Commissioner's Directive

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Policy Bulletin 230

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Annex A - Convening Authority for Initiating an Investigation

 

POLICY OBJECTIVES

1. The investigations of institutional and community incidents are intended to enhance the ability of the Correctional Service of Canada (CSC) to contribute to the safety of the public, staff and offenders by ensuring that:

1. the CSC takes appropriate action following an incident;
2. lessons learned from the review and analysis of reports are integrated into organizational practices; and
3. responsibility, accountability and transparency are demonstrated.

2. This directive does not apply to:

1. disciplinary investigations (refer to CSC Code of Discipline or Code of Conduct - Treasury Board Guidelines for Discipline);
2. harassment investigations against offenders and towards staff (refer to Treasury Board Policy on the Prevention and Resolution of Harassment in the Workplace);
3. fact finding reviews (administered under general powers of management at the national, regional or local levels);
4. investigations into the unacceptable use of network and/or electronic resources (refer to CD 226 - Use of Electronic Networks); and
5. security clearances and internal security investigations (i.e. non-reportable security incidents as described in CD 568-1 - Recording and Reporting of Security Incidents).

3. The fact that the police may be conducting a criminal investigation into a particular incident does not in and of itself preclude the need for CSC to conduct its own investigation into that incident.

AUTHORITIES

4. Sections 19, 20 and 21 and subsection 152(4) of the Corrections and Conditional Release Act (CCRA) sections 7 to 13 of the Inquiries Act

DEFINITIONS

5. Citizens' Advisory Committees: community members who volunteer to provide advice to the CSC regarding correctional operations, programs, policies, and plans while acting as impartial observers of CSC operations.

6. Convening authority: the level and position of any delegated authority to initiate an investigation (see Annex A).

7. Community member: an individual who is not employed or has not been previously employed by CSC or the National Parole Board (NPB) and who is considered impartial and objective.

8. Legal authority: the authority established in law to conduct investigations.

9. Operational unit head: the Institutional Head or the District Director.

10. Professional governing body: the relevant provincial or territorial licensing, governing and/or certifying body.

11. Section 13 or duty to act fairly: the fundamental right to be treated fairly, which usually includes being involved in the process and having an opportunity to react or respond to allegations, evaluations or assessments that are related to conduct or responsibilities and that could affect the reputation.

12. File review: a review of the CSC file and related documentation convened by the District Director into an incident involving an offender in the community to determine if there are any concerns with the release and/or supervision of the offender and with other activities related to the incident.

RESPONSIBILITIES AND DELEGATED AUTHORITIES

13. The Commissioner may convene investigations under section 20 of the CCRA to investigate and report on any matter relating to the operations of the Service. The board members shall report the results to the Commissioner (national tier I investigations).

14. The Commissioner, Director General of Incident Investigations and operational unit heads may convene investigations under section 19 of the CCRA. The board member(s) shall report the results to the respective convening authority (refer to Annex A) (national tier I, national tier II and local investigations).

15. Section 19 of the CCRA requires that where an inmate dies or suffers serious bodily injury, whether or not there is an investigation under section 20, the Service forthwith investigate the matters and report thereon to the Commissioner or to a person designated by the Commissioner.

16. The determination of "serious bodily injury" is made by the health care professional at the operational unit level (refer to CD 568-1 - Recording and Reporting of Security Incidents).

17. Subsection 152 (4) of the CCRA permits the Chairperson of the NPB to appoint a person or persons to investigate and report on any matter relating to the operations of the Board. On matters of joint interest and when appropriate, the Commissioner and Chairperson may jointly convene an investigation.

18. The Director General of Incident Investigations may convene tier II national investigations, request local investigations and file reviews into other incidents of a less serious but still important nature under the authority of this directive. The appropriate CSC national or regional health authority will be consulted where health care issues have been identified.

INCIDENT INVESTIGATION PROCESS

19. The Director General of Incident Investigations is accountable to the Senior Deputy Commissioner for the CSC incident investigation process.

20. Timelines are outlined in the investigation process chart.

21. All CSC routine investigations should be completed within six months. In the case of more complex investigations, the process may extend beyond the timeframe with the approval of the Senior Deputy Commissioner.

REQUIREMENT TO REPORT AND INVESTIGATE INCIDENTS

22. Timely initial reporting of incidents is done through Incident Reports and Sensational Incident Reports (end of next working day) (refer to CD 568-1 - Recording and Reporting of Security Incidents) and Situation Reports that are forwarded to Regional and National Headquarters.

