Follow-up audit of sensitive expenditures

Vetted report

November 2017

Table of contents

1. Acronyms and abbreviations
2. Executive summary
3. Management's response to the audit
4. 1 Background
5. 2 Objective, scope, methodology and statement of conformance
   • 2.1 Objective
   • 2.2 Scope
   • 2.3 Methodology
   • 2.4 Statement of conformance
6. 3 Audit findings
   • 3.1 Governance
   • 3.2 Policy and procedures
   • 3.3 Human resource management
   • 3.4 Financial and asset management
7. 4 Conclusion
8. 5 Recommendations
9. Appendix A – Audit objective, lines of enquiry and audit criteria
10. Appendix B – Current status of previous audits' action plans

Acronyms and abbreviations

CAP

Contract and Aboriginal Policing

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CFAO

Chief Financial and Administrative Officer

CM&C

Corporate Management & Comptrollership

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CROPS

Criminal Operations

DSEFSAM

Delegation of Sensitive Expenditures Financial Signing Authorities Matrix

FAA

Financial Administration Act

FP

Federal Policing

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NHQ

National Headquarters

RCMP

Royal Canadian Mounted Police

SE

Sensitive Expenditures

TB

Treasury Board

TEAM

Total Expenditure and Asset Management System

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Executive summary

The Royal Canadian Mounted Police (RCMP) works to ensure the safety and security of Canadians and their institutions, domestically and globally, through intelligence-based prevention, detection, investigation, and law enforcement measures. To this end, the RCMP carries out some of its operations and activities in a covert manner, designed either to infiltrate criminal or terrorist organizations or to disguise the intelligence gathering activities of the police.

Covert operations and activities can include the development of paid sources, the protection and/or relocation of witnesses, the purchase of items for evidentiary or intelligence purposes, and undercover operations. Expenditures for these types of activities are known as sensitive expenditures (SE), and are defined as an expenditure made in support of operations, incurred for law enforcement or security purposes, which could be jeopardized if payment were made using standard overt RCMP procedures.

RCMP Internal Audit has previously conducted four audits of SE, resulting in 13 audit recommendations with 19 components for which management action plans were developed. The recommendations centered on governance, roles and responsibilities, compliance, monitoring and reporting.

The objective of this follow-up audit was to assess whether the implementation of the management action plans associated with the four previous SE audits has addressed the risks and control weaknesses identified in those audits, and whether any new risks have emerged. The audit scope included SE transactions that occurred during the period of January 1, 2016 and December 31, 2016.

The audit concluded that the management action plans associated with the four previous SE audits have, for the most part, addressed the risks and control weaknesses that were identified in those audits. While the sampled SE transactions were generally compliant with policy, opportunities for improvement remain regarding: the overall governance regarding the use of SE; updates to and maintenance of SE policy; the development of training, tools and guidance for SE Coordinators and SE users; and the overall management of covert assets. An in-progress assessment of the new form 1454 would also be beneficial to determine whether the new form is working as intended, errors have been reduced, risk areas remain, and whether workarounds have been implemented by its users. *

The management responses included in this report demonstrate the commitment from senior management to address the audit findings and recommendations. A detailed management action plan is currently being developed. Once approved, RCMP Internal Audit will monitor its implementation and undertake a follow-up audit if warranted.

Management's response to the audit

Corporate Management and Comptrollership:

The Follow-up Audit of Sensitive Expenditures has noted the progress made in addressing the risks highlighted in previous audits and identifies opportunities to further strengthen the governance of sensitive expenditures.

Corporate Management agrees with the findings and recommendations and we will work with our colleagues in Operations to implement the three recommendations in the audit that are jointly directed to the Deputy Commissioner Federal Policing and the Chief Financial and Administrative Officer.

A detailed action plan, which will include specific timelines and milestones, will be developed and presented for review to the Departmental Audit Committee. Following approval, the management action plan will be implemented by Corporate Management, in coordination with Federal Policing, and will address the recommendations directed to both areas.

Dennis Watters
Chief Financial and Administrative Officer

Federal Policing:

Federal Policing acknowledges and accepts the observations noted in the Follow up Audit of Sensitive Expenditures report. The report concludes that our National Sensitive Expenditure Program would benefit from enhancements to the governance framework by documenting the roles and responsibilities and accountabilities of all involved in the process. While National Headquarters Federal Policing Sensitive Expenditure Policy Centre has taken many steps to improve and correct the current processes, additional actions have been identified and will be considered that will address the observations contained in the report. A communication strategy will be developed to provide clarification around the changes being made to the sensitive expenditure process. We are committed to developing a robust and rigorous framework governing sensitive expenditures that will fully address Treasury Board (TB) expectations and allow the RCMP to be fully accountable.

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The audit makes several recommendations related to Financial Administration Act and sensitive expenditure policy compliance and standard operating procedures. In response to previous audit findings, the Sensitive Expenditure policy centre has undertaken a national pilot project over the past 21 months involving a revised form 1454 (a document based programmed management tool). The implementation of the new form has not been without its challenges. As such, Management accepts the recommendation to undertake an in-progress assessment of the new form 1454 to determine its overall effectiveness, seek further areas for improvement and determine overall training requirements related to policy and procedures.

Following on that point, Management also accepts the recommendation to formalize and enhance training offered to Sensitive Expenditure coordinators, users and supervisors. Also highlighted was the role to be played by Corporate Management and Comptrollership in providing assistance and support to the sensitive expenditure program with respect to formalized training programs and the delivery of the same to all end users, supervisors and managers. Consultation with the Chief Financial and Administrative Officer and his staff will take place to address their renewed involvement in the process so they can better support the Program.

A comprehensive review of the * will also be conducted. In consultation with divisional Criminal Operations officers, an analysis will be undertaken to determine the most appropriate means of achieving the appropriate level of visibility and oversight regarding the centralized stewardship of these assets through * or, an alternative solution.

Federal Policing appreciates the efforts and insights of the Internal Audit team, accepts the results of this audit and will address the noted recommendations through action plans that are clear, achievable and representative of the importance the RCMP places on the special authorities granted by TB and its ability to be fully accountable and meet TB expectations.

Gilles Michaud
Deputy Commissioner Federal Policing

1 Background

The RCMP works to ensure the safety and security of Canadians and their institutions, domestically and globally, through intelligence-based prevention, detection, investigation, and law enforcement measures. To this end, the RCMP carries out some of its operations and activities in a covert manner, designed either to infiltrate criminal or terrorist organizations or to disguise the intelligence gathering activities of the police. Treasury Board (TB) has recognized the inherent challenges presented by these types of operations and has provided the RCMP with special authorities and dispensations. Paramount among these are exemptions from certain external reporting provisions such as the requirements to report covert assets and inventories in integrated information systems and public disclosure related to specific types of contracts.

Covert operations and activities can include the development of paid sources, the protection and/or relocation of witnesses, the purchase of items for evidentiary or intelligence purposes, and undercover operations.^{Footnote 1} Expenditures for these types of activities are known as sensitive expenditures (SE), and are defined as an expenditure made in support of operations, incurred for law enforcement or security purposes, which could be jeopardized if payment were made using standard overt RCMP procedures.^{Footnote 2} SE can occur in all aspects of policing, in all RCMP divisions, as well as in National Headquarters (NHQ).

SE are generically recorded in the RCMP's departmental financial system (Total Expenditure and Asset Management system, commonly referred to as TEAM) without identifying details. They are recorded against one of two budgetary reporting objects. One is used to record expenditures for sensitive technical equipment and contracts, the other to record all other types of sensitive expenditures (subsequently referred to as 'general SE').

