5th Mini-LLB for Regulators

Best practices to minimize the risk of regulator liability
Date: September 9 & 10, 2014
Location: Ottawa
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Hear from some of Canada’s sharpest legal minds and regulatory affairs experts on what regulators need to know about the law and administrative rules:

Administrative fairness guidelines and the duty of fairness

Statutes governing judicial review

Regulatory enforcement tools

Handling of preliminary motions and objections

Potential legal consequences for regulators

The role of accountability in regulatory discretion

Regulatory process requirements

Setting transparent program objectives

The components of tribunal independence

Measures for achieving and enhancing consistency


Ryan Morris, WeirFoulds LLP
Ryan Morris is a Partner at WeirFoulds LLP. He regularly advises clients on various areas of domestic and international taxation matters, including mergers and acquisitions, financings and a broad range of corporate tax matters. Ryan also represents clients with audits, voluntary disclosures and appeals.
Martin Masse, McMillan LLP
Martin Masse is a Partner at McMillian LLP. His commercial and regulatory law practice focuses on competition matters, international trade law and procurement matters. He also deals with other federal regulatory matters including Federal Court advocacy, aboriginal law, and telecommunications law.
Gilles Brasseur, Public Works and Government Services Canada
Gilles Brasseur is Manager, Environmental Regulations and Assessments at Public Works and Government Services Canada.
Alexandra Clark , Investment Industry Regulatory Organization of Canada
Alexandra Clark is currently the Director of Enforcement Litigation at the Investment Industry Regulatory Organization of Canada (IIROC).
John Foran, Natural Resources Canada
John Foran is Director of the Oil & Gas Policy & Regulatory Affairs Division of Natural Resources Canada.
Patrick Hoey, Hydro Ottawa
Patrick Hoey is the Director, Regulatory Affairs for Hydro Ottawa Limited. He has over 30 years of regulatory experience.
Christopher Hynes, Transport Canada
Christopher Hynes is Chief, Regulatory Projects, Aviation Security Regulatory Review at Transport Canada.
Shawn Irving, Osler, Hoskin & Harcourt LLP
Shawn Irving is a Partner at Osler, Hoskin & Harcourt LLP.
Michael James, Canadian Nuclear Safety Commission
Mike James is Senior Counsel at the Nuclear Safety Commission, where his focus includes litigation, compliance and enforcement matters.
Elisabeth Lang, Office of the Superintendent of Bankruptcy Canada
Elisabeth Lang is the Director General, Program Policy and Regulatory Affairs with the Office of the Superintendent of Bankruptcy Canada.
J. Bruce McMeekin, J Bruce McMeekin Law
J. Bruce McMeekin is Principal at J Bruce McMeekin Law. He has expertise in regulatory investigations, inspections, prosecutions and enforcement.
Alain Musende, Health Canada
Alain Musende is Manager, Regulatory Advertising Section at Health Canada.
John Norman, Gowling Lafleur Henderson LLP
John Norman is a Partner at Gowling Lafleur Henderson LLP. He has extensive experience in pharmaceutical regulations and patent litigation.
Usman Sheikh, Bennett Jones LLP
Usman M. Sheikh is a Lawyer at Bennett Jones LLP and former Litigation Counsel with the Enforcement Branch of the Ontario Securities Commission.
Melisse Willems, The College of Audiologists and Speech-Language Pathologists of Ontario (CASLPO)
Melisse Willems is the Director of Professional Conduct for the College of Audiologists and Speech-Language Pathologists of Ontario. She is a lawyer who has worked for hospitals and regulatory health colleges.


Procedural Fairness In Administrative Proceedings
Procedural fairness should generally govern all action taken by administrative bodies. The content of the duty of procedural fairness is highly contextual. This session will examine the principles of procedural fairness and how they may be applied in various administrative contexts.

Scope of the duty of procedural fairness

Elements of the duty of procedural fairness

Principles of procedural fairness as applied to administrative hearings

Rule against bias

Duty to give reasons

The Judicial Review Process
Courts are usually reluctant to overturn decisions of tribunals and other administrative bodies, except in limited circumstances. This session provides an overview of the judicial review process and explores how you can discharge your statutory duties and minimize the likelihood of being reversed by the courts for violating an expected standard of fairness.

