O. Reg. 365/17: ADMINISTRATIVE PENALTIES, Under: Pension Benefits Act, R.S.O. 1990, c. P.8
Today, December 5, 2024, current consolidated laws on e-Laws are current (up-to-date) to November 1, 2024 (e-Laws currency date).
Pension Benefits Act
ADMINISTRATIVE PENALTIES
Consolidation Period: From October 16, 2024 to the e-Laws currency date.
Last amendment: 392/24.
Legislative History: 151/19, 521/20, 532/21, 392/24.
This is the English version of a bilingual regulation.
Interpretation
Interpretation
1. (1) A provision that is listed in a Schedule to this Regulation without reference to a statute or regulation is a provision of the Act.
(2) In this Regulation,
Note: On January 1, 2025, the day section 17 of Schedule 33 to the Stronger, Fairer Ontario Act (Budget Measures), 2017 comes into force, subsection 1 (2) of the Regulation is amended by adding the following definition: (See: O. Reg. 392/24, s. 1)
“Asset Transfers Regulation” means Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) made under the Act; (“règlement sur les transferts d’éléments d’actif”)
“General Regulation” means Regulation 909 of the Revised Regulations of Ontario, 1990 (General) made under the Act. (“Règlement général”)
Note: On January 1, 2025, the day section 17 of Schedule 33 to the Stronger, Fairer Ontario Act (Budget Measures), 2017 comes into force, subsection 1 (2) of the Regulation is amended by adding the following definitions: (See: O. Reg. 392/24, s. 1)
“Target Benefits Regulation” means Ontario Regulation 386/24 (Target Benefits) made under the Act; (“règlement sur les prestations cibles”)
“Written Policies Regulation” means Ontario Regulation 387/24 (Written Policies under Section 10 of the Act) made under the Act. (“règlement sur les politiques écrites”)
General Administrative Penalties Imposed under Section 108.2 of the Act
Prescribed provisions
2. The provisions of the Act or of a regulation that are listed in Schedule 1 are prescribed for the purpose of imposing a general administrative penalty under section 108.2 of the Act.
Determination of amount of penalty
3. (1) The Chief Executive Officer may determine the amount of an administrative penalty under section 108.2 of the Act, subject to the limits set out in section 108.4 of the Act. O. Reg. 365/17, s. 3 (1); O. Reg. 151/19, s. 1 (1).
(2) The Chief Executive Officer shall consider only the following criteria when determining the amount of an administrative penalty to be imposed for either of the purposes set out in subsection 108.1 (2) of the Act:
1. The degree to which the contravention or failure was intentional, reckless or negligent.
2. The extent of the harm or potential harm to others resulting from the contravention or failure.
3. The extent to which the person who is contravening or not complying with or who has contravened or failed to comply with a provision tried to mitigate any loss or to take other remedial action.
4. The extent to which the person who is contravening or not complying with or who has contravened or failed to comply with a provision derived or reasonably might have expected to derive, directly or indirectly, any economic benefit from the contravention or failure.
5. Any other contraventions of or failures to comply with a requirement established under the Act or with the pension benefits legislation of a designated jurisdiction during the preceding five years by the person. O. Reg. 365/17, s. 3 (2); O. Reg. 151/19, s. 1 (1).
Deadline for paying penalty
4. (1) A person on whom a penalty has been imposed by the Chief Executive Officer under subsection 108.2 (1) of the Act and who has not requested a hearing on the notice of the intended decision under subsection 108.2 (2) of the Act shall pay the penalty within 30 days after the person receives the order or such longer time as may be specified in the order. O. Reg. 365/17, s. 4 (1); O. Reg. 151/19, s. 1 (1).
(2) If a person requests a hearing on the notice on the intended decision in accordance with subsection 108.2 (5) of the Act, the person shall, within 30 days after the matter is finally determined or such longer time as may be specified by order, pay any penalty imposed on the person. O. Reg. 365/17, s. 4 (2).
