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CBSA Workplace Investigations
Report on Investigative Activities April 1, 2004, to February 28, 2006
- Introduction
- Corporate Security and Internal Affairs Division
- Statistics
- Abuse, Threat, Stalking and Assault in the Workplace
- Harassment in the Workplace
- Next Steps
- Conclusion
- Glossary
- Appendix A: Critical Incidents (April 1, 2005 - March 31, 2006)
Introduction
Employees of the Canada Border Services Agency (CBSA) have a duty to report all allegations or evidence of employee misconduct or malfeasance, with regard to due process, to the Corporate Security and Internal Affairs Division. This will ensure that the professional reputation of the staff and the integrity of CBSA operations are protected, as mandated by the Treasury Board Secretariat (TBS) Government Security Policy (GSP). In accordance with section 10.15 of the GSP (Investigation of Security Incidents) departments/agencies must develop procedures for reporting and investigating security incidents and take corrective action. Section 16.4 (TBS Security Organization and Administration Standard) states: “Departments must establish policies and procedures for dealing with breaches of security.”
Treasury Board policy stipulates that all suspected cases of loss or theft of money, fraud or any other offence or illegal act against the Crown by an employee must be fully investigated and reported to the police agency having jurisdiction. The CBSA has various measures that form part of an integrated continuum of activities to sensitize employees to their responsibilities and to apply the required safeguards from the recruitment to the departure of an employee to the ex-post-facto review of any incident that occurs.
Corporate Security and Internal Affairs Division
The Internal Affairs Section of the Corporate Security and Internal Affairs Division contributes to the overall integrity of the CBSA by conducting or delegating the conduct of investigations into internal and external allegations of employee misconduct, including fraudulent activities, theft of assets or revenues, seized goods, misappropriations and any violations of the Financial Administration Act, the Customs Act, the Values and Ethic Code for the Public Service, the Post-Employment Code and various Agency policies, guidelines and regulations. Internal Affairs is also responsible for reporting and liaising with law enforcement agencies with respect to criminal offences involving employees.
Administrative investigations into allegations or suspicions of employee misconduct are conducted to detect and prevent fraudulent activities involving CBSA employees. Investigations are conducted by trained, qualified personnel and are subject to legal and jurisdictional constraints. Types of offences investigated are:
- theft or loss of revenue, assets, money, seized or abandoned goods;
- unauthorized access to and/or disclosure of client or other sensitive information;
- violations by employees of legislation, or other federal statutes such as the Customs Act and the Excise Tax Act;
- fraudulent or unauthorized transactions on a CBSA system;
- fraudulent claims for travel expenses, overtime, leave, relocation, etc.;
- destruction, mutilation, alteration, falsification or concealment of documents, records or certificates or directing, proposing, counseling or causing any persons to do such actions; and
- breaches of the Values and Ethics Code for the Public Service, or other administrative policies, or excessive use of force.
The investigation will determine whether there is a need for policy or procedural changes or training, and could result in disciplinary action by management.
Statistics
From April 1, 2004 to February 28, 2006, a total of 96 investigation cases were reported to Internal Affairs. From these 96 cases, two were referred to Human Resources for investigation.
Of the 94 cases remaining, 59 investigations have been completed. As a result of these investigations, 23 employees were exonerated, 16 had their employment with the Agency terminated, six were suspended for varying lengths of time, one person was reassigned to other duties and two resigned. An additional 11 cases have been concluded. The type of disciplinary action to be taken has yet to be determined.
The remaining 35 cases are still under investigation by Internal Affairs.
Investigations by Internal Affairs – April 1, 2004, to February 28, 2006
| Classification | Total | Comment |
|---|---|---|
| Code of Conduct | 40 | Includes:
|
| Misuse of IT Systems | 18 |
|
| Fraud | 9 |
|
| Disclosure of CBSA Information | 11 | |
| Theft | 10 |
|
| Excessive Use of Force | 8 | |
| TOTAL | 96 |
The CBSA ensures that workplace investigations are objective, thorough and conducted by trained, qualified persons, with due respect for the rights and understanding of the obligations of the individuals involved. Employees are expected to obey all legislation and other laws and regulations administered by the CBSA, thereby maintaining their integrity and that of the CBSA. Reporting procedures are in place to facilitate the reporting process.
