Guidelines

Claims Administration Instructions

PURPOSE

APPLICATION

  • Applies to:
    • all staff and offenders in Correctional Service of Canada facilities, including Correctional Service of Canada Healing Lodges
    • but does not apply to staff and offenders in Healing Lodges operated under Section 81 agreements as such facilities must carry their own insurance for such purposes

MONITORING

  1. The Regional and National Claims Coordinators may request complete documentation on any claim.

PART 1

EX GRATIA PAYMENT REQUESTS

  1. An ex gratia payment is an exceptional vehicle used only when there is no statutory, regulatory or policy vehicle to make the payment. It is not meant to be used systematically or as a substitute for some other means of compensation. Each case must be considered on its own merits.
  2. Taking into account that:
    1. subsection 7.3 of the Treasury Board Guideline on Claims and Ex Gratia Payments stipulates that claims for employee effects must not be treated as ex gratia payments
    2. the criteria indicated in subsection 7.3 of the Treasury Board Guideline on Claims and Ex Gratia Payments for determining liability in relation to claims for lost or damaged effects apply only to employee claims and not inmate claims,

    the procedures indicated at the following subsections, under "Claims - Inmate and Employee Effects", provide guidance on the required steps for processing an ex gratia payment request:

    1. Information Required to Process a Claim
    2. Site Responsible for the Claim's Processing
    3. Information to be Provided to Claimants
    4. Claims Investigations.
  3. When deciding whether to make an ex gratia payment, decision-makers must consider the requirements indicated in subsection 7.4 of the Treasury Board Guideline on Claims and Ex Gratia Payments.

Legal Opinions

  1. A legal opinion must be requested from CSC's Departmental Legal Services Unit before making an ex gratia payment, whatever the amount.

CLAIMS - INMATE AND EMPLOYEE EFFECTS

Information Required to Process a Claim

  1. The Claims Administrator must ensure that the claimant, or a person legally authorized to act on behalf of the claimant, has provided the following information:
    1. a signed claim
    2. a detailed statement of the facts upon which the claim is based
    3. a detailed statement showing how the claim was calculated
    4. copies of documents verifying all disbursements (recognizing that offenders may not always have access to this information)
    5. details of the loss or damage
    6. the full cost to replace a lost or damaged effect with an effect of the same or equivalent quality (recognizing that offenders may not always have access to this information)
    7. a repair estimate in relation to a damaged effect (recognizing that offenders may not always have access to this information).
  2. Where a claimant has not submitted all the required documentation, the Service must not delay the processing of the claim unless a decision cannot be rendered without the information.
  3. For submitting a claim:
    1. the employee may use the form entitled Employee Claim for Lost or Damaged Effects (CSC/SCC 0585)
    2. the inmate may use the form entitled Inmate Claim for Lost or Damaged Effects (CSC/SCC 0561)
    3. when the forms are not used, attach the claimant's request to the form.
  4. When a group submits a claim for lost or damaged effects belonging to the group, all group members must sign the claim and indicate the name of the member to whom the response must be submitted.

Site Responsible for the Claim's Processing

  1. The responsibility for processing a claim rests with the site where the incident that gave rise to the claim occurred except when the incident occurred while the Service was shipping an inmate's effects, at its expense. In this instance, the responsibility for processing the claim must normally rest with the shipping institution. Where a transferred offender temporarily resided in one or more institutions, and his or her effects were not unpacked, the initial shipping institution will normally be responsible for processing the claim.
  2. The Claims Administrator of the site where the claim was submitted must review the claim, at the earliest opportunity, to determine which CSC site is responsible for processing the claim.
  3. Where the claim is to be processed by another site, the Claims Administrator must forward the claim, in a timely manner, to the other site's Claims Administrator. The sending site must also:
    1. record the claim in the Claims Settlement Management System and electronically transfer the claim record, as required by Part VI of these instructions
    2. send copies of the investigation which may have been conducted on the claim, and any records concerning the effects currently and previously held by the offender (e.g. the offender's Admission and Discharge file)
    3. monitor the receipt of the claim by means of a Transmittal Note and Receipt (GC 044).

Information to be Provided to Claimants

  1. The Claims Administrator of the site where the claim was first submitted must, at the earliest reasonable opportunity after receiving the claim, send the claimant an acknowledgement indicating:
    1. the date the claim was initially received by the Service
    2. the Claims Settlement Management System reference number for the claim
    3. the site responsible for responding to the claim
    4. the claimant's right to consult an independent legal counsel, at his or her expense, for advice or to make representations with respect to the claim.

Note: An inmate who knowingly makes a false claim for compensation from the Crown commits a disciplinary offence and is liable to sanctions in accordance with CD 580 - Discipline of Inmates.

Claims Investigations

  1. An investigation must be conducted at the earliest reasonable opportunity after a claim is submitted or when the Service becomes aware of an incident which could lead to a claim against the Crown. The findings of the investigation must be reported in writing. Direction concerning the conduct of investigations on claims is provided in Annex B.
  2. The investigation will be conducted by a person not involved in the matter that gave rise to the claim.

Enquiries

  1. In reviewing or settling any case, advice may be obtained from the regional and national officials responsible for claims or grievances.

