Law Society Act
ONTARIO REGULATION 771/92
CLASS PROCEEDINGS
Consolidation Period: From October 1, 2020 to the e-Laws currency date.
Last amendment: 495/20.
Legislative History: 535/95, 71/16, 495/20.
This is the English version of a bilingual regulation.
Definitions
1. In this Regulation,
“defendant applicant” means an applicant for payment under section 59.4 of the Act; (“défendeur requérant”)
“plaintiff applicant” means an applicant for financial support under section 59.3 of the Act; (“demandeur requérant”)
“plaintiff recipient” means a recipient of an award of financial support under section 59.3 of the Act. (“demandeur bénéficiaire”) O. Reg. 771/92, s. 1.
Applications by Plaintiffs under Section 59.3 of the Act
2. A plaintiff applicant shall make a separate application for financial assistance in respect of each of the following stages in a proceeding:
1. Steps taken up to the end of the hearing of a motion for an order certifying the proceeding as a class proceeding.
2. Appeals of orders relating to certification.
3. Steps other than those described in paragraphs 1 and 2 taken up to the end of discovery or cross-examination on affidavits.
4. Steps other than those described in paragraphs 1 to 3 concerning the determination of common issues.
5. Appeals from a judgment on common issues.
6. Steps other than those described in paragraphs 1 to 5. O. Reg. 771/92, s. 2.
3. (1) Every plaintiff applicant shall provide six copies of the following information and documents to the Committee:
1. If the applicant is an individual, his or her name, address, telephone number and fax number, if any.
2. If the applicant is a corporation, its name, head office address, telephone number and fax number and a copy of its articles of incorporation.
3. Each defendant’s name.
4. A statement indicating which of the stages in the proceeding, as set out in paragraphs 1 to 6 of section 2, the application addresses.
5. A copy of the pleadings and any court orders relating to the proceeding.
6. A description of the class and an estimate of the number of members in the class.
7. A legal opinion describing and assessing the merits of the applicant’s case, and any other information and documents the applicant considers appropriate for this purpose.
8. If the applicant has not yet applied for certification of the proceeding as a class proceeding, a statement indicating when the applicant will do so.
9. If the proceeding has not yet been certified as a class proceeding, a legal opinion assessing the likelihood that it will be certified.
10. A statement of the financial support being requested, itemized according to the purposes for which it is being requested.
11. Such information and documents as the applicant considers appropriate to address each of the matters described in clauses 59.3 (4) (b) to (d) of the Act.
12. An affidavit by the applicant stating that the information provided by him, her or it in connection with the application is true.
13. Authorization to the Committee and to the board to verify the information provided by the applicant in connection with the application.
14. The name and address of the applicant’s lawyer.
15. A statement by the lawyer indicating that he or she will accept payments from the Class Proceedings Fund in connection with the application and will use them for the purposes for which the payments are made. O. Reg. 771/92, s. 3 (1).
(2) Despite subsection (1), a plaintiff applicant who makes more than one application in respect of a proceeding is not required to resubmit information and documents provided on a previous application. O. Reg. 771/92, s. 3 (2).
(3) A plaintiff applicant is entitled to make oral submissions to the Committee concerning the applicant’s first application for financial support relating to a particular proceeding. O. Reg. 771/92, s. 3 (3).
4. The Committee shall not award financial support in respect of a particular expert unless the Committee approves the use of the expert and the amount of the disbursements relating to the expert. O. Reg. 771/92, s. 4.
Criteria for Decisions Respecting Plaintiff’s Applications
5. In making a decision under subsection 59.3 (3) of the Act, the Committee may have regard to the following matters:
1. The extent to which the issues in the proceeding affect the public interest.
2. If the application for financial support is made before the proceeding is certified as a class proceeding, the likelihood that it will be certified.
3. The amount of money in the Fund that has been allocated to provide financial support in respect of other applications or that may be required to make payments to defendants under section 59.4 of the Act. O. Reg. 771/92, s. 5.
Conditions of Financial Support for Plaintiffs
6. (1) A plaintiff applicant is not entitled to receive payment of an award under section 59.3 of the Act until he, she or it provides the board with,
(a) a statement of disbursements to which the award relates, certified by the lawyer who made the disbursements to be complete and accurate; or
(b) such other proof that the disbursements have been made as the board considers appropriate. O. Reg. 771/92, s. 6 (1).
(2) The board may make a payment relating to a disbursement that the plaintiff recipient’s lawyer has not yet paid if the board considers that, in the circumstances, the plaintiff recipient would otherwise suffer undue hardship. O. Reg. 771/92, s. 6 (2).
7. (1) The plaintiff recipient shall use the money paid under section 59.3 of the Act only for the purpose for which financial support is authorized in the award. O. Reg. 771/92, s. 7 (1).
(2) If the plaintiff recipient wishes to use any money awarded for a different purpose, he, she or it shall obtain the consent of the Committee before doing so. O. Reg. 771/92, s. 7 (2).
(3) A plaintiff recipient who fails to comply with this section shall repay the amount of the payment. O. Reg. 771/92, s. 7 (3).
8. (1) The conditions set out in this section apply with respect to every payment of financial support made under section 59.3 of the Act. O. Reg. 771/92, s. 8 (1).
(2) A plaintiff recipient who fails to comply with a condition set out in this section shall, at the request of the board, repay the amount of the payment. O. Reg. 771/92, s. 8 (2).
