DAOD 5050-1, Canadian Forces Personnel Records of the Director General Military Careers and the Director Human Resources Information Management, and Service Estate Records of the Judge Advocate General

1. Introduction

Date of Issue: 2005-06-30

Date of Last Modification: 2006-07-28

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

Approval Authority: This DAOD is issued under the authority of the Director Military Personnel Policy (DMP Pol).

Enquiries:

  • Director General Military Careers (DGMC)
  • Director Human Resources Information Management (DHRIM)
  • Judge Advocate General (JAG)

2. Abbreviations

AbbreviationComplete Word or Phrase

CCPS

Central Computation Pay System

CF H Svcs Gp

Canadian Forces Health Services Group

CFPM

Canadian Forces Provost Marshal

CFRC

Canadian Forces Recruiting Centre

CFRIMS

Canadian Forces Resources Information Management System

CMIS

Career Management Information System

DAIP

Director Access to Information and Privacy

DAPPP

Director Accounts Processing, Pay and Pensions

DGMC

Director General Military Careers

DHRIM

Director Human Resources Information Management

DIHRS

Defence Integrated Human Resource System

DMCA

Director Military Careers Administration

D Mil C

Director Military Careers

DMP Pol

Director Military Personnel Policy

D NDHQ SSS

Director NDHQ Shared Support Services

DSA

Director Senior Appointments

DSCO

Director Supply Chain Operations

HR

human resources

HRMS

Human Resources Management System

ICC

Input Control Centre

JAG

Judge Advocate General

LAC

Library and Archives Canada

NDHQ

National Defence Headquarters

NES

non-effective strength

OPI

Office of Primary Interest

PAERS

Prospect Applicant Electronic Record System

PERMIS

Personnel Electronic Records Management Information System

PIB

Personal Information Bank

RDA

records disposition authority

Reg F

Regular Force

Res F

Reserve Force

Supp Res

Supplementary Reserve

UPR

unit personnel record (CF 478)

URS

Records Support Unit

Top of Page

3. Definitions

CF personnel record (dossier personnel du militaire)

CF personnel record means the collection of all personal information required by the CAF to manage the career of a CAF member, regardless of the form of the information.

CF personnel record component (élément d'un dossier personnel du militaire)

CF personnel record component means a part of the CF personnel record that is created and maintained by a CF personnel record custodian.

CF personnel record custodian (responsable des dossiers personnels des militaires)

CF personnel record custodian means the office responsible for the management of a CF personnel record component on behalf of the Chief of Military Personnel.

records disposition (disposition de documents)

Records disposition means the act of removing records from the control of the DND or the CAF through authorized:

  • destruction;
  • transfer to Library and Archives Canada; or
  • transfer to the custody and control of an agency outside the Government of Canada, e.g. transferring records to a museum.

records disposition authority (autorisation de disposition de documents)

Records disposition authority means the authority issued by the National Archivist of Canada to the DND and the CAF, which identifies records that, when no longer required for operational, legal or informational purposes:

  • may be disposed of through destruction or transfer outside the Government of Canada; or
  • must be transferred to the custody of Library and Archives Canada.

transitory record (document temporaire)

Transitory record means a record that is required only for a limited time to ensure the completion of a routine action or the preparation of a subsequent record. A transitory record is not a corporate record.

Examples of transitory records include:

  • information in a form used for casual communication;
  • copies used for convenience only; and
  • working drafts of letters, reports or memos used for personal reference (i.e. not communicated beyond the individual who created them).

4. Overview

Context

4.1 CF personnel records of DGMC and DHRIM contain personal information required to manage the careers of CAF members. JAG service estate records contain personal information in respect of the service estate of a CAF member. These records shall be accurately initiated, maintained, stored, secured, managed and available for access under the Privacy Act.

Ownership

4.2 CF personnel records of DGMC and DHRIM, and JAG service estate records, are generated or collected in the conduct of DND and CAF activities, and therefore belong to Her Majesty in right of Canada. Certain categories of personal information, e.g. résumés, are the property of the individual and are therefore not subject to internal record keeping practices.

Military Human Resources Records Procedures

4.3 Policies with respect to CF personnel records and service estate records are amplified in The Military Human Resources Records Procedures (MHRRP), which contains records procedures and identifies what shall be maintained, by whom, where, when and to what standard.

Sources of Federal Employee Information

4.4 Info Source: Sources of Federal Employee Information assists current and former federal employees and CAF members to:

  1. locate their personal information held by the Government; and
  2. exercise their rights under the Privacy Act.

Personal Information Banks

4.5 PIBs are established through consultation with LAC to ensure the correct disposition of a record. The Privacy Act requires that PIBs include all personal information that is organized and retrievable by:

  1. the name of an individual; or
  2. an identifying number, symbol or other particular detail assigned to an individual.

4.6 PIBs are identified with a three-letter code and number for a specific set.

4.7 These databanks, accompanied by their retention policies and time frames, are listed in the Info Source: Sources of Federal Employee Information. They are reviewed annually to ensure that information created on CAF members is recorded and directed in accordance with existing policies.

