DAOD 5019-4, Remedial Measures

1. Introduction

Date of Issue: 2007-07-13

Date of Modification: 2010-07-12

Application: This DAOD is an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF).

Supersession: CFAO 26-17, Recorded Warning and Counselling and Probation

Approval Authority: Chief of Military Personnel (CMP)

Enquiries: Director Military Career Policy and Grievance (DMCPG)

2. Definitions

alcohol misconduct (inconduite liée à l'alcool)

Alcohol misconduct has the same meaning as in DAOD 5019-7, Alcohol Misconduct.

other involvement with drugs (autre implication dans des activités reliées aux drogues)

Other involvement with drugs has the same meaning as in DAOD 5019-3, Canadian Forces Drug Control Program.

prohibited drug use (usage interdit de drogues)

Prohibited drug use has the same meaning as in DAOD 5019-3.

sexual misconduct (inconduite sexuelle)

Sexual misconduct has the same meaning as in DAOD 5019-5, Sexual Misconduct and Sexual Disorders.

3. General Principles

General

3.1 Each CAF member is responsible for meeting standards of conduct and performance. If a CAF member has demonstrated a conduct or performance deficiency, an appropriate remedial measure may be initiated.

3.2 Remedial measures are serious steps to assist a CAF member in overcoming their conduct or performance deficiency and are based on established CAF standards.

Standard of Conduct

3.3 The standard of conduct for a CAF member is based on established military standards, ethics and values identified in regulations, orders, instructions and policies. CAF members are required to meet the applicable standard of conduct.

Standard of Performance

3.4 The standard of performance for a CAF member is based on established military standards applicable to the CAF member's current rank, military occupation, experience and position. The standard of performance establishes the level of performance expected of a CAF member in the execution of duties, tasks and responsibilities.

3.5 This DAOD does not replace existing performance assessment procedures for untrained CAF members undergoing individual training and education (IT&E) who fail to meet IT&E objectives.

Remedial Measures

3.6 Remedial measures are part of the range of administrative actions which may be initiated in respect of a CAF member and are intended to:

  1. make the CAF member aware of any conduct or performance deficiency;
  2. assist the CAF member in overcoming the deficiency; and
  3. provide the CAF member with time to correct their conduct or improve their performance.

3.7 Remedial measures initiated in respect of a CAF member are, in increasing significance:

  1. initial counselling (IC);
  2. recorded warning (RW); and
  3. counselling and probation (C&P).

Initiating Authority

3.8 The initiating authority:

  1. selects the most appropriate remedial measure;
  2. initiates and administers the remedial measure; and
  3. delivers or causes to be delivered to the CAF member the appropriate forms under this DAOD.

Initiating Authority Table

3.9 The following table identifies the initiating authorities for conduct and performance deficiencies:

In the case of …

the initiating authority is …

  • prohibited drug use or other involvement with drugs;
  • sexual misconduct; or
  • alcohol misconduct,
  • the Director Military Careers Administration (DMCA);
  • the Director General Military Careers (DGMC);
  • the CMP; or
  • the Chief of the Defence Staff (CDS).
  • any other conduct or performance deficiency,
  • the commanding officer (CO) of the CAF member or the officer designated by the CO;
  • the officer commanding the command or formation of the CAF member;
  • the DMCA;
  • the Director Military Careers (D Mil C);
  • any officer of the rank of colonel or above at NDHQ;
  • the DGMC or any other director general at NDHQ;
  • the CMP; or
  • the CDS.

Administrative Actions

3.10 Administrative actions are initiated under regulations, orders, instructions or policies. In addition to the remedial measures set out in this DAOD, administrative actions include:

  1. occupational transfer;
  2. transfer between sub-components;
  3. posting;
  4. an offer of terms of service in any case in which an offer has not been made by CAF authorities;
  5. reversion in rank; or
  6. release or recommendation for release, as applicable.