Legal Opinions

  1. A legal opinion must be requested, from CSC's Departmental Legal Services Unit, where a proposed claim settlement offer exceeds $25 000. A legal opinion may also be obtained in any other case.
  2. A request for a legal opinion must be accompanied by the report of the investigation, copies of all documentation in support of the facts stated in the investigation report, the claim and any other information received from the claimant. The Departmental Legal Services Unit must be requested to address:
    1. liability of the Crown
    2. what steps, if any, should be taken to resolve the claim, bearing in mind the cost-effectiveness of any such steps
    3. the terms and conditions on which it would be advisable to resolve the claim.
  1. Claims for expenses incurred when submitting a claim must not be accepted if they are not directly related to the incident that led to the submission of the claim.

CLAIMS AGAINST THE CROWN

General

  1. The decision-maker must, in addition to considering the legal and other merits of the claim, take into account administrative expediency and cost-effectiveness.
  2. A claim must normally be accepted when the circumstances that gave rise to the claim indicate that:
    1. the requirement of section 84 of the Corrections and Conditional Release Regulations (CCRR) was not met, or
    2. the Service is, by reason of section 3 of the Crown Liability and Proceedings Act, liable for damages to or loss of a claimant's effects.
  3. Examples of factors to consider for determining whether an inmate claim should be accepted or denied are indicated in Annex C.

Employee Personal Effects Claims

  1. The processing of employee claims must comply with the requirements of subsection 6.2.1 of the Treasury Board Directive on Claims and Ex Gratia Payments and subsection 7.3 of the Treasury Board Guideline on Claims and Ex Gratia Payments. With regard to subsection 6.2.1 of the Treasury Board Directive on Claims and Ex Gratia Payments, ClaimsAdministrators must ensure that consideration has been made for the payment of compensation:
    1. under the Public Service Health Care Plan (e.g. in relation to an employee's eyeglasses)
    2. from a provincial or territorial government's workers' accident compensation program (in relation to an employee's eyeglasses, and perhaps for other employee personal effects that were damaged as the result of an injury on duty)
    3. from the employee's personal property insurer, or
    4. in accordance with approved employee clothing entitlements.
  2. An overview of the process for employee claims for lost or damaged effects is included in Annex D.

Financial Coding

  1. The line object code to be used for payments concerning employee claims for personal effects related to the performance of duties is 12510.

Offender Claims

Contraband and Unauthorized Items

  1. A claim in respect of contraband or an unauthorized item, seized in accordance with the procedures indicated in sections 57 and 58 of the CCRR, must not be accepted unless the item was to be returned to the offender - or his or her representative - as provided for in section 59 of the CCRR. For instance, a claim may be accepted in the following circumstances:
    1. where the item was to be returned to the offender in accordance with subsection 59(3) of the CCRR and it remained under the Service's care
    2. where the offender had arranged for disposal or safekeeping of the item outside the penitentiary in accordance with subsection 59(4) of the CCRR while the item is still under the Service's care, or
    3. where, in accordance with subsection 59(7)of the CCRR, the forfeiture of the item has been cancelled.
  2. When an offender's effect concealing contraband or an unauthorized item was inadvertently damaged while the contraband or unauthorized item was being retrieved, the Service must not be held liable for any damage caused to the effectif the damage was necessary to remove the contraband or unauthorized item. However, compensation should be offered if effects are damaged and no contraband or unauthorized item is found.

Hobby Crafts - Ownership

  1. Where a hobby craft item is produced during an offender's leisure hours and with materials purchased by this person or with materials designated as scrap, the ownership of the hobby craft item rests with the offender. An offender's claim for this item may, therefore, be accepted if the item was lost or damaged as the result of the Service's negligence.
  2. Claims pertaining to hobby crafts must be denied if the crafts were produced during an education program or from materials paid and furnished by the Service. The ownership of the hobby craft item would, in the latter instance, rest with the Service.

Claims from Offenders of Community Residential Facilities

  1. When a claim has been submitted by an offender who resides in a community residential facility (CRF) or following the suspension of his or her release, the Service must consider allowing the claim when the loss or damage is attributable to the Service's negligence or that of a commercial carrier whose services were retained by the CSC. For instance, the offender's personal effects, for which there is proof of possession (e.g. CSC and CRF property records, purchase receipts or statements from CRF staff), were:
    1. lost or damaged, as the result of the Service's negligence, prior to its shipment to the CRF
    2. lost or damaged during shipment to the CRF as the result of the Service's negligence or that of a commercial carrier whose services were retained by the CSC
    3. lost or damaged, as the result of the Service's negligence, following the effects' receipt from a CRF
    4. discovered to be missing or damaged after the Service acknowledged receiving, from a commercial carrier, all of an offender's personal effects in good condition (e.g. by signing the commercial carrier's bill of lading without noting, on the document, any discrepancies between the effects sent and the effects received, or the damages caused to the personal effects or the containers used for their transport)
    5. discovered to be damaged after the Service took receipt of the effects from the CRF unless the CRF's inventory indicated that the effects were already damaged when they were packed, or
    6. discovered to be missing after the Service delivered the effects, from the CRF to a CSC site, if:
      1. at the time of the effects' receipt at the CSC site, the Service did not verify whether the CRF's inventory of the effects being sent corresponded to the effects that CSC picked up for delivery
      2. the Service is unable to prove that the number of parcels it took receipt from the CRF were actually delivered.