RCMP Internal Audit has previously conducted four audits of SE,^{Footnote 3} resulting in 13 audit recommendations with 19 components for which management action plans were developed. The recommendations centered on governance, roles and responsibilities, compliance, monitoring and reporting. A summary of the original audit recommendations, along with related findings and any concerns identified in this follow-up audit, is included in Appendix B.

In May 2016, the Commissioner approved the 2016-2019 Internal Audit Risk-Based Audit Plan, which includes a Follow-up Audit of SE.

2 Objective, scope, methodology and statement of conformance

2.1 Objective

The audit objective was to assess whether the implementation of the management action plans associated with the four previous audits has addressed the risks and control weaknesses identified in those audits, and whether any new risks have emerged.

Appendix A presents the audit objective, lines of enquiry and audit criteria.

2.2 Scope

The audit focussed on assessing the implementation of the management action plans undertaken in response to the recommendations made in the four previous audits. The audit also focussed on whether management actions had addressed the issues that led to the recommendations. SE transactions examined in support of this audit occurred between January 1, 2016 and December 31, 2016.

This follow-up audit focused exclusively on general SE.

2.3 Methodology

Planning for the audit was completed in April 2017. In this phase, the audit team conducted interviews, process walkthroughs and examined relevant policies, directives, procedures and results of previous audit work performed.

Sources used to develop audit criteria and audit tests included relevant TB policy frameworks and directives^{Footnote 4} and related RCMP policies. The audit objective, lines of enquiry and audit criteria are available in Appendix A.

The examination phase, which concluded in July 2017, employed various auditing techniques including interviews, documentation reviews, data analysis and transaction testing. Site visits took place at three divisional headquarters as well as at NHQ to review files and assess practices. Upon completion of the examination phase, the audit team held meetings to validate findings with personnel and debriefed senior management of the relevant findings.

Table 1 provides a summary of the transactions tested during the audit. Sampling methodology involved a combination of random and judgmental sampling based on data extracts obtained from the TEAM financial system. The SE types reflected in the sampled transactions included: *

2.4 Statement of conformance

The audit engagement conforms to the Institute of Internal Auditors' International Professional Practices Framework and the Treasury Board of Canada Directive on Internal Audit, as supported by the results of the quality assurance and improvement program.

3 Audit findings

3.1 Governance

Roles and responsibilities

Sound governance structures are required to ensure that SE transactions are compliant with the RCMP's special delegated authorities. Governance should be supported by policy and program design, training, as well as clear roles, responsibilities and accountabilities. Regular monitoring and reporting activities, including performance measures, should also promote the appropriate use of SE.

Federal Policing (FP), Corporate Management & Comptrollership (CM&C) and the divisions share responsibility for the governance of SE.

Federal Policing

The Deputy Commissioner FP is responsible for ensuring oversight, accountability, and training are in place which confirm SE are used appropriately and only as needed to maintain the covert nature of a transaction. * FP's focus is on ensuring sensitive operations and associated expenditures remain covert, leading to successful investigations and the safety of police officers. Within FP, the SE Policy Centre develops SE policy and provides support and direction regarding the appropriate use of SE. The SE Policy Centre has recently moved within FP, and now reports to FP Resource Management & Administration rather than to Federal Policing Special Services (under Covert Operations). This change in reporting structure may increase the SE Policy Centre's actual or perceived segregation from operations, and reduce the potential for operational necessities to influence financial processes and compliance. It may also create stronger functional ties to the CM&C group.

Corporate Management & Comptrollership

The Chief Financial and Administrative Officer (CFAO) is responsible for the sound management and stewardship of all RCMP financial and materiel resources. The Corporate Accounting, Policy and Control branch, reporting under the CFAO, develops policies and processes, and provides oversight to ensure responsible spending and safeguarding of RCMP finances and assets, including those acquired using SE funding.

National, regional or divisional CM&C do not currently engage in SE activities at the outset of the transaction. Interviews with senior officials within CM&C and FP indicated that front-end guidance is not offered by CM&C for SE-related transactions. Moreover, there would be benefits to having greater engagement from CM&C to help ensure adherence to administrative policy requirements at the onset of high-profile projects. Without such guidance, SE Coordinators and SE users are left to navigate the complex policy frameworks and special exemptions that may apply.

CM&C has not implemented a governance framework that adequately addresses its responsibilities related to the use of SE. More specifically, Corporate Accounting, Policy and Control is responsible for ensuring that risk-based financial controls are in place for proper account verification of SE, in accordance with the Financial Administration Act (FAA).^{Footnote 5} When exercising payment authority pursuant to section 33 of the FAA, finance officers are required to review the account verification for all high-risk transactions, including SE. To maintain the covert nature of these transactions, section 33 position holders (finance officers) rely on the divisional SE Coordinators to perform this review function on their behalf when they exercise Endorsement of Payment Request authority.^{Footnote 6} While we found that there is currently a high degree of compliance with this requirement, increased oversight and monitoring by CM&C to ensure that divisional SE Coordinator positions^{Footnote 7} are well-trained and have an up-to-date Endorsement of Payment Request authority in TEAM would be beneficial. Such assurance is critical to continue the reliance placed on this key control surrounding proper account verification of high-risk SE transactions.

Leveraging corporate expertise with the new placement of the SE Policy Centre under FP Resource Management & Administration may promote a consultative approach required to ensure compliance with applicable policy frameworks.

The Divisions

The divisional Criminal Operations (CROPS) officers are responsible for the management and oversight of covert operations and related SE, with the SE Policy Centre at NHQ providing support as required. SE Coordinator positions have been established and staffed at the divisional level to review all SE transactions in accordance with national SE policy.^{Footnote 8}

Since April 2012, all divisional SE Coordinators, as a condition of their position, must sign a letter acknowledging their roles and responsibilities for proper account verification of SE. We found that for all sampled transactions, all SE Coordinators signed this letter and had valid Endorsement of Payment Request authority within TEAM. Interviews with SE Coordinators in the sampled divisions indicated good awareness of their role and responsibilities in exercising this authority. *

Clearly assigning roles, responsibilities and accountabilities

While TB and national SE policy set out the expectations for the various roles, responsibilities and accountabilities among the three areas involved in SE, opportunities exist to foster greater engagement amongst the key stakeholders involved in SE. There are benefits to using tools to clearly assign roles, responsibilities and accountabilities, including formal acceptance, among the various stakeholders involved. For example, using a visual tool would provide role clarification and promote a structured approach for stakeholders to follow when exercising their roles. In this way, management would ensure that all parties are involved in key SE processes at the appropriate time, which would in turn promote enhanced SE-related governance.

Monitoring and reporting

Previous audits documented the need for increased monitoring and reporting of SE activities at the divisional and national level. While one sampled division annually conducts fourto five management reviews that include an SE component, the remaining visited sites were not monitoring or reporting on their use of SE. Such reporting at the divisional level would assist in budget forecasting, and the development of performance metrics in relation to SE could be further explored by management. Without formal performance metrics in place, management's ability to assess or evaluate the effectiveness and efficiency of the use of SE and related controls is limited.

Consistent coding in TEAM results in reliable information for internal and external monitoring and reporting purposes. The sampled divisional SE Coordinators demonstrated a good understanding of the coding that should be applied for SE claims. The vast majority (91%) of sampled transactions were appropriately coded. Any errors observed were largely attributed to interpretation of SE coding definitions. While miscoding is insignificant from a financial statement perspective, increased consistency would allow for enhanced monitoring and reporting on the use of SE across the divisions. The SE Policy Centre has identified an interest in increasing monitoring and oversight of the specific SE general ledger codes by leveraging FP Resource Management & Administration's expertise in data analytics and trend analysis.

