e s a r e g i v e n t h e o p p o r t u n i t y t o p r o v i d e t h e A g e n c y w i t hi n f o r m a t i o n i n s u p p o r t o f t h e i r p o s i t i o n s o n t h e i s s u e s r a i s e d i nt h e a p p l i c a t i o n a n d t o f i l e i n f o r m a t i o n t h a t m i g h t b e r e q u e s t e d b yt h e A g e n c y o r t h e o t h e r p a r t i e s .

2. Deliberations

D e l i b e r a t i o n s s t a r t o n c e t h e p l e a d i n g s p r o c e s s h a s e n d e d a n dp l e a d i n g s a r e c l o s e d . T h e A g e n c y P a n e l a s s i g n e d t o t h e c a s e( c o m p o s e d o f o n e o r m o r e A g e n c y M e m b e r s ) d e l i b e r a t e s o n t h ee v i d e n c e a n d i n f o r m a t i o n . T h i s s t a g e e n d s w i t h t h e i s s u a n c e o f ad e c i s i o n a n d / o r o r d e r .

At any stage befor e a decision or orde r is issued, an applican t may make a

r e q u e s t t o w i t h d r a w a n a p p l i c a t i o n ( f o r e x a m p l e , i f t h e m a t t e r i s r e s o l v e d

b e t w e e n t h e p a r t i e s ) .

F o r m o r e i n f o r m a t i o n , r e f e r t o s e c t i o n 3 6 : request to withdraw application

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document

Compliance

W h e n t h e A g e n c y h a s m a d e a d e c i s i o n a n d h a s o r d e r e d a p a r t y t o d o

s o m e t h i n g , l i k e p u t i n t o e f f e c t a p a r t i c u l a r p o l i c y t h a t w i l l a d d r e s s a n i s s u e

r a i s e d i n t h e a p p l i c a t i o n , t h e A g e n c y e n s u r e s c o m p l i a n c e w i t h i t s o r d e r . F o r

e x a m p l e , A g e n c y s t a f f w i l l f o l l o w u p w i t h t h e t r a n s p o r t a t i o n s e r v i c e p r o v i d e r t o

e n s u r e t h a t t h e p o l i c y i s i m p l e m e n t e d a n d m e e t s a n y c o n d i t i o n s i m p o s e d b y

t h e A g e n c y i n t h e f i n a l d e c i s i o n .

I f A g e n c y s t a f f i s u n a b l e t o g e t t h e p a r t y t o c o m p l y , a n e w A g e n c y P a n e l m a y

b e a s s i g n e d t o h a n d l e t h i s i s s u e d i r e c t l y w i t h t h e r e s p o n d e n t . t h e s e i s s u e s a r e

t y p i c a l l y r e s o l v e d b e t w e e n t h e r e s p o n d e n t a n d t h e a g e n c y . i n e x c e p t i o n a l

c i r c u m s t a n c e s , t h e a g e n c y m a y d e c i d e t o c o n s u l t w i t h t h e a p p l i c a n t .

Alternative ly, some Agency decisions are subject to administ rative mone tary

p e n a l t i e s ( a m p s ) , m e a n i n g t h a t a f i n e c a n b e i m p o s e d a g a i n s t a r e s p o n d e n t

t h a t f a i l s t o c o m p l y w i t h c e r t a i n t y p e s o f A g e n c y d e c i s i o n s . T o d e t e r m i n e i f a n

o r d e r i s s u b j e c t t o a m p s , c h e c k t h e Canadian Transportation AgencyDesignated Provision Regulations (DPR).

I f a r e s p o n d e n t f a i l s t o c o m p l y w i t h a n A g e n c y o r d e r t h a t i s i d e n t i f i e d a s

s u b j e c t t o a m p s i n t h e DPR, t h e m a t t e r m a y b e r e f e r r e d t o t h e A g e n c y ' s

E n f o r c e m e n t D i v i s i o n f o r f u r t h e r a c t i o n . I f a D e s i g n a t e d E n f o r c e m e n t O f f i c e r

f i n d s t h a t t h e r e s p o n d e n t h a s f a i l e d t o c o m p l y w i t h a n A g e n c y o r d e r t h a t i s

s u b j e c t t o a m p s , a N o t i c e o f V i o l a t i o n c a n b e i s s u e d a g a i n s t t h e r e s p o n d e n t

s e t t i n g a n AMP p a y a b l e b y t h e r e s p o n d e n t i n a n a m o u n t o f u p t o $ 5 , 0 0 0 f o r

i n d i v i d u a l s a n d $ 2 5 , 0 0 0 f o r c o r p o r a t e r e s p o n d e n t s .

I n a d d i t i o n , A g e n c y d e c i s i o n s c a n b e e n f o r c e d a g a i n s t r e s p o n d e n t s b y m a k i n g

t h e d e c i s i o n a n o r d e r o f t h e F e d e r a l C o u r t o r a n o t h e r s u p e r i o r c o u r t a n d t h e n

b r i n g i n g q u a s i - c r i m i n a l p r o c e e d i n g s i n t h a t c o u r t t o h a v e t h e r e s p o n d e n t f o u n d

t o b e i n c o n t e m p t o f C o u r t .

i n c l u d e s a n y i n f o r m a t i o n t h a t i s r e c o r d e d i n a n y f o r m .

Annot at ion: Def init ions (Document )

A docum ent includes any pleadin g (a docum ent that contains argu ments that

a d v a n c e a p o s i t i o n ) a s w e l l a s a n y i n f o r m a t i o n o r e v i d e n c e f i l e d o r o t h e r w i s ep l a c e d o n t h e r e c o r d d u r i n g p r o c e e d i n g s b e f o r e t h e A g e n c y . T h i s i n c l u d e s a n y

c o r r e s p o n d e n c e , a f f i d a v i t , w i t n e s s e d s t a t e m e n t , m e m o r a n d u m , m e d i c a l

n o t e / r e p o r t , b o o k , p l a n , m a p , d r a w i n g , d i a g r a m , p i c t o r i a l o r g r a p h i c w o r k ,

p h o t o g r a p h , f i l m , v i d e o o r s o u n d r e c o r d i n g , m a c h i n e r e a d a b l e r e c o r d a n d a n y

o t h e r r e c o r d e d m a t e r i a l , a n d a n y c o p y o f i t .

M o r e s p e c i f i c e x a m p l e s o f a d o c u m e n t i n c l u d e c o n t r a c t s , f l i g h t t i c k e t s a n d

t a r i f f p a g e s .

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intervener

party

person

proceeding

m e a n s a p e r s o n w h o s e r e q u e s t t o i n t e r v e n e f i l e d u n d e r s e c t i o n 2 9 h a s b e e n

g r a n t e d .

m e a n s a n a p p l i c a n t , a r e s p o n d e n t o r a p e r s o n t h a t i s n a m e d b y t h e A g e n c y

a s a p a r t y .

Annot at ion: Def init ions (Part y)

Applicants and respo ndent s are always part ies to a dispute proc eeding befor e

t h e A g e n c y . T h i s m e a n s t h a t , s u b j e c t t o a n y c o n f i d e n t i a l i t y d e t e r m i n a t i o n s ,

t h e y a r e s e n t a l l d o c u m e n t s t h a t a r e p l a c e d o n t h e A g e n c y ' s r e c o r d .

I n t e r e s t e d p e r s o n s w h o f i l e p o s i t i o n s t a t e m e n t s i n a d i s p u t e p r o c e e d i n g w i t h

t h e A g e n c y u n d e r section 23 a r e n o t p a r t i e s t o t h e d i s p u t e p r o c e e d i n g a n d w i l

n o t b e p r o v i d e d w i t h t h e d o c u m e n t s t h a t a r e p l a c e d o n t h e A g e n c y ' s r e c o r d .

T h e y w i l l , h o w e v e r , b e p r o v i d e d w i t h a c o p y o f t h e A g e n c y ' s f i n a l d e c i s i o n i n

t h e d i s p u t e p r o c e e d i n g .

P e r s o n s w h o h a v e b e e n g r a n t e d i n t e r v e n e r s t a t u s b y t h e A g e n c y u n d e r s e c t i o n 2 9 a r e a l s o n o t a u t o m a t i c a l l y a p a r t y t o t h e d i s p u t e p r o c e e d i n g ( u n l e s s

s o n a m e d b y t h e A g e n c y ) a n d a r e o n l y p r o v i d e d w i t h t h e d o c u m e n t s t h a t t h e y

r e q u i r e i n o r d e r t o p a r t i c i p a t e a s a n i n t e r v e n e r t o t h e e x t e n t d e t e r m i n e d b y t h e

Agency. They will, however , be provid ed with a copy of the Agency's final

d e c i s i o n i n t h e d i s p u t e p r o c e e d i n g .

