Interpretation

Marginal note:Definitions

1 The following definitions apply in these Regulations.

Act

Loi

Act means the Department of Human Resources and Skills Development Act. (Loi)

business day

jour ouvrable

business day means a day other than a Saturday or a Sunday or other holiday. (jour ouvrable)

party

partie

party means

• (a) in a proceeding before the Income Security Section, the appellant, the Minister and any person added as a party under section 65 of the Act or section 10;

• (b) in a proceeding before the Employment Insurance Section, the appellant, the Commission and any person added as a party added under section 10;

• (c) in a proceeding before the Appeal Division, the appellant, all other parties to the proceeding in the General Division and any person added as a party under section 65 of the Act or section 10; and

• (d) in a proceeding to rescind or amend a decision, the applicant, the Minister or the Commission, any person added as a party under section 65 of the Act or section 10 and, if the proceeding is before the Appeal Division, all other parties to the proceeding in the General Division. (partie)

Marginal note:General principle

2 These Regulations must be interpreted so as to secure the just, most expeditious and least expensive determination of appeals and applications.

General Provisions

Conduct of Proceedings

Marginal note:Informal conduct

• 3 (1) The Tribunal

  • (a) must conduct proceedings as informally and quickly as the circumstances and the considerations of fairness and natural justice permit; and

  • (b) may, if there are special circumstances, vary a provision of these Regulations or dispense a party from compliance with a provision.

• Marginal note:Proceeding by way of analogy

  (2) If a question of procedure that is not dealt with by these Regulations arises in a proceeding, the Tribunal must proceed by way of analogy to these Regulations.

Marginal note:Requests to Tribunal

4 A party may request the Tribunal to provide for any matter concerning a proceeding, including the extension of a time limit imposed by these Regulations, by filing the request with the Tribunal.

Filing with Tribunal

Marginal note:Filing

• 5 (1) Any document required to be filed by these Regulations must be filed with the Tribunal at the address, facsimile number or email address — or in accordance with the electronic filing procedure — provided by the Tribunal on its website.

• Marginal note:Tribunal to provide copy to other parties

  (2) The Tribunal must provide a copy of any document filed by a party to the other parties to the proceeding without delay.

• Marginal note:Exception

  (3) The Tribunal is not required to provide a copy of a document if it has previously provided a copy of the document to the other parties to the proceeding.

Marginal note:Change in contact information

6 A party must file with the Tribunal a notice of any change in their contact information without delay.

Marginal note:Deemed filing dates

7 The date of filing of an appeal, application or other document is deemed to be

• (a) in the case of a document that is filed at the Tribunal’s address or sent by mail or by facsimile, the date indicated by the date received stamp placed on the document by the Tribunal; and

• (b) in the case of a document that is filed by email or in accordance with the Tribunal’s electronic filing procedure, the date of receipt indicated by the Tribunal’s time stamp.

Marginal note:Deemed originals

8 An appeal, application or other document that is filed by email, facsimile or the Tribunal’s electronic filing procedure is deemed to be the original of the document and the Tribunal may provide an electronic copy of it and certify the copy as a true copy.

Marginal note:Electronic version

9 If the Tribunal creates an electronic version of an appeal, application or other document that is filed at the Tribunal’s address or sent by mail, the electronic version is deemed to be the original version of the document and the Tribunal may provide an electronic copy of it and certify the copy as a true copy.

Participation of Parties

Marginal note:Adding parties

• 10 (1) The Tribunal may, on its own initiative or if a request is filed, add any person as a party to a proceeding if the person has a direct interest in the decision.

• Marginal note:Request to be added as party

  (2) Any person may request that they be added as a party to a proceeding by filing a request that contains

  • (a) the person’s full name, address, telephone number and, if any, facsimile number and email address;

  • (b) a statement that sets out why the person has a direct interest in the decision;

  • (c) the name, address, telephone number and, if any, facsimile number and email address of any person authorized to represent the person; and

  • (d) a declaration that the information provided is true to the best of the person’s knowledge.

Marginal note:Requests to adjourn or postpone

• 11 (1) A party may request that a hearing be adjourned or postponed by filing a request, with supporting reasons, with the Tribunal.

• Marginal note:Subsequent requests by party

  (2) If the Tribunal grants an adjournment or postponement at the request of a party, the Tribunal must not grant the party a subsequent adjournment or postponement unless the party establishes that it is justified by exceptional circumstances.