Decisions on Claims

  1. The incumbents of the positions authorized to render decisions on claims, as well as any authority limitations for these incumbents, are indicated in CSC's Financial Signing Authorities Delegation Instrument.
  2. The Service must render a decision in respect of a claim unless the claimant withdraws the claim in writing. However, a claim may not be withdrawn if a payment was made to the claimant for resolving the claim or for repairing a claimed item.
  3. Where an offender's address is not known at the time that a decision is rendered, the Service's response to a claim must, whenever possible, be sent c/o his or her parole supervisor. In the event of the claimant's death, the decision should be sent to his or her next-of-kin, legal representative or the person who the offender indicated to the Service, in writing, was to be notified.
  4. Where an offender has been deported to the United States or transferred to a prison in the United States, his or her address may be obtained from the U.S. Bureau of Prisons Offender Locator Number 202‑307‑3198.
  5. A claim must be considered processed as of the date the Service sends a response on the claim to the claimant. When a response cannot be sent to the claimant, the claim's processed date must be the date that the decision on the claim was rendered.

Release Document

  1. When a claim settlement has been authorized, a payment must not be made unless the claimant signs a release of any right of action that he or she may have against the Crown as the result of the incident that gave rise to the claim. However, a release is not normally required for ex gratia payments or when it would not be administratively expedient to obtain the document. The Service's Release document (CSC/SCC 0536) must be used except as directed by CSC's Departmental Legal Services Unit.
  2. The Release document must clearly identify the incident for which the claimant is giving up his or her right of action to all further claims against the Crown, including grievances.
  3. When a settlement has been authorized in respect of all the claimed effects and for the full claimed amount, the claimant must:
    1. be given a completed Release document (where applicable) together with the decision on his or her claim
    2. be informed, in writing, that the payment of the claim will be made upon the receipt of the signed Release document, except when a release is not required.
  4. The signed Release document should be returned to the employee that sent the decision on the claim to the claimant.
  5. When a settlement has been authorized in respect of only a portion of the claimed effects or when the claimed amount has been reduced and the claimant wishes to accept the partial settlement, the Service may dispose of the claim by preparing a Release document that must:
    1. clearly identify the effects for which the claimant has accepted to give up his or her right of further action against the Crown
    2. indicate the claimant's right to pursue an action, including grievances, in relation to the effects for which compensation was denied.

Payment of Claims

  1. Claim settlement payments to employees must usually be made by cheque, and to inmates in accordance with the requirements of CD 860 - Offender's Money.

Grievances

  1. When a claim is denied or reduced, both employees and offenders may grieve the decision through the appropriate grievance processes.

Reporting Unsettled Claims

  1. The appropriate Claims Settlement Management System Quarterly Report, Inmate Claims Not Settled Within 90 Days and the Quarterly Report, Employee Claims Not Settled Within 90 Days - must be used to report unsettled claims and the reasons for the delay in their processing.
  2. The responsibility for reporting the "Reasons for Delay" in processing the claim rests with the CSC site responsible for the claim at the end of the quarter.
  3. A claim reported on the previous quarterly report must be included in the subsequent report if the claimant has not been sent a written decision on his or her claim by the end of the new quarterly report's review period.
  4. The Comptroller must forward the reports to the designated senior manager together with comments concerning each region's report. A copy of all these documents must also be sent to the Regional Deputy Commissioners and, with respect to the report for inmate claims, to the Office of the Correctional Investigator.

PART II

CLAIMS FILED BY THIRD PARTIES FOR LOST OR DAMAGED PERSONAL EFFECTS (other than those referred to in Part I)

  1. Claims filed by third parties must be processed in accordance with the Treasury Board Directive on Claims and Ex Gratia Payments and Guideline on Claims and Ex Gratia Payments or the Crown Liability and Proceedings Act. However, this Part does not apply to claims that are covered by other authorities, such as:
    1. contracts
    2. the Treasury Board and National Joint Council Travel Directive
    3. ISD 335 - Fleet Management (concerning motor vehicle accidents).