Summary Administrative Penalties Imposed under Section 108.3 of the Act
Prescribed provisions
5. The provisions of the Act or of a regulation that are listed in Column 1 of Schedule 2 are prescribed for the purpose of imposing a summary administrative penalty under section 108.3 of the Act.
Daily penalty
6. Subject to the maximum amount specified in section 108.4 of the Act, the Chief Executive Officer may impose an administrative penalty in the amount that is set out in Column 2 of Schedule 2 opposite a provision set out in Column of 1 of the Schedule for each day on which the contravention of or failure to comply with the provision occurs or continues. O. Reg. 365/17, s. 6; O. Reg. 151/19, s. 1 (1).
Deadline for paying penalty
7. (1) A person on whom an administrative penalty has been imposed by the Chief Executive Officer under subsection 108.3 (1) of the Act and who has not appealed the order under subsection 108.3 (4) of the Act shall pay the penalty within 30 days after the day the person receives the Chief Executive Officer’s order or such longer time period as may be specified in the order. O. Reg. 365/17, s. 7 (1); O. Reg. 151/19, s. 1.
(2) A person who appeals the Chief Executive Officer’s order to impose an administrative penalty under subsection 108.3 (4) shall, if the order is confirmed or varied by the Tribunal, within 30 days after the matter is finally determined or such longer time as may be specified by order, pay any penalty imposed on the person. O. Reg. 365/17, s. 7 (2); O. Reg. 151/19, s. 1 (2).
8. Omitted (provides for coming into force of provisions of this Regulation).
SCHEDULE 1
GENERAL ADMINISTRATIVE PENALTIES IMPOSED UNDER SECTION 108.2 OF THE ACT
| Item | Provision |
| 1. | subsection 12 (1) |
| 2. | subsection 19 (3) |
| 3. | section 23 |
| 4. | subsection 26 (5) |
| 5. | section 61 |
| 6. | section 62 |
| 7. | subsection 67.3 (4) |
| 8. | subsection 68 (2) |
| 9. | subsection 68 (4) |
| 10. | subsection 68 (4.1) |
| 11. | subsection 69 (3) |
| 12. | subsection 69 (4) |
| 13. | subsection 72 (1.1) |
| 14. | subsection 75.1 (1) |
| 15. | subsection 78 (1) |
| 16. | subsection 78 (2) |
| 17. | subsection 79.1 (1) |
| 18. | subsection 79.1 (2) |
| 19. | subsection 97 (2) |
| 20. | section 2 of the General Regulation |
| 21. | subsection 3 (3) of the General Regulation |
| 22. | subsection 3 (4) of the General Regulation |
| 23. | section 3.2 of the General Regulation |
| 24. | subsection 4 (4) of the General Regulation |
| 24.1 | subsection 4.1 (3) of the General Regulation |
| 24.2 | subsection 4.1 (7) of the General Regulation |
| 24.3 | subsection 4.1 (8) of the General Regulation |
| 24.4 | subsection 4.1 (11) of the General Regulation |
| 24.5 | subsection 4.1 (13) of the General Regulation |
| 24.6 | subparagraph 2 i of subsection 4.1 (22) of the General Regulation |
| 24.7 | subparagraph 2 ii of subsection 4.1 (22) of the General Regulation |
| 25. | subsection 5.4 (1) of the General Regulation |
| 26. | subsection 5.4 (2) of the General Regulation |
| 27. | subsection 5.4 (3) of the General Regulation |
| 28. | subsection 5.4 (4) of the General Regulation |
| 29. | subsection 5.4 (5) of the General Regulation |
| 30. | subsection 5.4 (6) of the General Regulation |
| 31., 32. | Revoked: O. Reg. 532/21, s. 1. |
| 33. | subsection 6 (3) of the General Regulation |
| 34. | clause 6 (5) (b) of the General Regulation |
| 35. | clause 6 (5) (c) of the General Regulation |
| 36. | clause 6 (5) (d) of the General Regulation |
| 37. | subsection 6.0.4 (7) of the General Regulation |
| 38. | subsection 6.0.4 (9) of the General Regulation |
| 39. | subsection 6.0.4 (10) of the General Regulation |
| 40. | section 6.1 of the General Regulation |
| 41. | subsection 6.2 (1) of the General Regulation |
| 42. | subsection 6.2 (2) of the General Regulation |
| 43. | subsection 6.2 (4) of the General Regulation |
| 44. | subsection 6.2 (5) of the General Regulation |
| 45. | subsection 12 (2) of the General Regulation |
