Review of the Establishment of the Sexual Misconduct Response Centre

September 2017

1259-3-0016 (ADM(RS))

Reviewed by ADM(RS) in accordance with the Access to Information Act. Information UNCLASSIFIED

CAF

Canadian Armed Forces

CDS

Chief of the Defence Staff

CSRT-SM

Canadian Armed Forces Strategic Response Team on Sexual Misconduct

DM

Deputy Minister

DND

Department of National Defence

HISB

Harmful and Inappropriate Sexual Behaviour

OPI

Office of Primary Interest

SMRC

Sexual Misconduct Response Centre

Statement of Conformance

The review findings and conclusions contained in this report are based on sufficient and appropriate evidence gathered in accordance with procedures that meet the Institute of Internal Auditors’ International Professional Practices Framework for a review level of assurance. The review thus conforms to the International Standards for the Professional Practice of Internal Auditing as supported by the results of the quality assurance and improvement program. The opinions expressed in this report are based on conditions as they existed at the time of the review and apply only to the entity examined.

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Definitions

Various definitions are provided in directives and orders within the Department of National Defence and the Canadian Armed Forces (DND/CAF) to describe sexual misconduct, sexual harassment, sexual assault, etc. The CAF has collated those terms into a single document for study.¹The following definitions are provided for the purpose of this review only.

• Harmful and inappropriate sexual behaviour (HISB): Overarching term that covers all forms of inappropriate sexual behaviour. It includes, but is not limited to, actions that perpetuate stereotypes and modes of thinking that devalue members on the basis of their sex, sexuality or sexual orientation; unacceptable language or jokes; accessing, distributing or publishing in the workplace material of a sexual nature, offensive sexual remarks; exploitation of power relationships for the purposes of sexual activity; unwelcome requests of a sexual nature or verbal abuse of a sexual nature, publication of an intimate image of a person without their consent, voyeurism, indecent acts, sexual interference, sexual exploitation and sexual assault.
• Sexual Assault: Includes sexual attack, unwanted sexual touching and sexual activity where unable to consent.
• Sexual Harassment: Although there is no agreement regarding the definition there is a general consensus based on laws, psychological research and general opinion that are quite consistent. The following are examples of some behaviours that could be considered sexual harassment (note that this is not an exhaustive list):
  • unwanted sexual advances which may or may not be accompanied by threats or explicit or implicit promises.
  • displaying sexist pictures, posters, or sending e-mails related to one of the eleven grounds prohibited under the Canadian Human Rights Act...
• Sexual Misconduct: This term covers conduct found in the broad spectrum from sexual harassment to sexual assault. To fit into the spectrum, the act or behavior usually has a sexual purpose or is of a sexual or indecent nature. Sexual misconduct includes offences such as sexual assault, indecent exposure, voyeurism and acts involving child pornography.

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Context

• Media has drawn attention to the issue of sexual misconduct that exists within Canadian society and institutions, including the CAF.
• In response, an independent external review was requested by the former Chief of the Defence Staff (CDS). The results were publicly released on April 30, 2015.
• The current CDS, General Jonathan Vance, issued Operation HONOUR in August 2015 with a clear message of zero tolerance: “This is a serious matter…. It stops now. Consider this my first order to all members of the CAF.”² He later emphasized, “I hereby direct that all CAF members found guilty of sexual misconduct … shall be issued with a Notice of Intent to recommend release if the incident occurred after 01 Jan 16.”³
• Creating the Sexual Misconduct Response Centre (SMRC) was among the many efforts by the DND/CAF to respond to the call for an independent centre to address issues of HISB.
• The SMRC was initially established in September 2015 as a confidential victim response and support centre. Since that time, the SMRC has evolved and plans to have an updated mandate and associated foundational documentation finalized in 2017.
• The SMRC has the considerable task of ensuring it is responsive to the needs of its client base (i.e., the CAF), while also being responsible as it executes its mandate and provides confidential support to CAF members who have been affected by HISB.
  • Some of the challenges facing the SMRC in executing this task include the following:
    • consultation between the SMRC and the CAF so that both are able to share their needs and advice, while maintaining independence in fact and perception;
    • ensuring that it is clear to all stakeholders that the Deputy Minister (DM) is the final approving authority for all SMRC foundational documentation as it pertains to the business of SMRC; and
    • having a documented and understood definition of independence for its operation and governance.

