DAOD 7002-2, Summary Investigations

1. Introduction

Date of Issue: 2002-02-08

Date of Modification: 2011-03-08

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).

Approval Authority: Chief Review Services (CRS)

Enquiries: Administrative Investigation Support Centre (AISC)

2. Commencement

Interpretation

2.1 In this DAOD, unless the context provides otherwise, "investigator" includes two investigators if so appointed to conduct a summary investigation (SI).

SI Investigative Matters

2.2 An SI is normally ordered if:

  1. the matter to be investigated is minor and uncomplicated;
  2. specifically required by QR&O, a directive or an order; or
  3. directed by higher authority.

Actions Prior to Ordering an SI

2.3 Prior to ordering an SI, an officer shall:

  1. given the relationship of the officer to the matter to be investigated, consider the existence of a real, potential or perceived conflict of interest, or one that might arise, if the officer orders the SI;
  2. obtain legal advice from the nearest representative of the Judge Advocate General (JAG) regarding matters such as the appropriate type of investigation to be conducted; and
  3. contact the AISC to:
    1. obtain advice on selection of the appropriate administrative investigation (board of inquiry (BOI), SI or informal investigation); and
    2. receive sample terms of reference (TORs), lessons learned and best practices to apply for the ordering and conduct of an SI requiring Chief of the Defence Staff (CDS) approval (see the NDHQ Approval block).

2.4 The officer shall refer the matter to higher authority and not order an SI if:

  1. it appears likely that the officer or any superior of the officer may be adversely affected by the findings or recommendations of the SI;
  2. the officer or any superior of the officer may be questioned as a witness; or
  3. a suitable investigator is not available under the command of the officer ordering the SI.

SI Purpose

2.5 The BOI Purpose block in DAOD 7002-1, Boards of Inquiry, shall be applied when ordering an SI.

TORs for an SI

2.6 The TORs for an SI shall:

  1. state the purpose of the officer ordering the SI for the investigation;
  2. be written, detailed and explicit;
  3. set out the matters on which findings are to be made;
  4. identify the CF member appointed as the investigator for the SI;
  5. specify the matters on which recommendations are required, including recommendations to prevent recurrence;
  6. normally require that the cause of the matter being investigated be found;
  7. establish the latest date for the start of the SI;
  8. establish the minimum security classification or designation of the report;
  9. normally be stated in the same manner as a convening order for a BOI; and
  10. contain the following paragraphs:

    "Should an investigator receive evidence that permits the investigator to reasonably believe that an offence has been committed, the investigator shall suspend the investigation and notify the officer who ordered the investigation, and the matter shall be referred to the nearest JAG representative for legal advice.

    The investigator shall inquire into all matters referred to it for investigation. If during the course of an investigation, a matter arises which raises issues involving the propriety of a military police investigation or other military police-related conduct, the matter shall be forwarded for further disposition to the officer who ordered the investigation".

2.7 The AISC may be contacted for model TORs.

Investigator

2.8 An officer shall normally be appointed as the investigator to conduct an SI. If an officer is not available, a non-commissioned member of the rank of warrant officer or higher may be appointed. If considered appropriate, two officers, or an officer and a non-commissioned member of the rank of warrant officer or higher, may be appointed.

2.9 The existence of a real, potential or perceived conflict of interest, or one that might arise given the relationship of a potential investigator to the subject matter of the investigation, shall be considered prior to appointment.

2.10 An investigator should possess knowledge of the investigative process and how to analyze evidence. A less experienced investigator may be appointed to work with an experienced investigator.

2.11 A CAF member appointed for purposes of section 156 of the National Defence Act shall not be appointed to conduct an SI unless the SI relates to military police unit or section matters.

2.12 A CAF member shall not be appointed as an investigator if it appears likely that the CAF member or any superior of the CAF member may be:

  1. adversely affected by the findings or recommendations of the SI; or
  2. questioned as a witness during the conduct of the SI.

2.13 During the conduct of an SI, the following conditions apply:

  1. an investigator may not be replaced after the first witness has been questioned; and
  2. an investigator shall continue with their SI duties until the completion of the SI or until the officer ordering the SI removes the investigator.

2.14 If two investigators are conducting an SI, the following conditions apply:

  1. both investigators shall conduct the SI and hear all witnesses together; and
  2. an investigator who does not participate in the SI with the other investigator shall be removed from the SI by amending the TORs.

Advisors to an SI

2.15 The investigator shall consult, as necessary, with appropriate subject matter advisors prior to making findings and recommendations. The nearest JAG representative shall be contacted when dealing with issues involving a notice of adverse evidence (NOAE). See DAOD 7002-4, Examination of Witnesses, for detailed information concerning the provision of an NOAE.

Recording Evidence

2.16 The recording of statements given during an SI is less formal than during a BOI. An investigator is not empowered to administer oaths or solemn affirmations and therefore shall not attempt to obtain evidence under oath or solemn affirmation. The record of an SI may include:

  1. notes made by the investigator during the SI;
  2. written statements prepared and signed by a witness, including the use of electronic signatures;
  3. notes made by the investigator during an interview that have been reviewed and signed by a witness; and
  4. notes prepared from an audio or video tape recording.

Action by Officer Ordering the SI During Conduct of the SI

2.17 The officer who orders an SI shall ensure that:

  1. the investigator appointed to conduct the SI contacts the AISC to complete on-line training;
  2. the investigator and other CAF members involved in the SI have sufficient freedom from other duties to fully participate in and concentrate on the SI; and
  3. reasonable arrangements are made for accommodation, support staff and equipment to conduct the SI.

