Compliance and enforcement processes: Canada’s Anti-Spam Legislation

Receiving an enforcement action from the Canadian Radio-television and Telecommunications Commission (CRTC) for possibly violating Canada’s Anti-Spam Legislation (CASL) can be a concerning experience. CASL aims at protecting Canadians from the harmful effects of spam and related threats and creating a safer and more secure online marketplace.

If you are facing an enforcement action from the CRTC due to a suspected violation of CASL, it is important to know you have options. This page provides information on what to do if you receive an enforcement action from the CRTC, including how to respond, timelines and who to contact.

On this page

• Notice of violation
• Preservation demand
• Notice to produce
• Warning letter
• Undertakings

Notice of violation

Notices of violations are formal enforcement actions from the CRTC’s investigation staff (also known as the designated person) issued to persons found to have allegedly committed a violation. A notice of violation is typically accompanied with an administrative monetary penalty (AMP or penalty) based on the severity, number of alleged violations and a variety of other relevant factors.

Why you received this demand

The investigation staff believes that you have committed violations under sections 6 to 9 of CASL.

 Important timelines

The person that receives the notice of violation typically has 30 days to pay the penalty or submit representations to the CRTC for a review. Refer to the notice of violation to confirm the deadline.

How to respond

If you agree with the notice of violation

• You pay the penalty to the Receiver General. The instructions can be found in the notice of violation.

If you disagree with the notice of violation

• You can contact the investigation staff and come to a formal agreement in the form of an undertaking. The contact information can be found in the notice.
• Alternatively, you can formally request that the CRTC reviews the notice of violation by submitting written representations.
  • Representations should address the questions that the CRTC has to answer during its review, mainly whether you committed the violations and whether the penalty is appropriate.
  • Any documentation that supports your arguments should be submitted with your representations.
  • Representations can be submitted to the CRTC by regular mail, fax or My GcKey. Refer to the notice of violation for specific details.

If you choose not to pay the penalty, and do not respond to the notice of violation

• You will be deemed to have committed the violations and the penalty will be imposed.

Things to keep in mind when requesting a CRTC review

• The payment of the penalty is suspended until the CRTC renders a review decision.
• Once representations have been submitted, a typical CRTC review proceeding will not provide you with another opportunity to submit additional information.
• The CRTC makes its decision based on the record of the proceeding, which includes the notice of violation, the investigation report and the accompanying evidence that you received, as well as your representations and supporting documentation.
• In the decision, the CRTC will determine, on a balance of probabilities, whether the violations set out in the notice were committed by that person and if so, whether the proposed penalty set out in the notice of violation is appropriate.
• The decision will be sent to the person and will be made public on the CRTC’s website on the same day. A new deadline will be provided for payment if a penalty is imposed.

For additional information, refer to Information Bulletin 2023-368, (see section Procedural guidelines starting at paragraph 73).

Preservation demand

Preservation demands are formal requests, typically addressed to telecommunications service providers (TSPs), to save transmission data.

Why you received this demand

The investigation staff (also known as the designated person) believes that you may have come into possession of information it believes is relevant to an ongoing investigation. Investigations are conducted to ensure compliance with CASL and to determine if there are possible violations of sections 6 to 9 of CASL.

 Important timelines

The transmission data normally needs to be saved for a period of up to 21 days. An additional 21 days can be requested from investigation staff. The specific dates can be found in the demand.

How to respond

If you agree with the preservation demand

• You preserve the transmission data requested for the time period indicated in the demand until the demand expires or is revoked. The investigation staff needs to issue a notice to produce to obtain the preserved transmission data.

If you disagree with the preservation demand

• You can contact the investigation staff and hold informal discussions to come to an agreement on the scope and data to preserve. The investigation staff can agree to amend or reissue the demand. The contact information of the investigation staff can be found in the demand.
• Alternatively, you can formally request that the CRTC review the demand by submitting written representations to the CRTC.
  • A TSP may apply for a review of a preservation demand within 5 business days of its receipt.
    • The definition of “business day” can be found in Information Bulletin 2023-368, (see paragraph 73).
  • A preservation demand may be reviewed if the TSP argues that the preservation of some or all of the data would create an undue burden on its organisation.
  • A TSP may also ask the CRTC to review the conditions imposed to prevent disclosure of the demand’s content or existence.
  • Representations can be submitted to the CRTC by regular mail, fax or My GcKey. Refer to the preservation demand for specific details.

Things to keep in mind when requesting a CRTC review

• TSPs are encouraged to explain how and why the preservation of the data would create an undue burden or what issues exist with the conditions imposed.
• If TSPs are only in disagreement with some parts of the demand, they should clearly indicate which ones are disputed and propose what changes the CRTC might make.
• The investigation staff has 1 business day to provide representations following the receipt of the request to review a preservation demand.
• Should the CRTC’s decision take more than 5 business days, the TSP is still required to keep the 5 initial days of transmission data requested but not for additional days until the CRTC makes a determination on the file.