| 46. | subsection 20 (2) of the General Regulation |
| 47. | subsection 22.1 (3) of the General Regulation |
| 48. | section 24 of the General Regulation |
| 49. | subsection 28 (2.1) of the General Regulation |
| 50. | subsection 28 (2.2) of the General Regulation |
| 51. | subsection 28 (4) of the General Regulation |
| 52. | subsection 28 (4.1) of the General Regulation |
| 53. | subsection 28 (5.1) of the General Regulation |
| 54. | subsection 28.1 (3) of the General Regulation |
| 55. | subsection 28.1 (5) of the General Regulation |
| 56. | subsection 29 (3) of the General Regulation |
| 57. | subsection 29.1 (1) of the General Regulation |
| 58. | Subsection 29.1 (4) of the General Regulation |
| 59. | subsection 29.2 (2) of the General Regulation |
| 60. | subsection 29.2 (3) of the General Regulation |
| 61. | subsection 29.2 (4) of the General Regulation |
| 62. | subsection 30.2 (6) of the General Regulation |
| 63. | subsection 30.2 (7) of the General Regulation |
| 64. | subsection 30.2 (10) of the General Regulation |
| 65. | subsection 30.2 (11) of the General Regulation |
| 66. | section 38 of the General Regulation |
| 67. | subsection 39 (1) of the General Regulation |
| 68. | subsection 39 (2) of the General Regulation |
| 69. | subsection 40 (2) of the General Regulation |
| 70. | subsection 40.1 (2) of the General Regulation |
| 71. | subsection 40.1 (3) of the General Regulation |
| 72. | subsection 40.2 (2) of the General Regulation |
| 73. | subsection 40.2 (3) of the General Regulation |
| 74. | subsection 41 (2) of the General Regulation |
| 75. | subsection 43 (1.1) of the General Regulation |
| 76. | subsection 43(3) of the General Regulation |
| 77. | subsection 44 (1) of the General Regulation |
| 78. | subsection 44 (2) of the General Regulation |
| 79. | subsection 44 (4) of the General Regulation |
| 80. | subsection 45 (5) of the General Regulation |
| 81. | subsection 51.1 (7) of the General Regulation |
| 82. | section 57 of the General Regulation |
| 83. | subsection 76 (16) of the General Regulation |
| 84. | subsection 79 (1) of the General Regulation |
| 85. | subsection 7 (2) of Schedule 1.1 to the General Regulation |
| 86. | subsection 7 (7) of Schedule 1.1 to the General Regulation |
| 87. | subsection 13 (2) of Schedule 1.1 to the General Regulation |
| 88. | subsection 16 (1) of Schedule 1.1 to the General Regulation |
| 89. | subsection 17 (1) of Schedule 1.1 to the General Regulation |
| 90. | subsection 5 (2) of Schedule 3 to the General Regulation |
| 91. | subsection 5 (8) of Schedule 3 to the General Regulation |
| 92. | subsection 5 (9) of Schedule 3 to the General Regulation |
| 93. | subsection 10 (2) of Schedule 3 to the General Regulation |
| 94. | subsection 13 (1) of Schedule 3 to the General Regulation |
| 95. | subsection 14 (1) of Schedule 3 to the General Regulation |
| 96. | section 25 of Ontario Regulation 287/11 (Family Law Matters) |
| 97. | section 37 of Ontario Regulation 287/11 (Family Law Matters) |
| 98. | subsection 42 (2) of Ontario Regulation 287/11 (Family Law Matters) |
| 99. | section 6 of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 100. | section 15 of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 101. | subsection 16 (2) of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 102. | subsection 16 (5) of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 103. | section 17 of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 104. | subsection 21 (2) of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 105. | section 22 of Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act) |
| 106. | section 10 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) |
| 107. | section 11 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) |
| 108. | section 12 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) |
| 109. | section 16 of Ontario Regulation 311/15 (Conversions and Transfers of Assets Under Section 80.4 of the Act and Conversions under Section 81.0.1 of the Act) |