3. Report

Form of Report

3.1 The report of an SI shall be submitted in typed memorandum form. The AISC may be contacted for a sample report.

3.2 Depending on the seriousness or complexity of the matter investigated or the consequences of the investigation, it may be appropriate to support the information in the report by the attachment of signed statements, memoranda or other forms of evidence, if available.

3.3 In a lengthy or complex investigation, the format set out in DAOD 7002-1 for preparing the report of a BOI may be adapted for preparation of the report of the SI.

3.4 If the SI requires CDS approval, the investigator shall ensure that a draft of the report is forwarded to the AISC for review and application of best practices and lessons learned.

4. Forwarding and Staffing Procedures

First Level of Review

4.1 When the report is completed, the required number of copies, as stated in the TORs, shall be forwarded to the officer who ordered the SI. As the first level of review, the officer who ordered the SI shall:

  1. complete a comprehensive review of all findings and recommendations to ensure their support by the evidence in the report;
  2. if further evidence, corrections or amendments are required, order that the SI be reopened;
  3. ensure that the investigator has applied required principles of procedural fairness during the conduct of the SI;
  4. ensure that any person against whom an adverse finding has been made received an NOAE;
  5. indicate if concurring or not concurring with each of the findings and recommendations and, if not concurring, provide reasons;
  6. state the administrative, operational and technical action taken or contemplated, including any:
    1. write-off;
    2. administrative deduction;
    3. change in procedures;
    4. unsatisfactory condition report action; or
    5. preventive measure;
  7. ensure any preventive measure is instituted as soon as possible;
  8. add other pertinent comments, including, if applicable, orders for dissemination of information or recommended training that could prevent a recurrence; and
  9. advise the investigator of any error, omission or shortcoming relating to the conduct of the SI.

4.2 The matter being investigated determines whether the officer who ordered the SI may approve the report or shall submit it to a higher authority for review and approval.

Briefing of a Seriously Injured CAF Member or a Representative

4.3 Once the officer who ordered an SI to investigate the serious injury or death of a CAF member has completed the first level of review of the report, the investigator shall conduct a preliminary meeting with the seriously injured CAF member or representative of the deceased CAF member to discuss:

  1. general information related to the conduct of the SI;
  2. the findings and recommendations as they relate to the seriously injured or deceased CF member;
  3. whether the officer who ordered the SI did not concur in any of these finding or recommendation;
  4. the provision of a severed copy of the report, once approved at the highest level; and
  5. continued communications throughout the review process.

4.4 The investigator should indicate to the seriously injured CAF member or representative that the report is subject to change upon review by higher authorities.

Time Limits

4.5 The officer who ordered the SI shall submit the report to all applicable higher authorities for review or approval as soon as possible upon completion of the first level of review.

4.6 If a higher authority requires more than 45 days for review prior to submitting the report to the next level, the higher authority shall advise the authority at the next level of the:

  1. reasons for the delay; and
  2. expected submission date.

4.7 The total review and approval process should not take more than six months.

Action by Higher Authorities

4.8 After having reviewed the report, a higher authority shall:

  1. indicate if concurring or not concurring with each of the findings and recommendations and, if not concurring, provide reasons;
  2. state the administrative, operational and technical action taken or contemplated, including any:
    1. write-off;
    2. administrative deduction;
    3. change in procedures;
    4. unsatisfactory condition report action; or
    5. preventive measure;
  3. ensure any preventive measure is instituted as soon as possible; and
  4. add other pertinent comments including, if applicable, orders for dissemination of information or recommended training that could prevent a recurrence.

4.9 The higher authority may also take any other action as set out in the First Level of Review block, as appropriate in the circumstances.

4.10 The higher authority shall submit the report to the authority at the next level if:

  1. required by QR&O, a directive or an order, or a higher authority; or
  2. the higher authority through whom the report was submitted has no authority to approve the report or implement the recommendations made.

Final Approving Authority

4.11 The final approving authority shall:

  1. review the report;
  2. approve or not approve each of the findings and recommendations and, if not approving, provide reasons;
  3. give direction as appropriate;
  4. send a letter of completion to the officer who ordered the SI;
  5. for an SI related to the serious injury or death of a CAF member, send a letter of closure to the seriously injured CAF member or the representative of the deceased CAF member; and
  6. if the SI requires approval by or on behalf of the CDS, send the original report, once approved, including all supporting documents, to the AISC for retention purposes.

Letter of Closure to a Person Who Made a Complaint

4.12 After the completion of an SI, the final approving authority shall, upon request, provide a letter of closure to a person who made a complaint that resulted in the conduct of the SI.

Letter of Closure - NOAE

4.13 A person who has received an NOAE shall be sent a letter of closure. The final approving authority shall provide the letter of closure stating, as applicable:

  1. that no finding or recommendation has been made in respect of the person; or
  2. if a finding or recommendation has been made in respect of the person:
    1. the finding or recommendation; and
    2. the reason for not concurring with any finding or recommendation if such is the case.

NDHQ Approval

4.14 The report shall be forwarded to NDHQ through the appropriate chain of command for approval by or on behalf of the CDS for any matter set out in the NDHQ Approval block in DAOD 7002-1.

5. Requests for Information

Requests for Information

5.1 The direction in the Requests for Information map in DAOD 7002-1 shall be applied for an SI.

6. References

Acts, Regulations, Central Agency Policies and Policy DAOD

  • QR&O Chapter 21, Summary Investigations and Boards of Inquiry
  • DAOD 7002-0, Boards of Inquiry and Summary Investigations

Other References