Segregation of duties

National SE policy states that SE Coordinators may not report directly to any manager who has exercised section 32 or 34 authority on a transaction for which they are exercising Endorsement of Payment Request authority.^{Footnote 9} In two of the four sampled divisions, the SE Coordinators reported to line officers who exercised section 32 or 34 authorities on 13 sampled transactions. As such, the review completed by the SE Coordinators in exercising their Endorsement of Payment Request authority did not maintain proper segregation of duties.

While additional resources or divisional restructuring may not be feasible to maintain segregation of duties, other mitigating measures could be considered to ensure that additional oversight over SE transactions is applied. For example, the Corporate Accounting, Policy and Control branch has proposed changes to the Delegation of Sensitive Expenditures Financial Signing Authorities Matrix (DSEFSAM) that may provide SE Coordinators with departmental and/or divisional authority. Applying this would allow another divisional SE Coordinator to exercise the Endorsement of Payment Request authority on SE claims when the segregation of duties issue is identified. There may be other options that stakeholders could and should explore to address this issue.

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3.2 Policy and procedures

Established policy and procedures

The national SE policy was published in January 2011 and provides a framework for the use of SE in terms of financial, asset, materiel and real property management as well as procurement. While procedures established in the sampled divisions are consistent with current national policy, existing divisional policy supplements should be reviewed for relevance and alignment, and updated or removed accordingly.

Other beneficial policy enhancements include updates to reflect current unit and position titles, and to update links to other policy references. There are also opportunities for standard operating procedures to be developed and disseminated, including guidance on best practices, to inform SE Coordinators and other stakeholders in support of their SE responsibilities.

Document retention procedures

The Directed Annual Audit of Sensitive Expenditures 2011-2012 found that there was a risk that SE claims * were not being retained for the required period.* As such, there was a risk that documents would be destroyed when they should have been retained for a longer period of time *. This follow-up audit found that the retention issue has been addressed in the sampled divisions. The SE Coordinators made procedural changes regarding retention practices for SE claims *, and documents are now retained for the required period of time. SE policy would benefit from being updated to reflect the procedural changes to promote a consistent application across all divisions.

SE Coordinators were appropriately retaining all * ATI Act Section 16(1)(b) ATI Act Section 16(1)(b) ATI Act Section 16(1)(b)claims for six previous years plus the current year. Clarification is still required as current policy may lead users to interpret a retention period of only two years^{Footnote 10}, which would result in financial documents being destroyed earlier than they should be.

Policy compliance

High FAA compliance rates were observed for the sampled transactions. The vast majority (96%) of sampled transactions were pre-approved by a signatory with appropriate commitment authority (section 32), and certified by a signatory with appropriate certification authority (section 34). The non-compliant transactions related to specimen signature cards which were either not in TEAM, or were not active at the time of signing section 32 or 34. All sampled transactions had evidence of the Endorsement of Payment Request authority performed by the SE Coordinator. Notwithstanding, for reasons previously outlined, the quality and reliance which can be placed on these certifications varied.

It is incumbent on the user to be well-versed in and apply the spirit of relevant policies, including how the various TB exemptions can be applied. The majority of interviewed SE users indicated that they rely on their divisional SE Coordinator for policy interpretation. It was found that 98%^{Footnote 11} of the sampled transactions were compliant with relevant SE policy and all but one of the sampled transactions maintained the covert or discreet nature of the expenditure.* As was the practice in one division*

All sampled transactions demonstrated value-for-money through, for example, the inclusion of multiple quotes on the file (or referenced in the unit-level files). Moreover, all sampled transactions included an appropriate rationale that clearly articulated the need for the expenditure to be deemed sensitive, and 95% were consistent with what was originally planned and approved. The high compliance rates were largely attributed to the advisory role of the SE Coordinators as well as ongoing learning and awareness by various SE user groups. Applying the new form 1454 Request and Authority for Payment also contributed to the increased compliance rates.

New form 1454 Request and Authority for Payment

The SE Policy Centre developed the new form 1454 as part of a management action plan to address audit findings regarding compliance from the first SE audit. At the time, a project management plan was not formalized and its development has since spanned a number of years.^{Footnote 12} It remains a pilot project to allow SE users and SE Coordinators to adapt to new business processes brought about by the new form. The roll-out of the new form 1454 has been underway since January 2016, and the extent of implementation varies with most divisions having implemented it in selected units since spring 2016. The new form 1454 was designed with two goals in mind: to document pre-approval of all aspects of the transaction and to summarize all expenses with requisite details.

The new form 1454 incorporates many automated controls. It is designed to provide verification against the DSEFSAM and to identify position holders with appropriate signing authority for the transaction. Specific sections of the form must be completed before the user can proceed to a subsequent stage of the form (i.e.: pre-approval is required before proceeding to the reimbursement stage). Business rules are incorporated from various RCMP policies, including the Operational, Financial and Asset Management Manuals. Mathematical calculations are automated. In addition, the form minimizes duplication and data entry errors, as tombstone data entered by the user is automatically carried forward to subsequent stages of the form.

In the sampled divisions, users described challenges in adapting to the new form 1454 and the associated process. They indicated that the new form is lengthy and cumbersome to read and complete with ease. While the new form 1454 includes description boxes that outlinethe authorities and responsibilities of users and signatories, these descriptions are long and difficult to read. Numerous signatures are required throughout the different stages of the form to substantiate the expenditure process. This may dilute the importance of the sign-off, as the more times an individual is required to sign a document, the less likely they may be to pay attention to what they are signing. The new form 1454 is focused on the financial authorities rather than the justification or rationale for the expenditure. The rationale should document particulars about the transaction, including why the expenditure must be processed sensitively, the options that were considered and the decisions made throughout the process. Although all sampled transactions included an appropriate rationale that clearly articulated the need for the expenditure to be deemed sensitive, including the option for a more substantial rationale in the new form 1454 would promote consistency and might better demonstrate stewardship and accountability over SE.

While the new form 1454 is well suited for planned expenditures, interviewees stated that it is challenging to apply to unplanned operations that inherently require fluidity and nimbleness. In light of the expressed concerns, the SE Policy Centre should perform an in-progress assessment of the new form 1454 to determine whether it is working as intended, if errors have been reduced, if risk areas remain, and whether workarounds have been implemented by its users. A cost-benefit analysis could also be performed as part of the in-progress assessment. This analysis should examine the impact of the new form 1454 on workloads and whether there are redundancies to eliminate or efficiencies to be made. A risk-tolerance for applying the new form 1454 for unplanned expenditures or low-dollar amounts could also be considered. Options for such transactions could include the use of a modified form 1454 focusing on key control elements such as the rationale, and clearly identified section 32 and section 34 authorities.

An overall change management process regarding the new form 1454 is fundamental to its success. Firstly, from a design perspective, any changes to the DSEFSAM or to business rules from policy updates will have an impact on the complex automated controls that are embedded in the form. Secondly, from a process perspective, there is a need to ensure that users are trained and that an effective communication strategy exists for applying the process using the new form 1454. While the impact of the new form 1454 has not been fully assessed by the SE Policy Centre, there are indications from both the SE Policy Centre and the divisions that the workload will increase once fully implemented.

3.3 Human resource management

Divisional SE Coordinators

SE Coordinators perform a post-review of SE transactions and exercise Endorsement of Payment Request authority to provide assurance to financial officers when they exercise section 33 payment authority. Following a recommendation from the first SE audit, all divisions established and staffed SE Coordinators. However, the number of positions staffed and the category of employee varies considerably across the divisions.