(3) The plaintiff recipient shall notify the defendant in the proceeding,
(a) that the recipient has received financial support from the Class Proceedings Fund in respect of the proceeding;
(b) that there is a charge in favour of the Fund on any award and settlement funds in the proceeding; and
(c) that the amount of the charge is determined under section 10. O. Reg. 771/92, s. 8 (3).
(4) If the proceeding is certified as a class proceeding, the plaintiff recipient shall notify the other class members,
(a) that the recipient has received financial support from the Class Proceedings Fund in respect of the proceeding;
(b) that there will be a levy that reduces the amount of any award or settlement funds to which the class members may become entitled;
(c) that the amount of the levy is the sum of,
(i) the amount of any financial support paid under section 59.3 of the Act, excluding any amount repaid by a plaintiff, and
(ii) 10 per cent of the amount of the award or settlement funds, if any, to which one or more persons in the class is entitled. O. Reg. 771/92, s. 8 (4).
(5) The plaintiff recipient shall give the notice required by subsection (4) on the first occasion that he, she or it is required to give any notice to other class members under the Class Proceedings Act, 1992 that falls after he, she or it is first awarded financial support in the proceeding by the Committee. O. Reg. 771/92, s. 8 (5).
(6) The plaintiff recipient shall give notice to the board of all motions in the proceeding relating to settlement. O. Reg. 771/92, s. 8 (6).
(7) The plaintiff recipient shall provide the board with the following information and documents:
1. Details respecting any change in the information provided in the application for financial support.
2. On request, a copy of every document filed with the court in the proceeding.
3. On request, a copy of every order made by the court in the proceeding. O. Reg. 771/92, s. 8 (7).
(8) The plaintiff recipient shall allow the board to review records relating to disbursements for which financial support is claimed or paid. O. Reg. 771/92, s. 8 (8).
9. If the proceeding to which the award relates is dismissed for delay under subsection 29.1 (1) of the Class Proceedings Act, 1992, discontinued or abandoned, the plaintiff recipient shall, at the request of the board, repay the amount of any payments from the Class Proceedings Fund. O. Reg. 495/20, s. 1.
Levies Against Awards and Settlement Funds
10. (1) This section applies in a proceeding in respect of which a party receives financial support from the Class Proceedings Fund. O. Reg. 771/92, s. 10 (1).
(2) A levy is payable in favour of the Fund,
(a) when a monetary award is made in favour of one or more persons in a class that includes a plaintiff who received financial support under section 59.3 of the Act; or
(b) when the proceeding is settled and one or more persons in such a class is entitled to receive settlement funds. O. Reg. 771/92, s. 10 (2).
(3) The amount of the levy is the sum of,
(a) the amount of any financial support paid under section 59.3 of the Act, excluding any amount repaid by a plaintiff; and
(b) 10 per cent of the amount of the award or settlement funds, if any, to which one or more persons in a class that includes a plaintiff who received financial support under section 59.3 of the Act is entitled. O. Reg. 771/92, s. 10 (3).
(4) Revoked: O. Reg. 535/95, s. 1.
Applications by Defendants under Section 59.4 of the Act
11. Every defendant applicant shall provide the following information and documents to the board:
1. If the applicant is an individual, his or her name, address, telephone number and fax number, if any.
2. If the applicant is a corporation, its name, head office address, telephone number and fax number.
3. An affidavit by the applicant containing,
i. a statement that costs have been awarded in favour of the applicant against the plaintiff, and indicating the stage of the proceeding at which the order was made,
ii. a statement whether the court order fixed the amount of the costs to be paid by the plaintiff and, if so, setting out the amount,
iii. a statement that the order awarding costs has not been appealed and that the certificate, if any, of the assessment officer has not been appealed, and
iv. a statement that the time for appealing the order and the certificate, if any, has expired.
4. If the court order did not fix the amount of the costs to be paid by the plaintiff, either a certificate of assessment of costs or an agreed bill of costs.
5. The name and address of the person to whom payment from the Class Proceedings Fund is to be made.
6. The name and address of the applicant’s lawyer. O. Reg. 771/92, s. 11.
Administration of the Fund
12. Payments from the Class Proceedings Fund to a plaintiff recipient shall be made only to the recipient’s lawyer. O. Reg. 771/92, s. 12.
13. The board shall compile the following information each year for inclusion in its annual report:
1. The number of applications under section 59.3 of the Act that were made, listed by those stages in the proceeding that are set out in paragraphs 1 to 6 of section 2.
2. The number of those applications, listed by stages in the proceeding,
i. in which an award was made, and
ii. in which no award was made.
3. The number of proceedings for which financial support was awarded under section 59.3 of the Act.
4. The total amount of money awarded to applicants under section 59.3 of the Act, listed by type of disbursement.
5. The total amount of money paid from the Class Proceedings Fund to applicants under section 59.3 of the Act.
6. The number of applicants who received financial support under section 59.3 of the Act before the proceeding was certified as a class proceeding and whose proceedings were certified.
7. The number of applicants who received financial support under section 59.3 of the Act,
i. who received judgment on common issues in their favour at trial, or
ii. whose proceedings settled.
8. The number of applications by defendants under section 59.4 of the Act.
9. The total amount of money paid from the Fund to defendants under section 59.4 of the Act.
10. A brief description of each proceeding for which a plaintiff was awarded financial support under section 59.3 of the Act and the amount awarded for each type of disbursement. O. Reg. 771/92, s. 13.
14. Omitted (provides for coming into force of provisions of this Regulation). O. Reg. 771/92, s. 14.