I f a p e r s o n b e l i e v e s t h a t t h e y h a v e a " s u b s t a n t i a l a n d d i r e c t i n t e r e s t " i n a

p r o c e e d i n g a n d w i s h t o b e n a m e d a s a p a r t y t o t h e p r o c e e d i n g , t h e y s h o u l d

r e q u e s t a u t h o r i t y f r o m t h e A g e n c y t o i n t e r v e n e u n d e r s e c t i o n 2 9 . I n t h e i r

r e q u e s t t o i n t e r v e n e , t h e p e r s o n s h o u l d c l e a r l y i d e n t i f y t h a t t h e y w i s h t o b e

n a m e d a p a r t y t o t h e p r o c e e d i n g a n d s e t o u t t h e p a r t i c i p a t i o n r i g h t s t h a t t h e y

a r e s e e k i n g .

F o r m o r e i n f o r m a t i o n , r e f e r t o s e c t i o n 2 9 : Request to Intervene.

i n c l u d e s a p a r t n e r s h i p a n d a n u n i n c o r p o r a t e d a s s o c i a t i o n .

m e a n s a n y m a t t e r t h a t i s c o m m e n c e d b y a p p l i c a t i o n t o t h e A g e n c y , w h e t h e r

c o n t e s t e d o r n o t .

Annot at ion: Def init ions (Proceeding)

T h e A g e n c y p e r f o r m s t w o k e y f u n c t i o n s w i t h i n t h e f e d e r a l t r a n s p o r t a t i o n

s y s t e m :

I n f o r m a l l y a n d t h r o u g h f o r m a l a d j u d i c a t i o n ( w h e r e t h e A g e n c yr e v i e w s a n a p p l i c a t i o n a n d m a k e s a d e c i s i o n ) , t h e A g e n c yr e s o l v e s a r a n g e o f c o m m e r c i a l a n d c o n s u m e r t r a n s p o r t a t i o n -r e l a t e d d i s p u t e s , i n c l u d i n g a c c e s s i b i l i t y i s s u e s f o r p e r s o n s w i t hd i s a b i l i t i e s . I t o p e r a t e s l i k e a c o u r t w h e n a d j u d i c a t i n g d i s p u t e s .

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respondent

As an econo mic regu lator, the Agency makes decisions andi s s u e s a u t h o r i t i e s , l i c e n c e s a n d p e r m i t s t o t r a n s p o r t a t i o n s e r v i c ep r o v i d e r s u n d e r f e d e r a l j u r i s d i c t i o n .

T h e s e t w o k e y f u n c t i o n s m e a n t h a t t h e A g e n c y w i l l h a v e s o m e p r o c e e d i n g s

t h a t o n l y i n v o l v e o n e p a r t y ( f o r e x a m p l e a n a i r c a r r i e r a p p l y i n g f o r a l i c e n c e )

a n d o t h e r s t h a t a r e d i s p u t e p r o c e e d i n g s t h a t i n v o l v e t w o o r m o r e p a r t i e s , s u c h

a s a d i s p u t e b e t w e e n a r a i l w a y c o m p a n y a n d a g r o u p o f h o m e o w n e r s a b o u t

n o i s e c o m i n g f r o m a r a i l y a r d . ( ) .

W i t h t h e e x c e p t i o n o f s e c t i o n s 3 a n d 4 , t h e D i s p u t e A d j u d i c a t i o n R u l e s a p p l y

o n l y t o d i s p u t e p r o c e e d i n g s .

S o m e t y p e s o f e c o n o m i c r e g u l a t o r y p r o c e e d i n g s m a y h a v e s p e c i f i c p r o c e d u r a l

g u i d e l i n e s o r r e s o u r c e t o o l s t h a t e x p l a i n t h e A g e n c y ' s p r o c e s s e s a n d h o w t o

p r e p a r e a p a r t i c u l a r t y p e o f a p p l i c a t i o n . F o r e x a m p l e :

Guidelines:

Coasting Trade Licence Applications

Extra-bilateral Air Service Applications to the CanadianTransportation Agency

Net Salvage Value Determination Applications

Resource tools:

Apportionment of Costs of Grade Separations

Crossings

T h e s e g u i d e l i n e s g e n e r a l l y c o v e r t h e f o l l o w i n g t o p i c s :

T h e s t r u c t u r e o f t h e p r o c e e d i n g ( e . g . w h a t d o c u m e n t s n e e d t o b ef i l e d , d e a d l i n e s f o r f i l i n g d o c u m e n t s ) .

T h e c o n t e n t o f s u b m i s s i o n s m a d e b y t h e p a r t i e s . F o r e x a m p l e ,t h e A g e n c y h a s t e s t s t h a t i t a p p l i e s f o r c e r t a i n t y p e s o f i s s u e s .T h e g u i d e l i n e s p r o v i d e i n f o r m a t i o n o n t h e t e s t s a n d w h a t t y p e o f i n f o r m a t i o n m i g h t b e f i l e d b y a p a r t y w h e n m a k i n g s u b m i s s i o n so n t h e t e s t . T h e g u i d e l i n e s m a y a l s o s e t o u t f a c t o r s o r c r i t e r i a t h a tt h e A g e n c y l o o k s a t w h e n m a k i n g a d e c i s i o n o n a m a t t e r .

P a r t i e s s h o u l d a l w a y s r e f e r t o t h e r e l e v a n t p u b l i c a t i o n f o r m o r e i n f o r m a t i o n .

F o r c e r t a i n e c o n o m i c r e g u l a t o r y d e t e r m i n a t i o n s , t h e g u i d e l i n e s m a y s t a t e t h a t

s o m e o r a l l o f t h e p r o v i s i o n s i n t h e D i s p u t e A d j u d i c a t i o n R u l e s a r e a p p l i c a b l e .

T h e A g e n c y m a y a l s o d e c i d e t h a t i t i s a p p r o p r i a t e t o a p p l y a n y o r a l l o f t h e

p r o v i s i o n s o f t h e D i s p u t e A d j u d i c a t i o n R u l e s i n a p a r t i c u l a r c a s e .

m e a n s a p e r s o n t h a t i s n a m e d a s a r e s p o n d e n t i n a n a p p l i c a t i o n a n d a n y

p e r s o n t h a t i s n a m e d b y t h e A g e n c y a s a r e s p o n d e n t .

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Adverse in interest

Jurisdiction

Economic regulatory

proceedings

Pleadings process

Panel

Procedural matters

Annot at ion: Def init ions (Respondent )

I n a d i s p u t e p r o c e e d i n g t h e r e a r e a t l e a s t t w o p a r t i e s : t h e a p p l i c a n t a n d t h e

r e s p o n d e n t .

T h e a p p l i c a n t f i l e s a n a p p l i c a t i o n w i t h t h e A g e n c y a g a i n s t a r e s p o n d e n t ( o r

r e s p o n d e n t s ) . I n t h e a p p l i c a t i o n , t h e a p p l i c a n t s e t s o u t d e t a i l s o f t h e d i s p u t e

w i t h t h e r e s p o n d e n t a n d t h e i s s u e s t h a t i t w a n t s t h e A g e n c y t o a d d r e s s . T h e

r e s p o n d e n t t h e n h a s a n o p p o r t u n i t y t o f i l e a n a n s w e r t o t h e i s s u e s r a i s e d i nt h e a p p l i c a t i o n .

I n e x c e p t i o n a l c i r c u m s t a n c e s , t h e A g e n c y m a y n a m e o t h e r r e s p o n d e n t s t o t h e

a p p l i c a t i o n w h e r e t h e i r i n v o l v e m e n t i n t h e t r a v e l s i t u a t i o n i s n o t a p p a r e n t t o

t h e a p p l i c a n t .

I t i s i m p o r t a n t , f o r t h e e f f i c i e n c y o f c a s e p r o c e s s i n g a n d t o b e f a i r t o t h e

a p p l i c a n t , t h a t a n s w e r s b e c o m p l e t e w h e n t h e y a r e f i l e d w i t h t h e A g e n c y . T h i s

m e a n s t h a t t h e a n s w e r s h o u l d a d d r e s s t h e i s s u e s r a i s e d b y t h e a p p l i c a n t i n

t h e i r a p p l i c a t i o n a n d t h a t p o s i t i o n s s h o u l d b e s u b s t a n t i a t e d .