For example, in three sampled divisions, one full-time employee occupied the SE Coordinator position. In two of these divisions, it was a public servant position, and in the third, it was a regular member position. A fourth division employed one regular member and four public servants in the SE Coordinator unit. This provided a balance of operational knowledge and expertise, as well as the administrative and financial experience and stability associated with employing public servants. The benefits of having both categories of employee in the SE Coordinator position should be considered in divisional staffing models.

The SE Coordinator position is a key control function in proper account verification, and is heavily relied on by financial officers when exercising section 33 payment authority. Accordingly, succession planning for these positions should be an ongoing consideration. Our examination found no evidence that succession planning is currently being considered.

SE-related training

Two recommendations from the first SE audit related to training. At the time, FP and the Chief Human Resources Officer were responsible to ensure that SE-related training was created and provided to all SE Coordinators in a timely manner and included in operational and supervisory training where appropriate. A formalized SE training program remains to be developed and SE-related training has not been included in relevant operational and supervisory training programs, including training for the officer cadre. There may be opportunities to include SE training in existing courses, thereby reducing the required resourcing associated with developing a standalone SE training program. While management's efforts to address these recommendations led to the development of the new form 1454, opportunities remain regarding the original intent of the recommendations and management action plans.

National SE policy specifies that FP is responsible for ensuring the appropriate training of SE Coordinators,^{Footnote 13} CM&C is responsible for ensuring the appropriate training of SE Coordinators with respect to financial and administrative requirements,^{Footnote 14} and the divisions are responsible for ensuring the hiring of SE Coordinators who are appropriately trained.^{Footnote 15}

Previous SE audits reported that no formalized SE-related training is offered to SE Coordinators, users or supervisors. Instead, they primarily learn how to perform their duties on-the-job, from their predecessors and colleagues. The same holds true at the time of this follow-up audit. Accordingly, improvements could be made by FP and CM&C to deliver on their SE-related training responsibilities.

Recently, the SE Policy Centre delivered workshops to divisional SE Coordinators and select users and supervisors regarding the implementation of the new form 1454. The training session's content was geared towards explaining the design of the new form 1454 and how it relates to the SE process. The SE Policy Centre sought input and feedback from relevant business lines during the forms' development; however, no other business line was involved in the development or delivery of the training session. Delivery of the training session was dependent on prioritization by the division as it was provided only when a requesting division had the funds to bring the SE Policy Centre representatives to their division. In the future, the SE Policy Centre has considered developing an online course for accessible SE-related training; however, this initiative remains in a conceptual stage.

While CM&C is responsible for training SE Coordinators with respect to their financial and administrative requirements, they have not been engaged in facilitating such training. Of the sampled divisions, E Division was the only division providing SE-related training to new unit commanders and those units identified as requiring an update or refresher on SE processes or use.^{Footnote 16} Also, there is still no SE-related training for SE supervisors that outlines the additional safeguards or responsibilities to be aware of when exercising section 32 or 34 authorities over SE transactions. Interviewees in all sampled divisions indicated that additional training would be beneficial and would serve to promote a comprehensive understanding of the signatories' responsibilities for exercising section 32 and 34 authorities regarding the use of SE.

Notwithstanding the high compliance rates that were noted from the sampled transactions, developing and offering formalized SE training is considered a best practice to mitigate the inherent high-risk nature of SE transactions. *

Tools and guidance

In the absence of formalized training, SE-related tools and guidance for SE coordinators and users should be developed and disseminated. As previously mentioned, SE users are not well-versed in the relevant policies and rely on their divisional SE Coordinators for policy interpretation. Development of best practice guidance would be beneficial in this regard and would ensure that business practices are consistently applied and risk-managed.

*

Communication amongst stakeholders

Opportunities exist to improve communication between CM&C and divisional counterparts to minimize operational impacts when policies and procedures change. * When asked, NHQ Corporate Accounting was aware of the issue and had developed a Communiqué that was sent to divisional Accounting Services for dissemination to stakeholders.* However, these procedural updates had not been provided to users in the field.

In previous audits, most SE Coordinators indicated having minimal contact with the SE Policy Centre, but this follow-up audit observed improved communication between them. The interviewed divisional SE Coordinators indicated they communicate as required with the SE Policy Centre on issues requiring clarification, and most communicate directly with users and/or supervisors in order to resolve SE claim-related issues. The new form 1454 has been a regular topic of discussion between the divisions and SE Policy Centre. These discussions range from feedback regarding the increased workload, to the impact of form changes on current business practices. Notwithstanding, opportunities exist to enhance communication and information sharing.

3.4 Financial and asset management

Management of covert assets

The management of covert assets * is important to ensure sound stewardship of resources. While national SE policy requires the * they only maintain records for the assets that they manage. When covert assets are procured by a unit, the covert asset records are maintained at the unit-level. As a result, a consolidated divisional record of covert assets does not exist, and the covert asset records that were reviewed as part of this audit did not provide adequate visibility regarding all covert assets in the sampled divisions. An assessment of covert asset records held at the unit level was not performed by the audit team. Additionally, in the absence of a consolidated record regarding divisional covert assets, controls that should be in place surrounding the tracking of assets from acquisition, usage, transfer, surplus and disposal were not observed or tested as part of this audit.

The first SE audit reported that most of the divisions and units visited had their own inventory tracking systems for covert assets. These systems were independent of each other and were not accessible by other units or divisions. This audit further noted that covert assets *

This follow-up audit again observed an absence of national or division-wide visibility over covert assets. Without proper management, there is an increased risk that covert assets may be acquired in duplicate, may not be fully utilized, * As a mitigating measure, * in the sampled divisions indicated that *acquired using SE. This practice maximizes the use of covert assets, and promotes stewardship and fiscal responsibility. Notwithstanding, the lack of a division-wide perspective could be an issue if a division, or the RCMP as a whole, were required * While this information may be available, considerable effort would be required to compile it.

Consultation with the divisions would be beneficial to determine what is important for national visibility and oversight of covert assets. This information should be recorded and tracked to facilitate informed decision-making. Use of a common inventory management system for covert assets would facilitate oversight with regards to asset acquisition, maintenance, disposal and overall inventory control. While recognizing the exemptions from TB directives and policies, an inventory management framework for covert assets should be consistent with the spirit and principles of conventional asset management. Building and maintaining an inventory record is a necessary first step in managing national assets. Management should consider whether the * or other form(s) of covert asset record management system, will be used in this regard.

*

Asset Inventory Control

The new form 1454 includes the 1454-Asset Inventory Control, intended to streamline the records management process when a covert asset is acquired. It was designed to be sent to the *, who is responsible for updating the divisional covert asset records, and to the * Administrator at NHQ for * record entry. In doing so, the 1454-Asset Inventory Control promotes the completeness of covert asset acquisitions at the divisional and national level when it is used as intended.

However, in one sampled division where the new form 1454 was fully implemented, the 1454-Asset Inventory Control was not utilized as intended. Instead, it was filed without further action along with the remainder of the SE claim in the SE Coordinator's office. When asked, the SE Coordinators indicated that they were not informed of the aforementioned process, and assumed that claimants had already forwarded the 1454-Asset Inventory Control to the appropriate individuals for inventory tracking prior to sending it to the SE Coordinators for review. Although unit-level inventory records may have been updated, it is clear that * was not updated using the 1454-Asset Inventory Control. A communication strategy regarding the design and use of this aspect of the new form 1454 would promote the completeness of divisional and national covert asset records.

Completeness of file records

In consideration of the inherent risk relating to the use of SE, strong records management practices were expected. However, in one sampled division, 5 of 24 sampled files could not be located by the SE Coordinator. Certain elements were also not provided for two of the remaining 19 sampled files. This is an indication of deficiencies in record management in this division.