PART III

CLAIMS BY THE CROWN FOR LOST OR DAMAGED PROPERTY

General

  1. Claims filed by the Service for lost or damaged property must be processed in accordance with the Treasury Board Directive on Claims and Ex Gratia Payments and Guideline on Claims and Ex Gratia Payments. However, this Part does not apply to claims that are covered by other authorities, such as contracts, and claims for losses and recovery of money.
  2. Every reasonable effort must be made to resolve claims by the Crown, taking into account administrative expediency and cost-effectiveness. For example, claims by the Crown could be submitted against a commercial carrier to recover the amount paid to an offender for effects lost or damaged during a transfer.
  3. The procedures indicated in the Treasury Board Directive on Receivables Management must be adhered to in relation to the collection of debts owed to the Crown.
  4. The procedures indicated in the Treasury Board Directive on Claims and Ex Gratia Payments and Guideline on Claims and Ex Gratia Payments must be followed when:
    1. the Service has a claim against a servant for which the servant is not indemnified under the Treasury Board Policy on Legal Assistance and Indemnification
    2. a decision-maker intends to authorize retaining the amount of the claim by deduction from, or set-off against, any money that may be due or payable by the Crown to the servant.
  5. Claims by the Crown must only be written off on the basis of the Debt Write-off Regulations, 1994, and in accordance with the Treasury Board Directive on Receivables Management.
  6. The CSC officials that are authorized to write off claims by the Crown are identified in CSC's Financial Signing Authorities Delegation Instrument.
  7. The incumbents of the positions who are authorized to submit claims by the Crown may sign a release as a condition of payment being made to resolve a claim by the Crown.

Damages Resulting From the Negligence of Employees, Contractors or Inmates

Employees

  1. Where, due to a CSC employee's negligence,
    1. damages are caused to CSC property
    2. a claim has been submitted against CSC as the result of the loss or damage of a third party's personal effects (e.g. that of an inmate or another employee), or
    3. disbursements are required to be made by CSC to a third party,

    a determination must be made as to whether the negligent employee may be protected from a claim by the Service, on the basis of the Treasury Board Policy on Legal Assistance and Indemnification, for the reimbursement of the damages caused to its property or the amount of its settlement with the third party.

  2. The Policy on Legal Assistance and Indemnification applies only to servants of the Crown. Volunteers, inmate workers and persons engaged under contract are not covered by this policy.

Contractors

  1. Where a person engaged under contract is liable for damages to CSC property (e.g. as the result of an accident with a CSC vehicle), a claim by the Crown could be submitted against the contractor for the recovery of CSC's loss in respect of the incident.

Inmates

  1. The Service may accept responsibility for the damages that inmates cause while participating in an institutional work program since they are under the Service's care, control and supervision. (The Service would not likely assume responsibility if, for example, an inmate on a work release program causes damages as a result of following instructions from the employer.) Depending on the circumstances, the Service may, but is not required to, submit a claim against inmates who, while participating in an institutional work program, cause damages to CSC or third party property.
  2. Where inmates wilfully or maliciously destroy Crown property, the Service may seek compensation by either submitting a claim against them, or charge them with a disciplinary offence and attempt to obtain an order of restitution as the sanction.

Enquiries

  1. In reviewing or settling any case, advice may be obtained from the regional and national officials responsible for claims.

Legal Opinions

  1. A legal opinion should be obtained from National Headquarters' Departmental Legal Services Unit, whenever any of the following apply:
    1. it is suspected that a servant of the Crown does not meet the criteria indicated in the Policy on Legal Assistance and Indemnification for a claim exemption
    2. to assist in determining - where a volunteer, or an inmate participant in a work program, causes damages to CSC or third party property - if a person should be held liable for reimbursing CSC the damages caused to its property and/or the amount of CSC's settlement with the third party
    3. where substantial sums are involved or where there is uncertainty as to the relevant facts or applicable legal principles.

PART IV

OFFENDER ACCIDENT COMPENSATION CLAIMS

Requests for Information

  1. All requests for information concerning a claim for compensation or the Offender Accident Compensation Program must be referred to Employment and Social Development Canada (ESDC) or to the National Claims Coordinator.

Timeframes

  1. The provisions of the CCRR relating to compensation for death or disability, and the Guide to Accident Compensation for Federal Offenders state the timeframes and the requirements for reporting the circumstances of an accident and submitting claims for compensation.

Legal Opinions

  1. Legal opinions concerning a claim for compensation, or on any aspect of the provisions of the CCRR relating to compensation for death or disability, must be requested from CSC's Departmental Legal Services Unit.

Decisions on Claims

  1. The Minister of Public Safety, or an authorized person, must render decisions in respect of the Offender Accident Compensation Program. The authorized persons are indicated in CSC's Financial Signing Authorities Delegation Instrument.
  2. On a case-by-case basis, either the National Claims Coordinator or ESDC must inform the claimant, in writing, of the decisions rendered on a claim for compensation.

PART V

CLAIMS SETTLEMENT MANAGEMENT SYSTEM

  1. At the earliest opportunity after the receipt of a claim against the Crown or when a claim by the Crown is submitted, the site's ClaimsAdministrator must:
    1. record the particulars of the claim in the Claims Settlement Management System (CSMS), or
    2. forward a copy of the claim to the Regional Claims Coordinator, for recording in CSMS, when he or she does not have access to CSMS.
  2. Only the National Claims Coordinator may record accident compensation claims in CSMS.
  3. The claim's transfer to another site, for investigation, must also be recorded in CSMS.
  4. The CSMS can generate various reports concerning offender and employee claims. In particular, reports may be generated for monitoring compliance with the timeframe for processing claims, and identifying the claims that exceeded the timeframe.

Assistant Commissioner, Corporate Services

Original signed by:

Liette Dumas-Sluyter

ANNEX A

DEFINITIONS

Cell: a walled or partitioned area designed to accommodate one or two inmates.