CBSA managers are responsible for managing programs and services in a manner consistent with public expectations regarding public funds and resources. CBSA employees must comply with the legislation and regulations administered by the CBSA, the Values and Ethics Code for the Public Service and approved procedures. Management and employees have a responsibility to protect public resources and funds from employee misconduct or abuse. When an incident involving an employee or an allegation of misconduct is brought to management's attention, each incident must be thoroughly investigated by the Corporate Security and Internal Affairs Division (CSIAD) or by local management after discussion with the CSIAD. Because incidents often affect more than one area of responsibility, a coordinated effort between management and the CSIAD is vital. This spirit of cooperation will contribute to upholding the integrity of the CBSA and the professionalism of its employees.
Abuse, Threat, Stalking and Assault in the Workplace
The CBSA is committed to protecting, supporting and assisting its employees and their families where there has been any act of abuse, threat, stalking and assault directed against them or their property in the performance of their duties or as a direct result of their duties.
Internal Affairs will cover incidents of verbal and written abuse and physical threats or stalking and assaults while the employees are performing their duties and when they are not performing their duties, or when the incidents arise as a direct result of their employment with the CBSA, by being the liaison with the police force and by providing advice and guidance. Assaults (Criminal Offence: Section 265 (1) of the Criminal Code) and stalking (Criminal Harassment: Section 264 of the Criminal Code) should also be reported as security incidents. Once verified and the matter resolved, these reports are stored in the Security Incident Repository for threat and risk assessments and investigative purposes.
The CBSA has measures in place to ensure the physical and mental well-being of employees and their families who have been the subject of abuse, threats, stalking and assaults. One of these measures is the Employee Assistance Program (EAP). Employees can consult the EAP totally confident that they will find the help they require. The Critical Incident Stress Management (CISM) initiative is part of the EAP. It was created to help employees deal with difficult situations that occur while on duty or that relate to the CBSA, such as the loss of a colleague.
In any difficult or dangerous situation, the safety of employees must be the first priority. Employees must remove themselves from any threatening situation. Employees must protect themselves at all times, ensuring their own safety and that of their families, as well as the safety of their fellow employees and clients. Incidents must be reported to the manager and the security official.
Harassment in the Workplace
The CBSA is committed to providing a work environment where all persons working for the CBSA are treated with respect and dignity. Harassment affects workplace and individual well-being and will not be tolerated. Everyone in the CBSA should enjoy a harassment-free workplace.
The TBS Policy on Harassment in the Workplace reinforces the values of integrity and trust that are the foundation of a sound organization. The Canadian Human Rights Act gives every person in the workplace the right to freedom from harassment, based on race, national or ethnic origin, colour, religion, age, sex, sexual orientation, marital status, family status, disability and pardoned conviction. These are referred to as prohibited grounds. The TBS policy goes beyond these requirements by addressing other types of workplace harassment such as harassment of a general nature not related to the grounds prohibited under the Canadian Human Rights Act, including rude, degrading or offensive remarks, e-mails, threats or intimidation. This policy applies to all departments and organizations of the Public Service listed in Schedule I, Part I of the Public Service Labour Relations Act.
The CBSA offers many options to employees to help resolve potential conflict situations such as the services of the Informal Conflict Management System, which includes access to alternate dispute resolution advisors and mediation. The Human Resources Branch is the entity responsible for the investigative process of harassment cases within the CBSA.
Next Steps
As the entity responsible for ensuring compliance with the security program, the Corporate Security and Internal Affairs Division (CSIAD) is currently preparing to launch an internal awareness campaign to encourage and promote compliance with federal government and CBSA security policies. The CSIAD intends to start by introducing the Division and its services on the intranet. Various communications products are being developed. CSIAD is currently developing a suite of security policies for the CBSA, which will include a chapter on Internal Affairs, a chapter on abuse, threats, stalking and assaults against employees, and a chapter on security in contracting. The new CBSA security policies will supplement the broader GSP.
