Unit 2 - Compliance and Non-Compliance

Question 1

What are the four (4) steps in the compliance continuum?

Answer 1

1. State of law
2. Compliance promotion
3. Law enforcement
4. Evaluation

Question 2

What are the four (4) steps in the enforcement continuum?

Answer 2

1. Intelligence
2. Inspection
3. Investigation
4. Enforcement measure

Question 3

Compliance

Answer 3

Conformity with the rule of law accomplished through various means (e.g., education, notices, AMPs, directions, orders, etc.).

Question 4

What are the five (5) categories of the legal standards hierarchy?

Answer 4

1. Constitution acts (e.g., Charter, 1867, 1982)
2. Quasi-Constitutional Acts (grant rights): Bill of Rights, Human Rights Act
3. Acts (fed or prov./ter.)
4. Regs (fed or prov./ter.)
5. Case law (jurisprudence): body of written decisions

Question 5

Two (2) categories of penal law (obligations made in the public interest)

Answer 5

1. Regulatory – primarily ECCC Mandate
2. Administrative – when Criminal Code

Question 6

What are the three (3) components of an act or omission?

Answer 6

1. Legal element - where it contravenes legislation
2. The act itself (actus reus) [a - act]
3. Moral element (mens rea), awareness of the individual who committed the offence. [mens - moral]

Question 7

Two (2) liability regimes that apply to Criminal offences of a regulatory nature:

Answer 7

1. Strict liability - (most EB cases) - only need to establish actus reus (an unlawful act or omission occurred) NOT mens rea (intent).
2. Absolutle liability - don’t need to prove mens rea (intent), the defendant has limited defences (e.g., no due diligence).

Question 8

Two (2) standards of proof:

Answer 8

1. Beyond reasonable doubt
2. Balance of probabilities

Question 9

What are the four (4) defenses?

Answer 9

1. Due diligence - reasonable precautions were taken
2. Officially induced error of law (OIE) - erroneous information provided to regulatee
3. Necessity - avoid peril or danger - breaking law less harm than not breaking law
4. Impossibility (e.g., natural disaster)

Question 10

What are the six (6) elements of OIE?

Answer 10

(1) Error of law and/or fact: an error of law and/or fact was made;
(2) Consequences considered: the person who committed the act considered the legal consequences.
(3) Official: the advice obtained was from an official;
(4) Reasonable: the advice was reasonable;
(5) Erroneous: the advice was erroneous; and
(6) Reliance on Advice: the person relied on the advice in committing the act.