Annot at ion: Addit ional def init ions

A perso n is adver se in intere st to you if they hold a position that is contr ary to

o r d i f f e r e n t f r o m t h a t o f y o u r s e l f .

T h e A g e n c y o n l y h a s t h e a u t h o r i t y t o m a k e a d e c i s i o n o n a m a t t e r t h a t f a l l s

w i t h i n t h e m a n d a t e g i v e n t o i t b y t h e Canada Transportation Act. T h e A g e n c y

c a n n o t m a k e d e c i s i o n s o n m a t t e r s t h a t d o n o t f a l l w i t h i n i t s

m a n d a t e / j u r i s d i c t i o n .

As an econom ic regu lator, the Agency makes decisions and issues

a u t h o r i t i e s , l i c e n c e s a n d p e r m i t s t o f e d e r a l t r a n s p o r t a t i o n c a r r i e r s . F o r

e x a m p l e , a n a p p l i c a n t m a y b e g r a n t e d a l i c e n c e i f i t m e e t s t h e l e g i s l a t i v e

r e q u i r e m e n t s . T h e s e m a t t e r s a r e l a r g e l y u n c o n t e s t e d .

T h e p e r i o d o f t i m e w i t h i n a d i s p u t e p r o c e e d i n g w h e n p a r t i e s m a y f i l e t h e i r

p l e a d i n g s ( s u c h a s a n s w e r s , r e p l i e s a n d r e q u e s t s ) w i t h t h e A g e n c y .

T h e C h a i r o f t h e A g e n c y m a y a s s i g n o n e o r m o r e M e m b e r s t o h e a r a c a s e .

T h e a s s i g n e d M e m b e r ( s ) a r e r e f e r r e d t o a s t h e P a n e l . O n e M e m b e r , t h e

P a n e l C h a i r , m a y b e a s s i g n e d a t t h e o u t s e t t o m a k e d e c i s i o n s o n p r o c e d u r e

a n d t h e p r o c e s s i n g o f t h e c a s e .

A step that is taken in a dispute proc eeding in orde r to assist in the proce ssing

o f t h e c a s e . A n e x a m p l e i s w h e t h e r e x p e r t o p i n i o n s s h o u l d b e f i l e d i n a

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Record

Relief/remedies

Representative

Stay

Witnesses

d i s p u t e p r o c e e d i n g a n d t h e t i m e l i n e s f o r s u c h a f i l i n g .

All the docum ents and inform ation gather ed durin g the dispute proce eding

t h a t h a v e b e e n a c c e p t e d b y t h e A g e n c y a n d w h i c h w i l l b e c o n s i d e r e d b y i t i n

m a k i n g i t s d e c i s i o n . T h e A g e n c y ' s r e c o r d c a n c o n s i s t o f a p u b l i c a n d a

c o n f i d e n t i a l r e c o r d .

G e n e r a l l y r e f e r s t o t h e s o l u t i o n t h a t a p e r s o n i s s e e k i n g t o a d d r e s s t h e i s s u e s

r a i s e d i n a n a p p l i c a t i o n . E x a m p l e s i n c l u d e c o v e r i n g e x p e n s e s i n c u r r e d a s a

r e s u l t o f t h e i s s u e o r c h a n g i n g a t r a n s p o r t a t i o n c a r r i e r ' s p o l i c y c o n c e r n i n g t h e

i s s u e .

A perso n who acts for anoth er perso n. For the purp oses of these Rules a

r e p r e s e n t a t i v e i s a n y o n e w h o i s n o t a l a w y e r .

W h e n t h e A g e n c y s t a y s a p r o c e e d i n g i t m e a n s t h a t t h e p r o c e e d i n g i s s t o p p e d

f o r a p e r i o d o f t i m e a n d m a y b e r e s t a r t e d a t a l a t e r d a t e .

A witness is a pers on who knows somet hing about an issue in a dispute

p r o c e e d i n g a n d i s a s k e d t o a n s w e r q u e s t i o n s u n d e r o a t h a t a n o r a l h e a r i n g o r

b y m e a n s o f a n a f f i d a v i t .

Application

2. Dispute Proceedings

S u b j e c t t o s e c t i o n s 3 a n d 4 , t h e s e R u l e s a p p l y t o d i s p u t e p r o c e e d i n g s o t h e r t h a n a m a t t e r t h a t i s t h e

s u b j e c t o f m e d i a t i o n .

Annot at ion: Disput e proceedings

General

T h e A g e n c y p e r f o r m s t w o k e y f u n c t i o n s w i t h i n t h e f e d e r a l t r a n s p o r t a t i o n s y s t e m :

I n f o r m a l l y a n d t h r o u g h f o r m a l a d j u d i c a t i o n ( w h e r e t h e A g e n c y r e v i e w s a n a p p l i c a t i o n a n dm a k e s a d e c i s i o n ) , t h e A g e n c y r e s o l v e s a r a n g e o f c o m m e r c i a l a n d c o n s u m e r t r a n s p o r t a t i o n -r e l a t e d d i s p u t e s , i n c l u d i n g a c c e s s i b i l i t y i s s u e s f o r p e r s o n s w i t h d i s a b i l i t i e s . I t o p e r a t e s l i k e ac o u r t w h e n a d j u d i c a t i n g d i s p u t e s .

As an econo mic regu lator , the Agency makes decisions and issues author ities, licences andp e r m i t s t o t r a n s p o r t a t i o n s e r v i c e p r o v i d e r s u n d e r f e d e r a l j u r i s d i c t i o n .

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Sections 3 and 4 of the Rules apply to all matters that come before the

Agency

Section 3 ( t h e o n e - M e m b e r q u o r u m p r o v i s i o n ) a n d section 4 ( p r i n c i p l e o f p r o p o r t i o n a l i t y ) a p p l y t o a l l

p r o c e e d i n g s b e f o r e t h e A g e n c y , w h i c h i n c l u d e b o t h :

D i s p u t e p r o c e e d i n g s ( e . g . a n o i s e c o m p l a i n t w h e r e a g r o u p o f h o m e o w n e r s o r a p e r s o n a c t i n go n b e h a l f o f a n o t h e r p e r s o n o r a g r o u p o f p e r s o n s f i l e s a c o m p l a i n t a g a i n s t a r a i l w a y c o m p a n yc o n c e r n i n g n o i s e p r o d u c e d b y r a i l w a y o p e r a t i o n s i n a r a i l y a r d a d j a c e n t t o t h e i r h o m e s ) a n d

e c o n o m i c r e g u l a t o r y p r o c e e d i n g s ( e . g . a n a p p l i c a t i o n b y a n a i r c a r r i e r f o r a l i c e n c e t o o p e r a t ea n a i r s e r v i c e b e t w e e n C a n a d a a n d a n o t h e r c o u n t r y ) .

The Rules do not apply to mediation and arbitration

T h e D i s p u t e A d j u d i c a t i o n R u l e s d o not a p p l y t o d i s p u t e p r o c e e d i n g s o r a n y p a r t o f a d i s p u t e p r o c e e d i n g

t h a t i s r e f e r r e d f o r m e d i a t i o n o r s u b m i t t e d t o a r b i t r a t i o n . I n e a c h o f t h e s e c a s e s , t h e r e a r e s p e c i f i c

g u i d e l i n e s o r r e s o u r c e t o o l s t h a t w i l l a p p l y t o t h a t p r o c e e d i n g :

Resolution of Disputes through Mediation

Final Offer Arbitration

Selecting an Arbitrator

R u l e s o f P r o c e d u r e f o r R a i l L e v e l o f S e r v i c e A r b i t r a t i o n , A n n o t a t i o n a n d R e s o u r c e T o o l ( i nd e v e l o p m e n t )

Rules apply to contested matters

As stated above, except for mediat ions and arbitr ations, the Dispute Adjudication Rules apply to allc o n t e s t e d d i s p u t e p r o c e e d i n g s b e f o r e t h e A g e n c y .