The Values and Ethics Code for the Public Service requires each Deputy Head to designate a Senior Ethics Official to provide advice on the Code.The Director General of Corporate Planning, Research and Evaluation is currently the Senior Ethics Official for the CBSA. The champion for values and ethics at the CBSA is the Vice-President, Strategy and Coordination. The role of the champion is to encourage all managers in the CBSA to pay more attention to values and ethics initiatives, and to ensure acoordinated and comprehensive approach. The Vice-President, Human Resources, is responsible for the CBSA Code of Conduct.The Agency's Code of Conduct will supplement the broader Values and Ethics Code for the Public Service to reflect the specific challenges of the CBSA's activities. In keeping with our mandate as an Agency engaged in public security, and the expectations of the Canadian public, the new CBSA standard of conduct will be equal to or greater than the standards of our legacy organizations. The Values and Ethics Code for the Public Service, which was developed in consultation with federal public service employees, is a condition of employment for all public servants.
A policy to allow employees to bring forward information concerning possible wrongdoing, and to ensure that they are treated fairly and protected from reprisal when they do so, was introduced by the Government of Canada in the fall of 2001. It is called the Policy on the Internal Disclosure of Information Concerning Wrongdoing in the Workplace .
To provide CBSA employees with a point of contact with regard to the disclosure of alleged wrongdoing, the Director General of Internal Audit was assigned the position of CBSA Senior Officer for the Disclosure of Wrongdoing in the Workplace. The policy defines wrongdoing as an act or omission concerning:
- a violation of any law or regulation;
- a breach of the Values and Ethics Code for the Public Service;
- misuse of public funds or assets;
- gross mismanagement; or
- a substantial and specific danger to the life, health and safety of Canadians or the environment.
In most cases, the appropriate procedure is for an employee to approach his or her manager first to resolve an issue. The internal disclosure policy is in no way intended to replace such discussions. However, it does provide an alternative where one is needed. Allegations of wrongdoing of a serious nature will be referred to the Internal Affairs Section of the Corporate Security and Internal Affairs Division for investigation.
Conclusion
Along with the initiatives described above, the CBSA continues to build a comprehensive security organization that will continue with its investigative activities, act on allegations and take the appropriate action where the evidence warrants. It will continue to seek closure for open cases. The CBSA management will continue its commitment to detect, prevent, report and investigate malfeasance and misconduct, and will ensure that controls and systems are continually improved as a result of concerns raised in investigations.
Glossary
- Complaint
- A formal allegation of employee misconduct made to or by a CBSA manager.
- Complainant
- A person making an allegation of employee misconduct.
- Fraud
- An act whereby an employee obtains a material advantage by unfair or wrongful means.
- Incident Examples
-
- Allegations of misconduct made by a member of the public or by an employee against an employee;
- Alleged or suspected employee misconduct with respect to violations of criminal laws or other laws, rules and regulations administered by the CBSA;
- Breach of trust;
- Conflict of interest;
- Contravention of the CBSA's Electronic Networks Policy Guidelines;
- Destruction of documents in contravention of section 67 of the Access to Information Act.
- Fraudulent claims regarding travel expenses, overtime and leave, including falsification of official documents, records and medical certificates;
- Fraudulent use of the CBSA systems;
- Loss, theft or destruction of revenue, money, seized or abandoned goods, CBSA assets or sensitive information;
- Unauthorized access to and/or disclosure of confidential client information.
- Investigator
- A duly appointed person who investigates, on behalf of a director, allegations or incidents involving one or more employees.
- Investigations
- A systematic and thorough examination by or on behalf of a director, involving the scrutiny of circumstances surrounding an incident or allegation, to establish, document and analyze all the relevant facts to allow management to make an informed decision.
- Misconduct
- Any action by which an employee willfully contravenes an act, regulation, rule, CBSA policy, approved procedure.
- Preliminary Inquiry
- The act of obtaining from the person who made the allegations all details relating to the facts and circumstances reported, examining the documentation available to determine whether the allegation is substantiated, and establishing the scope of the investigation.
- Respondent
- An employee against whom an allegation of misconduct had been made.