Deference to the tribunal’s expertise: how far will judges defer to decision-maker expertise

What standards apply to judicial reviews vs. appeals

Impact of bias allegations on judicial review proceedings

Remedies available on judicial review

Bars to judicial review

Regulatory Compliance & Enforcement
The goal of compliance and enforcement is to ensure parties adhere to regulatory requirements. These initiatives centre on monitoring to gauge compliance, investigating allegations of non-compliance and holding accountable persons who breach their duties. This session will examine these processes and the tools used.

Differences between compliance and enforcement

Administrative penalties being added to compliance tools

Regulatory enforcement tools

Consistency in Tribunal Decision Making
This session will examine the different methods, tools and practices used to address issues of consistency within adjudicative administrative tribunals.

Necessity of consistency: the meaning of consistency

Addressing the entire range of tribunal management and conduct

Measures for achieving and enhancing consistency

Discretion in decision making

Regulatory Investigations Best Practices
This session will help regulators distinguish between regulatory inspections/audits and investigations, and provide best practices for dealing with each scenario.

Understanding the significance of recent proceedings

Taking the predominant purpose test

Determining when an adversarial relationship is engaged

Prudent Regulatory Practice: Ensuring Favourable Tribunal Decisions
This session will highlight best practices for minimizing the chances of tribunal appearances and improving the chances of positive tribunal decisions.

Disclosing the rules, processes & procedures: transparency

Enforcement: proper notification and opportunities to comply

The three 'Ds' : due process, due diligence and documentation

Managing the legal game plan

Crown Discretion and Regulatory Offences
Regulatory offences are often prosecuted by Crown counsel who represent the Attorney General. Regulators should understand the principles behind these prosecutions because the businesses they regulate can be charged with regulatory offences. This session will examine the role and discretionary powers of Crown Counsel in regulatory prosecutions.

Independence of the Crown in management of cases

AG prosecutorial function: guarding the public interest

Preserving discretion and independent judgement

Ensuring Legislation/Regulations Are Consistent with the Legal System
The development process for legislation/regulations is structured in a way that provides a consistent approach to making laws. This session will examine the process for achieving this consistency.

Driving consistent approaches, common standards & language

Ensuring that the new law be in harmony with other relevant acts

Determining how a proposed law relates to legislation it replaces

Strategies for Encouraging, Monitoring and Enforcing Regulatory Compliance
This presentation will explore the "nuts and bolts" of how to set up an effective compliance process and the procedures and policies essential to a proper “compliance ladder.”

The Compliance "Ladder": What are the pre-dominant legislative tools? How and when are they used?

Enforcement: When is "administrative" action enough? When should penal enforcement be considered?

Tools for the future?

Implementation of Regulatory Programs
This session will examine the CEAA 2012 program developed at PWGSC in response to the changes to the Canadian Environmental Assessment Act that were proclaimed in July 2012.

Understanding the changes to CEAA 2012

Developing an action plan to respond

Simple risk based approach to assessing environmental impacts of your project

The Legal/Regulatory Framework for Pipelines in Canada
This discussion details the legal and regulatory framework approving pipelines in Canada, including:

Role of the NEB, NRCan, Cabinet, municipalities and provinces

The public interest in pipeline matters

The role/rights/powers of landowners and pipeline companies

The pipeline arbitration process

Requirements around consultations with First Nations

Developing Regulations With Public Consultation
This session will examine best practices for public consultation in the regulatory reform process, including the duty to consult and other key obligations as part of the consultation process.