Claim: means the amount due, or alleged to be due, or the action taken regarding damages to effects sustained by the Crown or a claimant. It also means a request for compensation to cover losses, expenditures or damages to effects sustained by the Crown or a claimant, including requests or suggestions that the Crown make an ex gratia payment. It does not include the following:

  1. claims, or ex gratia payment requests, in relation to circumstances that are addressed in another government instrument (e.g. the Treasury Board and National Joint Council Travel Directive); and
  2. claims submitted under the provisions of the CCRR (CCRR) relating to compensation for death or disability.

Contraband: has the same meaning as in section 2 of the Corrections and Conditional Release Act.

Unauthorized item: has the same meaning as in section 2 of the Corrections and Conditional Release Regulations.

ANNEX B

INFORMATION ON FILING CLAIMS

CLAIMS AGAINST THE CROWN OTHER THAN OFFENDER ACCIDENT COMPENSATION CLAIMS

  1. For information concerning the submission of a claim, claimants must contact the following:
    1. at institutions, and district and parole offices: the Administrative Services Unit

    2. at Regional Headquarters:

      Atlantic - the Regional Chief, Administration and Information Management

      Quebec - the Regional Director, Communications and Executive Services

      Ontario - the Regional Manager, Administration and Information Management

      Prairies - the Regional Chief of Administration and Information Management

      Pacific - the Regional Manager, Administration and Information Management

    3. at National Headquarters: the National Claims Coordinator.
  2. The claimant may review the Service's policy documents on claims and the Treasury Board Directive on Claims and Ex Gratia Payments and Guideline on Claims and Ex Gratia Payments. These documents are available from the unit or the officials mentioned in paragraph 1.
  3. Claims must be prepared, in writing, and submitted without delay as follows:
    1. claims from employees:
      1. at institutions, other than community correctional centres - to the Institutional Head
      2. at community correctional centres - to the District Director
      3. at parole offices - to the District Director
      4. at Regional Headquarters - to the Regional Deputy Commissioner
      5. at National Headquarters - to the Director, Financial Operations.
    2. claims from offenders:
      1. at institutions, other than community correctional centres - to the Institutional Head
      2. at community correctional centres - to the District Director
      3. at community residential facilities (when it is believed that the Service is liable for the loss of, or damage to, their effects) - to the head of the institution from which they were released.

Offender Accident Compensation Claims

  1. For information concerning the submission of a claim, claimants must contact Employment and Social Development Canada at 855-535-7299.
  2. The completed Inmate's Application for Compensation (LAB 1076) must be submitted to the following address:

Federal Workers' Compensation Service

Employment and Social Development Canada

Ottawa, Ontario K1A 0J2

ANNEX C

CLAIMS INVESTIGATIONS

GENERAL

  1. The investigation report must, as appropriate, address the items indicated under the heading "Investigations" in section 6 of the Treasury Board Guideline on Claims and Ex Gratia Payments.
  2. The investigation process is to be conducted based on the principles of the Treasury Board Framework for the Management of Risk.
  3. The level of the investigation must be commensurate with the amount claimed or the amount that may be offered for the claim's settlement.
  4. The investigation will be conducted by a person not involved in the matter that gave rise to the claim.
  5. In collecting information and arriving at a recommendation, the person responsible for the conduct of the investigation must ensure that the information upon which he or she acts is reliable and persuasive (refer to paragraph 8 for examples).

INFORMAL INVESTIGATION

  1. An informal investigation (i.e. a preliminary fact finding investigation) should be considered before preparing a comprehensive investigation report on a claim's circumstances (i.e. by convening an administrative inquiry). The informal investigation should reveal the basic circumstances of the claim, for example confirm:
    1. that the claimed effects are or were in the claimant's possession
    2. that a loss or damage has occurred
    3. if the Service can be held responsible for the loss or damage.

ADMINISTRATIVE INQUIRY

  1. The administrative inquiry must be convened when:
    1. the informal investigation does not provide sufficient information to substantiate a decision on the claim, or
    2. it is administratively expedient and cost effective.
    The Checklist for the Conduct of Investigations (see below) provides guidance concerning the information that should be collected in relation to a claim filed by an inmate.
  2. The results of the administrative inquiry must be reported in writing and should include the following information:
    1. a short statement concerning the circumstances that gave rise to the claim (the statement briefly informs the report's eventual reader of the claim situation before getting into its details)
    2. an all-inclusive chronological outline of the events that immediately preceded and followed the incident that gave rise to the claim, for instance:
      1. the whereabouts and the activity the claimant was engaged in at the time of the incident, and
      2. the actions taken, or omissions made, by staff members for ensuring that the claimant's effects were safeguarded at all times
    3. from the moment of the incident which led to the submission of the claim, a thorough chronological account of:
      1. the whereabouts of the claimant's personal effects
      2. the occasions when staff or the claimant had access to the claimant's personal effects
      3. the movement of the claimant's personal effects (i.e. the paper trail of the claimed effects)
    4. comments as to whether the Service is responsible for the loss of, or damages to, the claimed effects and the reasons therefor
    5. the efforts which were made to obtain information that is known to be lacking.