3.11 Administrative actions other than remedial measures may be initiated if:

  1. a remedial measure has been unsuccessful or breached;
  2. the conduct or performance deficiency is serious enough to warrant such actions; or
  3. the conduct or performance deficiency may be better resolved through such actions.

3.12 For more information on administrative actions, see the General Principles map in DAOD 5019-2, Administrative Review.

Administrative Actions Versus Disciplinary Actions

3.13 Administrative actions are not punishments under the Code of Service Discipline.

3.14 Both disciplinary actions under the Code of Service Discipline and administrative actions are meant to address a CAF member's conduct or performance deficiency. They may operate independently or one may complement the other.

3.15 Disciplinary actions and administrative actions serve different purposes. Disciplinary actions possess a punitive aspect that administrative actions do not. Disciplinary action is initiated only if there are sufficient grounds to justify the laying of a charge under the Code of Service Discipline against a CAF member.

4. Requirements for Remedial Measures

Requirement for a Remedial Measure

4.1 A remedial measure may be initiated if there is reliable evidence that establishes on a balance of probabilities that a CAF member has demonstrated:

  1. a conduct deficiency based on an applicable standard of conduct; or
  2. a performance deficiency whereby, over a reasonable period of time, the CAF member has not met the applicable standard of performance.

Identifying the Deficiency

4.2 A deficiency shall be categorized as a conduct deficiency or a performance deficiency, but not both. Identification of the CAF member's deficiency serves to focus on the monitoring objectives and to facilitate any staff or third party review of the CAF personnel record.

4.3 If a CAF member demonstrates different deficiencies at the same time, each deficiency shall be dealt with separately (e.g. if a member demonstrates a performance deficiency and is involved in drug and alcohol abuse, the initiating authority could initiate an IC for alcohol misconduct, an IC for performance deficiency and C&P for prohibited drug use).

Determining the Appropriate Action

4.4 In determining if a remedial measure should be initiated, an initiating authority shall consider:

  1. the potential consequences if a remedial measure is not initiated;
  2. whether another administrative action is more appropriate; and
  3. whether the deficiency would be more appropriately dealt with through disciplinary action.

Factors in Selecting a Remedial Measure

4.5 An initiating authority shall consider the following factors before selecting a remedial measure:

  1. the facts of the case, including the significance and impact of the deficiency;
  2. the CAF member's entire period of service, taking into account the CAF member's rank, military occupation, experience and position;
  3. any conduct or performance assessment, evaluation or constructive criticism previously received by the CAF member in respect of the deficiency;
  4. any previous deficiency substantially related to the current deficiency of the CAF member and the amount of time that has elapsed between the two (e.g. C&P is more likely to be initiated for a CAF member in respect of whom an RW was initiated six months ago for a related deficiency, than in respect of whom a similar RW was initiated 20 years ago); and
  5. any relevant factors in associated policies or orders related to the specific deficiency.

Progression of Measures

4.6 An initiating authority may select an appropriate remedial measure without progressing from IC to RW to C&P. If a CF member has demonstrated a conduct or performance deficiency, an initiating authority may review the CAF personnel record and determine that other administrative action is warranted (e.g. a CAF member whose CAF personnel record contains two IC and one RW could be considered for further administrative action without C&P being initiated). The determining factor is not the number of measures, but rather the overall character of the CAF member's service.

4.7 An initiating authority may, in exceptional circumstances, initiate an administrative action other than a remedial measure in the absence of any previous remedial measures initiated in respect of the CAF member.

4.8 A CAF member who is awaiting or undergoing basic officer or recruit training may still be released immediately in accordance with QR&O Chapter 15, Release,for a conduct deficiency.

Number of Measures

4.9 There is no limit to the number of remedial measures to which a CAF member may be subject to at any one time. For example, a CAF member may be subject to IC for a conduct deficiency regarding harassment, RW for a performance deficiency regarding poor workmanship and C&P for a conduct deficiency regarding prohibited drug use, all at the same time.