I n t h e v a s t m a j o r i t y o f c a s e s t h a t c o m e b e f o r e t h e A g e n c y , t h e p a r t i e s p r e s e n t t h e i r p o s i t i o n s i n w r i t i n g

w i t h o u t h a v i n g t o a p p e a r b e f o r e t h e A g e n c y a t a n o r a l h e a r i n g a n d t h e A g e n c y m a k e s i t s d e c i s i o n b a s e d

o n t h e d o c u m e n t s o n t h e f i l e . I f t h e p r o c e e d i n g i s t o b e d e a l t w i t h o r a l l y ( f o r e x a m p l e , i f t h e p a r t i e s a r e

g o i n g t o a p p e a r b e f o r e t h e A g e n c y a n d m a k e s u b m i s s i o n s i n p e r s o n ) t h e n a t t h e t i m e t h a t a n o r a l h e a r i n g

i s c a l l e d , a p r e - h e a r i n g c o n f e r e n c e w i l l t y p i c a l l y b e h e l d t o w o r k o u t t h e d e t a i l s o f t h e p r o c e d u r e s t o b e

u s e d i n t h a t c a s e . T h e s e p r o c e d u r e s w i l l t h e n b e c o n t a i n e d i n a P r o c e d u r a l D i r e c t i o n s p e c i f i c t o t h a t c a s e .

All Proceedings

3. Quorum

I n a l l p r o c e e d i n g s , o n e m e m b e r c o n s t i t u t e s a q u o r u m .

Annot at ion: Quorum

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Although only one Memb er is requ ired to make a decision, the Chair of the Agency may appoin t more than

o n e M e m b e r t o h e a r a c a s e . T h e M e m b e r o r M e m b e r s a s s i g n e d t o a c a s e a r e r e f e r r e d t o a s t h e A g e n c y

Panel.

E v e n i n s i t u a t i o n s w h e r e t w o o r m o r e M e m b e r s m a y b e a s s i g n e d t o d e l i b e r a t e a n d i s s u e t h e f i n a l d e c i s i o n ,

o n e M e m b e r m a y b e a s s i g n e d a t t h e o u t s e t t o p r o v i d e d e c i s i o n s o n t h e p r o c e s s i n g o f t h e c a s e a n d t o

m a k e p r o c e d u r a l d e c i s i o n s . T h i s M e m b e r i s r e f e r r e d t o a s t h e P a n e l C h a i r .

N o t e t h a t e v e n w h e n A g e n c y s t a f f c o m m u n i c a t e s d e c i s i o n s o f t h e A g e n c y t o t h e p a r t i e s , t h e y a r e d o i n g s oo n b e h a l f o f a n d w i t h t h e i n s t r u c t i o n s o f t h e A g e n c y P a n e l a s s i g n e d t o t h e c a s e .

4. Principle of Proportionality

T h e A g e n c y i s t o c o n d u c t a l l p r o c e e d i n g s i n a m a n n e r t h a t i s p r o p o r t i o n a t e t o t h e i m p o r t a n c e a n d

c o m p l e x i t y o f t h e i s s u e s a t s t a k e a n d t h e r e l i e f c l a i m e d .

Annot at ion: Principle of proport ionalit y

T h e p r i n c i p l e o f p r o p o r t i o n a l i t y g u i d e s t h e A g e n c y ' s d e c i s i o n s o n m a t t e r s t h a t a r i s e i n p r o c e e d i n g s . T h e

o b j e c t i v e i s t o a c h i e v e j u s t , e x p e d i t i o u s a n d r e s o u r c e e f f e c t i v e p r o c e e d i n g s w h i c h s o m e t i m e s m e a n s t h a t a

r e q u e s t m a d e b y a p e r s o n m u s t b e d e n i e d w h e r e t h e a n t i c i p a t e d o u t c o m e d o e s n o t j u s t i f y t h e m e a n s .

F o r e x a m p l e , P a r t y A a s k s t h a t P a r t y B p r o d u c e w h a t w o u l d a m o u n t t o 1 0 0 p a g e s o f d o c u m e n t s . P a r t y B

r e f u s e s t o p r o d u c e t h e r e q u e s t e d d o c u m e n t s a n d t h e m a t t e r c o m e s b e f o r e t h e A g e n c y t o m a k e a d e c i s i o n

a s t o w h e t h e r t h e d o c u m e n t s s h o u l d b e p r o d u c e d b y P a r t y B . T h e A g e n c y m a y d e c i d e t h a t t h e d o c u m e n t s

a r e r e l e v a n t i n t h a t t h e y r e l a t e t o t h e m a t t e r b e f o r e t h e A g e n c y b u t t h a t t h e v a l u e o f t h e d o c u m e n t s t o t h e

p r o c e e d i n g i s m i n i m a l . I n t h a t c a s e , h a v i n g P a r t y B p r o d u c e 1 0 0 p a g e s o f d o c u m e n t s w o u l d n o t b e

p r o p o r t i o n a t e t o t h e b e n e f i t t h a t t h e A g e n c y w o u l d g a i n b y h a v i n g t h o s e 1 0 0 p a g e s o n t h e r e c o r d .

Dispute Proceedings: General

5. Interpretation of Rules and Agency's Initiative

Annot at ion: I nt erpret at ion of Rules

T h i s m e a n s t h a t w h e n t h e A g e n c y c o n d u c t s d i s p u t e p r o c e e d i n g s , i t w i l l s t r i v e t o a c h i e v e e f f i c i e n c i e s s o t h a t

c a s e s a r e r e s o l v e d i n a t i m e l y w a y , t h e r e i s m i n i m a l c o s t o r o t h e r i m p o s i t i o n o n t h e p a r t i e s a n d t h e A g e n c y

a l l w h i l e e n s u r i n g t h a t t h e p r o c e s s i s f a i r t o t h e p a r t i e s . T h i s o f t e n i n v o l v e s a b a l a n c i n g o f r i g h t s a n d

T h e s e R u l e s a r e t o b e i n t e r p r e t e d i n a m a n n e r t h a t f a c i l i t a t e s t h e m o s t e x p e d i t i o u s

d e t e r m i n a t i o n o f e v e r y d i s p u t e p r o c e e d i n g , t h e o p t i m a l u s e o f A g e n c y a n d p a r t y r e s o u r c e sa n d t h e p r o m o t i o n o f j u s t i c e .

(1)

Anything that may be done on requ est under these Rules may also be done by the Agencyo f i t s o w n i n i t i a t i v e .

(2)

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i n t e r e s t s . F o r e x a m p l e , t h e A g e n c y d e a l s w i t h a w i d e r a n g e o f d i s p u t e s , i n c l u d i n g b o t h h i g h l y c o m p l e x

c a s e s w o r t h m i l l i o n s o f d o l l a r s t o t h e p a r t i e s a n d l e s s c o m p l e x c a s e s i n v o l v i n g , f o r e x a m p l e , l o s s o f

p e r s o n a l g o o d s b y a i r c a r r i e r s w o r t h l e s s t h a n $ 5 0 0 . D i f f e r e n t , p r o p o r t i o n a t e a p p r o a c h e s a r e r e q u i r e d f o r

t h e s e d i f f e r e n t t y p e s o f c a s e s t o e n s u r e e f f i c i e n t a n d e f f e c t i v e u s e o f r e s o u r c e s f o r d i s p u t e r e s o l u t i o n .

Annot at ion: Agency's init iat ive

T h e A g e n c y m a y d o a n y t h i n g u n d e r t h e s e D i s p u t e A d j u d i c a t i o n R u l e s t h a t a p e r s o n m a y d o b y m a k i n g a

r e q u e s t .

6. Dispensing with Compliance and Varying Rule

T h e A g e n c y m a y , a t t h e r e q u e s t o f a p e r s o n , d i s p e n s e w i t h c o m p l i a n c e w i t h o r v a r y a n y r u l e a t a n y t i m e o r

g r a n t o t h e r r e l i e f o n a n y t e r m s t h a t w i l l a l l o w f o r t h e j u s t d e t e r m i n a t i o n o f t h e i s s u e s .

Annot at ion: Dispensing wit h compliance and varying rule

T h e A g e n c y h a s t h e p o w e r t o v a r y t h e D i s p u t e A d j u d i c a t i o n R u l e s t o h e l p e n s u r e f a i r d e c i s i o n - m a k i n g o nt h e i s s u e s i n a d i s p u t e p r o c e e d i n g . E a c h c a s e b e f o r e t h e A g e n c y i s d i f f e r e n t a n d s o m e t i m e s a s t r i c t

a p p l i c a t i o n o f t h e D i s p u t e A d j u d i c a t i o n R u l e s i s n o t t h e b e s t w a y t o d e a l w i t h a c a s e . F o r e x a m p l e , t h e

Agency may vary a rule that applies to a part y in orde r to extend it to a pers on.

