Enforcing Compliance – enforcement actions and types of violations
Table of contents
Note
On April 2, 2024, certain changes were brought to the Compliance and Enforcement Policy:
- The severity levels for some Air Passenger Protection Regulation (APPR) provisions have been adjusted;
- The same amounts for "per passenger" and "per event" will apply in the calculation of administrative monetary penalties (AMP) under the APPR;
- For violations pertaining to compensation, the requirement that the amount of the AMP cannot be lower than 1.5 times the amount of the compensation owed, has been removed.
Enforcement actions
A Designated Enforcement Officer's (DEO) response to non-compliance escalates in severity depending upon the nature of the violation and the compliance history of the regulated entity. When a DEO believes that a regulated entity has committed a violation of the Canada Transportation Act (Act) or regulations, or when a regulated entity has not complied with a CTA Order, the following enforcement actions are available:
- Issuing a Notice of Violation Setting an Administrative Monetary Penalty
A DEO may issue a Notice of Violation (NOV) setting out the administrative monetary penalty (AMP) that the regulated entity is liable to pay. AMPs are administered based on a progressive scheme of penalties aimed at fostering compliance.
- Issuing a Notice of Violation that Contains a Warning for Contraventions of Accessibility Provisions
A DEO who believes that a regulated entity has committed a violation of an obligation made for the purpose of identifying or removing barriers or preventing new barriers in the federal transportation network to the mobility of persons with disabilities may issue an NOV that contains a Warning.
- Issuing a Cautionary Notice
A DEO may issue a Cautionary Notice to a regulated entity in a limited set of circumstances when the DEO believes that certain acts or omissions on the part of the entity could be in contravention of the Act or regulations.
For additional details on these enforcement actions, consult the CTA's Compliance and Enforcement Policy.
Severity Levels
The CTA has assigned a severity level for each of the legislative or regulatory provisions that are subject to an AMP, from Level A to Level D. A violation of a Level A provision is considered to be strictly administrative in nature, progressing to Level D, the most serious, as described in the following table:
| Level | Description |
|---|---|
| A (Administrative) | Violation that is strictly administrative in nature |
| B (Minor) | Less serious violation
|
| C (Serious) | More serious violation
|
| D (Very Serious) | The most serious violation
|
Under the CTA's penalty scheme, progressively higher penalties for repeat violations are imposed. Each subsequent violation of the same provision of the Act or Regulations within a four-year period by the same entity will result in progressively higher penalty amounts, up to the maximum amount specified for each provision.
Administrative Monetary Penalties (various maximum penalty amounts up to $25,000)
Applicable to certain provisions of the:
- Canada Transportation Act
- Air Transportation Regulations
- Air Passenger Protection Regulations
- Railway Third Party Liability Insurance Coverage Regulations
- Railway Interswitching Regulations
Corporations
| Severity of violation | 1st violation | 2nd and subsequent violations |
|---|---|---|
| A | $500 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| B | $1,000 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| B* | $200 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| C | $2,500 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| C* | $500 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| D | $5,000 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
| D* | $1,000 | The penalty amount doubles, up to the maximum amount of the designated legislative or regulatory provision |
* Apply to violations of certain Rail provisions, whereby the AMP is calculated on a per car basis as opposed to on a per event basis.
Individuals
| Severity of violation | 1st violation | 2nd and subsequent violations |
|---|---|---|
| A | $50 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| B | $200 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| B* | $20 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| C | $500 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| C* | $50 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| D | $1,000 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
| D* | $100 | The penalty amount doubles, up to the maximum amount for the applicable legislative or regulatory provision |
* Apply to violations of certain Rail provisions, whereby the AMP is calculated on a per car basis as opposed to on a per event basis.
Administrative Monetary Penalties (maximum penalty amount of $250,000)
Applicable to certain provisions of the:
- Air Transportation Regulations (Part VII)
- Personnel Training for the Assistance of Persons with Disabilities Regulations
- Accessible Transportation for Persons with Disabilities Regulations
| Severity of violation | 1st violation | 2nd and subsequent violations |
|---|---|---|
| A | $2,500 | The penalty amount doubles, up to $250,000 |
| B | $10,000 | The penalty amount doubles, up to $250,000 |
| C | $25,000 | The penalty amount doubles, up to $250,000 |
| D | $50,000 | The penalty amount doubles, up to $250,000 |
Once an NOV that sets out an AMP has been issued in relation to accessibility or requirements under the Air Passenger Protection Regulations, the Agency may, upon request by a regulated entity, enter into a compliance agreement subject to terms that the Agency considers appropriate for the purpose of ensuring the entity's compliance with its legal obligations. The terms may include a provision for the deposit of reasonable security as guarantee that the person will comply with the agreement and may provide for the reduction, in whole or in part, of the amount of the penalty.
Under the Canada Transportation Act, a DEO has the authority to issue an AMP when the DEO believes that a violation has been committed. This policy constitutes a guideline for the DEO who has the ultimate discretion in determining the amount of the AMP.
Note that violations of certain legislative or regulatory provisions – identified in the tables below – are handled on a case-by-case basis, and could result in the issuance of higher AMPs for first and subsequent violations than described above.
Types of contraventions and assigned severity levels
Enforcement officers monitor compliance with the following legislation and regulations:
- Canada Transportation Act (CTA)
- Accessible Transportation for Persons with Disabilities Regulations (ATPDR)
- Accessible Transportation Planning and Reporting Regulations (ATPRR)
- Personnel Training for the Assistance of Persons with Disabilities Regulations (PTR)
- Air Passenger Protection Regulations (APPR)
- Regulations Amending the Air Passenger Protection Regulations
- Air Transportation Regulations (ATR)
- Railway Third Party Liability Insurance Coverage Regulations (RLIR)
- Railway Interswitching Regulations (RIR)
These tables show the level of severity of each type of violation.
Accessibility (ATPDR, ATPRR, ATR, CTA, PTR)
Rail (CTA, RLIR, RIR)
Air Transportation (CTA, APPR, Regulations Amending the APPR, ATR)
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