3. What are the steps in the appeal process? ESA has a 3-step appeal process (each step must be completed before proceeding to the next step);

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1 Guidelines for Appeals of Proposals, Notices and Decisions Issued By the Director of Licensing, Electrical Safety Authority (Electricity Act, 1998 Part VIII and O. Reg. 187/09) This document deals with appeals of proposals, notices and decisions issued by the Electrical Safety Authority under: The Electricity Act, 1998 Part VIII relating to granting, refusing to grant, renewing, refusing to renew, suspending, revoking, or subjecting restrictions, limitations, or conditions to a licence as it pertains to the Licensing of Electrical Contractors and Master Electricians Regulation (O.Reg. 570/05). This document is informational only. Part VIII of the Electricity Act, 1998, its Regulations and the Rules for Procedure are the official sources of information and should be read for definitive information. Table of Contents 1. What can be appealed? 2. Who can appeal a Proposal, Notice or Decision? 3. What are the steps in the appeal process? 4. What are the fees associated with an appeal? 5. How can an appeal be filed? 6. Step 1: Appeal before the Director of Licensing 6.1 When can a person request an appeal before the Director? 6.2 What happens to the Licence while a Proposal or Notice is being appealed? 6.3 What is the possible result of an appeal before the Director? 6.4 How will the Director serve notice of his/her decision? 6.5 How can a decision of the Director be appealed? 7. Step 2: Appeal before a Review Panel 7.1 What is a Review Panel? 7.2 What matters does a Review Panel hear? 7.3 When can a person request an appeal before the Review Panel? 7.4 What happens to the Licence while a Director s decision is being appealed? 7.5 What is a Pre-Hearing Conference? 7.6 What is the possible result of an appeal before the Review Panel? 7.7 What are the potential additional costs associated with an appeal to the Review Panel? 7.8 How will the Review Panel serve notice of their decision?

2 7.9 How can the decision of the Review Panel be appealed? 8. What are the possible format(s) for Hearings? 8.1 Oral Hearings 8.2 Electronic Hearings 8.3 Written Hearings 9. Review Panel Members 1. What can be appealed? Proposals, notices or decisions made on licensing matters issued under Part VIII of the Electricity Act, 1998 include, but are not limited to; Notice of Proposals o Refusing to Grant a Licence o Refusing to Renew a Licence o Suspending a Licence o Revoking a Licence o Granting a Licence subject to Restrictions, Limitations or Conditions o Renewing a Licence subject to Restrictions, Limitations or Conditions Notices o Provisional Refusal to Renew a Licence (due to immediate threat to public safety or the safety of any person) o Provisional Suspension of a Licence (due to immediate threat to public safety or the safety of any person) Decisions o The Director s decision, after a hearing, whether or not to carry out the actions stated in a Notice of Proposal or Notice o The Review Panel s decision, after a hearing, to confirm, amend, rescind or impose terms and conditions to the decision of the Director or make whatever other decision that the Review Panel deems appropriate 2. Who can appeal a Proposal, Notice or Decision? Any person named in a Proposal, Notice or Decision issued by the Director of Licensing may initiate the appeal process for that proposal, notice or decision. 3. What are the steps in the appeal process? ESA has a 3-step appeal process (each step must be completed before proceeding to the next step); Step 1 Step 2 Step 3 Appeal before the Director Appeal before the Review Panel Appeal to Divisional Court