As a mitigating measure in relation to the completeness of files, all SE claims are reviewed by the divisional SE Coordinators, and finance officers will not exercise payment authority pursuant to section 33 without the SE Coordinator's sign-off of Endorsement of Payment Request authority. As the missing and incomplete sampled files were selected from completed transactions posted in TEAM, which would have entailed the specific review of expenditures by the SE Coordinator and their corresponding sign-off of Endorsement of Payment Request authority, it is apparent that the account verification process was carried through.* Based on the audit team's site visits in the sampled divisions and at NHQ, the missing and incomplete files are not indicative of a pervasive issue with respect to overall records management across the divisions. Accordingly, the specific records management issue identified was raised with the relevant division's senior management for corrective action.

4 Conclusion

The audit concludes that the management action plans associated with the four previous SE audits have, for the most part, addressed the risks and control weaknesses identified in those audits. The original 19 audit recommendations were centered on governance, roles and responsibilities, compliance, and monitoring and reporting.^{Footnote 17} Still, opportunities for improvement remain in these areas.

While the sampled SE transactions were generally compliant with policy, opportunities for improvement remain regarding: the overall governance regarding the use of SE; updates to and maintenance of SE policy; the development of training, tools and guidance for SE Coordinators and SE users; and the overall management of covert assets. An in-progress assessment of the new form 1454 would also be beneficial to determine whether the new form is working as intended, if errors have been reduced, if risk areas remain, and whether workarounds have been implemented by its users.*

5 Recommendations

1. The Deputy Commissioner Federal Policing, in coordination with the Chief Financial and Administrative Officer, and in consultation with the divisions, should enhance overall governance over sensitive expenditures (SE) by further clarifying and documenting the roles, responsibilities and accountabilities among all parties involved in key SE processes and updating SE policy accordingly.
2. *
3. The Deputy Commissioner Federal Policing should perform an in-progress assessment of the new form 1454 to determine whether it is working as intended, errors have been reduced, and whether risk areas remain.
4. The Deputy Commissioner Federal Policing, in coordination with the Chief Financial and Administrative Officer should formalize the delivery of training for stakeholders involved in SE, notably the SE Coordinators, SE users and SE supervisors.
5. The Deputy Commissioner Federal Policing should consult with divisional Criminal Operations officers to determine information elements that are important for divisional and national visibility and oversight of covert assets, and record and track these centrally in the * or alternative solution.

Appendix A – Audit objective, lines of enquiry and audit criteria

Audit Objective:

To assess whether the implementation of the management action plans associated with the four previous audits has addressed the risks and control weaknesses identified in those audits, and whether any new risks have emerged.

Lines of Enquiry:

1. Status of management action plan implementation:
   • Management action plans have been implemented as originally specified or as subsequently amended and approved.
2. Validation of risks being addressed:
   • Corrective actions implemented as identified in the management action plans appear to have addressed the risks related to the previous findings / observations.

Audit Criteria:

1. Governance:
   • Effective oversight mechanisms are established to manage the use of SE.
2. Policy and Procedures:
   • Policies and procedures for SE are established, relevant, aligned, maintained, clearly communicated and followed.
3. Human Resource Management:
   • Key positions and activities are identified and are adequately staffed.
   • Employees are provided with the necessary training, tools and guidance to facilitate their use of SE.
4. Financial and Asset Management:
   • File records are complete and accurate; and related SE are approved and processed in accordance with relevant policy.
   • The national inventory management system for covert assets is developed, deployed, maintained and used by National Headquarters and in the divisions.
   • Assets, including information technology and systems, are life-cycle managed and protected.

Appendix B – Current status of previous audits' action plans

The following table summarizes the original audit recommendations, related findings and remaining concerns identified in this follow-up audit.

Survey of Policing Partners and Stakeholders 2019-2020

The RCMP's Survey of Policing Partners and Stakeholders includes general questions evaluating the RCMP, as well as more specific questions about the RCMP business lines with which they work (e.g., Federal Policing, Contract and Indigenous Policing, Technical Operations). There were 742 respondents.

Policing partners and stakeholders are representatives of other police services and government agencies and departments the RCMP works with, as well as non-governmental organizations which have a strong interest in RCMP activities, such as civil liberties associations and legal organizations.

Notes

• Data was collected between January 28, 2020 and March 16, 2020
• Questions were answered on a 5-point scale and summarized to agree/neutral/disagree to facilitate review
• Percentages exclude those who replied "don't know" or "no opinion"
• Percentages may sometimes not add to 100 due to rounding
• For new questions in 2019-20, cells are greyed out for previous years
• Results that went up in 2019-20 are highlighted in green, those that went down are highlighted in pink

Sondage auprès des partenaires policiers et des intervenants de 2019-2020

Le Sondage auprès des partenaires policiers et des intervenants comprend des questions générales visant à évaluer la GRC et des questions précises sur les secteurs d'activité de la GRC avec qui ils travaillent (p. ex. Police fédérale, Services de police contractuels et autochtones, Opérations techniques). Au total, 742 personnes ont répondu au sondage.

Les partenaires policiers et les intervenants sont des représentants d'autres services de police et d'organismes et ministères gouvernementaux avec lesquels la GRC collabore et d'organisations non gouvernementales pour qui les activités de la GRC présentent un grand intérêt, comme les associations des libertés civiles et les organisations juridiques.

Notes

• Les données ont été collectées entre le 6 février 2020 et le 16 mars 2020
• Les questions ont été répondues sur une échelle à cinq point et résumées à d'accord, neutre et en désaccord pour en faciliter le revue
• Les pourcentages listés n'incluent pas les réponses "Ne sais pas" ou "Sans opinion"
• Les pourcentages ne s'additionnent pas toujours à 100 % dû à l'arrondissement des chiffres
• Pour les nouvelles questions ajoutées 2019-2020, les cellules des années précédents ont été grisées
• Les résultats qui on monté en 2019-2020 sont surlignés en vert et ceux qui ont descendu sont surlignés en rose

Sondage auprès des partenaires contractuels de 2019-2020

Le Sondage auprès des partenaires contractuels est mené auprès des maires, des dirigeants autochtones et de représentants du gouvernement local, provincial et territorial responsables des contrats avec la GRC pour leur territoire de compétence respectif. Au total, 688 personnes ont répondu au sondage.

Notes

• Les questions ont été répondues sur une échelle à cinq point et résumées à d'accord, neutre et en désaccord pour en faciliter le revue
• Les pourcentages listés n'incluent pas les réponses "Ne sais pas" ou "Sans opinion"
• Les pourcentages ne s'additionnent pas toujours à 100 % dû à l'arrondissement des chiffres
• Pour les nouvelles questions ajoutées 2019-2020, les cellules des années précédents ont été grisées
• Les résultats qui on monté en 2019-2020 sont surlignés en vert et ceux qui ont descendu sont surlignés en rose

Survey of Contract Partners 2019-2020

The Survey of Contract Partners is a survey of mayors, Indigenous leaders, as well as local, provincial and territorial government representatives who are responsible for RCMP contracts within their respective jurisdictions. There were 688 respondents.

Notes

• Data was collected between February 6 and March 16, 2020
• Questions were answered on a 5-point scale and summarized to agree/neutral/disagree to facilitate review
• Percentages exclude those who replied "don't know" or "no opinion"
• Percentages may sometimes not add to 100 due to rounding
• For new questions in 2019-20, cells are greyed out for previous years
• Results that went up in 2019-20 are highlighted in green, those that went down are highlighted in pink

Canadians’ Views of RCMP Policing Services 2019-2020

Canadians' Views of RCMP Policing Services is a public opinion survey of adult residents of Canada, with a focus on areas policed by the RCMP. A random sample of respondents (1,317 by phone and 1,671 online) was allocated to the 14 divisions of the RCMP, with 70% of the sample drawn from areas where the RCMP is the police service of jurisdiction.

