Special Investigations Unit – Administrative Investigation Decision Tree

Preliminary fact finding inquiry – (determination for an administrative investigation)

The manager/Regional Security Office (RSO) must conduct a preliminary fact finding inquiry as soon as he/she is made aware of a potential employee wrongdoing or employee inappropriate behavior. A preliminary fact finding inquiry involves the preliminary assessment of information received after an allegation of wrongdoing has been made. The assessment involves collecting preliminary information/evidence to determine the following:

• Whether there is enough information for management to address the issue in consultation with Labour Relations and apply disciplinary measures or resolve otherwise.
• Whether wrongdoing may have in fact occurred and that further investigation is required to uncover more evidence.
• In the affirmative, a written request (mandate for investigation) must be made and forwarded to the office of the Chief Security Officer (CSO).
• If the CSO determines that the request does not warrant an administrative investigation, it may be returned to management for consultation with Labour Relations.

The preliminary fact finding inquiry may in some cases succeed in establishing all the evidence required for a disciplinary decision to be made. When that occurs, an administrative investigation is not required.

Requesting an administrative investigation by SIU

The request for an administrative investigation is usually made after a preliminary fact finding inquiry has determined that an obvious breach of an Act, a Regulation, a departmental or Treasury Board policy, directive, standard, a departmental procedure or the Departmental Code of Conduct may have occurred.

Note: The manager in consultation with Labour Relations/RSO and the responsible Assistant Deputy Minister drafts an investigation mandate, which is then forwarded to the CSO for consideration. The CSO reviews the mandate and if approved, a SIU senior investigator is assigned to the case and the manager notified. Once a senior investigator has been assigned to the case, the file is transferred from the RSO to the investigator.

*Example of an investigation mandate from the responsible management:

The purpose of this email message is to request an administrative investigation regarding concerns that an employee in our office (insert business line/branch/region) may have provided preferential treatment to a client. Preliminary fact finding enquiries revealed that the employee (insert name, substantive position) may have accessed the system and rendered a decision on a request (insert type of request) filed by his/her (insert relationship link).

If the allegation(s) prove to be substantiated, the employee’s action would be considered to be a contravention of the Departmental Code of Conduct and Procedures (insert applicable procedures) as well as the Policy on the Use of Electronic Network.

The responsible ADM (insert name) has been consulted and concurs that the best avenue would be to engage the Chief Security Officer to undertake an administrative investigation. Our Labour Relations Advisor (insert name) may be contacted should you require further information.