Compliance and enforcement processes: Unsolicited Telecommunications Rules
Receiving an enforcement action from the Canadian Radio-television and Telecommunications Commission (CRTC) for possibly violating the Unwanted Telecommunications Rules (the Rules) can be a concerning experience. The Rules aim to protect Canadians from unwanted telemarketing calls and faxes.
If you are facing an enforcement action from the CRTC due to a suspected violation of the Rules, 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
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 request
The investigation staff believes that you have committed alleged violations of the Rules.
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. 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 CRTC will determine whether to impose the penalty.
- A decision will be rendered even in the absence of representations.
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 determination 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).
Request for information letter
Requests for information (RFIs) are formal requests from the investigation staff (also known as the designated person) to provide information or documentation you might have in your possession that would be helpful for their investigation. They can be addressed to any person the investigation staff believes has relevant information for their investigation. Investigations are conducted to ensure there is compliance with the Rules and determine if there are possible violations of the Rules.
Why you received this request
The investigation staff believes you are in possession of information it believes is relevant to an ongoing investigation.
Important timelines
While the person that receives the request for information typically has 30 days to respond, you should refer to the request for information to confirm the deadline.
How to respond
- Gather the relevant information and respond to the investigation team with the supporting documentation. You are legally obligated to respond to the request.
- The contact information of the investigation staff can be found in the request.
- The Telecommunications Act does not provide a formal review mechanism for requests for information.
For additional information, refer to paragraph 28 of Information Bulletin 2023-368.
Citation
Citations are an alternative enforcement measure used by the investigation staff (also known as the designated person) when there is a problem identified under the Rules. They can be addressed to any person the investigation staff believes to be in violation of the Rules.
Why you received this letter
The investigation staff believes that you are in violation of the Rules but the severity, number of violations and a variety of other factors do not warrant the issuance of a notice of violation.
Important timelines
You typically have 14 days to respond to the citation. Refer to the citation to confirm the deadline.
How to respond
If you agree with the citation
- You should confirm receipt of the citation and indicate you intend on implementing the corrective measures proposed in the citation.
- You should implement the corrective measures proposed in the citation as soon as possible.
If you disagree with the citation
- You can submit written representations to the investigation staff.
- Representations should establish that you have a valid defence.
- Any documentation that supports your arguments should be submitted with your representations.
- Representations can be submitted to the investigation staff by regular mail, fax or email. Refer to the citation for specific details.
Things to keep in mind regarding citations
- The responsibility is on you to respond to the citation within 14 days and provide sufficient details for the investigation staff to assess the validity of your defense.
- Citations are published on the CRTC’s website 30 days after issuance unless a valid defence is made.
- Citations identify the person and provisions at issue but are not accompanied by a monetary penalty.
- Citations do not reflect formal findings by the CRTC.
For additional information, refer to paragraphs 53 to 56 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 the Rules. They can be addressed to any person the investigation staff believes to be in possible violation of the Rules.
Why you received this letter
The investigation staff believes that you are in possible violation of the Rules, but the severity, number of violations and 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.
Settlements
A settlement is a voluntary negotiated agreement that aims to address an allegation of non-compliance, or other compliance issue, with the Unsolicited Telecommunications Rules.
Why you received this letter
The investigation staff (also known as the designated person) believes that you committed a violation (or violations) of the Rules 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 elect an alternative compliance solution (i.e., typically a notice of violation).
How to respond
If you agree to hold the settlement discussion
- A draft settlement agreement will be prepared by investigation staff.
If the settlement offer is accepted
- Both parties will sign the agreement.
- If the agreement includes a penalty to be paid, a notice of violation will typically still be issued. However, as a condition of the agreement, once the payment of the penalty identified in the notice of violation is paid, there will be not further proceeding before the CRTC.
- This agreement puts an end to the case.
If the settlement offer is refused
- Investigation staff will typically issue a notice of violation.
Things to keep in mind regarding settlements
- A settlement generally entails a recognition of the acts or omissions leading to non-compliance.
- A successful settlement generally entails a monetary penalty to be paid.
- A brief description of the violations and entity responsible are published on the CRTC’s website.
For additional information, refer to paragraphs 49 to 52 of Information Bulletin 2023-368.
Related links
- Enforcement processes: Canada’s Anti-Spam Legislation (CASL)
- Enforcement processes: Voter Contact Registry (VCR)
- Compliance and enforcement processes: What you should know
- Enforcement actions
- Information Bulletin 2023-368
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