Marginal note:Failure to appear

• 12 (1) If a party fails to appear at a hearing, the Tribunal may proceed in the party’s absence if the Tribunal is satisfied that the party received notice of the hearing.

• Marginal note:Previous adjournment or postponement

  (2) The Tribunal must proceed in a party’s absence if the Tribunal previously granted an adjournment or postponement at the request of the party and the Tribunal is satisfied that the party received notice of the hearing.

Marginal note:Joining of appeals or applications

13 The Tribunal may, on its own initiative or if a request is filed by a party, deal with two or more appeals or applications jointly if

• (a) a common question of law or fact arises in the appeals or applications; and

• (b) no injustice is likely to be caused to any party to the appeals or applications.

Marginal note:Withdrawal

• 14 (1) Subject to subsection (2), a person may withdraw their appeal or application at any time before a decision is rendered by filing a notice with the Tribunal.

• Marginal note:Exception

  (2) In the case of a hearing held by teleconference, videoconference, other means of telecommunication or the personal appearance of the parties, a party may not withdraw their appeal or application after the conclusion of the hearing.

Conferences and Other Procedures

Marginal note:Pre-hearing

• 15 (1) The Tribunal may, on its own initiative or if a request is filed by a party, request the parties to participate in a pre-hearing conference on any matter concerning an appeal or an application to rescind or amend a decision.

• Marginal note:Form of conference

  (2) A pre-hearing conference may be held by teleconference, videoconference, other means of telecommunication or the personal appearance of the parties.

Marginal note:Dispute resolution

16 The Tribunal may, on its own initiative or if a request is filed by a party, request the parties to participate in a dispute resolution process in order to encourage the parties to resolve the appeal or application.

Marginal note:Settlement conference

• 17 (1) The Tribunal may, on its own initiative or if a request is filed by a party, hold a settlement conference with the parties for the purpose of resolving the appeal or application in whole or in part.

• Marginal note:Member who holds conference

  (2) A member of the Tribunal who holds a settlement conference must not hear the appeal or application unless the parties consent to it.

• Marginal note:No disclosure

  (3) All matters discussed at a conference and all documents relating to a settlement conference are confidential and cannot be disclosed to any person by the Tribunal or the parties unless the parties consent.

• Marginal note:Form of conference

  (4) A settlement conference may be held by teleconference, videoconference, other means of telecommunication or the personal appearance of the parties.

Marginal note:Agreement between parties

18 The parties to an appeal or an application may request the Tribunal to make a decision based on an agreement between the parties by filing the request and the agreement, signed by all the parties, with the Tribunal.

Deemed Communication of Decisions and Other Documents

Marginal note:When decisions deemed communicated

• 19 (1) A decision made under subsection 53(1), 54(1), 58(3), 59(1) or 66(1) of the Act is deemed to have been communicated to a party

  • (a) if sent by ordinary mail, 10 days after the day on which it is mailed to the party;

  • (b) if sent by registered mail or courier, on

    • (i) the date recorded on the acknowledgement of receipt, or

    • (ii) the date it is delivered to the last known address of the party; and

  • (c) if sent by facsimile, email or other electronic means, the next business day after the day on which it is transmitted.

• Marginal note:Other documents sent by Tribunal

  (2) Subsection (1) also applies to any other document sent by the Tribunal to a party.

Constitutional Issues

Marginal note:Filing and service

• 20 (1) If the constitutional validity, applicability or operability of any provision of the Canada Pension Plan, the Old Age Security Act, the Employment Insurance Act, Part 5 of the Department of Human Resources and Skills Development Act or the regulations made under any of those Acts is to be put at issue before the Tribunal, the party raising the issue must

  • (a) file a notice with the Tribunal that

    • (i) sets out the provision that is at issue, and

    • (ii) contains any submissions in support of the issue that is raised; and

  • (b) at least 10 days before the date set for the hearing of the appeal or application, serve notice of that issue on the persons referred to in subsection 57(1) of the Federal Courts Act and file a copy of the notice and proof of service with the Tribunal.

• Marginal note:Failure to prove service

  (2) If the proof of service required by paragraph (1)(b) has not been filed in accordance with that paragraph, the Tribunal may, on its own initiative or on the request of a party, adjourn or postpone the hearing.

• Marginal note:Time limits for documents and submissions

  (3) If a notice is filed under paragraph (1)(a), the time limits for filing documents or submissions set out in these Regulations do not apply and the Tribunal may direct the parties to file documents or submissions within the time limits it establishes.