T o m a k e a r e q u e s t t o t h e A g e n c y u n d e r t h i s s e c t i o n , r e f e r t o s e c t i o n 2 7 o f t h e D i s p u t e A d j u d i c a t i o n R u l e s ,

w h i c h s e t s o u t w h a t n e e d s t o b e f i l e d t o m a k e a g e n e r a l r e q u e s t t o t h e A g e n c y .

F o r m o r e i n f o r m a t i o n , r e f e r t o s e c t i o n 2 7 : Requests General Request

7. Filing and Agency's public record

Annot at ion: Filing of document s and Agency's Public Record

D o c u m e n t s m u s t b e s e n t t o t h e S e c r e t a r y o f t h e C a n a d i a n T r a n s p o r t a t i o n A g e n c y .By courier or hand delivery

S e c r e t a r y

C a n a d i a n T r a n s p o r t a t i o n A g e n c y

1 5 E d d y S t r e e t

17 th F l o o r , M a i l r o o m

G a t i n e a u , Q u e b e c

J8X 4B3

By fax

Any docum ent filed under these Rules must be filed with the Secreta ry of the Agency.(1)

All filed docum ents are placed on the Agency's public recor d unless the pers on filing thed o c u m e n t f i l e s , a t t h e s a m e t i m e , a r e q u e s t f o r c o n f i d e n t i a l i t y u n d e r s e c t i o n 3 1 i n r e s p e c t o f t h e d o c u m e n t .

(2)

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8 1 9 - 9 5 3 - 5 2 5 3

By e-mail

[email protected]

D u e t o t h e t i m e f r a m e s i n v o l v e d a n d t h e w i d e s p r e a d a v a i l a b i l i t y o f t e c h n o l o g y , f i l i n g s b y o r d i n a r y m a i l w i l l

n o l o n g e r b e a c c e p t e d b y t h e A g e n c y u n l e s s , i n e x c e p t i o n a l c i r c u m s t a n c e s , a p e r s o n h a s r e q u e s t e d a n d

r e c e i v e d a p p r o v a l f r o m t h e A g e n c y t o u s e o r d i n a r y m a i l . I n t h o s e i n s t a n c e s , l o n g e r t i m e l i n e s w i l l h a v e t o b e

e s t a b l i s h e d f o r t h e e x c h a n g e o f p l e a d i n g s a n d t h e p r o c e s s i n g o f t h e c a s e w i l l b e d e l a y e d .

The Agency's record

T h e A g e n c y ' s r e c o r d i s m a d e u p o f a l l t h e d o c u m e n t s a n d i n f o r m a t i o n g a t h e r e d d u r i n g t h e d i s p u t e

p r o c e e d i n g t h a t h a v e b e e n a c c e p t e d b y t h e A g e n c y . T h i s r e c o r d w i l l b e c o n s i d e r e d b y t h e A g e n c y w h e n

m a k i n g i t s d e c i s i o n .

T h e A g e n c y ' s r e c o r d c a n c o n s i s t o f t w o p a r t s : t h e p u b l i c r e c o r d a n d t h e c o n f i d e n t i a l r e c o r d .

Public record

G e n e r a l l y , a l l d o c u m e n t s f i l e d w i t h a n d a c c e p t e d b y t h e A g e n c y d u r i n g t h e d i s p u t e p r o c e e d i n g , i n c l u d i n g

t h e n a m e s o f p a r t i e s a n d w i t n e s s e s , f o r m p a r t o f t h e p u b l i c r e c o r d .

P a r t i e s f i l i n g d o c u m e n t s w i t h t h e A g e n c y s h o u l d n o t a s s u m e t h a t a d o c u m e n t t h a t t h e y b e l i e v e i s

c o n f i d e n t i a l w i l l b e k e p t c o n f i d e n t i a l b y t h e A g e n c y . A r e q u e s t t o h a v e a d o c u m e n t k e p t c o n f i d e n t i a l m a y b e

m a d e p u r s u a n t t o section 31 of the Dispute Adjudication Rules.

D o c u m e n t s o n t h e p u b l i c r e c o r d w i l l b e :

P r o v i d e d t o t h e o t h e r p a r t i e s i n v o l v e d

C o n s i d e r e d b y t h e A g e n c y i n m a k i n g i t s d e c i s i o n a n d

M a d e a v a i l a b l e t o m e m b e r s o f t h e p u b l i c , u p o n r e q u e s t , w i t h l i m i t e d e x c e p t i o n s .

D e c i s i o n s a n d a p p l i c a t i o n s a r e p o s t e d o n t h e A g e n c y ' s w e b s i t e a n d i n c l u d e t h e n a m e s o f t h e p a r t i e s

i n v o l v e d , a s w e l l a s w i t n e s s e s . M e d i c a l c o n d i t i o n s w h i c h r e l a t e t o a n i s s u e r a i s e d i n t h e a p p l i c a t i o n w i l l a l s o

b e d i s c l o s e d . T h e d e c i s i o n w i l l a l s o b e d i s t r i b u t e d b y e - m a i l t o a n y o n e w h o h a s s u b s c r i b e d t h r o u g h t h e

Agency's website to rece ive Agency decisions.

Confidential record

T h e c o n f i d e n t i a l r e c o r d c o n t a i n s a l l t h e d o c u m e n t s f r o m t h e d i s p u t e p r o c e e d i n g t h a t t h e A g e n c y h a s

d e t e r m i n e d t o b e c o n f i d e n t i a l .

I f t h e r e a r e n o c o n f i d e n t i a l d o c u m e n t s , t h e n t h e r e i s o n l y a p u b l i c r e c o r d .

N o p e r s o n c a n r e f u s e t o f i l e a d o c u m e n t w i t h t h e A g e n c y o r p r o v i d e i t t o a p a r t y b e c a u s e t h e y b e l i e v e t h a t

i t i s c o n f i d e n t i a l . I f a p e r s o n i s o f t h e v i e w t h a t a d o c u m e n t i s c o n f i d e n t i a l , t h e y m u s t f i l e i t w i t h t h e A g e n c y

a l o n g w i t h a r e q u e s t f o r c o n f i d e n t i a l i t y u n d e r section 31 o f t h e D i s p u t e A d j u d i c a t i o n R u l e s . T h i s w i l l t r i g g e r

a p r o c e s s w h e r e t h e A g e n c y w i l l d e t e r m i n e w h e t h e r t h e d o c u m e n t i s c o n f i d e n t i a l . D u r i n g t h i s p r o c e s s , t h e

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d o c u m e n t i s n o t p l a c e d o n t h e p u b l i c r e c o r d .

D e c i s i o n s t h a t c o n t a i n c o n f i d e n t i a l i n f o r m a t i o n t h a t i s e s s e n t i a l t o u n d e r s t a n d i n g t h e A g e n c y ' s r e a s o n s w i l l

b e t r e a t e d a s c o n f i d e n t i a l a s w e l l a n d w i l l n o t b e p l a c e d o n t h e A g e n c y ' s w e b s i t e . H o w e v e r , a p u b l i c

v e r s i o n o f t h e d e c i s i o n w i l l b e i s s u e d a n d p l a c e d o n t h e w e b s i t e .

8. Copy to parties

A perso n that files a docum ent must, on the same day, send a copy of the docum ent to each party or, if a

p a r t y i s r e p r e s e n t e d , t o t h e p a r t y ' s r e p r e s e n t a t i v e , e x c e p t i f t h e d o c u m e n t i s

Annot at ion: Copy t o part ies

W i t h t h r e e e x c e p t i o n s a l l d o c u m e n t s t o b e f i l e d w i t h t h e A g e n c y m u s t b e s e n t t o t h e o t h e r p a r t i e s ( o r t h e i r

r e p r e s e n t a t i v e s ) o n t h e s a m e d a y t h a t t h e y a r e f i l e d w i t h t h e A g e n c y . F a i l u r e t o c o m p l y w i t h t h i s

r e q u i r e m e n t , w h i c h i s t h e r e s p o n s i b i l i t y o f t h e p e r s o n f i l i n g t h e d o c u m e n t , w i l l r e s u l t i n t h e d o c u m e n t n o t

b e i n g c o n s i d e r e d t o b e f i l e d w i t h t h e A g e n c y . I f a d i s p u t e a r i s e s a b o u t w h e t h e r a d o c u m e n t w a s s e n t t o t h e

o t h e r p a r t i e s , t h e s e n d e r m a y b e r e q u i r e d t o p r o v i d e p r o o f t h a t t h e d o c u m e n t w a s s e n t . A s s u c h , t h e

s e n d e r s h o u l d k e e p p r o o f t h a t t h e d o c u m e n t w a s s e n t .

