Archived 2009 - Digest of Benefit Entitlement Principles

The following information is out of date.

ARCHIVED NOVEMBER 2009 – CHAPTER 18 - POLICY ON PENALITIES

18.1.0  INTRODUCTION

• 18.1.1  Scope
• 18.1.2  Application and Responsibilities

18.2.0  LEGISLATION  

• 18.2.1  Legislative Authorities
• 18.2.2  Fishing Claims

18.3.0  MISREPRESENTATION  

• 18.3.1 Definitions
  • 18.3.1.1 Misrepresentation 
  • 18.3.1.2 Completed Action 
  • 18.3.1.3 False 
  • 18.3.1.4 Misleading 
  • 18.3.1.5 Knowingly 
• 18.3.2  Onus of Proof
  • 18.3.2.1 Evidence and Proof: The Balance of Probabilities 
  • 18.3.2.2 Resolving Equally Balanced Probabilities 
• 18.3.3  Discretionary Decisions and Penalties
• 18.3.4  Voluntary Disclosure
  • 18.3.4.1 Voluntary Disclosure Policy 
  • 18.3.4.2 Error Correction and Voluntary Disclosure 
• 18.3.5 Non Compliance and Social Insurance Number

18.4.0  PENALTY  

• 18.4.1  Definition
• 18.4.2  Limitations and Restrictions on Penalties
• 18.4.3  Reconsideration, Monetary Penalty and Warning Letters: Timeframes
• 18.4.4  Counting False Statements
  • 18.4.4.1 The Legal Validation Amount 
  • 18.4.4.2 Misrepresentation 
  • 18.4.4.3 Claimant Reports 
  • 18.4.4.4 Claimant Report: Separation from Employment 
  • 18.4.4.5 Exception Reporting (No Cards) 
  • 18.4.4.6 Cashing a Warrant 
  • 18.4.4.7 Outside of Canada 
  • 18.4.4.8 Records of Employment 
  • 18.4.4.9 Totalling the False Statements 

18.5.0  CALCULATING A CLAIMANT PENALTY  

• 18.5.1 Calculating a Claimant Penalty
  • 18.5.1.1 Factors in Calculating a Penalty 
  • 18.5.1.2 Levels of Misrepresentation – A Percentage Value 
  • 18.5.1.3 Reducing a Penalty 
• 18.5.2  Mitigating Circumstances
  • 18.5.2.1 Definition 
  • 18.5.2.2 Application  
• 18.5.3  Legal Validation Amount
• 18.5.4  Caps on Penalties
• 18.5.5  Record of Employment: Reason for Separation Altered
• 18.5.6  Claim not Established or Cancelled Retroactively
• 18.5.7  Counting the False Statements: The Impact of a False ROE or ROE Containing False Information
  • 18.5.7.1 Record of Employment and Application 
• 18.5.8  Claimant Reports and Payments
• 18.5.9  The Penalty Calculation under EIA 38(2)(c)
• 18.5.10 Violation
• 18.5.11 Subsequent Investigation for the Same Period

18.6.0  EMPLOYER PENALTIES  

• 18.6.1  Employer Penalties
  • 18.6.1.1 Scope  
  • 18.6.1.2 Who Can Be Penalized 
  • 18.6.1.3 Defining Employer Misrepresentation 
• 18.6.2 Level of Misrepresentation: Calculating a Penalty under EIA 39(2)
• 18.6.3 Level of Misrepresentation: Calculating a Penalty under EIA 39(2):
            A Fixed Maximum

18.7.0  THIRD PARTY PENALTIES  

• 18.7.1 Introduction
• 18.7.2 Defining Third Party Responsibility
• 18.7.3 Consent
  • 18.7.3.1 Express Consent 
  • 18.7.3.2 Implied Consent 
• 18.7.4  A Claimant and Third Party
• 18.7.5  Employer and Third Party
• 18.7.6  Directors and Officers of the Corporation

18.8.0  WARNING LETTERS  

18.9.0   PROSECUTION  

18.10.0 VIOLATION  

• 18.10.1 Triggering a Record of Violation
• 18.10.2 Determining the Kind of Violation
• 18.10.3 The Classified Violation
  • 18.10.3.1 The Value of the Violation 
  • 18.10.3.2 Calculating the Net Overpayment 
  • 18.10.3.3 Calculating the Potential Overpayment 
  • 18.10.3.4 When the File has Net (Real) and Potential Overpayments 
• 18.10.4 Subsequent Violations: An Exception in the Classified Violations
• 18.10.5 The Unclassified Violation
• 18.10.6 Impact of a Violation: Increased Entrance Requirement
• 18.10.7 Limitations
• 18.10.8  Violations on Fishing Claims

18.11.0 AMENDMENT: REMOVING OR REDUCING A PENALTY

18.12.0  APPEALS