Effective date
This policy framework took effect February 5, 2020.
Introduction
On April 26, 2018, the Canadian International Trade Tribunal Rules (Rules) were amended to modernize the Tribunal’s procedures and enhance their transparency and efficiency. Rule 12 stipulates that the Tribunal must receive case-related information in electronic format for the purpose of the official and original record.
Purpose
The purpose of this policy framework is to ensure that parties abide by the Tribunal’s guidelines when filing case documents electronically (e-filing). The framework will identify and correct deficiencies related to e-filing and will assist the Tribunal in managing cases in an effective, accessible and efficient manner.
Specifically, the framework will define roles and responsibilities, identify requirements and suggest the necessary course of action to correct non-compliance when filing case-related information. It will also assist the Registrar in addressing inadequacies.
The compliance framework is supported by the Rules and Tribunal guidelines and procedures. Please refer to the appended documents for more information.
Objective
The objective of this policy framework is to provide clear guidance to Tribunal stakeholders (parties and counsel) and to enforce compliance when e-filing public and protected case documents. Stakeholders include anyone on an international scale who falls under the Tribunal’s mandate within five key areas:
- Anti-dumping injury inquiries
- Procurement inquiries
- Customs and excise appeals
- Economic and tariff inquiries
- Safeguard inquiries
Application
This policy framework applies to all documents filed electronically concerning all cases before the Tribunal and in accordance with requirements in the Rules.
This policy framework applies to all parties and counsel and their representatives.
This policy framework enables the Tribunal to enforce its guidelines when filed documents are non-compliant.
Roles and responsibilities
Tribunal stakeholders (parties and counsel)
Stakeholders are responsible for:
- following the Tribunal’s technical requirements when filing documents electronically;
- reporting technical issues to the Tribunal and seeking guidance;
- classifying, designating and marking case-related information provided to the Tribunal to ensure the appropriate security classifications and safeguards are applied;
- ensuring that all representatives and their staff adhere to the Tribunal’s requirements when preparing and filing documents electronically;
- filing case documents in accordance with the case schedule and advising the Registrar of inability to file documents electronically.
Senior registrar officers and registrar officers
Senior registrar officers and registrar officers are responsible for:
- reviewing documents filed electronically and ensuring compliance with the Tribunal’s guidelines;
- documenting and reporting regularly document deficiencies to the Deputy Registrar and/or the Registrar;
- providing ongoing support to stakeholders with regard to electronic filing of case documents;
- assisting the Deputy Registrar and the Registrar in providing tools and resources to parties and counsel for effective case management.
Registrar and Deputy Registrar
The Registrar and Deputy Registrar are responsible for:
- ensuring effective and efficient case management;
- enforcing the Tribunal’s Guidelines on Filing Documents;
- Providing assistance, training and guidance to stakeholders in regard to e-filing;
- Advising stakeholders of the potential consequences associated with non-compliance with the Tribunal’s Guidelines on Filing Documents;
- documenting instances of non-compliance;
- taking remedial action(s) to address inadequacies.
Definition of non-compliance—Factors to consider
The following factors are to be considered when reviewing the e-filing of documents and identifying deficiencies:
Naming convention
Incorrect or missing information (Tribunal Case No. – Party – Subject – Confidentiality Designation)
Confidentiality
- Incorrect or missing confidentiality designation;
- Missing identification of protected information;
- Public version or summary not submitted;
- “Protected” watermark omitted on pages;
- Confidential information inserted in the public version of documents;
- Improperly redacted public version;
- All other requirements under the Tribunal’s Confidentiality Guidelines.
Format standards
- PDF format not filed;
- Multiple files submitted;
- Excel versions of Tribunal questionnaires not filed;
- Scanned document(s) – inadequate resolution/low quality;
- Scanned document(s) – original scanned document(s) vs. document(s) converted to PDF format from native format;
- PDF file not scanned through optical character recognition;
- Password-protected document(s);
- Embedded files attached;
- Font (document[s] in foreign language not scanned);
- File size limitations exceeded;
- Page size or format inadequate;
- Incorrect pagination.
Methodology
A three-tiered approach across all mandates will monitor adherence to the Tribunal’s requirements and ensure long-term results.
Tier 1—Resources, tools and training
First non-compliance
The Office of the Registrar will carefully review all e-filings and identify deficiencies in accordance with its guidelines. The party won’t have to refile documents accepted by the Tribunal.
However, the party will be invited to discuss the issue(s) and review the non-compliant document(s) as well as the Tribunal’s e-filing requirements.
Additional resources such as group training sessions, one-on-one training, webinars, the Registrar’s assistance prior to filing a new document and feedback will be suggested and provided to the party.
Second non-compliance
The Office of the Registrar will review all e-filings and identify deficiencies in accordance with its guidelines. The party won’t have to refile documents accepted by the Tribunal.
When it identifies deficiencies, the Tribunal will contact the party to discuss the issue(s) and review the non-compliant document(s). The Deputy Registrar or the Registrar will recommend additional training such as group training sessions, one-on-one training, webinars, a review of the guidelines, assistance with future e-filings and feedback.
In addition to the above measures, the Tribunal will issue a letter to the party describing the problem(s) and the support provided by the Tribunal. The correspondence will also underline the potential consequences of future non-compliance and the importance of adhering to the Tribunal’s guidelines.
Tier 2—Non-compliance notices
Third non-compliance
The Tribunal will issue a written notice to the party and request that document(s) be refiled according to its Guidelines on Filing Documents. The Tribunal will refer the party to its guidelines and will include in the correspondence the course of action should future electronic filing be considered non-compliant. The party will be advised that, should future documents not be filed in accordance with the Tribunal guidelines, it will have to show cause as to why the Tribunal should find the e-filing to be deemed acceptable.
The Tribunal will also provide the party with a summary of past non-compliance and corrective measures requested thus far.
At this point, the party may opt to show cause as to why the Tribunal should find the “deficient” e-filing acceptable.
Fourth non-compliance
The Tribunal will again issue a written notice to the party and request that document(s) be refiled according to its Guidelines on Filing Documents. The Tribunal will refer the party to its guidelines and will inform the party of the Tribunal’s last proceeding should future filing be judged inadequate. The party will have to show cause as to why the Tribunal should find the e-filing acceptable.
The Tribunal will for a second time provide the party with a summary of past non-compliance and corrective measures requested thus far.
The party may opt to show cause as to why the Tribunal should find the “deficient” e-filing acceptable.
Tier 3—Rejection notice
Fifth non-compliance
The Tribunal will issue a final notice to the party informing them of non-compliance and therefore rejecting the party’s e-filing.
Request for late filing
The party will be advised to apply to the Tribunal for an extension of time to file acceptable case documents and explain why late filing should be allowed.
The Tribunal will notify the party of its decision and provide explanations where it considers it appropriate.
Monitoring/resources and tools
Monitoring
The application of this policy framework will be monitored by the Registrar and its personnel. Compliance with this policy framework is also subject to a semi-annual review of progress and effectiveness in implementing the policy as well as any new issues or improvements that have arisen since the previous reporting period.
Resources and tools
Non-compliance checklist
The checklist will assist the Registrar and its personnel in identifying deficiencies for all non-compliant case documents filed with the Tribunal. It will outline the measures required to straighten the enforcement of the e-filing guidelines.
E-filing non-compliance report
The report will capture information on deficiencies and all actions taken thus far. It will also support the Tribunal’s efforts to achieve effective case management.
Summary of non-compliance issues and remedial actions
This report will be provided to the party at fault following the second and third occurrences. The objective is to inform stakeholders and assist them in understanding the importance of adequate e filing.