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Objective, Criteria and Scope

The objective of this review was to assess whether effective governance structures and processes are in place for the establishment of the SMRC.

Criteria

• Effective oversight bodies exist to oversee and support the functions of the SMRC.
• Authorities, roles and responsibilities of the SMRC are clearly defined and communicated.
• Performance measures are in place to enable and support the SMRC.

Scope

• This was a directed review that focused on the responsibilities of the SMRC in providing victim support as part of the effort to address HISB. A formal risk assessment was not conducted due to the directed nature and short timeframe associated with this review.
• The review considered the independence of SMRC in relation to its mandate.
• The period under review consisted of activities related to SMRC planning considerations as early as April 2015 until the review’s conduct end-date in February 2017.

Out of Scope

• The tasks of Operation HONOUR and the responsibilities of the CAF Strategic Response Team – Sexual Misconduct (CSRT–SM). Many of the tasks to support progress on recommendations stemming from the External Review Report,⁴ widely known as the Deschamps Report, are under the responsibility of the CSRT-SM and various CAF organizations. Confirmation of their progress was not the subject of this review.

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Background─External Review and Response

• A former Supreme Court of Canada Justice, Madame Marie Deschamps, conducted an external review into sexual harassment and sexual misconduct in the CAF between June 2014 and March 2015.
  • Her mandate was to examine CAF policies, procedures and programs in relation to sexual harassment and sexual assault.
  • The External Review Report resulted in ten recommendations, which focused on creating an independent centre outside of the chain of command that would be the central resource for addressing sexual misconduct.
  • The CDS received the External Review Report on March 27, 2015.
• The CAF CSRT–SM was established in February 2015, proactively, under CDS authority within the chain of command through Chief Military Personnel. This was done prior to the release of the External Review Report to achieve the following:
  • enhance operational readiness by eliminating to the extent possible, incidents and impacts of HISB; and
  • develop an action plan to address the ten recommendations made by Madame Deschamps and oversee the implementation of the tasks of Operation HONOUR.
• An External Advisory Council was also considered to allow external members to offer “high quality, well informed, innovative, dynamic and objective advice and perspectives to the CAF”⁵ and the SMRC on sexual misconduct.

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Background─SMRC

• The SMRC was initially established in September 2015 to provide confidential victim support, including empathetic listening and information, and facilitated access to resources for members of the CAF who experienced or had been affected by any facet of HISB.
  • A plan is being developed to implement a 24/7 operating model. At the time of the review, the hours were limited to 0700 to 2000.⁶
  • Clientele is currently limited to CAF members, both Regular and Reserve Force. However, consideration may be given in the future to expanding clientele and services.
  • The External Review Report recommended that an independent centre be created to manage seven key activities: victim support, prevention, coordination and monitoring of training, receipt of reports, monitoring of accountability, research and collection of data. 
    • Although the SMRC’s interim scope of services has been focused on confidential victim support by telephone or email from a central location, its scope is expected to evolve as the organization matures to potentially include other roles and responsibilities.
• As a result of accelerating the establishment of the SMRC in September 2015, staff and counsellors were initially recruited through short-term staffing options such as internal assignments and casual employment. Bringing stability to its current organizational model was recognized as a pressing priority by the SMRC during the review.

• With the SMRC being a new organization, reporting to the DM, it requires its own administration and support functions. At the time of the review, SMRC was working to complete hiring processes and finalize staffing of these functions.

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Background─External Review Report

As summarized in Table 1, of the seven activities identified in the External Review Report, the SMRC is, on an interim basis, mandated to focus solely on confidential victim support. The other activities are delivered by other organizations and have not been assessed as part of this review.