3 4. What are the fees associated with an appeal? There is no filing fee to submit a Notice of Appeal before the Director. There is a $100 filing fee to request an appeal before the Review Panel and must accompany a person s filing of a Notice of Appeal before the Review Panel. This nonrefundable fee should be made payable to the Electrical Safety Authority by certified cheque, money order, American Express, Mastercard or Visa. The Applicant is also responsible for their own costs in presenting their case. These costs may include legal fees, expert fees, witness fees, travel costs, etc. 5. How can an appeal be filed? A person who wishes to file a Notice of Appeal before the Director or a Notice of Appeal before the Review Panel should file the following material with ESA s Director of Appeals: A completed Notice of Appeal before the Director form or Notice of Appeal before the Review Panel form; A copy of the Director s Proposal, Notice and/or Decision being appealed; A Notice of Appeal before the Review Panel also requires submission of a $100 filing fee payable to the Electrical Safety Authority by certified cheque, money order, American Express, Mastercard or Visa. This fee is nonrefundable. To help schedule your appeal as soon as possible, please provide a telephone number where you can be reached during the day and your current full address. In addition, if available, kindly provide a fax number where you can receive documents from the Director of Appeals, Director of Licensing or the Review Panel. The above documents should be submitted to: Electrical Safety Authority c/o Director of Appeals 155A Matheson Blvd West, Suite 200, Mississauga, Ontario L5R 3L5 6. Step 1: Appeal before the Director of Licensing 6.1 When can a person request an appeal before the Director? Appeals before the Director may be requested within 15 days after being served with a Proposal or Notice.

4 6.2 What happens to the Licence while a Proposal or Notice is being appealed? The Licence named in a Proposal or Notice remains valid pending the outcome of the appeal before the Director of Licensing, except where, in the Director s opinion, there is or may be a threat to public safety or to the safety of any person, wherein the Director may specify the proposal or action on the Licence take effect prior to the outcome of the hearing. Where the Director has refused to grant a Licence, the Licence will remain un-issued pending the outcome of the appeal before the Director of Licensing. 6.3 What is the possible result of an appeal before the Director? Results after an appeal before the Director may include; Appeal of a Proposal The Director may carry out the action stated in the Proposal if, (a) The Director is satisfied that any of the grounds as set out for the refusal, revocation, or suspension of the licence exists; or (b) The Director is satisfied that the imposition of a restriction, limitation or condition complies with the rules prescribed by the regulations. Appeal of a Notice (Provisional suspension or refusal to renew if safety involved) (a) If the Director is satisfied that a ground as set out for the suspension, revocation or refusal to renew exists, the Director may suspend, revoke or refuse to renew the licence; or (b) If the Director is satisfied that no ground exits, the Director i. Shall reinstate the suspended licence, or ii. Shall renew the licence and may impose restrictions, limitations or conditions on the licence. 6.4 How will the Director serve notice of his/her decision? Within 15 days of receiving the Notice of Appeal before the Director, a written copy of the Director s decision shall be served either by registered mail, in person, by fax or by any other form of electronic transmission providing there is a record that the notice has been sent.

5 6.5 How can a decision of the Director be appealed? If, after a hearing, the Director concludes they are entitled to carry out the actions in the Proposal or Notice, a person may appeal the decision of the Director to the Review Panel by filing a Notice of Appeal before the Review Panel with ESA s Director of Appeals within 15 days of receiving the Director s decision. 7. Step 2: Appeal before a Review Panel 7.1 What is a Review Panel? The Review Panel is an independent panel of industry representatives, made up of not more than 3 persons, selected from a roster of persons, chosen by ESA to conduct hearings. 7.2 What matters does a Review Panel hear? The Review Panel hears matters where a person has filed a Notice of Appeal with the ESA s Director of Appeals appealing the decision(s) made by the Director of Licensing regarding the granting, refusing to grant, renewing, refusing to renew, suspending, revoking, or subjecting restrictions, limitations, or conditions to a licence. 7.3 When can a person request an appeal before the Review Panel? A person may within 15 days, of receiving notice of the Director s decision, file a Notice of Appeal before the Review Panel with ESA s Director of Appeals. 7.4 What happens to the Licence while a Director s decision is being appealed? An appeal to the Review Panel operates as a stay of the Director s decision pending the outcome of the appeal before the Review Panel, except where, in the Review Panel s opinion, the action is necessary in the interest of public safety or consumer protection at which time the Review Panel may order that the stay of the decision be lifted. 7.5 What is a Pre-Hearing Conference? On the consent of all parties, the Review Panel may request that a prehearing conference be held. A pre-hearing conference may consider the following: (a) The settlement of any or all of the issues to be brought before the Review Panel; (b) The simplification of the issues; (c) The facts or evidence that may be agreed upon;