Contact with the RCMP

Notes

• Results in this table are the overall results (combination of online panels and telephone interviews)
• Data was collected on January 10-27, 2020
• Percentages exclude those who replied "don't know" or "no opinion"
• Results are "weighted" - they are adjusted so that age, gender, and region better match the Canadian population
• For new questions, cells are greyed out for previous years

Sondage d’opinion des citoyens canadiens sur les services de police de la GRC de 2019-2020

Le Sondage d'opinion auprès des citoyens canadiens sur les services de police de la GRC consiste à sonder l'opinion des Canadiens adultes, plus particulièrement dans les régions où la GRC assure des services de police. Un échantillon de répondants (1 317 par téléphone at 1 671 en ligne) était réparti entre les 14 divisions de la GRC, 70 % de cet échantillon provenant de ces régions.

Contact avec la GRC

Notes

• Les résultats dans les tableaux ont été obtenus en utilisant une combinaison de réponses par téléphone et en ligne
• Les données ont été collectées du 10 au 27 janvier 2020
• Les pourcentages listés n'incluent pas les réponses "Ne sais pas" ou "Sans opinion"
• Les pourcentages ne s'additionnent pas toujours à 100 % dû à l'arrondissement des chiffres
• Les résultats sont pondérés - ils sont ajustés pour que l'âge, le genre et la région soient plus représentatifs de la population canadienne
• Pour les nouvelles questions ajoutées 2019-2020, les cellules des années précédents ont été grisées

Brochure: Respect Sexual Consent

PDF version of the brochure

The absence of "no" doesn't mean "yes".

You need to actively seek consent! The person initiating sexual activity needs to take reasonable steps to establish consent.

If you are unsure, stop and ask: "Is this okay?"

Recognize nonverbal signs of refusal such as:

• Avoiding eye contact
• Crying
• Pushing away
• Shaking head no
• Silence
• Not being responsive

If someone doesn't give you consent for sexual activity, STOP!

The law and consent

The legal age of consent in Canada is 16 years old.

Exceptions: Persons under 16 years can have consensual sex with someone close in age.

• 12-13 year olds (two-year age difference)
• 14-15 year olds (five-year age difference)

These exceptions only apply if the older person is not in a position of authority or trust and there is no exploitation or dependency.

Individuals under 18 years old cannot consent to sex where:

• The other consenting party is in a position of trust, authority or there is a dependency on that person
• There is an activity of exploitation (i.e. pornography, sex work/prostitution).

You have the right to withdraw consent at any time during sexual activity

Even if you've consented to start a sexual act with someone, you have the right to stop it at any time.

Consenting to one kind of sexual activity does not automatically mean consenting to another.

If you don't want to do something, you have the right to say, "STOP!"

What to do if you've been sexually assaulted

Sexual assault is any unwanted act of a sexual nature that is imposed on another person without their consent.

Regardless of how long ago a sexual assault occurred, you can choose to report the assault to the police. You also have a right to access medical attention and support at any time, even if you choose not to report the assault to the police.

• Get to a safe place. If you are in danger, call 911 and/or a local sexual assault response program
• Call someone you know and trust to be with you
• If the sexual assault was recent and if possible, avoid washing yourself, changing your clothes or combing your hair. Preserve any evidence you can, such as items you had with you. You can still report a sexual assault if you have been unable to preserve evidence
• Write down, record, or tell someone you trust all the details you can remember
• Seek medical help and emotional/practical assistance or support (e.g., family, friends, crisis centre)

What the police will want to know

• What happened, when, where and who else was there
• A description of the person who sexually assaulted you (as detailed as possible)
• If you don't feel comfortable talking to the police, you can ask to be referred to a victim services unit, health care facility or a community-based service, like a sexual assault centre, for support and information around your options

For more information

• RCMP Centre for Youth Crime Prevention

Getting help

• Kids Help Phone (1-800-668-6868)
• Canadian Resource Centre for Victims of Crime (1-877-232-2610)
• Ending Violence Association of Canada

Brochure : Respecter le consentement sexuel

Version PDF de la brochure

L'absence d'un «non» ne veut pas dire «oui»

Il faut chercher à obtenir le consentement! La personne à l'origine de l'activité sexuelle doit prendre des mesures raisonnables pour obtenir le consentement de l'autre

En cas de doute, arrête et pose la question suivante : « Est-ce que c'est correct?» »

Reconnais les signes non verbaux tels que :

• Éviter tout contact visuel
• Pleurer
• Résister/repousser
• Faire non de la tête
• Garder le silence
• Ne pas réagir

Si une personne ne consent pas à une activité sexuelle, ARRÊTE!

La loi et le consentement

L'âge légal du consentement au Canada est 16 ans.

Exceptions : Les personnes âgées de moins de 16 ans peuvent avoir une relation sexuelle consensuelle avec des personnes d'âge similaire :

• 12–13 ans (différence de deux années)
• 14–15 ans (différence de cinq années)

Ces exceptions ne s'appliquent que si la personne plus âgée pas en position d'autorité ou de confiance et qu'il n'y a pas d'exploitation ni de dépendance entre les deux.

Les personnes de moins de 18 ans ne peuvent pas consentir à des relations sexuelles lorsque :

• L'autre partie consentante est en position de confiance ou d'autorité ou lorsque la personne de moins de 18 ans est en situation de dépendance envers cette personne
• Il y a une activité d'exploitation (p. ex. pornographie, travail sexuel/prostitution)

Tu as le droit de retirer ton consentement à n'importe quel moment durant l'activité sexuelle

Même si tu as consenti à un acte sexuel avec quelqu'un, tu as le droit d'y mettre fin à tout moment.

Le fait de consentir à un type d'activité sexuelle ne signifie pas automatiquement que l'on consent à un autre acte.

S'il y a quelque chose que tu ne veux pas faire, tu as le droit de dire « arrête! ».

Quoi faire si tu es victime d'une agression sexuelle

Une agression sexuelle est tout acte sexuel forcé commis sans le consentement d'une personne.

À tout moment à la suite d'une agression sexuelle, tu peux obtenir des soins médicaux, accéder à de l'appui ou signaler l'agression à la police.

• Rends-toi à un endroit sûr. Si tu es en danger, compose le 911 et/ou communique avec un service local d'intervention en cas d'agression sexuelle
• Appelle une personne que tu connais et en qui tu as confiance pour être avec toi
• Si l'agression sexuelle est récente, et si possible, ÉVITE de te laver, de changer tes vêtements et de te brosser les cheveux. Préserve autant d'éléments de preuve que possible, comme des articles que tu avais sur toi. Tu peux toujours signaler une agression sexuelle, même si tu n'as pas été en mesure de préserver des éléments de preuve
• Écris, consigne ou dis à quelqu'un de confiance tous les détails dont tu te souviens
• Tente d'obtenir des soins médicaux ou de l'aide et du soutien sur le plan émotionnel ou pratique (p.ex. auprès de membres de ta famille, d'amis ou d'un centre d'intervention en temps de crise)

Les renseignements que tu devras fournir aux policiers

• Que s'est-il passé? Quand? Où? Est-ce que d'autres personnes étaient présentes
• Une description de la personne ayant commis l'agression (aussi détaillée que possible)
• Si tu n'es pas à l'aise de parler à la police, demande à être dirigé vers un groupe des services aux victimes, un établissement de santé ou un bureau de services communautaires, comme un centre d'aide aux victimes d'agression sexuelle, pour obtenir de l'appui et de l'information au sujet de tes options

Pour plus d'information

• Centre de prévention du crime chez les jeunes de la GRC

Pour obtenir de l'aide

• Jeunesse, J'écoute (1-800-668-6868)
• Centre canadien de ressources pour les victimes de crimes (1-877-232-2610)
• Ending Violence Association of Canada

Renseignements à l’intention des victimes d’agression sexuelle

Sur cette page

• Qu'est-ce qu'une agression sexuelle?
• Qu'est-ce que le consentement?
• Que pouvez-vous faire après avoir subi une agression sexuelle?
• Que se passera-t-il quand vous signalerez l'agression à la police?
• Comment se déroulent les procédures judiciaires?
• Comment aider une victime d'agression sexuelle?