23. Following an incident, the Institutional Head or District Director submits a Situation Report to the Regional Deputy Commissioner and National Headquarters with the facts surrounding the incident as well as any immediate remedial action taken or planned at the operational unit. Follow-up on these remedial actions is the responsibility of the Regional Deputy Commissioner.

NOTE: The Situation Report is submitted within two working days (except in the case of incidents occurring on Fridays - when reports would be due at National Headquarters the following Monday, no later than at 12:00 hrs).

CONVENING AUTHORITY

24. The Director General of Incident Investigations, after consultation with the Senior Deputy Commissioner, will liaise with and advise the relevant sector, branch or region of the level of the convening authority (Annex A) and type of investigative process to be applied. Consideration will be given to such factors as:

1. level of violence and injuries sustained;
2. profile(s) of the inmate(s) or offender(s) involved;
3. possible impact on the Service's capacity to deliver programs;
4. public interest;
5. frequency with which similar incidents have occurred in the past;
6. recurrence at a particular site; and
7. any other relevant information.

CONVENING ORDERS

25. A convening order signed by the appropriate convening authority shall outline the mandate and legal authority for the investigation as well as the issues to be investigated, analyzed and reported on.

COMPOSITION OF BOARDS

26. CSC staff members participating on boards of investigation must be trained and/or experienced in conducting incident investigations. Boards shall not include any CSC staff members who were directly involved in the management of the inmate or offender, the incident or the immediate response following the incident under investigation.

27. Any CSC staff member appointed to a national or local board of investigation shall immediately be relieved of his or her regular duties while conducting the investigation and writing the report.

28. Investigations convened by the Commissioner shall include at least one community member. Joint boards of investigation under section 20 and subsection 152(4) of the CCRA shall be chaired by a community member.

29. Investigations convened by the Director General of Incident Investigations may include a community member.

30. Investigations into incidents involving health care issues will normally include a registered health care professional on the board of investigation.

CONSULTATION WITH RELEVANT POLICY HOLDERS DURING THE INVESTIGATION

31. During the investigation process, boards of investigation are expected to consult relevant National and Regional Headquarters policy holders, and appropriate CSC health authorities to ensure proper interpretation of policies as well as expert opinions where and when relevant.

PROCEDURAL SAFEGUARDS FOR THOSE BEING INTERVIEWED

32. Sections 7 to 13 of the Inquiries Act apply to investigations convened under section 20 and subsection 152(4) of the CCRA.

33. The duty to act fairly principles apply to all other national and local incident investigations convened under this directive and section 19 of the CCRA.

34. No statement made by a staff member or evidence gathered during the course of the incident investigations, as defined in this directive, shall be used for disciplinary purposes.

NOTIFICATION OF A FORTHCOMING INVESTIGATION

35. The Institutional Head or District Director will advise their staff, the respective unions and the local Citizens' Advisory Committee Chair of the convening of a national or local board of investigation.

STAFF DUTY TO PROVIDE EVIDENCE

36. All CSC staff members shall cooperate fully with national and local boards of investigation and provide written and/or verbal information as required. Cooperation with a board of investigation is addressed in CD 060 - Code of Discipline and in subsection 10(1) of the Inquiries Act.

DISCLOSURE OF CONFIDENTIAL MEDICAL INFORMATION

37. When the investigation is convened pursuant to the CCRA and the Inquiries Act, the acts permit the disclosure of any relevant information to members of CSC incident investigation boards. Health professionals (e.g. medical practitioners, psychologists, nurses) either on the board of investigation or consulted by the board of investigation will determine the relevance of medical information, in each case, and will share that information with the other members of the board.

38. Disclosures, when necessarily including information in offenders' health care records, are guided by the Privacy Act and the rules of conduct of the respective professional governing bodies.

39. Prior to commencing interviews with any individuals called before a board of investigation convened under section 20 of the CCRA, the board must advise each individual of his or her protection under section 13 of the Inquiries Act.

40. Individuals appearing before other CSC boards of investigation convened pursuant to section 19 of the CCRA or the present directive must be advised of their protection under CSC's duty to act fairly process.

41. National boards of investigation convened under section 20 of the CCRA shall issue a notice to an individual under section 13 of the Inquiries Act when, in their opinion, there is a serious potential for adverse impact upon an individual's reputation (i.e. non-compliance with a law, policy, procedure or professional standard directly related to the incident under investigation).

42. The board of investigation shall apply the same considerations and follow the same procedures whether or not the person is a staff member.

