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How does the CRTC enforce the Unsolicited Telecommunications rules

Investigate complaints

Once an investigation is underway the CRTC may contact the telemarketer involved, often compelling the provision of specific information.

The CRTC's investigation activities may include:

• Requesting additional information from the consumer;
• Requiring information, on-site visits and/or interviews with the telemarketer; and
• Requiring information from third parties such as telecommunications service providers.

If the CRTC determines that there is a violation, it takes measures to bring telemarketers into compliance with the rules. These measures include any of the following:

Issue a citation

The CRTC may issue a citation notifying a telemarketer that it has violated the Unsolicited Telecommunications Rules and requiring the telemarketer to take immediate corrective action.  The telemarketer is provided with an opportunity to claim a defense or exemption within 14 days of the issuance of the citation. The CRTC will publish the citation 30 days after issuance unless a valid claim is made, in which case the citation will be revoked.

Firms are expected to amend their telemarketing practices to ensure future compliance with the Rules. If further violations of the Unsolicited Telecommunications Rules occur the telemarketer may be subject to a notice of violation imposing Administrative Monetary Penalties (AMPs).

Agreements with specific undertakings

At any time during the course of an investigation, a telemarketer is welcome to discuss with the CRTC potential corrective actions that the telemarketer can take to bring itself into compliance with the Unsolicited Telecommunications Rules. The outcome of these discussions could be a signed agreement with specific undertakings to implement immediate and ongoing corrective measures and may include the payment of an AMP.
The CRTC may enter into an agreement that would include a payment in lieu of a Notice of Violation setting out AMPs.

The earlier a telemarketer approaches the CRTC to resolve the potential violation, the more advantageous the terms of settlement are likely to be for that telemarketer.

In cases where there is a serious breach of the rules, the CRTC may move directly to issue a notice of violation imposing Administrative Monetary Penalties.

Impose administrative monetary penalties (AMP)

The CRTC has the legislative authority to impose administrative monetary penalties on any telemarketer that violates the Unsolicited Telecommunications Rules.

The maximum penalty for a violation is $1,500 in the case of an individual and $15,000 in the case of a corporation.

A violation that continues for more than one day constitutes a separate violation for each day during which it continues.

The CRTC will prepare an investigation report in cases that could result in a notice of violation being issued to the telemarketer.

Notice of violation

If the CRTC Vice-Chairperson, Telecommunications believes on reasonable grounds that the telemarketer has committed a violation of the rules, a decision will be made to issue a notice of violation to that telemarketer.

The notice of violation will identify the violation and set out the monetary penalty for that violation. Factors that the CRTC will consider when determining the amount of a monetary penalty include:

• the nature of the violation;
• the number and frequency of complaints and violations;
• whether the penalty would incent compliance; and
• the potential for future violation.

A copy of the investigation report will be attached to the notice of violation.

The notice of violation will also advise the telemarketer of its right to either:

• make written representations to the CRTC with respect to the violation, or
• pay the administrative monetary penalty set out in the notice of violation.

If the penalty is paid:

• The process will end and the file will be closed.

If written representations are made by the telemarketer:

• A panel of CRTC Commissioners that does not include the Vice-Chairperson, Telecommunications will review the representations to determine whether, based on the evidence, a violation was committed, and a CRTC decision will be issued.
• if the CRTC determines that a violation was committed, the CRTC will impose the monetary penalty.
• if the CRTC determines that a violation was not committed, the process will end and the penalty will not be imposed.

If the telemarketer neither pays the penalty nor makes representations:

• The telemarketer will be deemed to have committed the violation; and
• The CRTC will impose the penalty through a decision.

CRTC Commissioners will not be involved in the above processes at any time prior to a decision to issue a notice of violation.

Activities prior to a notice of violation will be conducted by CRTC staff;

A decision to issue a notice of violation will be made by the Vice-Chairperson, Telecommunications, without any involvement of other Commissioners; and

Representations made in response to a notice of violation will be reviewed by a panel of Commissioners without any involvement of the Vice-Chairperson, Telecommunications.