O. Reg. 365/17, Sched. 1; O. Reg. 521/20, s. 1; O. Reg. 532/21, s. 1.
Note: On January 1, 2025, the day section 17 of Schedule 33 to the Stronger, Fairer Ontario Act (Budget Measures), 2017 comes into force, Schedule 1 to the Regulation is amended by adding the following items: (See: O. Reg. 392/24, s. 2 (1))
| 18.1 | subsection 79.1 (3) |
. . . . .
| 39.1 | subsection 6.0.6 (1) of the General Regulation |
| 39.2 | subsection 6.0.6 (3) of the General Regulation |
. . . . .
| 67.1 | paragraph 1 of subsection 39 (1.1) of the General Regulation |
. . . . .
| 80.1 | section 46.1 of the General Regulation |
Note: On January 1, 2025, the day section 17 of Schedule 33 to the Stronger, Fairer Ontario Act (Budget Measures), 2017 comes into force, items 99 to 105 of Schedule 1 to the Regulation are amended by striking out “Ontario Regulation 310/13 (Asset Transfers under Sections 80 and 81 of the Act)” wherever it appears and substituting in each case “the Asset Transfers Regulation”. (See: O. Reg. 392/24, s. 2 (2))
Note: On January 1, 2025, the day section 17 of Schedule 33 to the Stronger, Fairer Ontario Act (Budget Measures), 2017 comes into force, Schedule 1 to the Regulation is amended by adding the following items: (See: O. Reg. 392/24, s. 2 (3))
| 105.1 | section 30 of the Asset Transfers Regulation |
| 105.2 | subsection 31 (2) of the Asset Transfers Regulation |
| 105.3 | subsection 31 (5) of the Asset Transfers Regulation |
. . . . .
| 110. | clause 5 (a) of the Target Benefits Regulation |
| 111. | subsection 10 (2) of the Target Benefits Regulation |
| 112. | clause 10 (7) (b) of the Target Benefits Regulation |
| 113. | clause 10 (7) (c) of the Target Benefits Regulation |
| 114. | subsection 7 (1) of the Written Policies Regulation |
SCHEDULE 2
SUMMARY ADMINISTRATIVE PENALTIES IMPOSED UNDER SECTION 108.3 OF THE ACT – PRESCRIBED DAILY PENALTY
| Item | Column 1 | Column 2 |
| 1. | subsection 3 (2) of the General Regulation | $200 |
| 2. | subsection 13 (1) of the General Regulation | $200 |
| 3. | subsection 14 (10) of the General Regulation | $200 |
| 4. | subsection 16.1 (1) of the General Regulation | $200 |
| 5. | subsection 18 (1) of the General Regulation | $100 |
| 6. | subsection 32 (1) of the General Regulation | $200 |
| 7. | subsection 32.1 (1) of the General Regulation | $200 |
| 8. | subsection 76 (4) of the General Regulation | $200 |
| 9. | subsection 77 (1) of the General Regulation | $100 |
| 10. | subsection 78 (4) of the General Regulation | $100 |
| 11. | subsection 78 (5) of the General Regulation | $100 |
| 12. | subsection 78 (6) of the General Regulation | $100 |