L'agression sexuelle a des effets traumatisants et durables sur les victimes.

Rappelez-vous surtout que vous n'êtes jamais à blâmer pour l'agression sexuelle. Le seul responsable de l'agression sexuelle est la personne qui a commis ce crime.

N'importe qui peut être victime d'une agression sexuelle, quels que soient :

• son genre
• son orientation sexuelle
• son âge
• sa race
• ses origines culturelles

Si vous signalez une agression sexuelle à la GRC, nous vous traiterons avec gentillesse et respect et nous mènerons une enquête complète sur votre plainte. Nous sommes là pour vous aider et vous soutenir.

Il n'y a pas de limite de temps pour dénoncer une agression à la police. Même si vous l'avez subie il y a plusieurs années, vous pouvez toujours signaler l'agression à la police. Bien des victimes ne signalent pas l'agression dans l'immédiat, elles choisissent de le faire plus tard dans leur vie.

Si vous attendez un certain temps avant de signaler l'agression, vous pouvez quand même vous faire accompagner d'une personne qui vous soutiendra pendant que vous ferez votre dénonciation.

Qu'est-ce qu'une agression sexuelle?

Une agression sexuelle est un abus de pouvoir et de confiance.

Il y a agression sexuelle quand une personne en touche une autre de manière sexuelle sans son consentement. Une personne peut aussi s'imposer à une autre personne dans une agression sexuelle en faisant valoir sa force physique ou sa position d'autorité.

Tout attouchement, baiser et activité sexuelle non désiré, y compris la pénétration ou la tentative de pénétration de la bouche, du vagin ou de l'anus sont autant de formes d'agression sexuelle.

Qu'est-ce que le consentement?

Le consentement est l'accord qu'on donne librement de participer à une activité sexuelle. Les deux personnes doivent vouloir avoir une activité sexuelle, chaque fois, pour qu'elle soit consensuelle.

Vous avez le droit de retirer votre consentement à tout moment pendant l'activité sexuelle.

Même si au début vous avez consenti à une activité sexuelle avec quelqu'un, vous avez le droit d'y mettre fin à tout moment. Si vous avez consenti à une forme d'activité sexuelle, cela ne signifie pas que vous avez consenti à n'importe quelle autre activité sexuelle.

Vous ne pouvez pas donner votre consentement si vous êtes ou si vous vous sentez

• menacé
• intimidé
• manipulé
• trompé
• inconscient
• endormi

Vous ne pouvez pas donner votre consentement si

• quelqu'un s'impose à vous par autorité réelle ou perçue
• quelqu'un vous force physiquement ou vous menace
• vous êtes soul ou drogué au point de ne pas pouvoir donner votre consentement
• vous avez une déficience intellectuelle ou un problème de santé mentale qui vous empêche de prendre une décision éclairée ou de bien comprendre les conséquences que pourrait avoir une activité sexuelle

La loi au Canada fixe à 16 ans l'âge du consentement

Toutefois, il peut y avoir relation sexuelle consensuelle entre une personne de moins de 16 ans et un partenaire proche en âge :

• 12–13 ans (partenaire plus vieux d'au plus deux ans)
• 14–15 ans (partenaire plus vieux d'au plus cinq ans)

Une personne de moins de 18 ans ne peut pas consentir à des relations sexuelles lorsque :

• L'autre partie consentante est en position de confiance ou d'autorité ou lorsque la personne de moins de 18 ans est en situation de dépendance envers cette personne
• Il y a une activité d'exploitation (p. ex. pornographie, travail sexuel/prostitution)

Que pouvez-vous faire après avoir subi une agression sexuelle?

Vous pouvez obtenir de l'aide d'urgence

Appelez le 911 ou vos services d'urgence locaux si :

• Vous êtes en danger
• Vous avez besoin de soins
• Vous souhaitez parler à la police immédiatement

Vous pouvez faire appel à des services d'aide

En tant que victime d'une agression sexuelle, vous pouvez choisir les services qui vous conviennent le mieux et le moment d'y faire appel.

Vous pouvez communiquer avec les services d'aide aux victimes de votre secteur pour obtenir du soutien. Les services d'aide aux victimes sont en mesure de vous mettre en rapport avec d'autres groupes de soutien et ressources communautaires de votre milieu :

• des centres d'aide aux victimes d'agression sexuelle
• des services psychologiques
• d'autres fournisseurs de services

Vous pouvez signaler l'agression à la police directement

Si vous n'êtes pas en danger immédiat et que vous souhaitez signaler une agression sexuelle, vous pouvez le faire en communiquant avec le poste de police de votre localité. Vous pouvez choisir de faire un rapport aux seules fins d'information.

Signaler une agression sexuelle peut vous aider à obtenir justice et à entreprendre une guérison. Les victimes qui signalent une agression sexuelle permettent aussi à la police d'étayer ses dossiers et peuvent l'aider à démasquer des récidivistes.

Vous pouvez signaler l'agression à la police par l'entremise d'un tiers

Si vous choisissez de ne pas signaler l'agression sexuelle à la police directement, vous pourriez choisir de la signaler par un tiers.

On parle de signalement par un tiers quand c'est une autre personne que la victime qui signale le crime à la police. Cette manière de faire rassure la victime qui ne souhaite pas dénoncer le crime directement à la police que celle-ci en sera néanmoins informée.

Dans plusieurs provinces, les victimes peuvent signaler l'agression sexuelle à la police par l'entremise d'un programme communautaire de services d'aide aux victimes.

Vous pouvez choisir de ne pas signaler l'agression

Vous pouvez choisir de ne pas signaler l'agression sexuelle à la police.

Vous devriez quand même essayer d'obtenir de l'aide médicale ou du soutien en santé mentale en faisant appel aux fournisseurs de services médicaux ou organismes communautaires de votre localité.

Que se passera-t-il quand vous signalerez l'agression à la police?

Voici ce que la police vous demandera si vous lui signalez une agression sexuelle :

• fournir une description de l'événement (ce qui s'est passé : qui, quoi, quand, où, etc.);
• faire une déclaration qui peut être enregistrée sur bande sonore ou vidéo;
  • l'enregistrement peut se faire au service de police ou, dans certains cas, dans un endroit convenu d'un commun accord, comme le lieu de résidence;
  • ne vous inquiétez pas si vous ne vous rappeler pas de tous les détails;
• préciser des détails à l'aide de questions;
• donner les noms des suspects, des témoins et des passants;
• fournir toute preuve matérielle, comme des photos de blessures et les vêtements;
• rester en contact avec l'enquêteur ou le service de police;
  • communiquez avec eux si vous vous souvenez de détails et de renseignements supplémentaires susceptibles de faciliter l'enquête.

Attendez-vous à ce que l'enquêteur vous pose des questions sur l'incident afin de mieux comprendre ce qui s'est passé et de vous aider à vous souvenir de détails.