ADMISSIBLE EVIDENCE

  1. The facts presented in the investigation report must be pertinent to the incident and be supported by documentary evidence rather than by hearsay evidence. For instance, it could be substantiated by:
    1. log book entries
    2. the inventory of the effects found in the claimant's cell, i.e. the Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872) the claimant's Inmate Personal Property Record (Cell and Stored Effects) (CSC/SCC 0514)
    3. purchase vouchers
    4. CSC reports
    5. written statements from employees.

CHECKLIST FOR THE CONDUCT OF INVESTIGATIONS

The checklist's purpose is to assist in the conduct of an investigation into the circumstances giving rise to a claim against the Crown by an inmate in respect of the loss of, or damages to, personal effects. It will not always be pertinent to a particular case nor can it address all possible claim scenarios. However, it should provide direction concerning the information that is required to arrive at a decision on a claim.

I. PROOF OF OWNERSHIP

  • Obtain copies of the claimant's property records to establish proof of ownership. For example:
    • Inmate Personal Property Record (Cell and Stored Effects) (CSC/SCC 0514)
    • Inmate Personal Property (Conditions and Liabilities) (CSC/SCC 0514-4)
    • Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872)
    • Inmate Personal Property Record (Valuables and Important Documents) (CSC/SCC 0513)
    • Offender Personal Property Record (Money and Securities) (CSC/SCC 0502)
    • Hobby Craft Permit

II. INFORMATION COLLECTION

1. From Claimant
  1. On what date and time did the alleged incident occur?


  2. If no specific date and time can be determined, when and where did the claimant last saw the items?


  3. When and to whom did the claimant report the incident?


  4. What were the events, according to the claimant, that gave rise to the claim?


  5. Does the claimant know who was involved in the incident, their names and the extent of their involvement? (e.g. Correctional Officers, inmates)

    __ Yes __ No   If yes, Obtain written statements.


  6. How does the claimant believe the alleged loss or damage occurred?


  7. How does the claimant support his or her allegations?


  8. Are there any witnesses?

    __Yes __No   If yes, Obtain written statements.


  9. If a commercial carrier (that was retained by the Service in relation to a transfer) is responsible for the loss or damages, has the claimant submitted a claim against the carrier? (Note: The offender is not required to submit this claim.)

    __ Yes __ No   If yes, What was the result of the claim?


2. From Staff

  1. Was a search made for the items before an investigation was initiated?

    __ Yes   If yes, Specify what attempts and the measures that were taken to locate the missing items.

    __ No   If no, Why?


  2. When was the claimant admitted to the institution where the alleged incident occurred, i.e. the date and time?

  3. Was the claimant in double occupancy?

    If yes, Was a container for the secure storage of personal effects provided to the claimant prior to the incident that gave rise to his or her claim?   __ Yes __ No

    If yes, Was a lock provided for the container?   __ Yes __ No


  4. Was the other inmate in the cell from the time the claimant left the cell to the time the claimant's cell effects were listed on form Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872) and packed?  __ Yes __ No

    If yes, Was the other inmate searched?  __ Yes __ No

    Was the cell searched?  __ Yes __ No

    If yes, State the date and time, and the results of the search.

    If no, Why?


  5. If the claim is for jewellery items, can it be proven that the jewellery disappeared before the inmate left his or her cell?  __ Yes __ No

    If yes, Explain.


  6. Where was the claimant at the time of the incident that gave rise to his or her claim?

    For example:

    • __ The inmate was at work.
    • __ On a temporary absence.
    • __ In the general inmate population.
    • __ Being moved to dissociation.
    • __ Being transferred.
    • __ Being hospitalized.
    • __ Attending a court appearance.
    • __ Unlawfully at large.
    • __ On an unescorted temporary absence.

IF THE INMATE WAS NOT PART OF THE GENERAL INMATE POPULATION

Provide the following information, as applicable:

  1. Describe, in detail, the inmate's movements subsequent to the incident that gave rise to his or her claim.


  2. Copies of institutional records concerning the inmate's movements and that of the effects that followed the inmate.


  3. The period of time the claimant was absent from his or her cell, including supporting institutional records.

    Was the claimant's cell secured during this time?  __ Yes __ No

    If yes, Indicate the date and time, and obtain supporting records (e.g. log book entries).

    If no, Why?

    If the inmate's cell was not secured, were the cell effects protected by other means?  __ Yes __ No

    If yes, How?


  4. Were the inmate's cell effects packed and stored during the period of the inmate's absence?  __ Yes __ No

    If yes, Indicate who packed the effects, and attach a copy of form Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872).

    If no, Why?


  5. Who packed the cell effects?

    __ The inmate __  The staff

    If packed by staff

    Was form CSC/SCC 0872 - Inmate Personal Property (Cell Property Removal) completed?  __ Yes __ No

    If completed, Was the form signed by the inmate and staff?  __ Yes __ No

    If not completed

    Why?


  6. Were the effects taken to Admission and Discharge (A & D)?  __ Yes __ No

    If yes, By whom, and on what date and time? (Obtain log book entries.)

    If no, Why and where were the effects taken?