T h e m o s t e f f i c i e n t m e a n s o f s e n d i n g d o c u m e n t s t o t h e A g e n c y a n d t o t h e o t h e r p a r t i e s i s b y e - m a i l a s b y

s e n d i n g t h e d o c u m e n t e l e c t r o n i c a l l y t o t h e A g e n c y a n d c o p y i n g t h e o t h e r p a r t i e s i n t h e s a m e t r a n s m i s s i o n ,

i t i s e a s y t o c o n f i r m t h a t t h i s r e q u i r e m e n t h a s b e e n m e t . I t i s u p t o t h e p e r s o n f i l i n g d o c u m e n t s t o

d e t e r m i n e t h e m o s t a p p r o p r i a t e m e a n s o f t r a n s m i s s i o n , p a r t i c u l a r l y i n s i t u a t i o n s w h e r e c o n f i d e n t i a l

i n f o r m a t i o n o r d o c u m e n t s a r e b e i n g f i l e d w i t h t h e A g e n c y , w h e r e c o n c e r n s m a y e x i s t a b o u t e n s u r i n g t h e

s a f e t r a n s m i s s i o n o f c o n f i d e n t i a l i n f o r m a t i o n .

Exceptions to sending a copy to other parties

T h e r e a r e t h r e e e x c e p t i o n s t o t h e r e q u i r e m e n t t h a t a l l d o c u m e n t s f i l e d w i t h t h e A g e n c y m u s t a l s o b e s e n t

t o t h e o t h e r p a r t i e s .

1. A person who makes a request for confidentiality under section 31.

I n t h e s e c i r c u m s t a n c e s t h e c o n f i d e n t i a l v e r s i o n o f t h e d o c u m e n t m u s t b e f i l e d w i t h t h e A g e n c y , b u t d o e s

n o t n e e d t o b e s e n t t o t h e p a r t i e s . A p u b l i c v e r s i o n o f t h e d o c u m e n t m u s t a l s o b e f i l e d w i t h t h e A g e n c y a n d

t h i s d o c u m e n t m u s t b e s e n t t o t h e o t h e r p a r t i e s p e n d i n g t h e A g e n c y ' s d e c i s i o n o n c o n f i d e n t i a l i t y .

F o r m o r e i n f o r m a t i o n , r e f e r t o s e c t i o n 3 1 : Request for Confidentiality

2. The filing of applications under section 18.

T h e a p p l i c a t i o n w i l l b e s e n t t o t h e o t h e r p a r t i e s b y t h e A g e n c y o n c e i t h a s b e e n a c c e p t e d a s c o m p l e t e .

a c o n f i d e n t i a l v e r s i o n o f a d o c u m e n t i n r e s p e c t o f w h i c h a r e q u e s t f o r c o n f i d e n t i a l i t y i s f i l e du n d e r s e c t i o n 3 1

(1)

a n a p p l i c a t i o n o r (2)

a p o s i t i o n s t a t e m e n t .(3)

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3. The filing of position statements under section 23.

A position stateme nt will be sent to the other part ies by the Agency once it has been filed with the Agency.

F o r m o r e i n f o r m a t i o n r e f e r t o :

S e c t i o n 1 8 :Application

S e c t i o n 2 3 : Position Statement

9. Means of Transmission

D o c u m e n t s m a y b e f i l e d w i t h t h e A g e n c y a n d c o p i e s m a y b e s e n t t o t h e o t h e r p a r t i e s b y c o u r i e r , p e r s o n a l

d e l i v e r y , e m a i l , f a c s i m i l e o r o t h e r e l e c t r o n i c m e a n s s p e c i f i e d b y t h e A g e n c y .

Annot at ion: Means of t ransmission

Electronic means of filing

T h e A g e n c y e n c o u r a g e s p e o p l e t o u s e e - m a i l t o f i l e d o c u m e n t s w i t h t h e A g e n c y a n d p r o v i d e t h e m t o t h e

o t h e r p a r t i e s . A s i n s t a n t a n e o u s c o m m u n i c a t i o n , i t i s t h e m o s t e f f i c i e n t w a y t o f i l e a n d e x c h a n g e i n f o r m a t i o n

a n d i t w i l l a l s o s h o w t h a t t h e d o c u m e n t h a s b e e n p r o v i d e d t o t h e o t h e r p a r t i e s o n t h e s a m e d a y a s i t h a s

b e e n f i l e d w i t h t h e A g e n c y , w h i c h i s a r e q u i r e m e n t o f s e c t i o n 8 . I n s o m e c i r c u m s t a n c e s , t h e A g e n c y m a y

r e q u i r e t h e p a r t i e s t o u s e e - m a i l , f o r e x a m p l e , i n t h e c a s e o f e x p e d i t e d p r o c e e d i n g s u n d e r s e c t i o n 2 5

I n e x c e p t i o n a l c i r c u m s t a n c e s , w h e r e a p e r s o n d o e s n o t h a v e a c c e s s t o a n e l e c t r o n i c m e a n s o f

t r a n s m i s s i o n , a r e q u e s t c a n b e m a d e t o t h e A g e n c y u n d e r s e c t i o n 2 7 o f t h e s e D i s p u t e A d j u d i c a t i o n R u l e s

t o u s e o r d i n a r y m a i l t o f i l e d o c u m e n t s w i t h t h e A g e n c y a n d p r o v i d e t h e m t o o t h e r p a r t i e s . T h i s m e a n s t h a t

l o n g e r t i m e l i n e s w i l l h a v e t o b e e s t a b l i s h e d f o r t h e e x c h a n g e o f p l e a d i n g s a n d t h e p r o c e s s i n g o f t h e c a s e

will be delayed.

I n s o m e c a s e s , s u c h a s t h e f i l i n g o f a f f i d a v i t s o r w i t n e s s e d s t a t e m e n t s , a l t h o u g h t h e p e r s o n m a y f i l e t h e

d o c u m e n t e l e c t r o n i c a l l y , t h e A g e n c y w i l l r e q u i r e t h e p e r s o n t o f o l l o w u p b y p r o v i d i n g a n o r i g i n a l c o p y o f t h e

d o c u m e n t t o t h e A g e n c y b y o r d i n a r y m a i l .

I t i s u p t o t h e p e r s o n f i l i n g d o c u m e n t s t o d e t e r m i n e t h e m o s t a p p r o p r i a t e m e a n s o f t r a n s m i s s i o n ,

p a r t i c u l a r l y i n s i t u a t i o n s w h e r e c o n f i d e n t i a l i n f o r m a t i o n o r d o c u m e n t s a r e b e i n g f i l e d w i t h t h e A g e n c y .

10. FacsimileCover Page

A perso n that files or sends a docume nt by facsimile must include a cover page indicating the total numb er

o f p a g e s t r a n s m i t t e d , i n c l u d i n g t h e c o v e r p a g e , a n d t h e n a m e a n d t e l e p h o n e n u m b e r o f a c o n t a c t p e r s o n i f

p r o b l e m s o c c u r i n t h e t r a n s m i s s i o n o f t h e d o c u m e n t .

11. Electronic Transmission

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Annot at ion: Dat e of f iling and receipt (Elect ronic t ransmission and courier or personal delivery)

Filing deadlines

D o c u m e n t s s e n t b y e - m a i l , f a c s i m i l e o r o t h e r e l e c t r o n i c m e a n s m u s t b e b o t h f i l e d w i t h t h e A g e n c y a n d s e n t

t o t h e o t h e r p a r t i e s b e f o r e 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e t o b e c o n s i d e r e d a s h a v i n g b e e n s e n t t h a t d a y .

D o c u m e n t s s e n t b y c o u r i e r , o r t h a t a r e d e l i v e r e d i n p e r s o n , m u s t b e b o t h f i l e d w i t h t h e A g e n c y a n d

r e c e i v e d b y t h e o t h e r p a r t i e s b e f o r e 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e t o b e c o n s i d e r e d a s h a v i n g b e e n f i l e d

t h a t d a y .