Ne vous inquiétez pas si vous ne pouvez pas fournir tous les renseignements demandés à l'entrevue initiale. Souvent, un traumatisme peut nous empêcher de raconter l'incident en suivant l'ordre chronologique. Il sera toujours temps de communiquer avec l'enquêteur après l'entrevue pour lui donner les détails qui vous sont revenus.

Si vous voulez que votre signalement fasse l'objet d'une enquête, la police devra :

• recueillir des preuves, notamment au moyen de la trousse d'examen consécutif à une agression sexuelle, de déclarations, de comptes rendus de témoins, etc.
• mener des entrevues avec vous, avec la personne faisant l'objet de la plainte, et avec des témoins éventuels.

Moyens d'aider l'enquête policière

Conservez tous les articles que vous aviez avec vous, puisqu'ils peuvent fournir des éléments de preuve. Mais n'oubliez pas que vous pouvez toujours signaler une agression sexuelle même si vous n'avez pas pu conserver des preuves.

Si l'agression sexuelle est récente, et si possible :

• Évitez de vous laver
• Ne changez pas de vêtements
• Ne vous brossez pas les cheveux

Si vous le pouvez, écrivez, enregistrez ou racontez à quelqu'un en qui vous avez confiance tous les détails de l'agression dont vous vous souvenez.

La trousse d'examen consécutif à une agression sexuelle

Après une agression sexuelle, les professionnels de la santé utilisent une trousse d'examen consécutif à une agression sexuelle pour recueillir et préserver des éléments de preuve biologiques, notamment :

• des liquides corporels
• du sang
• des poils
• des cellules de peau transférés par l'agresseur

Ces éléments de preuve se recueillent à l'aide d'écouvillons, de prélèvements de sang, de prélèvements d'ADN et de photos. Les éléments recueillis peuvent aider à obtenir la condamnation de l'agresseur quand l'affaire se rend au tribunal. Recueillir ces échantillons à l'aide de la trousse donne de meilleurs résultats dans la semaine suivant l'agression.

L'utilisation de la trousse est volontaire et requiert votre consentement. Vous pouvez interrompre le prélèvement à tout moment.

N'oubliez pas qu'il est encore possible de recueillir des éléments de preuve même si vous vous êtes lavée, si vous vous êtes brossé les cheveux ou si vous avez lavé vos vêtements.

Si vous décidez d'utiliser la trousse, cela se fait habituellement à l'hôpital ou dans un centre d'aide aux victimes d'agression sexuelle. Vous pouvez demander :

• de faire faire les prélèvements à l'aide de la trousse et de demander que la police en soit avisée ^{Note de bas de page 1}
• de faire faire les prélèvements et de demander que la police n'en soit avisée
  • bon nombre d'hôpitaux et de centres d'aide peuvent conserver la trousse pendant un certain temps, ce qui vous donne la possibilité de faire intervenir la police plus tard.

Bien que les preuves recueillies à l'aide de la trousse puissent permettre de corroborer des éléments du crime, la police peut néanmoins mener une enquête pour agression sexuelle si la trousse d'examen n'a pas été utilisée (y compris en cas de refus de la victime) ou si elle a été utilisée plus de cinq jours après l'agression.

Certains hôpitaux confient la tâche d'utiliser la trousse d'examen à des infirmières spécialisées dans le traitement des victimes d'agression sexuelle.

L'enquête aboutit-elle toujours au dépôt d'accusations?

Après une enquête, la police n'est pas toujours en mesure de déposer des accusations. Cela ne veut pas dire que la police ne vous croit pas, ni qu'il n'y a pas eu d'agression sexuelle.

Dans certaines régions du pays, la police doit présenter les conclusions de son enquête aux procureurs de la Couronne afin de recommander le dépôt d'accusations. Dans d'autres, les policiers peuvent consulter les procureurs et discuter des crimes commis et de ce qu'ils ont en dossier pour obtenir leur opinion professionnelle sur la recommandation du dépôt d'accusations. Il se peut que la preuve amassée ne suffise pas à justifier une accusation criminelle devant un tribunal. Si des accusations ne sont pas portées, le policier pourra vous expliquer les raisons de cette décision.

Le délai de prescription ne s'applique pas aux agressions sexuelles. Un dossier d'agression sexuelle non résolu peut être rouvert si la police reçoit de nouveaux renseignements. L'enquête sera ainsi poursuivie et pourrait mener à une arrestation ou au dépôt d'accusations.

Comment se déroulent les procédures judiciaires?

Si l'enquête mène à des accusations criminelles, la police constituera un dossier de divulgation qui sera remis au bureau de l'avocat de la Couronne (procureur) et fourni à l'avocat de la défense.

Le procureur présentera ensuite l'affaire en cour, devant un juge de la cour provinciale ou territoriale.

En salle d'audience

Vous devez savoir que la salle d'audience est ouverte au public. La personne qui vous a agressée et le personnel judiciaire, comme les greffiers, se trouveront également dans la salle. Toute personne interrogée au cours de l'enquête peut être appelée à témoigner devant le tribunal afin de redonner sa version de l'incident. Parmi les personnes qui peuvent être appelées à témoigner, il y a :

• vous
• la personne faisant l'objet de la plainte
• les témoins
• des experts en matière d'agression sexuelle
• les policiers chargés de l'enquête.

Si vous le souhaitez, les services d'aide aux victimes peuvent vous accompagner pour vous soutenir au long des procédures judiciaires.

Présenter une déclaration de la victime

À titre de victime d'un crime, vous avez le droit de présenter une déclaration de la victime au tribunal. C'est l'occasion pour vous de dire à la cour les répercussions que le crime a eues sur vous.

Dans votre déclaration, vous décrivez les dommages émotionnels, physiques et financiers que le crime a eus sur vous. Rien ne vous oblige à faire une déclaration, mais si vous en faites une, elle sera entendue au cours de l'audience de détermination de la peine. Votre déclaration ne servira pas à déterminer si l'accusé est coupable ou innocent, mais le juge pourra en tenir compte pour déterminer quelle peine il imposera à l'accusé trouvé coupable.

Comment aider une victime d'agression sexuelle?

Une personne qui a subi une agression sexuelle a besoin du soutien des gens qui l'aiment et qui veulent son bien. Elle peut se sentir tour à tour :

• honteuse
• gênée
• effrayée
• confuse
• abattue
• impuissante
• coupable
• agressive
• seule

Il est important de ne pas la juger. Appuyez-la dans les choix qu'elle fait et les décisions qu'elle prend. Il est très important que ce soit la victime de l'agression sexuelle qui décide de ce qu'elle fera. Cela lui donne l'impression de reprendre le contrôle sur sa vie. Lui dire quoi faire renforce au contraire l'impression d'impuissance que lui a laissée l'agression.

Choses à faire

• Écouter est souvent la meilleure forme de soutien qu'on peut apporter à la victime d'une agression sexuelle.
• Répétez-lui que ce qui lui est arrivé n'est pas de sa faute, que la personne à blâmer est la personne qui a commis le crime.
• Si vous le pouvez, aiguillez-la vers des ressources, en lui fournissant par exemple les numéros de centres d'aide aux victimes d'agression sexuelle.
• Aidez-la à obtenir des soins.
• Soutenez-la si elle veut signaler l'agression à la police ou à un tiers.

Pour en savoir plus

• La Charte canadienne des droits des victimes
• Qui est la victime d'un acte criminel
• Renseignements et services d'aide aux victimes d'actes criminels
• Comment déposer une plainte au bureau de l'ombudsman fédéral des victimes d'actes criminels
• Comment formuler une plainte en vertu de la Charte canadienne des droits des victimes

Date de modification :

1969-12-31