Duty to consult and other obligations associated with consultation

Scope of consultation

Mechanisms available to ensure meaningful consultation with stakeholders

Balancing competing interests when undertaking regulatory reform

Ensuring regulator's decisions are transparent regarding public consultation

Creating communication networks

Multimedia Presentations


Regulatory compliance and enforcement
David A. Hausman
Fasken Martineau DuMoulin LLP
Discretion in the regulatory process
Malcolm M. Mercer
McCarthy Tétrault LLP
Consistency in tribunal decision-making
Bryan Finlay, Q.C
WeirFoulds LLP
Regulatory liability
Monica Kowal
Ontario Securities Commission
Regulatory governance: Avoiding liability
Larry Swartz
Morneau Shepell Ltd.
Rules of evidence for administrative hearings
Patti Latimer
Stockwoods LLP
Role in the implementation of regulatory programs
Neil Hartung
Ministry of Consumer Services
Prudent regulatory practice: Ensuring favourable tribunal decisions
Richard Dale
Deposit Insurance Corporation of Ontario
Regulating the regulator as policy-maker
Paul Cowling
Shaw Communications Inc.
Regulatory investigations best practices
Casey W. Halladay
McMillan LLP
Procedural fairness in administrative proceedings
Owen M. Rees
Stockwoods Barristers LLP
Federal regulations process under the CDSR
Anne Tomalin
CanReg Inc.
Regulatory reform best practices: Reducing overlap, duplication and inconsistencies
Cynthia Amsterdam
Heenan Blaikie LLP
Legal framework for administrative hearings
Gregory Kane, Q.C.
Stikeman Elliott LLP
Conducting a risk assessment for developing regulatory initiatives
Christopher B. Hynes
Transport Canada
Horizontal regulatory program assessments of the federal government
John F. Blakney
Fraser Milner Casgrain LLP
Developing Regulations With Public Consultation
Margot Priest
Environmental Protection Review Canada / Goverance and Legislative Reform Group
Tribunal independence
John A. Fabello
Torys LLP
CATSA’s initiatives to measure the impact of regulatory change
Nils Dolstra
Canadian Air Transport Security Authority
Managing litigation in the regulatory environment
Peter N. Mantas
Heenan Blaikie LLP
Regulatory investigations best practices: Detection and fact finding techniques
Mark Katz
Davies Ward Phillips & Vineberg LLP
Following the scope and legal principles of regulatory investigation
Kenneth Jull
Baker & McKenzie LLP
Regulatory enforcement
Danielle Royal
Stikeman Elliott LLP
Natural justice & procedural fairness
Andrew M. Pinto
Pinto Wray James LLP


Bennett Jones LLP

Canadian Nuclear Safety Commission

Gowling Lafleur Henderson LLP

Health Canada

Hydro Ottawa

Investment Industry Regulatory Organization of Canada

J Bruce McMeekin Law

McMillan LLP

Natural Resources Canada

Office of the Superintendent of Bankruptcy Canada

Osler, Hoskin & Harcourt LLP

Public Works and Government Services Canada

The College of Audiologists and Speech-Language Pathologists of Ontario

Transport Canada

WeirFoulds LLP

Who should attend

Senior-level public servants from all government levels responsible for the regulatory process


Price list:-
  • Course: $1975
  • Course and Proceedings : $2274
  • Proceedings Only: $799
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Additional Information

To reserve your place, call Federated Press toll-free at 1-800-363-0722. In Toronto, call (416) 665-6868 or fax to (416) 665-7733. Then mail your payment along with the registration form. Places are limited. Your reservation will be confirmed before the event.
Ottawa Marriott Hotel, 100 Kent Street, Ottawa, ON, K1P 5R7, 800-853-8463
Registration covers attendance for one person, the supplementary course material as described in this document, lunch, morning coffee and refreshments during breaks are provided for registered duration. The proceedings of the event will be captured on audio or video. Multimedia proceedings with all slides and handouts can be purchased separately on a CD-ROM which will also include the event material.
Registration begins at 8:00 a.m. The morning sessions start promptly at 9:00.
Please note that non-attendance at the event does not entitle the registrant to a refund. In the event that a registrant becomes unable to attend following the deadline for cancellation, a substitute attendee may be delegated. Please notify Federated Press of any changes as soon as possible. Federated Press assumes no liability for changes in program content or speakers. A full refund of the attendance fee will be provided upon cancellation in writing received 13 days prior to event date. No refunds will be issued after this date. Please note that a 15% service charge will be held in case of a cancellation.
Federated Press has special team discounts. Groups of 3 or more from the same organization receive 15%. For larger groups please call Sandra Frattolillo at 1-800-363-0722, ext. 223 to get more information.
Payment must be received seven days prior to the event date.