For additional information, refer to paragraphs 17 to 21 and paragraphs 82 to 100 of Information Bulletin 2023-368.

Notice to Produce

This is a formal request from the investigation staff (also known as the designated person) to provide documentation you might have in your possession. The notice can be sent to any person the investigation staff believes has relevant information that would be helpful to their investigation.

Why you received this notice

The investigation staff believes that you are in possession of information it believes is relevant to an ongoing investigation. Investigations are conducted to ensure there is compliance with CASL and to determine if there are possible violations of sections 6 to 9 of CASL.

 Important timelines

The person that receives the notice to produce typically has 30 days to respond. Refer to the notice to produce to confirm the deadline.

How to respond

If you agree with the notice to produce

• You gather the relevant information and respond to the investigation team with the supporting documentation. The contact information can be found in the notice.

If you disagree with the notice to produce

• You can contact the investigation staff and hold informal discussions to come to an agreement on the scope and type of information requested. The contact information of the investigation staff can be found in the notice.
• Alternatively, you can formally request that the CRTC review the notice by submitting written representations to the CRTC:
  • A person may apply for a review of a notice to produce before the deadline to produce the documentation has passed.
  • A notice to produce may be reviewed if the person argues that the production requirements are unreasonable or would, for example, disclose privileged information.
  • A person may also ask the CRTC to review the conditions imposed to prevent disclosure of the notice’s content or existence.
  • Representations can be submitted to the CRTC by regular mail, fax or My GcKey. Refer to the notice to produce for specific details.

Things to keep in mind when requesting a CRTC review

• Persons are encouraged to provide details as to how the notice to produce is not reasonable.
• The investigation staff can submit representations to respond to the review request.
• The notice to produce is suspended until the CRTC makes a determination on the file.

For additional information, refer to paragraphs 22 to 27 and paragraphs 101 to 118 of Information Bulletin 2023-368.

Warning letter

Warning letters are an alternative enforcement measure used by the investigation staff (also known as the designated person) to ensure compliance with CASL. They can be addressed to any person the investigation staff believes to be in possible violation of CASL.

Why you received this letter

The investigation staff believes that you are in possible violation of CASL, but the severity, number of violations or a variety of other factors do not warrant a stronger enforcement measure.

 Important timelines

You should implement the corrective measures proposed in the letter to resolve the problem and prevent further violations as soon as possible.

How to respond

There are no obligations to respond to a warning letter, and there is no formal review mechanism for warning letters. However, you should implement the corrective measures proposed in the letter.

Things to keep in mind regarding warning letters

• Warning letters are not published on the CRTC’s website, but may be referenced in other CRTC reports or communications.
• Warning letters do not reflect formal findings by the CRTC.
• A warning letter does not prevent the investigation staff from imposing other enforcement measures if the proposed corrective measures have not been implemented.

For additional information, refer to paragraphs 57 to 59 of Information Bulletin 2023-368.

Undertakings

An undertaking is a voluntary, negotiated agreement, which aims at addressing a compliance issue or allegations of non-compliance.

Why you received this undertaking

The investigation staff (also known as the designated person) believes that you committed a violation (or violations) of CASL and would like to resolve the situation through a negotiated agreement.

 Important timelines

Failure to show clear willingness to negotiate or failure to meet the negotiation deadlines, will generally lead investigation staff to terminate the negotiations and select an alternative compliance solution (i.e., typically a notice of violation).

How to respond

If you agree to hold the settlement discussion, a draft undertaking will be prepared by investigation staff.

If the settlement offer is accepted

• Both parties will sign the undertaking.
• This agreement puts an end to the case. As a result, a notice of violation can not be issued after an undertaking for the exact same facts. If a notice of violation was issued prior to the undertaking for any of the violations at issue, the proceeding related to that notice of violation will automatically come to an end, as it relates to those violations.

If the settlement offer is refused

• Investigation staff will typically issue a notice of violation.

Things to keep in mind regarding undertakings

• An undertaking generally entails a recognition of the acts or omissions leading to non-compliance that may then be reflected in a notice of violation.
• A successful undertaking generally entails a monetary penalty to be paid.
• A brief description of the violations and entity responsible are usually published on the CRTC’s website.

For additional information, refer to paragraphs 44 to 48 of Information Bulletin 2023-368.

Related links

• Enforcement processes: Unsolicited Telecommunications Rules (UTR)
• Enforcement processes: Voter Contact Registry (VCR)
• Compliance and enforcement processes: What you should know
• Enforcement actions
• Information Bulletin 2023-368

Date modified:

2024-06-07