  7. Did A & D verify whether all the effects recorded on form Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872) had been received?  __ Yes __ No


  8. If there were items listed on form CSC/SCC 0872 that were not included on the Inmate Personal Property Record (Cell and Stored Effects) (CSC/SCC 0514), was the inmate charged with possession of contraband or of an unauthorized item?  __ Yes __ No

    1. If yes, Obtain copies of CSC records on the charges and the disposal of the items.   __ Yes __ No

    2. If yes, Was the claimant found guilty of a disciplinary offence in relation to these items?  __ Yes __ No

    If yes, Were the items forfeited?  __ Yes __ No

    If yes, Was the forfeiture subsequently cancelled?  __ Yes __ No


  9. If a transfer between institutions has taken place, was form Inmate Personal Property Transfer (CSC/SCC 0175) completed by the sites that sent and received the effects?  __ Yes __ No

    If yes,

    Obtain the following, as applicable:

    1. copies of the Inmate Personal Property Transfer form;
    2. receipt documents;
    3. the names of the individuals and institutions that sent and received the effects;
    4. information concerning the effects' transportation (e.g. how and by whom);
    5. the commercial carrier's bill of lading. (If it is missing, explain why.)

  10. When the effects were remitted to the inmate, did the inmate and the receiving institution's A & D Unit examine the contents of the parcels in order to verify whether all the items were in good condition and received in accordance with packing slips, property records or the sending institution's A & D list?  __ Yes __ No

    If yes,

    1. Attach a copy of the checklist used during this exercise that was signed
      by both the inmate and the A & D Officer.
    2. If the checklist is unavailable, explain why.

    If no,

    Explain why.


  11. For effects damaged in transit:

    • Identify the effects and describe the damages incurred.
    • Have the damaged items been repaired or estimates obtained for their repair?  __ Yes __ No

    If yes,

    Attach invoices or estimates and indicate the replacement cost of the damaged items.

    If no,

    Explain why.


III. CLAIMS RELATING TO HOBBY CRAFT

  1. Where the inmate is claiming for damages to or loss of uncompleted hobby craft projects, have estimates of the value of the materials used in their manufacture and repair costs been obtained?  __ Yes __ No

    If yes,

    Obtain a copy of the estimates.

    If no,

    Explain why.


  2. Where the inmate is claiming for damages to or loss of completed hobby craft items, were the items recorded on the inmate's property record prior to their loss or damage?  __ Yes __ No

    If yes,

    Obtain a copy of the record.


  3. Had the inmate previously sold identical or similar hobby craft items?  __ Yes __ No

    If yes,

    Indicate to whom and for how much, and obtain supporting documentation.


  4. Were tools and hobby craft materials purchased by the inmate for hobby craft use?  __ Yes __ No

    If yes,

    Obtain copies of the hobby craft permit.


GENERAL

Was there compliance with CSC directives concerning the handling of inmate effects?  __ Yes __ No

If no,

Explain why.


RECOMMENDATIONS

Should the claim be accepted?  __ Yes __ No Why?

If yes,

How much (or what) should be offered as a settlement? Why?

How might similar incidents be prevented in the future?


ANNEX D

FACTORS TO CONSIDER WHEN EVALUATING AN INMATE CLAIM

The following factors should be considered for arriving at a decision as to whether the Service can be held liable for the loss of, or damage to, inmate effects.

Factors Supporting the Acceptance of a Claim

  1. The inmate's cell effects were not immediately secured at the time of his or her removal from the general inmate population (unless no other inmate could have had access to the cell, for example, during a lock down).
  2. It waspossible for someone to take the claimed effectsfrom the inmate's cell between the time of the inmate's removal from the general inmate population and the preparation of form Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872).
  3. The claimant's effects were lost or damaged while in the care of the Service.
  4. The offender's effects were lost or damaged while the Service was shipping them through a commercial carrier (unless the offender initiated the shipment).
  5. When an inmate is away from his or her cell for reasons such as hospitalization, segregation, escape, temporary absence, appearance in court, or emergency transfer, the Service did not follow the procedures stated in a Commissioner's Directive or related directions for packing, listing and removal (as applicable) of the inmate's personal effects.
  6. Where an inmate has been removed from the general inmate population or upon learning that the inmate is unlawfully at large, a detailed inventory of the effectsthis person had the use of in the institution (i.e. cell, hobby craft and business effects) is required. If these effects were not itemized at the same time as the effects were packed by the Service for safekeeping [e.g. by completing form Inmate Personal Property (Cell Property Removal) (CSC/SCC 0872)], the Service must be able to demonstrate that it was not possible for any effects to have been lost or damaged prior to the completion of the inventory.

Factors Supporting the Denial of a Claim

  1. Effects, that were unsolicited by the Service and being sent from the community to an inmate, were lost or damaged in transit (e.g. by a commercial carrier or Canada Post Corporation).
  2. Where effects were allegedly lost or damaged during the inmate's voluntary absence from his or her cell, a claim should be disallowed if the inmate was not in double occupancy and could have secured the cell. That is, when the loss or damage to the inmate's effects was due to this person's negligence rather than being attributable to the Service's negligence.
  3. When the Service places, at the inmate's request, a cap on the electronic cell door release button (where this system is available), the Service should not be held liable for the alleged loss or damages to the inmate's cell effects while the cap was in place.

