Chapter 16: Post-Trial Administration

SECTION 1 - GENERAL

1. QR&O prescribe the administrative action that must be taken where:

1. a charge is referred to a delegated officer or CO by the charge layer;
2. a CO or superior commander makes an application to a referral authority for disposal of a charge;
3. a final disposition of all charges has been made by a presiding officer;
4. an officer has exercised the power and jurisdiction of a review authority pursuant to QR&O 108.45; and
5. an officer has exercised the jurisdiction of a review authority other than pursuant to QR&O 108.45, i.e. pursuant to QR&O 116.02, and quashed a finding or altered the sentence.¹

2. A final disposition means a decision not to proceed, a direction that the proceedings be stayed on an alternative charge, a finding of not guilty and, in the case of a finding of guilty, the passing of a sentence.²

3. The purpose of post-trial administration is to:

1. standardize procedures governing the retention, release and legal review of documents pertaining to summary trial proceedings;³ and
2. ensure that the sentence is enforced and that the member's service records accurately reflect the final disposition.

SECTION 2 - UNIT REGISTRY OF DISCIPLINARY PROCEEDINGS

4. A Unit Registry of Disciplinary Proceedings (Unit Registry) must be maintained within each unit. It is the responsibility of the CO of the unit to ensure this is done.⁴

5. The maintenance of a Unit Registry ensures that standardized procedures govern the retention of RDPs and other documents pertaining to summary proceedings conducted within the unit.⁵ The placement of documents on the Unit Registry ensures that the relevant information is readily available when a review authority conducts a review of a finding of guilty or the sentence imposed at a summary trial.⁶ The filing of specific documents in the Unit Registry also aids in the review conducted by the unit legal advisor in furtherance of the JAG's role in superintending the military justice system.⁷ RDPs held on the Unit Registry may also be provided to the public in accordance with QR&O 107.16.

6. The Unit Registry should contain only those documents specified in QR&O 107.14. It is neither the purpose nor intention of the Unit Registry to be a repository for all documents related to a specific accused. The documents to be included on the Unit Registry are:

1. a copy of any RDP referred to a CO or delegated officer by the charge layer;⁸
2. a copy of the application, the RDP, and any report of investigation conducted pursuant to QR&O 106, when an application is made to a referral authority for disposal of a charge;⁹
3. the original RDP, together with a copy of any report of investigation conducted pursuant to Chapter 106, when a final disposition of all charges has been made;¹⁰ and
4. a copy of any decision made by a review authority pursuant to QR&O 108.45,¹¹ as well as a copy of any decision made by a review authority under QR&O 116.02, that results in the quashing of a finding or the alteration of the sentence.¹²

For the purposes of QR&O 107.14, the term RDP includes any attachment referred to in Parts 1-7 of the RDP form.¹³

7. Examples of documents that should NOT under any circumstances be placed on the Unit Registry include:

1. the minutes or report of any investigation such as a Board of Inquiry, or Summary Investigations, or other military investigation not conducted pursuant to QR&O 106; or
2. the minutes or report of any investigation that does not pertain to the accused person named in Part 1 (Charge Report) of the RDP.

8. The time period for maintaining documents on the Unit Registry is regulated by the Records Scheduling and Disposal Manual A-AD-D11-001/AG-001. This will ensure compliance with the relevant federal legislation.¹⁴

9. Military Police Investigation Reports (MPIR) are subject to special handling and protections including established document control measures regarding their control¹⁵. It is necessary for unit administrative personnel to continue to implement the stringent control measures dealing with the handling and storage of MPIRs. For further information seek the advice of the local senior MP advisor.

10. Any member of the public may request a copy of a RDP held on the Unit Registry. When a request is made, the CO of the unit holding the requested RDP is required to comply with the request as soon as practicable.¹⁶ To assist in maintaining the appropriate balance between the public access rights and the offender's privacy rights, the means of accessing the information from the Unit Registry has been formalized.¹⁷

11. An RDP request must pertain to a particular accused and be submitted in writing to the appropriate unit. The request can be submitted by mail, fax or in person. The request must contain sufficient information to identify the specific RDP being sought,¹⁸ including:

