DAOD 7026-1, Management of Administrative Investigations

Table of Contents

1. Introduction
2. Overview
3. Special Examinations and Investigations Section
4. Process
5. Consequences
6. Responsibilities
7. References

1. Introduction

Date of Issue: 2002-02-08

Date of Last Modification: 2015-07-06

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Supersession: NDHQ Policy Directive P 2/92, Special Examinations and Inquiries in the DND/CF

Approval Authority: Assistant Deputy Minister (Review Services) (ADM(RS))

Enquiries: Directorate of Special Examinations and Inquiries (DSEI).

2. Overview

Context

2.1 The DND and the CAF must review the performance of their policies, programs and operations in a timely, relevant and cost-effective manner, emphasizing results, risk management, control and accountability.

2.2 The ADM(RS) assists DND senior managers and CAF commanders in meeting their mandates by the conduct of administrative investigations into allegations or instances of administrative irregularities, impropriety, mismanagement and other irregularities in the DND and the CAF.

3. Special Examinations and Investigations Section

Mandate

3.1 The Special Examinations and Investigations (SEI) section plans and conducts administrative investigations into allegations or instances of administrative irregularities, impropriety, mismanagement and other irregularities in the DND and the CAF. Such investigations are conducted independent of the chain of command.

Objectives

3.2 The objectives of administrative investigations conducted by the SEI section are to:

1. establish the facts with respect to causes, events and outcomes related to allegations of administrative irregularities, impropriety, mismanagement and other irregularities, through an in-depth investigation of the relevant circumstances, to confirm or deny the validity of the allegations; and
2. inform responsible managers and commanders of their findings, and provide them with appropriate recommendations for corrective action.

3.3 Administrative investigations permit a measured and proportionate response to particular instances of non-compliance with relevant acts, regulations, directives, orders, instructions, policies and procedures.

Not a Criminal or Police Investigation

3.4 Administrative investigations conducted by the SEI section must not be used to gather evidence of criminal breaches, for example, fraud under section 380 of the Criminal Code or an act of a fraudulent nature under paragraph 117(f) of the National Defence Act. If, in the course of an investigation, an SEI investigator believes on reasonable grounds that there may have been a breach of the Criminal Code, the National Defence Act or other federal act or regulation, the investigator:

1. must seek legal advice without delay to determine if the relevant police force should be contacted; and
2. may continue with the administrative investigation so long as the investigation is conducted solely for an administrative purpose and not in pursuit of any criminal matter.

3.5 An administrative investigation may be conducted by the SEI section in addition to any police investigation that may be conducted by the Canadian Forces National Investigation Service (CFNIS), the military police or a civilian police service, or any investigation that may be conducted by means of a board of inquiry or summary investigation.

3.6 After consultation with the Canadian Forces Provost Marshal (CFPM), an administrative investigation may be conducted by the SEI section in support of or parallel to a police investigation. A police investigation may not eliminate the need for further administrative investigation by the SEI section.

3.7 The findings of an administrative investigation conducted by the SEI section may lead to the referral of a case to the CFPM.

4. Process

Authority for Directing an Administrative Investigation

4.1 Only the Deputy Minister (DM), the Chief of the Defence Staff (CDS) or the ADM(RS) may direct DSEI to have an administrative investigation conducted by the SEI section.

Conduct of Investigations

4.2 Administrative investigations are conducted by SEI investigators in accordance with:

1. applicable Treasury Board policies, directives and guidelines; and
2. procedural fairness.

4.3 Administrative investigations conducted by SEI investigators involve information gathering, examination and analysis.

4.4 SEI investigators consider the adequacy and effectiveness of the existing DND and CAF directives, orders, instructions, policies and procedures as they relate to the incident under investigation.

Access to Records and Personnel

4.5 In order for SEI investigators to properly conduct administrative investigations, a manager, commanding officer (CO) or supervisor must ensure that the SEI investigators are provided with full access to:

1. all records and facilities under the control of the manager, CO or supervisor; and
2. all DND employees, CAF members, non-public fund employees and contract personnel under their authority.

4.6 Access to records and personnel may only be denied on the basis of a compelling operational or security priority, or on the basis of legal requirements such as under the Privacy Act.

Duty of DND Employees and CAF Members

4.7 All DND employees and CAF members must cooperate with, and facilitate the work of, SEI investigators conducting administrative investigations.

Reliance on the Work of Others

4.8 To the extent possible, SEI investigators may rely on the results of other investigations, reviews, audits and evaluations in the conduct of their investigations.

Reporting

4.9 The DSEI must submit:

1. a quarterly report to the ADM(RS) on ongoing administrative investigations being conducted by the SEI section; and
2. a progress report on request to any authority who directed an investigation.

Review and Monitoring

4.10 The DM and the CDS review SEI reports of administrative investigations and monitor SEI activities.

5. Consequences

Consequences of Non-Compliance

5.1 Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance with this DAOD may be investigated. The nature and severity of consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

6. Responsibilities

Responsibility Table

6.1 The following table identifies the responsibilities associated with this DAOD:

7. References

Acts, Regulations, Central Agency Policies and Policy DAOD

• Criminal Code
• Federal Accountability Act
• Financial Administration Act
• National Defence Act
• Privacy Act
• Public Servants Disclosure Protection Act
• QR&O article 4.02, General Responsibilities of Officers
• QR&O article 5.01, General Responsibilities of Non-Commissioned Members
• Framework for the Management of Compliance, Treasury Board
• Policy on Internal Control, Treasury Board
• Directive on Losses of Money or Property, Treasury Board
• DAOD 7026-0, Administrative Investigations

Other References

• DAOD 7024-0, Disclosure of Wrongdoings in the Workplace
• DAOD 7025-0, Fraud Prevention and Management
• CFAO 22-10, Investigation and Report of Loss or Damage Due to Criminal Offences
• CFAO 202-4, Public Funds – Reporting Losses, Deficiencies or Overages
• Disclosure of Wrongdoing – Guidelines for Department of National Defence (DND) Managers and Employees, and Canadian Armed Forces (CAF) Supervisors and Members
• DSEI intranet site