F o r e x a m p l e , i f a p a r t y e - m a i l e d a d o c u m e n t t o t h e A g e n c y a t 4 : 3 0 p . m o n t h e d a t e o f t h e f i l i n g d e a d l i n e ,

b u t d i d n ' t c o p y t h e o t h e r p a r t i e s w i t h t h e e - m a i l a n d w a i t e d u n t i l 5 : 3 0 p . m . b e f o r e e - m a i l i n g i t t o t h e o t h e r

p a r t i e s , t h e d o c u m e n t w i l l n o t b e c o n s i d e r e d a s r e c e i v e d b y t h e p a r t i e s t h a t d a y a n d w i l l n o t b e p l a c e d o n

t h e A g e n c y ' s r e c o r d u n l e s s a r e q u e s t i s m a d e u n d e r s e c t i o n 3 0 f o r a n e x t e n s i o n o f t h e f i l i n g d e a d l i n e .

W h e n a p e r s o n i s r e q u i r e d t o f i l e a d o c u m e n t w i t h i n a n u m b e r o f business days u n d e r t h e D i s p u t e

Adjudication Rules or by orde r of the Agency, the time limit for filing is counte d from the day after the

p e r s o n i s n o t i f i e d o f t h e r e q u i r e m e n t a n d i n c l u d e s t h e l a s t d a y .

M o s t t i m e l i m i t s i n a d i s p u t e p r o c e e d i n g w i l l h a v e t h e s p e c i f i c d e a d l i n e d a t e f o r f i l i n g s e t o u t i n a p r o c e d u r a l

d e c i s i o n o r l e t t e r ( e . g . J u n e 1 0 , 2 0 1 3 ) . T h i s d a t e w i l l g e n e r a l l y b e b a s e d o n t h e t i m e l i m i t s s e t o u t i n t h e

Dispute Adjudication Rules.

S t a t u t o r y h o l i d a y s a r e n o t c o n s i d e r e d b u s i n e s s d a y s .

Example of counting business days

An applican t has been given five business days to file a reply to an answer.

I f t h e a n s w e r w a s f i l e d o n M o n d a y , d a y o n e w o u l d b e T u e s d a y . T h e r e p l y m u s t b e f i l e d b y t h e e n d o f d a y

f i v e , w h i c h i s 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e t h e f o l l o w i n g M o n d a y . I f M o n d a y i s a s t a t u t o r y h o l i d a y , t h e

r e p l y w o u l d b e d u e b y 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e o n T u e s d a y , t h e n e x t b u s i n e s s d a y .

Filing of documents with forms

P a r t i e s a r e e nco u r a g e d t o u s e t h e A g e n c y ' s forms , e s p e c i a l l y w h e n f i l i n g d o c u m e n t s w h e r e s p e c i f i c

A docum ent that is sent by email, facsimile or other electro nic means is consider ed to bef i l e d w i t h t h e A g e n c y a n d r e c e i v e d b y t h e o t h e r p a r t i e s o n t h e d a t e o f i t s t r a n s m i s s i o n i f i t i ss e n t a t o r b e f o r e 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e o n a b u s i n e s s d a y . A d o c u m e n t t h a t i s s e n ta f t e r 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e o r o n a d a y t h a t i s n o t a b u s i n e s s d a y i s c o n s i d e r e d t o b ef i l e d w i t h t h e A g e n c y a n d r e c e i v e d b y t h e o t h e r p a r t i e s o n t h e n e x t b u s i n e s s d a y .

(1)

A docum ent that is sent by courie r or perso nal deliver y is filed with the Agency and receive db y t h e o t h e r p a r t i e s o n t h e d a t e o f i t s d e l i v e r y i f i t i s d e l i v e r e d t o t h e A g e n c y a n d t h e o t h e r p a r t i e s a t o r b e f o r e 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e o n a b u s i n e s s d a y . A d o c u m e n t t h a t i s

d e l i v e r e d a f t e r 5 : 0 0 p . m . G a t i n e a u l o c a l t i m e o r o n a d a y t h a t i s n o t a b u s i n e s s d a y i sc o n s i d e r e d t o b e f i l e d w i t h t h e A g e n c y a n d r e c e i v e d b y t h e o t h e r p a r t i e s o n t h e n e x t b u s i n e s sd a y .

(2)

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i n f o r m a t i o n i s r e q u i r e d a s s e t o u t i n t h e S c h e d u l e s t o t h e D i s p u t e A d j u d i c a t i o n R u l e s . T h e f o r m s l i n k t o a

s e c u r e f i l e t r a n s f e r s y s t e m t o a l l o w f o r a t t a c h m e n t s t o b e f i l e d w i t h t h e A g e n c y a n d c o p i e d t o t h e p a r t i e s .

12. Filing after Time Limit

Annot at ion: Consequences of missi ng a deadline

F i l i n g d e a d l i n e s t h a t a r e s e t b y t h e A g e n c y , a s s e t o u t i n t h e D i s p u t e A d j u d i c a t i o n R u l e s o r b y d e c i s i o n o r

o r d e r o f t h e A g e n c y , m u s t b e m e t .

T h e A g e n c y w i l l n o t a c c e p t a d o c u m e n t t h a t h a s b e e n f i l e d l a t e u n l e s s a r e q u e s t i s m a d e u n d e r s e c t i o n 3 0

o f t h e D i s p u t e A d j u d i c a t i o n R u l e s f o r a n e x t e n s i o n o f t i m e a n d t h e A g e n c y h a s a p p r o v e d t h e r e q u e s t .

I n a d d i t i o n , a p e r s o n m u s t n o t f i l e a d o c u m e n t w h i c h i s n o t r e q u i r e d t o b e f i l e d u n d e r t h e s e D i s p u t e

Adjudication Rules or by the Agency. For example , a pers on cannot file a respo nse to a reply without

Agency appr oval.

W i t h o u t t h e s e a p p r o v a l s , t h e d o c u m e n t w i l l n o t f o r m p a r t o f t h e r e c o r d a n d w i l l n o t b e c o n s i d e r e d b y t h e

Agency when making its final decision.

F o r m o r e i n f o r m a t i o n , r e f e r t o :

S e c t i o n 3 0 Request to Extend or Shorten Time Limit

S e c t i o n 3 4 : Request to File Document Whose Filing is not Otherwise Provided For in Rules

13. Language of Documents

Annot at ion: Language of document s

Documents to be filed in one of the official languages

A pers on must not file a docum ent after the end of the applicab le time limit for filing the

d o c u m e n t u n l e s s a r e q u e s t h a s b e e n f i l e d u n d e r s u b s e c t i o n 3 0 ( 1 ) a n d t h e r e q u e s t h a s b e e ng r a n t e d b y t h e A g e n c y .

(1)

A pers on must not file a docum ent whose filing is not provid ed for in these Rules unless ar e q u e s t h a s b e e n f i l e d u n d e r s u b s e c t i o n 3 4 ( 1 ) a n d t h e r e q u e s t h a s b e e n g r a n t e d b y t h e

Agency.

(2)

A docum ent that is filed in contr aventio n of subsectio n (1) or (2) will not be placed on theAgency's recor d.

(3)

E v e r y d o c u m e n t f i l e d w i t h t h e A g e n c y m u s t b e i n e i t h e r E n g l i s h o r F r e n c h .(1)

I f a p e r s o n f i l e s a d o c u m e n t t h a t i s i n a l a n g u a g e o t h e r t h a n E n g l i s h o r F r e n c h , t h e y m u s t a tt h e s a m e t i m e f i l e a n E n g l i s h o r F r e n c h t r a n s l a t i o n o f t h e d o c u m e n t a n d t h e i n f o r m a t i o nr e f e r r e d t o i n S c h e d u l e 1 .

(2)

T h e t r a n s l a t i o n i s t r e a t e d a s t h e o r i g i n a l f o r t h e p u r p o s e s o f t h e d i s p u t e p r o c e e d i n g .(3)

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A perso n filing a docum ent is entitled to submit the docume nt in the official langua ge of their choice

( E n g l i s h o r F r e n c h ) .

I f d o c u m e n t s a r e s u b m i t t e d b y p e r s o n s i n d i f f e r e n t o f f i c i a l l a n g u a g e s , t h e A g e n c y i s n o t r e q u i r e d t o

t r a n s l a t e t h e d o c u m e n t s . W h e r e t r a n s l a t i o n i s r e q u i r e d b y a p e r s o n t o u n d e r s t a n d t h e d o c u m e n t , t h a t

p e r s o n w i l l b e r e s p o n s i b l e f o r o b t a i n i n g a n d p a y i n g f o r t h e t r a n s l a t i o n .