Form of Hearing

Marginal note:Notice of hearing

21 If a notice of hearing is sent by the Tribunal under these Regulations, the Tribunal may hold the hearing by way of

• (a) written questions and answers;

• (b) teleconference, videoconference or other means of telecommunication; or

• (c) the personal appearance of the parties.

Summary Dismissal

Marginal note:Notice to appellant

• 22 (1) Before summarily dismissing an appeal pursuant to subsection 53(1) of the Act, the General Division must give notice in writing to the appellant and allow the appellant a reasonable period of time to make submissions.

• Marginal note:Decision made without delay

  (2) After the appellant has been allowed a reasonable period of time to make submissions, the General Division must make its decision without delay.

Appeals to General Division

Filing of Appeal

Marginal note:Filing

23 An appeal of a decision to the General Division is brought by filing the appeal at the address, facsimile number or email address — or in accordance with the electronic filing procedure — provided by the Tribunal on its website.

Marginal note:Appeal form and contents

• 24 (1) An appeal must be in the form set out by the Tribunal on its website and contain

  • (a) a copy of the decision that was made under subsection 81(2) or (3) of the Canada Pension Plan, subsection 27.1(2) of the Old Age Security Act or section 112 of the Employment Insurance Act;

  • (b) the date the decision was communicated to the appellant;

  • (c) if a person is authorized to represent the appellant, the person’s name, address, telephone number and, if any, facsimile number and email address;

  • (d) the grounds for the appeal;

  • (e) any documents or submissions that the appellant relies on in their appeal;

  • (f) an identifying number of the type specified by the Tribunal on its website for the purpose of the appeal;

  • (g) the appellant’s full name, address, telephone number and, if any, facsimile number and email address; and

  • (h) a declaration that the information provided is true to the best of the appellant’s knowledge.

• Marginal note:Identifying number

  (2) For the purposes of paragraph (1)(f), the Tribunal must specify on its website a type of identifying number which may include

  • (a) the appellant’s social insurance number or the business number assigned to the appellant by the Minister of National Revenue;

  • (b) the number assigned to a decision made under subsection 81(2) or (3) of the Canada Pension Plan, subsection 27.1(2) of the Old Age Security Act or section 112 of the Employment Insurance Act; or

  • (c) any other type of identifying number.

Marginal note:Extension of time for bringing appeal

25 A person who does not file an appeal within the time limits set out in subsection 52(1) of the Act may request an extension of time by filing their appeal with a statement that sets out the reasons why the General Division should allow further time for the bringing of the appeal.

Appeals Before Income Security Section

Marginal note:Documents to be filed by Minister

26 The Minister must, within 20 days after the day on which the Minister receives a copy of an appeal, file the following with the Income Security Section:

• (a) a copy of the application that gave rise to the decision being appealed;

• (b) if applicable, the information relating to the marriage that is referred to in subsection 54(2) of the Canada Pension Plan Regulations;

• (c) a copy of any notification given in accordance with section 46 or 46.1 of the Canada Pension Plan Regulations;

• (d) a copy of any notification given in accordance with subsection 60(7) of the Canada Pension Plan or section 16 or 24 of the Old Age Security Act;

• (e) a copy of the request made to the Minister for a reconsideration under subsection 81(1) of the Canada Pension Plan or subsection 27.1(1) of the Old Age Security Act; and

• (f) a copy of the decision that was made under subsection 81(2) or (3) of the Canada Pension Plan or subsection 27.1(2) of the Old Age Security Act and any documents relevant to the decision.

Marginal note:Time to respond

• 27 (1) Within 365 days after the day on which the appeal is filed, the parties may

  • (a) file additional documents or submissions with the Income Security Section; or

  • (b) file a notice with the Income Security Section stating that they have no documents or submissions to file.

• Marginal note:Additional time

  (2) If a party files documents or submissions within 30 days before the end of the 365-day period, the other parties have an additional 30 days after the end of that period to file documents or submissions in response.

Marginal note:Decision or further hearing

28 After every party has filed a notice that they have no documents or submissions to file — or at the end of the applicable period set out in section 27, whichever comes first — the Income Security Section must without delay

• (a) make a decision on the basis of the documents and submissions filed; or

• (b) if it determines that further hearing is required, send a notice of hearing to the parties.

Marginal note:Decision made without delay

29 If a notice of hearing is sent to the parties, the Income Security Section must make its decision without delay after the conclusion of the hearing.