This table identifies the seven key activities recommended by the External Review Report for a centralized independent centre to oversee, and it lists the OPIs that are currently responsible for the related activities

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Background─Other Services Available

Beyond the services offered by the SMRC, there are other resources⁸ available for CAF victims of HISB as seen in Table 2. Civilian members use civilian agencies, resources and authorities.

This table identifies some of the additional resources that are available for CAF members who are victims of HISB.

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• It is important to note that victim confidentiality is a key element of SMRC operations.
  • Counsellors are physically separated from other SMRC offices to protect victim privacy; and
  • Standard operating procedures were drafted on confidentiality and disclosures to provide guidance to counsellors.
    • SMRC staff are responsible for protecting personal information disclosed by individuals who contact the centre in accordance with the applicable federal legislation, Treasury Board policies and DND directives; and
    • SMRC staff are provided with guidelines for protecting personal information.
• It is critical for the SMRC to be responsive to the needs of the CAF and to be responsible in how it executes its mandate, maintains victim confidentiality and provides information and advice on issues and trends. While the SMRC is set up to operate independently, there is a risk that CAF members could perceive some of the collaboration between SMRC and the CAF as limiting its independence.

  • In order to increase CAF members’ understanding of the difference between the roles of CSRT-SM and SMRC, CSRT-SM requested to be in attendance when SMRC provides briefing sessions to base staff. Without proper alignment and coordination of both the SMRC and CSRT-SM's communication and other strategies, there is a risk that this could be perceived as limiting the independence of the SMRC.

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Observation: Governance

•  At the time of the review, CAF stakeholders were reviewing and requesting changes to foundational documentation.
  • The draft SMRC Charter, which is deemed to be a key foundational document, has been reviewed by CSRT-SM, who requested changes and additional content, such as service agreement elements. However, the review noted that the final approval of this and other documents remains under the authority of the DM.
  • It has also been proposed that SMRC use existing governance bodies such as the Canadian Forces Personnel Management Council and the Armed Forces Council. However, the review observed that the use of such CAF-led governance bodies would not fully support the independence of the SMRC or its perception thereof, and it would not be aligned with the SMRC’s current accountability to the DM. Engagement with these bodies may be useful in order to be responsive to CAF needs and to provide feedback to and obtain feedback from the CAF. However, the review acknowledges that the final authority rests with the DM.
• Foundational documentation to define SMRC’s accountabilities, responsibilities and authorities and to guide its business strategy had been drafted at the time of the review but required some improvement. Effective planning will assist the SMRC to demonstrate how it can achieve its organizational strategic goals. 
  • The draft SMRC document that defines its role would benefit from including key elements such as roles and responsibilities, accountability, authority and a definition of independence.
  • The draft Accountabilities, Responsibilities and Authorities Framework for the SMRC executive director should include the expected key deliverables and defined functional authorities.
  • Other foundational documentation that was in development during the review would also benefit from additional information (i.e., the Integrated Business Plan and the Performance Measurement Strategy).
    • For example, based on the performance measurement documentation assessed at the time of review, inconsistencies between documents were noted, and details on how the SMRC would measure its indicators were incomplete.
• An External Advisory Council will be established to “advise the DM and the CDS in leveraging Canadian expertise, experience and lessons learned from the private and public sector in support of Operation HONOUR activities to address and eliminate HISB.”⁹ The supporting documentation for the concept of the External Advisory Council was initially drafted in December 2015 and is in the process of being finalized.

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Conclusion

SMRC governance ensures independence from the chain of command through a direct reporting relationship to the DM. The DM is the final approval authority for all SMRC business. In addition, mechanisms are in place to protect victim confidentiality.

A documented governance framework will clarify SMRC’s evolving mandate and allow for mechanisms and parameters for SMRC to provide expertise and advice to the CAF, as well as obtain feedback from the CAF. Finalizing and obtaining DM approval of the fundamental SMRC documentation will also provide for more effective governance structures and processes by providing effective oversight and a supportive performance measurement framework. Finally, by ensuring proper alignment and clear understanding of CAF and SMRC roles and responsibilities, it will support SMRC’s evolution and independence while it continues to mature and address sexual misconduct issues within the organization.

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Annex A─Management Action Plan