1. the name, rank or service number of the accused;
2. the type of offence charged;
3. the subject matter or circumstances set out in the particulars of the charge such as the date, time and place where the offence was committed;
4. the date on which the charge was laid;
5. the date the summary trial was held; and
6. the date of sentencing or the sentence imposed.¹⁹

12. When a unit receives a request for a specific RDP the CO must, as soon as practicable, provide a copy of the most recent RDP held on the Unit Registry that pertains to the particular accused named in the request.²⁰ Although there are many documents that may be attached to the RDP such as investigation reports or witness statements, only the following attachments can be released:

1. a statement of additional offences attached to Part 1 of the RDP; and
2. a statement of special findings attached to Part 5 of the RDP.²¹

13. Not all requests for a copy of an RDP should be complied with. The QR&O prohibit the release of a copy of an RDP where:

1. a court order restricts access to the RDP or the information contained therein;
2. a pardon has been granted in respect of an offence recorded in Part 1 (Charge Report) of the RDP;²²
3. a person, other than a member, committed or is accused of having committed a service offence while under the age of 18; or
4. the CO has reasonable grounds to believe the safety of any person could be threatened as a result of the release of the RDP.²³

The CO should seek advice from the unit legal advisor before acting on the request in circumstances which may be covered by these prohibitions.²⁴

14. The provisions contained in QR&O 107.14 to 107.16 relate only to requests for the release of a RDP. Requests for any other information contained on the Unit Registry, such as investigation reports, should be referred to the Departmental access to information coordinator.²⁵

SECTION 3 - ROLE OF THE PRESIDING OFFICER

15. There are additional administrative requirements that must also be observed once a final disposition of all charges has been made. Where a summary trial has been held, the presiding officer is required to complete Part 6 of the RDP by recording the findings made and the sentence imposed at the summary trial.²⁶ The presiding officer must then cause the original RDP, along with a copy of the report of investigation conducted pursuant to QR&O 106, to be placed on the Unit Registry.²⁷ Where the presiding officer is not the CO of the member tried, the presiding officer must cause a copy of the RDP to be forwarded to the accused's CO for information and necessary follow-up action.²⁸

16. A CO who imposes a punishment of detention or reduction in rank must also cause NDHQ (Director General Military Careers) to be notified by message.²⁹

SECTION 4 - ROLE OF THE COMMANDING OFFICER

17. In addition to the responsibilities a CO may have when acting as presiding officer at a summary trial, a CO also has certain administrative responsibilities by virtue of being the offender's CO. Where a presiding officer has made a finding of guilt and imposed a punishment, the offender's CO shall:

1. take the necessary action to ensure that the sentence is carried out;³⁰ and
2. cause the appropriate entries to be made to the offender's service records, including the conduct sheet.³¹

18. As well, where a review of the summary trial has been conducted by a review authority, the offender's CO shall, upon receipt of the review authority's decision:

1. cause the appropriate entries to be made to the offender's service records including the conduct sheet in any case where the finding or sentence has been altered on review;³² and
2. take whatever other action may be required to give effect to the decision.³³

19. COs are also required to forward to the unit legal advisor, by the seventh day of each month, copies of any of the following documents that were placed in the Unit Registry during the preceding month:

1. a copy of any application made to a referral authority for disposal of a charge, together with the RDP and a copy of the report of investigation conducted pursuant to QR&O 106;³⁴
2. a copy of any RDP containing a final disposition of all charges against an accused;³⁵ and
3. a copy of any decision made by a review authority pursuant to QR&O 108.45, as well as a copy of any decision made by a review authority under QR&O 116.02, that results in the quashing of a finding or the alteration of the sentence.³⁶

SECTION 5 - ROLE OF REVIEW AUTHORITY

20. As soon as practicable after the completion of a review conducted pursuant to QR&O 108.45, the review authority must cause the offender who requested the review, the presiding officer, and where the review authority is not the offender's CO. the offender's CO, to be notified in writing of the decision on review.³⁷ As well, the review authority must cause a copy of the decision to be placed on the Unit Registry on which the original RDP was placed³⁸ and cause the appropriate entries to be made to Part 7 of the original RDP.³⁹

21. A review authority conducting a QR&O 116.02 review will be required to take similar follow-up action. However, there is one significant difference. The action need only be taken where the review authority decides to quash a finding of guilty or alter a sentence. Such a decision would be placed on the Unit Registry on which the original RDP was placed.⁴⁰

SECTION 6 - ROLE OF THE UNIT LEGAL ADVISOR

22. Unit legal advisors have the responsibility to review copies of all the documents forwarded to them by the CO pursuant to QR&O 107.15(1). The purpose of this review is to detect errors on the face of the trial record and to monitor compliance with the procedural requirements.⁴¹ If the review of documents reveal such errors or non-compliance with procedural requirements, the unit legal advisor must advise the CO and any other appropriate service authority. On completion of the review, copies of the documents will be forwarded to the Office of the JAG at NDHQ.