Top of Page

5. Remedial Measures Procedures

Description of a Deficiency

5.1 Adequate detail in describing the deficiency is required so that the necessary monitoring may occur and the remedial measure may be reviewed meaningfully by staff and third parties who are unfamiliar with the facts that gave rise to the measure.

5.2 The description of a conduct or performance deficiency shall not:

  1. address multiple conduct and performance deficiencies. If a CAF member displays both conduct and performance deficiencies at the same time, at least two separate remedial measures are required (one for the conduct and one for the performance); or
  2. state or otherwise suggest that a CAF member was convicted, sentenced, fined or found guilty of an offence.

5.3 The following table sets out examples of how to describe a deficiency:

Case ExamplePoor DescriptionGood Description

Conduct

Captain (Capt) XY harassed another CAF member.

While an instructor, Capt XY placed a hand on the knee of a student CAF member at a course party and said 'let's go to bed'. This conduct contravened DAOD 5012-0, Harassment Prevention and Resolution.

Performance

Corporal (Cpl) AB failed to dig a trench.

While employed as an infantryman during two recent exercises totalling four weeks in the field, Cpl AB continually demonstrated an inability to dig a standard machine-gun trench, despite having been given proper direction and assistance by section and platoon commanders, and ample opportunity to improve.

Conduct

Sergeant (Sgt) AZ was convicted of stealing.

Sgt AZ possessed several items of personal property belonging to other CAF members of the squadron. Sgt AZ said the other CAF members asked Sgt AZ to safeguard their property. However, every CAF member reported their property missing and denied giving Sgt AZ permission to possess their property. Sgt AZ's conduct failed to respect the principles and obligations of integrity, honesty and responsibility as set out in Annex A to DAOD 7023-1, Defence Ethics Program.

Administering a Remedial Measure

5.4 The initiating authority shall ensure that any remedial measure is administered in a confidential manner. The procedure to administer a remedial measure is as follows:

StepActionNotes

1

The initiating authority shall complete the appropriate form and identify the:

  • deficiency (conduct or performance) and provide a description of the deficiency;
  • selected remedial measure;
  • monitoring period; and
  • action required to correct the conduct or improve the performance.

To determine the appropriate form to use, see the Selecting the Appropriate Form block.

2

The initiating authority shall deliver, or cause to be delivered, the completed remedial measure form to the CAF member and ensure the CAF member is briefed on the:

  • measure initiated and its purpose;
  • duration of the monitoring period;
  • action required to overcome the deficiency;
  • schedule for progress-briefing sessions; and
  • consequences of failure to overcome the deficiency.

Before proceeding with C&P, the initiating authority shall provide the CAF member with form DND 2827, Notice of Intent to Initiate Counselling and Probation (the "NOI form"). See the Notice of Intent and Initiation of C&P block.

3

The initiating authority shall place a written account of each progress-briefing session in the CAF personnel record.  

Notice of Intent and Initiation of C&P

5.5 The procedure to deliver the NOI form and initiate C&P is as follows:

StepActionNotes

1

The initiating authority shall complete the NOI form and deliver it, or cause it to be delivered, to the CAF member, informing the CAF member of the following:

  • the initiating authority's intention to initiate C&P;
  • the deficiency for which C&P is being initiated; and
  • the reasons that support the initiation of C&P.
 

2

The initiating authority shall disclose to the CAF member copies of all documents that:

  • substantiate the proposed C&P; and
  • are to be considered before making a final decision.

The initiating authority shall not release information that would be exempt or excluded under a request made under the Access to Information Act or Privacy Act (see DAOD 1001-0, Access to Information and DAOD 1002-0, Personal Information for additional information). If there is any doubt as to whether information may be released, the initiating authority shall consult with the local representative of the Judge Advocate General (JAG).

3

The initiating authority shall provide the CAF member with a reasonable opportunity, not less than 24 hours, in which to make written representations to the initiating authority.

A CAF member may request assistance or additional time to make representations. The initiating authority may grant such a request if appropriate in the circumstances.