Appeals Before Employment Insurance Section

Marginal note:Documents to be filed by Commission

30 The Commission must, within 7 business days after the day on which it receives a copy of an appeal, file the following with the Employment Insurance Section:

• (a) a copy of the request for a reconsideration made under section 112 of the Employment Insurance Act;

• (b) the documents in the Commission’s possession that are relevant to the decision being appealed;

• (c) a copy of the decision being appealed; and

• (d) the submissions, if any, of the Commission.

Marginal note:Notice of hearing or summary dismissal

• 31 (1) The Employment Insurance Section must, at the time it sends copies of the documents filed by the Commission to the other parties, send all the parties

  • (a) a notice of hearing; or

  • (b) a notice of summary dismissal referred to in section 22.

• Marginal note:Notice of summary dismissal

  (2) If the Employment Insurance Section sends a notice of summary dismissal but does not summarily dismiss the appeal, it must send a notice of hearing to the parties without delay.

• Marginal note:Section 53 of the Act

  (3) For greater certainty, subsection (1) does not preclude the application of section 53 of the Act at any time during the proceedings.

Marginal note:Reference of questions

32 The Employment Insurance Section may, at any time prior to its decision, refer any question arising in relation to a claim for benefits to the Commission for investigation and report.

Marginal note:Decision made without delay

33 The Employment Insurance Section must make its decision without delay after the conclusion of the hearing.

Appeal of Summary Dismissal

Marginal note:Appeal of summary dismissal

34 An appeal of a decision of the Income Security Section or the Employment Insurance Section to summarily dismiss an appeal is brought by filing the appeal with the Appeal Division at the address, facsimile number or email address — or in accordance with the electronic filing procedure — provided by the Tribunal on its website.

Marginal note:Appeal form and contents

• 35 (1) An appeal must be in the form set out by the Tribunal on its website and contain

  • (a) a copy of the decision to summarily dismiss;

  • (b) if a person is authorized to represent the appellant, the person’s name, address, telephone number and, if any, facsimile number and email address;

  • (c) the grounds for the appeal;

  • (d) any statements of fact that were presented to the General Division and that the appellant relies on in the appeal;

  • (e) an identifying number of the type specified by the Tribunal on its website for the purpose of the appeal;

  • (f) the appellant’s full name, address, telephone number and, if any, facsimile number and email address; and

  • (g) a declaration that the information provided is true to the best of the appellant’s knowledge.

• Marginal note:Identifying number

  (2) For the purposes of paragraph (1)(e), the Tribunal must specify on its website a type of identifying number which may include

  • (a) the appellant’s social insurance number or the business number assigned to the appellant by the Minister of National Revenue;

  • (b) the number assigned to a decision made under subsection 81(2) or (3) of the Canada Pension Plan, subsection 27.1(2) of the Old Age Security Act or section 112 of the Employment Insurance Act; or

  • (c) any other type of identifying number.

Marginal note:Time to respond

36 Within 45 days after the day on which the appeal is filed, the parties may

• (a) file submissions with the Appeal Division; or

• (b) file a notice with the Appeal Division that states that they have no submissions to file.

Marginal note:Decision or further hearing

37 After every party has filed a notice that they have no submissions to file — or at the end of the period set out in section 36, whichever comes first — the Appeal Division must without delay

• (a) make a decision on the appeal; or

• (b) if it determines that further hearing is required, send a notice of hearing to the parties.

Marginal note:Decision made without delay

38 If a notice of hearing is sent to the parties, the Appeal Division must make its decision without delay after the conclusion of the hearing.

Appeals to Appeal Division

Marginal note:Leave to appeal

39 An application for leave to appeal a decision of the General Division is brought by filing the application with the Appeal Division at the address, facsimile number or email address — or in accordance with the electronic filing procedure — provided by the Tribunal on its website.

Marginal note:Application for leave form and contents

• 40 (1) An application for leave to appeal must be in the form set out by the Tribunal on its website and contain

  • (a) a copy of the decision in respect of which leave to appeal is being sought;

  • (b) if a person is authorized to represent the applicant, the person’s name, address, telephone number and, if any, facsimile number and email address;

  • (c) the grounds for the application;

  • (d) any statements of fact that were presented to the General Division and that the applicant relies on in the application;

  • (e) if the application is brought by a person other than the Minister or the Commission, the applicant’s full name, address, telephone number and, if any, facsimile number and email address;

  • (f) if the application is brought by the Minister or the Commission, the address, telephone number, facsimile number and email address of the Minister or the Commission, as the case may be;

  • (g) an identifying number of the type specified by the Tribunal on its website for the purpose of the application; and

  • (h) a declaration that the information provided is true to the best of the applicant’s knowledge.