Personal Effects Lost or Damaged by a Commercial Carrier

  1. When an offender's effects have been lost or damaged while being shipped - at the Service's request - through a commercial carrier, the CSC site that received the effects should, at the earliest opportunity, have informed the sending site, in writing, of the loss or damage, and forwarded supporting documentation (e.g. the original copy of the bill of lading, statements concerning the effects' damages, how it was packed and the condition of the damaged effects' container).
  2. After being informed of the loss or damage, the site that shipped the lost or damaged effects should:
    1. consider advising the commercial carrier, at the earliest opportunity and in writing:
      1. of the particulars of the loss or damage
      2. that it may be held liable to reimburse the Service the amount of compensation that could be paid to the offender
    2. where a claim has been filed in respect of the loss or damage, accept the claim since the commercial carrier was acting as an agent of the Service
    3. consider submitting a claim against the carrier for the recovery of the claim settlement amount.

ANNEX E

OVERVIEW OF THE PROCESS FOR EMPLOYEE CLAIMS FOR LOST OR DAMAGED EFFECTS

(Note: can also be used as a guide for other types of claims)

Overview of the process for employee claims for lost or damaged effects
Overview of the Process for Employee Claims for Lost or Damaged Effects

This graph shows the number of self-harm incidents

The process starts when a claim is received

Form CSC/SCC 0585 entitled “Employee Claim for Lost or Damaged Effects” should be completed.

Claims must be entered in CSMS, the Claims Settlement Management System.

Employee claims for lost or damaged personal effects must be treated as claims and not as ex gratia payments.  Compensation for the effects could be authorized when the decision-maker considers that the effects were reasonably related to the performance of the employee’s duties at the time of the loss or damage.

Once done, the claim is handed to the Manager who reviews it.  The Manager ensures that claimant provides documentation to support the claim.

The next step is the Investigation

At this stage, it must be decided whether the investigation should be informal or formal.

If a formal investigation is required, the Security Division is responsible to conduct those types of investigations and they prepare a report.

A claim analysis is conducted

If need be, advice from regional and or national official responsible for the claim is requested.  Responses from the regional and or national official are included in the analysis.

At this point, a legal opinion might be requested.  Legal Services need to be consulted when a claim involves legal proceedings, when considering a payment greater than $25,000 and in any other case as required.

Once the claim analysis is completed, a decision recommendation can be made.  The Manager needs to consider requirements of CD 234 & GL 234-1, including other sources of compensation such as from provincial and territorial governments workers accident compensation program (links provided below) in relation to claims for eyeglasses or other effects, Public Service Health Care Plan, employee’s personal insurance et cetera.

Claim Decision can be made.   Manager considers once again the requirements of CD 234 & GL 234-1.  The decision is to be recorded on Form CSC/SCC 0585-1 entitled “Decision Rendered on Employee Claims for Lost or Damaged Effects.

If claim is denied, the decision form CSC/SCC 0585-1 is sent to the claimant and the decision is recorded in CSMS.

If the claim is accepted and payment is to be made, the decision form CSC/SCC 0585-1 is sent to the claimant and decision is recorded in  CSMS.

A determination needs to be made of whether a Release document is required.

The processing of payment is made.  Payment settlement is recorded in CSMS.

Cross references

TB Directives on Claims and Ex Gratia Payments

TB Guidelines on Claims and Ex Gratia Payments

Public Service Health Care Plan

Workers Compensation

BC – Refer to Chapter 3 Replacement and Repair of Artificial Appliances, Eyeglasses, Hearing Aids and Dentures 3-63

Alberta – Refer to Policy 03-01, Part II Application 8 Personal Belongings

Saskatchewan - Refer to Chapter 4.0 Benefits to Workers and Sections 4.2 Allowances, 4.2.2 Expenses Orthotics Appliances Provisions Replacement and Repair and 4.2.5 Clothing\

Manitoba – Refer to medical aid benefits

Ontario – Refer to Health Care Prosthetic and Assistive Devices

Quebec – Refer to Recueil des politiques d’indemnisation et de réadaptation, Policy 2.08 concerning miscellaneous expenses.  As examples, clothing, protheses and orthoses devices

New Brunswick – Refer to policies 25-007 Prostheses, Orthoses and Assistive Devices; 25-008 Clothing and Footwear; 25-125.01 Eyeglasses, Dentures and Hearing Aids

Nova Scotia – Refer to Chapter 2 Health Care, 2.1 Workers’ Expenses

Newfoundland – Refer to Chapter concerning Health Care Services Procedures 58.00 Health Care Devices and Supplies

Prince Edward Island – Refer to Orthoses, Prostheses and Assistive Devices POL 04-20 Visual Aids POL 04-34

Northwest Territories and Nunavut – Refer to Section 4.02 – Claims and payment for medical aid (such as clothing), Section 04.10 Medical Devices such as eyeglasses, hearing devices, orthosis, prosthesis, footwear et cetera

For more information

To learn about upcoming or ongoing consultations on proposed federal regulations, visit the Canada Gazette and Consulting with Canadians websites.