4

The initiating authority shall consider the CAF member's representations, if any, and shall then decide on the most appropriate action.

The CAF member's representations may cause an initiating authority to:

  • initiate C&P;
  • initiate IC or RW instead of C&P;
  • initiate other administrative actions; or
  • take no further action.

5

If the decision is to initiate C&P, the initiating authority shall complete form DND 2826, Remedial Measure.

 

Selecting the Appropriate Form

5.6 The following table identifies the appropriate forms to be used when initiating a remedial measure:

Type of Remedial MeasureThe form to be used is ...

IC or RW

  • Form DND 2826.
C&P
  • Form DND 2827 (the NOI form); and
  • Form DND 2826.

Delivery of the Appropriate Form and Briefing of the CAF Member

5.7 When practical, the initiating authority shall personally deliver the appropriate forms and brief the CAF member accordingly.

5.8 In other cases, the initiating authority may direct an officer to personally deliver the appropriate forms and to conduct the briefing with the CAF member on the initiating authority's behalf. The officer who delivers the forms shall notify the CAF member that it is being done on the initiating authority's behalf.

Evading Delivery

5.9 If a CAF member appears to be evading the delivery of a form required under this DAOD, the initiating authority, or an officer acting on behalf of the initiating authority, may send the form by registered mail to the CAF member.

5.10 The form sent by registered mail shall:

  1. include the date and time scheduled for the CAF member to be briefed on the remedial measure; and
  2. specify that the remedial measure may be administered even if the CAF member fails to appear for the briefing.

5.11 If the CAF member fails to appear without good reason for the scheduled briefing, the initiating authority, or the officer acting on behalf of the initiating authority, shall annotate the initiating authority's copy of the form that it was sent by registered mail and that the CAF member failed to appear for a briefing, despite having been given the opportunity to do so.

5.12 The appropriate form shall be placed on the CAF personnel record and be considered delivered to the CAF member.

Official Language

5.13 All forms dealing with remedial measures, including their delivery and the relevant briefings, shall be in the CAF member's official language of choice.

Monitoring Period

5.14 For every remedial measure, a monitoring period shall be set. The monitoring period is intended to allow:

  1. a CAF member time to overcome the deficiency; and
  2. time to assess the CAF member's progress.

5.15 The monitoring period in which the CAF member is to be regularly briefed and provided with the necessary leadership and support is set out in the following table:

If the CAF member is on ...the monitoring period shall be for ...Amplification

IC or RW,

a minimum of three months and a maximum of six months.

An initiating authority shall set out the monitoring period in the appropriate form.

A monitoring period normally begins on the day on which the CAF member is briefed by or on behalf of the initiating authority.

When the monitoring period cannot begin immediately, or the monitoring period needs to be suspended (e.g. no regularly scheduled duty period, leave without pay (LWOP), etc.), an initiating authority may adjust the dates of the monitoring period in the interest of fairness to the CAF member or for service reasons.

C&P other than for prohibited drug use or other involvement with drugs,

six months.

 

Note – An initiating authority may extend the monitoring period for up to a maximum of three months.

C&P for prohibited drug use or other involvement with drugs,

12 months.

 

Note – An extension of the monitoring period shall not be granted.

AR Case Files

5.16 AR case files shall be retained in accordance with policies and procedures set out in the following documents, as applicable:

  1. DAOD 5050-0, Canadian Forces Personnel Records;
  2. The Military Human Resources Records Procedures (MHRRP); and
  3. Defence Subject Classification and Disposition System.

6. Consequences of Remedial Measures

Career Implications

6.1 When C&P is initiated, a CAF member's eligibility for career opportunities is restricted. The following table sets out career consequences resulting from a remedial measure:

If the CAF member is on ...is the CAF member still eligible for ...
Promotion?career courses?posting?attached posting?

IC or RW,

Yes

Yes

Yes

Yes

C&P,

No

No 

Note – There is no restriction on remedial IT&E courses meant to assist a CAF member who is on C&P to overcome a conduct or performance deficiency.