I n s u c h s i t u a t i o n s , t h e p e r s o n d o e s n o t h a v e t o f i l e t h e t r a n s l a t i o n w i t h t h e A g e n c y o r a n y o t h e r p a r t y .

Procedure to be followed for documents that are not in one of the official

languages

A perso n submitt ing a docum ent in a langua ge other than English or Fre nch is respo nsible for ensur ing

t h a t t h e d o c u m e n t i s a c c o m p a n i e d b y :

A tran slation to English or Fr ench and

A prop erly complet ed and sworn affidavit from the tran slator (Schedu le 1).

N o t e : t h e t r a n s l a t e d d o c u m e n t a n d a f f i d a v i t m u s t b e f i l e d w i t h t h e A g e n c y a n d p r o v i d e d t o t h e o t h e r p a r t i e s

a t t h e s a m e t i m e a s t h e d o c u m e n t f i l e d i n t h e o t h e r l a n g u a g e . T h e E n g l i s h o r F r e n c h t r a n s l a t i o n w i l l b e

c o n s i d e r e d t h e o f f i c i a l d o c u m e n t o n t h e r e c o r d .

Any docum ent in a langua ge other than English or Fre nch that is not accomp anied by a trans lation and

a f f i d a v i t w i l l n o t f o r m p a r t o f t h e r e c o r d a n d t h e r e f o r e w i l l n o t b e c o n s i d e r e d b y t h e A g e n c y w h e n m a k i n g a

d e c i s i o n . T h e p a r t y i s f r e e t o s u b m i t a p r o p e r d o c u m e n t h o w e v e r , i f t h e t i m e l i m i t f o r t h e f i l i n g o f t h e

d o c u m e n t h a s p a s s e d , t h e p a r t y w i l l a l s o h a v e t o o b t a i n a p p r o v a l t o d o s o b y f i l i n g a r e q u e s t t o e x t e n d t h e

t i m e l i n e f o r t h e f i l i n g o f t h e d o c u m e n t .

N o t e t h a t a l l A g e n c y d e c i s i o n s a r e p o s t e d o n t h e w e b s i t e i n E n g l i s h a n d F r e n c h .

Also, in exceptio nal cases and on requ est, the Agency may accept a witnessed statem ent in place of an

a f f i d a v i t , f o r e x a m p l e , w h e n t h e p e r s o n l i v e s i n a r e m o t e c o m m u n i t y w i t h n o a c c e s s t o a l a w y e r o r o t h e r

p e r s o n w h o c a n s w e a r t h e a f f i d a v i t

Translator

U n l e s s s p e c i f i e d o t h e r w i s e b y t h e A g e n c y , t h e p e r s o n w h o t r a n s l a t e d t h e d o c u m e n t d o e s n o t n e e d t o b e a

c e r t i f i e d t r a n s l a t o r .

Agency form : Form 1: Translation Required Information

14. Amended Documents

I f a p e r s o n p r o p o s e s t o m a k e a s u b s t a n t i v e a m e n d m e n t t o a p r e v i o u s l y f i l e d d o c u m e n t , t h e ym u s t f i l e a r e q u e s t u n d e r s u b s e c t i o n 3 3 ( 1 ) .

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A pers on that files a docum ent that amend s a prev iously filed docum ent, whether thea m e n d m e n t i s s u b s t a n t i v e o r n o t , m u s t e n s u r e t h a t t h e a m e n d m e n t i s c l e a r l y i d e n t i f i e d i n t h e

(2)

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Annot at ion: Filing of amended document

T h e r e a r e t w o t y p e s o f a m e n d m e n t s o r c h a n g e s t h a t c a n b e m a d e t o a d o c u m e n t : s u b s t a n t i v e a n d n o n -

s u b s t a n t i v e .

Substantive amendments: A n y s u b s t a n t i v e a m e n d m e n t t o a d o c u m e n t n e e d s t o b e a p p r o v e d b y t h eAgency.

T h e p e r s o n m u s t f i l e a n e w c o p y o f t h e d o c u m e n t w h i c h c l e a r l y i d e n t i f i e s t h e a m e n d m e n t b e i n g m a d e b y :

U n d e r l i n i n g a n y n e w t e x t a n d s t r i k i n g o u t ( o r d r a w i n g a l i n e t h r o u g h ) a n y d e l e t e d t e x t a n d

Adding "AMENDED" at the top right hand corne r of the first page of the docum ent.

I n a d d i t i o n , t h e p e r s o n m u s t m a k e a r e q u e s t t o f i l e t h e a m e n d e d d o c u m e n t .

F o r m o r e i n f o r m a t i o n a n d i n s t r u c t i o n s o n h o w t o m a k e a r e q u e s t f o r a s u b s t a n t i v e a m e n d m e n t , r e f e r t o

s e c t i o n 3 3 : Request to Amend Document.

W h e r e a p p r o p r i a t e , t h e A g e n c y m a y p r o v i d e p a r t i e s a d v e r s e i n i n t e r e s t w i t h a n o p p o r t u n i t y t o r e s p o n d t o

t h e a m e n d e d d o c u m e n t . T h e A g e n c y w i l l e s t a b l i s h t h e p r o c e s s t o b e f o l l o w e d a n d t h e t i m e l i m i t s t o b e m e t

i n a p r o c e d u r a l d i r e c t i o n .

Non-substantive amendments: A r e q u e s t t o t h e A g e n c y i s n o t r e q u i r e d t o m a k e a m i n o r a m e n d m e n t t o

a d o c u m e n t .

S o m e e x a m p l e s o f n o n - s u b s t a n t i v e a m e n d m e n t s t h a t c a n b e m a d e w i t h o u t t h e a p p r o v a l o f t h e A g e n c y

a r e :

C o r r e c t i o n i n s p e l l i n g o f n a m e s a n d p l a c e s a n d

D a t e s ( i f t h e y h a v e n o s u b s t a n t i v e i m p l i c a t i o n s ) .

T h e p e r s o n m u s t f i l e a n e w c o p y o f t h e d o c u m e n t w h i c h c l e a r l y i d e n t i f i e s t h e a m e n d m e n t b e i n g m a d e b y :

U n d e r l i n i n g a n y n e w t e x t a n d s t r i k i n g o u t ( o r d r a w i n g a l i n e t h r o u g h ) a n y d e l e t e d t e x t a n d

Adding "AMENDED" at the top right hand corne r of the first page of the docum ent.

T h e o t h e r p a r t i e s m u s t b e p r o v i d e d w i t h a c o p y o f t h e a m e n d e d d o c u m e n t o n t h e s a m e d a y t h a t i t i s f i l e d

with the Agency.W h e r e a p e r s o n s u b m i t s a n o n - s u b s t a n t i v e a m e n d m e n t , b u t t h e A g e n c y c o n s i d e r s i t t o b e a s u b s t a n t i v e

a m e n d m e n t , t h e p e r s o n w i l l b e n o t i f i e d o f t h e r e q u i r e m e n t t o f o l l o w t h e p r o c e d u r e f o r s u b s t a n t i v e

a m e n d m e n t s i n s u b s e c t i o n 3 3 ( 1 ) o f t h e D i s p u t e A d j u d i c a t i o n R u l e s .

15. Verification by Affidavit or by Witnessed Statement

d o c u m e n t a n d t h a t t h e w o r d " A M E N D E D " a p p e a r s i n c a p i t a l l e t t e r s i n t h e t o p r i g h t c o r n e r o f t h e f i r s t p a g e .

I f t h e A g e n c y c o n s i d e r s i t j u s t a n d r e a s o n a b l e , t h e A g e n c y m a y , b y n o t i c e , r e q u i r e t h a t a

p e r s o n p r o v i d e v e r i f i c a t i o n o f t h e c o n t e n t s o f a l l o r a n y p a r t o f a d o c u m e n t b y a f f i d a v i t o r b y

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Annot at ion: Verif icat ion by af f idavit or by wit nessed st at ement

T h e A g e n c y m a y r e q u i r e a n a f f i d a v i t o r a w i t n e s s e d s t a t e m e n t t o b e f i l e d i f e v i d e n c e i s c o n t e s t e d o r i f t h e

a c c