23. The JAG has the responsibility to superintend the administration of military justice in the CF and to report annually to the Minister of National Defence.⁴² The monthly review by the unit legal advisor assists the JAG in fulfilling these responsibilities.⁴³

Footnotes

¹ QR&O 107.14, 107.09 Note, 108.42(1)(a), 108.45(14)(b), 109.03(4) and 116.03(1)(b).

² QR&O 107.13.

³ QR&O 107.14 Note A.

⁴ QR&O 107.14(1). Further, QR&O 1.02 defines a unit as an individual body of the CF that is organized as such pursuant to Section 17 of the NDA, with the personnel and material thereof. Only one Unit Registry is to be maintained for each unit. Therefore, at a particular base each unit that is co-located at the base will be required to maintain a Unit Registry. A separate Unit Registry will be maintained by the base (which is also a unit). A formation, brigade, wing, naval squadron, area headquarters, command or other senior element would not normally maintain a Unit Registry as these are not considered to be units. If there are any questions concerning the establishment of a Unit Registry, the unit legal advisor should be consulted.

⁵ QR&O 107.14 Note A.

⁶ Such a review can be made pursuant to QR&O 108.45 or QR&O 116.02. For more information on the review procedures see Chapter 15, Review of Summary Trial Proceedings.

⁷ QR&O 107.15 and Note.

⁸ QR&O 107.14(2); QR&O 107.09 Note.

⁹ QR&O 107.14(3).

¹⁰ QR&O 107.14(4). Where a superior commander makes a final disposition of all charges, the RDP will be placed on the Unit Registry maintained at the unit of the CO who initially referred the charges for disposal (QR&O 107.14(5)).

¹¹ QR&O 107.14(6).

¹² QR&O 107.14(7).

¹³ QR&O 107.14 Note B.

¹⁴ For example, the National Archives of Canada Act, R.S.C. 1985, Chap. 1 (3^rd Supp.). See QR&O 107.14 Note C.

¹⁵ Military Police Policies and Technical Procedures, A-SJ-100-004/AG-000 Ch. 10

¹⁶ QR&O 107.16.

¹⁷ QR&O 107.16 Note A.

¹⁸ QR&O 107.16(2).

¹⁹ QR&O 107.16 Note B.

²⁰ QR&O 107.16(1).

²¹ QR&O 107.16(3).

²² See DAOD 7016-0, Pardons.

²³ QR&O 107.16(4).

²⁴ QR&O 107.16 Note C.

²⁵ QR&O 107.16 Note A.

²⁶ QR&O 108.42(1)(a).

²⁷ QR&O 107.14(4) and (5). In the case of a superior commander these documents will be placed on the Unit Registry that is maintained by the CO who initially referred the charges.

²⁸ QR&O 108.42(1)(b). The necessary follow-up action is discussed in Section 4 of this Chapter.

²⁹ QR&O 108.44.

³⁰ QR&O 108.42(2)(a).

³¹ QR&O 108.42(2)(b); See also DAOD 7006 – Conduct Sheets.

³² QR&O 108.45(15)(a); See also DAOD 7006 – Conduct Sheets.

³³ QR&O 108.45(15)(b).

³⁴ QR&O 107.15(1)(a). See also article 109.03 - Application to Referral Authority for Disposal of a Charge.

³⁵ QR&O 107.15(1)(b).

³⁶ QR&O 107.15(1)(c).

³⁷ QR&O 108.45(14)(a).

³⁸ QR&O 108.45(14)(b).

³⁹ QR&O 108.45(14)(c).

⁴⁰ QR&O 107.14(7) and 116.03.

⁴¹ QR&O 107.15(2).

⁴² NDA ss. 9.2 and 9.3.

⁴³ QR&O 107.15 Note.