No, except if:

  • the posting or attached posting is for an operational deployment; or
  • the DGMC determines otherwise.

Monitoring and Consequential Action

6.2 The following table describes the action that is required when:

  1. there has been a repeat of the deficiency during or after the monitoring period; or
  2. the monitoring period has been concluded.
During the monitoring period, if ...At the end of the monitoring period, if ...After the monitoring period, if ...
the CAF member demonstrates a repeat of the deficiency ...the CAF member has overcome the deficiency ...the CAF member has failed to overcome the deficiency ...the CAF member demonstrates a repeat of the deficiency ...

the initiating authority shall:

  • consider whether the incident is serious enough to cancel the remainder of the monitoring period and to initiate a more significant remedial measure or other administrative action; or
  • assess the incident against the CAF member's overall performance at the end of the monitoring period.
  • the CAF member shall be so informed in writing; and
  • a written summary by the initiating authority shall be placed on the CAF member's CAF personnel record and distributed in accordance with this DAOD.

for which an IC or a RW had been initiated, a more significant remedial measure or administrative action shall be initiated.

for which a C&P had been initiated, an administrative review or other administrative action shall be initiated.

 

Note – Administrative action could result in the release of the CAF member.

the initiating authority may initiate an administrative review or other administrative action.

Reporting on the Personnel Evaluation Report

6.3 A reporting officer may comment on a CAF member's conduct or performance deficiency in accordance with the policy as set out in DAOD 5059-0, Performance Assessment of Canadian Forces Members.

Grievance

6.4 CAF members who believe they have been aggrieved by any decision, act or omission under this DAOD may submit a grievance in accordance with QR&O Chapter 7, Grievances.

Top of Page

7. Administration

Permanent Record

7.1 It is important that the CAF personnel record accurately reflect a complete history of the CAF member's service, conduct and performance.

7.2 All forms referred to in this DAOD and all correspondence indicating conclusion of a monitoring period shall be kept permanently on the CAF personnel record.

7.3 The NOI form, any documents disclosed to the CAF member and any representations made by the CAF member shall be placed on the CAF personnel record only if C&P is initiated.

Form Distribution

7.4 Correspondence and forms associated with remedial measures shall also be distributed as follows:

For a CAF member of the ...a copy of every form for ...and ...shall be forwarded to ...

Regular Force, other than in the case of prohibited drug use or other involvement with drugs, sexual misconduct or alcohol misconduct,

C&P and the accompanying NOI form

any correspondence summarizing the conclusion of a C&P monitoring period

DGMC.

Reserve Force, other than in the case of prohibited drug use or other involvement with drugs, sexual misconduct or alcohol misconduct,

IC, RW, C&P and any accompanying NOI form

any correspondence summarizing the conclusion of a monitoring period

the area headquarters or equivalent.

Regular or Reserve Force in the case of prohibited drug use or other involvement with drugs, sexual misconduct or alcohol misconduct,

IC, RW, C&P and any accompanying NOI form

any correspondence summarizing the conclusion of a monitoring period

DGMC.

8. Responsibilities

Responsibility Table

8.1 The following table identifies the responsibilities associated with this DAOD:

The ...is responsible for ...

DMCPG

  • developing the conduct and performance deficiency remedial measures policy.

DMCA

  • initiating appropriate remedial measures in any case of prohibited drug use or other involvement with drugs, sexual misconduct or alcohol misconduct.

initiating authority

  • initiating appropriate remedial measures for conduct and performance deficiencies;
  • taking appropriate action to ensure that the CAF member is regularly briefed during the monitoring period and is provided the leadership and support needed to overcome the deficiency;
  • indicating completion of any remedial measure monitoring period as specified in the Permanent Record and Form Distribution blocks; and
  • consulting with the local representative of the JAG as appropriate.

9. References

Acts, Regulations, Central Agency Policies and Policy DAOD

Other References