6 (d) The dates by which any steps in the proceeding are to be taken or begun; (e) The estimated duration of the hearing; (f) Procedural issues that might have to be resolved by the Review Panel; and (g) Any other matter that may assist in the just and most expeditious disposition of the hearing. 7.6 What is the possible result of an appeal before the Review Panel? If the Review Panel is satisfied that an appeal is frivolous or vexatious they may refuse to grant a hearing, or may terminate a hearing at any time and may make an order of costs, as it considers appropriate in the circumstances. After a hearing, the Review Panel may, (a) Confirm, amend, rescind or impose terms and conditions to the decision of the Director; or (b) Make whatever other decision that the Review Panel deems appropriate. 7.7 What are the potential additional costs associated with an appeal to the Review Panel? The Review Panel may make an order of costs, as it considers appropriate in the circumstances, if there is unanimous agreement by the panel members that an appeal is frivolous or vexatious (vindictive). Subject to the Rules of Procedure the costs of and incidentals to a proceeding before the Review Panel are at the discretion of the Review Panel, and the Review Panel may determine by whom and to what extend the costs shall be applied. 7.8 How will the Review Panel serve notice of their decision? Within 10 days following the conclusion of the proceeding, every party to the proceeding shall be sent a copy of the decision including the reasons, if any, which have been given for it. Notice of the Review Panel s decision shall be served either by registered mail, in person, by fax or by any other form of electronic transmission providing there is a record that the notice has been sent.

7 7.9 How can the decision of the Review Panel be appealed? Any party to a proceeding before the Review Panel may appeal the decision of the Review Panel to the Divisional Court in accordance with the rules of the court on any question that is not a question of fact alone. 8 What are the possible format(s) for Hearings? There are 3 formats in which a hearing may be held; Oral, Electronic, Written or any combination of the three, as is determined to be appropriate. Standard hearing formats: Appeals before the Director of Licensing are conducted in writing. Appeals before the Review Panel are conducted in person, unless otherwise stated. 8.1 Oral Hearings The Director of Licensing or Review Panel may hold a part or all of a hearing orally. The purpose of an Oral Hearing is to hear the evidence of all parties including the evidence of any witness. Unless otherwise agreed to by all parties, oral hearings are held at ESA s Provincial office; 155A Matheson Blvd West, Suite 200, Mississauga, Ontario L5R 3L5 8.2 Electronic Hearings The Director of Licensing or Review Panel may hold all or part of a hearing electronically, on written consent of the parties. An electronic hearing is held by telephone conference call, videoconference, or any other form of electronic communication, on written consent of the parties. However, where the purpose of the hearing is to deal with procedural matters or a pre-hearing conference, the electronic hearing shall proceed by way of telephone conference call, unless the Director of Licensing or Review Panel orders otherwise. 8.3 Written Hearings The Director of Licensing may hold all or part of a hearing in writing. The Review Panel may hold all or part of a hearing in writing on written consent from all parties.

8 Review Panel Members El Merlo Gary R. Beer Les Stoch Roy Hicks Robert Nelson Romano Sironi Wasim Hassan Frank Zechner Warren Beacom Electrical Contractor OEL CET & Arbitrator, Master Electrician, Electrical Contractor, ECAO P.Eng., Consultant & Retired Chief Inspector, CEC Part I Chair P.Eng., Consultant & Retired Electrical Inspection Manager C&M, and Master Electrician CSA, former Electrical Inspector P.Eng., Toronto Hydro P.Eng., Consultant, Electrical Utilities, Electrical Inspection, Municipal Government P.Eng., L.L.B., Regulatory Sector Industrial Electrician, CEO metering company, Private Sector