• Marginal note:Identifying number

  (2) For the purposes of paragraph (1)(g), the Tribunal must specify on its website a type of identifying number which may include

  • (a) in the case of an applicant other than the Minister or the Commission, the applicant’s social insurance number or the business number assigned to the applicant by the Minister of National Revenue;

  • (b) the number assigned to a decision made under subsection 81(2) or (3) of the Canada Pension Plan, subsection 27.1(2) of the Old Age Security Act or section 112 of the Employment Insurance Act; or

  • (c) any other type of identifying number.

Marginal note:Written questions and submissions

41 Before granting or refusing an application for leave to appeal, the Appeal Division may

• (a) request further information from the applicant by way of written questions and answers; and

• (b) send a copy of the application for leave to the parties and request that they file submissions.

Marginal note:Time to respond

42 Within 45 days after the day on which leave to appeal is granted, the parties may

• (a) file submissions with the Appeal Division; or

• (b) file a notice with the Appeal Division stating that they have no submissions to file.

Marginal note:Decision or further hearing

43 After every party has filed a notice that they have no submissions to file — or at the end of the period set out in section 42, whichever comes first — the Appeal Division must without delay

• (a) make a decision on the appeal; or

• (b) if it determines that further hearing is required, send a notice of hearing to the parties.

Marginal note:Decision made without delay

44 If a notice of hearing is sent to the parties, the Appeal Division must make its decision without delay after the conclusion of the hearing.

Rescinding or Amending Decisions

Marginal note:Application to rescind or amend

45 An application to rescind or amend a decision of the General Division or the Appeal Division is brought by filing the application at the address, facsimile number or email address — or in accordance with the electronic filing procedure — provided by the Tribunal on its website.

Marginal note:Application form and contents

• 46 (1) An application to rescind or amend a decision must be in the form set out by the Tribunal on its website and contain

  • (a) a copy of the decision that is the object of the application;

  • (b) if a person is authorized to represent the applicant, the person’s name, address, telephone number and, if any, facsimile number and email address;

  • (c) a statement of the new facts or new material fact, as the case may be, that would allow the General Division or the Appeal Division to rescind or amend a decision under section 66 of the Act;

  • (d) any documents relied on by the applicant as evidence of the new facts or new material fact;

  • (e) if the application is brought by a person other than the Minister or the Commission, the applicant’s full name, address, telephone number and, if any, facsimile number and email address;

  • (f) if the application is brought by the Minister or the Commission, the address, telephone number, facsimile number and email address of the Minister or the Commission, as the case may be;

  • (g) an identifying number of the type specified by the Tribunal on its website for the purpose of the application; and

  • (h) a declaration that the information provided is true to the best of the applicant’s knowledge.

• Marginal note:Identifying number

  (2) For the purposes of subparagraph (1)(g), the Tribunal must specify on its website a type of identifying number which may include

  • (a) in the case of an applicant other than the Minister or the Commission, the applicant’s social insurance number or the business number assigned to the applicant by the Minister of National Revenue;

  • (b) the number assigned to a decision made under subsection 81(2) or (3) of the Canada Pension Plan, subsection 27.1(2) of the Old Age Security Act or section 112 of the Employment Insurance Act; or

  • (c) any other type of identifying number.

Marginal note:Time to respond

47 A party may, within 30 days after the day on which the General Division or the Appeal Division sends a copy of the application,

• (a) file documents or submissions with the General Division or the Appeal Division, as the case may be; or

• (b) file a notice with the General Division or the Appeal Division, as the case may be, that they have no documents or submissions to file.

Marginal note:Decision or further hearing

48 After every party has filed a notice that they have no documents or submissions to file — or at the end of the period set out in section 47, whichever comes first — the General Division or the Appeal Division, as the case may be, must without delay

• (a) make a decision on the application; or

• (b) if it determines that further hearing is required, send a notice of hearing to the parties.

Marginal note:Decision made without delay

49 If a notice of hearing is sent to the parties, the General Division or the Appeal Division, as the case may be, must make its decision without delay after the conclusion of the hearing.

Coming into Force

Marginal note:April 1, 2013

50 These Regulations come into force on April 1, 2013.