43. Where a board is not convened under section 20 of the CCRA, the duty to act fairly principles apply. The duty to act fairly provides the same protections as section 13; however, it does not require that the person be allowed legal representation or an in-person hearing to make representations.

COLLECTION AND RETENTION OF INFORMATION DURING THE INVESTIGATIVE PROCESS

44. Boards of investigations will ensure that all information obtained as part of the investigative process is stored and protected during the duration of the investigation in accordance with the Access to Information Act and Privacy Act, to ensure the integrity of the process and to allow the board to determine the relevance and importance of specific information or factors.

45. The Incident Investigations Branch will review each national investigation report and consult relevant National and Regional Headquarters policy holders, and appropriate CSC health authorities to ensure proper interpretation of policies and assist senior management in identifying emerging or recurring themes or possible policy gaps.

INFORMATION SHARING AND DEBRIEFINGS

46. Prior to submitting it's report to the convening authority, the Chairperson of each national investigation will ensure that the operational unit head(s) and relevant Regional Deputy Commissioner are debriefed concerning the major findings and recommendations that will be identified in the investigation report.

47. The operational unit head shall provide a debriefing, as soon as possible or practical, on the findings and conclusions of all incident investigations conducted at his or her site to the staff involved in the incident, local Citizens' Advisory Committee members, as well as relevant members of the criminal justice system, after having been briefed by the board of investigation.

48. The written report can only be shared in accordance with the Privacy Act and Access to Information Act.

49. In the case of the death of an inmate, the Director General of Incident Investigations will notify the next-of-kin or other designated person that an investigation has been convened and that a copy of the report may be subsequently requested by them from the Access to Information and Privacy Division of CSC. In the case of a serious bodily injury, the inmate victim will be notified.

APPROVAL OF RECOMMENDATIONS AND ACTION PLANS AND SUBSEQUENT CLOSURE OF INVESTIGATIONS

50. The Senior Deputy Commissioner and members of the CSC's Executive Committee will review findings, approve recommendations and action plans developed in response to national investigation reports and formally close these investigations.

51. The Regional Deputy Commissioners will review all local investigation reports or file reviews, analyze findings and approve recommendations and action plans developed. The CSC regional health authority will be consulted in local investigations involving health care issues.

52. The Regional Deputy Commissioners will formally review, close and document all Situation Reports initiated by their region. The CSC regional health authority will be consulted in local investigations involving health care issues.

RECORD OF INVESTIGATIONS UNDERWAY

53. The Director General of Incident Investigations shall ensure that records of national investigations, local investigations and file reviews initiated under National Headquarters' authority are maintained and monitored. All completed investigation reports and related documentation and file reviews are to be kept on file by the site of the convening authority.

Commissioner,

Original signed by
Keith Coulter

 

Annex A - Convening Authority for Initiating an Investigation

The incident Investigations Branch has developed Annex A as a guideline only. Convening authority levels can and will vary according to incident dynamics. Other incident types not listed in this annex may be investigated when deemed necessary.

NOTE 1: For the purpose of incident investigations, Community Residential Facilities will be considered CSC facilities.

NOTE 2: For the purpose of incident investigations, offenders on long-term supervision orders are to be considered offenders released under CSC jurisdiction.

*community board member required

 

Incident	National* Tier I Commissioner*	National Tier II DGII	Local Operational Unit Head
Murder in a CSC facility or in the community where the alleged perpetrator is an offender	X*
Attempted murder in a CSC facility or in the community where the alleged aggressor is an offender		X*
Suicide in a CSC facility	X*
Attempted suicide in a CSC facility		X*	X
Suicide of an offender in the community		X
Attempted suicide of an offender in the community			X
Death of an inmate by natural cause in a CSC facility or in a community hospital	X*	X
Hostage-taking or forcible confinement in a CSC facility or in the community when involving an offender	X*
Major disturbance in a CSC facility (an incident that seriously disrupts the daily activities of an institution)	X*	X
Use of force	X*	X	X
Assault on an inmate or other person in a CSC facility (depending on severity)	X*	X	x
Sexual assault on an inmate or other person in a CSC facility	X*	X*	x
Serious bodily injury of an inmate	X*	X	X
Escape from a CSC maximum-security institution	X*
Escape from a CSC medium-security institution		X*
Escape from a CSC minimum-security institution including Community Correctional Centres		X	X
Escape from a CSC escort		X*	X
Assault causing serious harm or sexual assault involving an offender in the community	X*	X	File review
Other serious offences in the community, involving an offender		X	File review