4.8 The DND and the CAF have registered personal information in three types of PIBs:

  1. PPU - Public Banks;
  2. PPE - Particular Banks; and
  3. PSE - Standard Banks.

Top of Page

5. Director General Military Careers

Mandate

5.1 CF personnel records used for assigning CAF members to meet the defence mission are managed by the PERMIS on behalf of the DGMC. Management of CF personnel records of Res F members is a function of the applicable administrative headquarters, that is:

  1. national/command/area headquarters;
  2. national cadet support units; or
  3. NDHQ Cadet Staff Establishment Ottawa.

DSA Personnel Records

5.2 CF personnel records used for assigning honorary and senior appointments are managed by the:

  1. DSA for honorary appointments;
  2. PERMIS for Reg F members; and
  3. administrative headquarters for Res F members.

D Mil C Career Management

5.3 The D Mil C retains notes on the CMIS which are transitory records. These notes are prepared for annual career manager interviews with Reg F members. Notes that do not become part of CF personnel records during the course of the year, e.g. posting, promotion instruction or selection for training, etc., are destroyed.

Director Military Careers Administration and Resource Management

5.4 The DMCA provides administrative services to the DGMC and its stakeholders in order to ensure effective and transparent management of military HR.

DMCA Management Process Table for CF Personnel Records of Reg F Members

5.5 The following process describes what the DMCA shall do to manage the CF personnel records of Reg F members on release:

StepAction

1

Audit all CF personnel records on release.

2

Ensure that an audited copy of the leave record is placed on the CF personnel record of the CAF member, as this document may affect the CAF member's financial benefits on release, e.g. severance pay.

3

Forward the CF personnel records to the PERMIS.

4

Control access to CF personnel records using a master list of those agencies with authorized access.

5

Act as OPI for informal access to CF personnel records for ten years from date of release (acting as the released CAF member's URS).

DMCA Management Process for CF Personnel Records of Res F Members

5.6 The DMCA shall only manage the CF personnel records of Res F members requiring:

  1. an authority for release for officers who are NES and special career review items for all ranks; and
  2. the Res F Retirement Gratuity calculations (similar to Reg F severance pay), if applicable.

5.7 Once required action is completed, the records are returned to the responsible administrative headquarters for normal disposition.

6. Director Human Resources Information Management

Mandate

6.1 The DHRIM provides a single HR information management system that can be used by all levels of management, CAF members and DND employees to readily access CF personnel records. This is achieved by:

  1. creation of CF personnel records by the HRMS; and
  2. maintenance of electronically imaged documents held by the PERMIS.

HRMS Records

6.2 CF personnel records created by the HRMS are described in Info Source: Sources of Federal Employee Information, under PIB PPE 805 (DND DIHRS).

Note - The HRMS is the only recognized official HR management system for Reg F and Res F members. If conversion to the HRMS has not yet occurred, the same disposition practice shall be followed for other informal management systems in use.

HRMS Process Table

6.3 The following process shall be followed for the HRMS record life cycle:

StepAction

1

On initial contact by an applicant, the CFRC uses the CFRIMS to assign an applicant identification number to the potential recruit.

2

Once the applicant is enrolled, the CFRC assigns the new CAF member a service number.

3

On enrolment, the CFRC completes the enrolment transaction with the CFRIMS. The CFRIMS interfaces with the HRMS, triggering three distinct actions:

  • it automatically closes the CFRIMS record as the CAF member's personnel data is transferred to the HRMS;
  • a CF personnel record is created by the HRMS and an employment identification number, which is only used by the HRMS (Peoplesoft), is generated; and
  • for Reg F members, the CCPS pay record is automatically created, which triggers pay.

Note - The social insurance number is provided by the CAF member and forwarded to the DAPPP for pay purposes only. It is not retained within the HRMS.

4

The DHRIM ICC is responsible for:

  • managing the interface process between the CFRIMS and the HRMS; and
  • investigating and correcting the transactions that fail.

5

For Reg F members, the ICC manages the CF personnel record until the CAF member completes training.

6

CF personnel records of Reg and Res F members are maintained by the CAF member's future URS, which is determined in the HRMS through a departmental identification number, formerly known as the unit identification code.

7

On release of the CAF member, the losing URS (Release Centre) records the release information in the HRMS.

8

The CF personnel record is posted to a release database, but remains accessible to personnel with appropriate user identification until disposal of the data record.

9

If a former Reg or Res F member wishes to enrol, the ICC, at the request of the CFRC, can prepare statements of "Verification of Former Service".

HRMS Records Disposition

6.4 CF personnel records created by the HRMS shall be retained permanently until archiving becomes necessary.

PERMIS Records

6.5 The PERMIS manages CF personnel records of Reg F and Supp Res members.

6.6 CF personnel records held are identified in Info Source: Sources of Federal Employee Information under PIBs:

  1. PPE 818 - CF Member Personnel Information File;
  2. PPE 836 - Unit Military Personnel Bank (UPR-CF 478); and
  3. PPE 838 - Performance Evaluation Report File.

PERMIS Business Process

6.7 Documents are committed to an archive through a comprehensive index, enabling access to the information to authorized users. The PERMIS maintains security and guarantees the availability of electronic documents. Records are managed in accordance with RDA 2000/019-1.

6.8 The PERMIS does not create CF personnel records, but converts hard copy CF personnel records into electronic (imaged) format, which includes:

  1. documents formerly held by career managers;
  2. enrolment microfilmed documents (from the PAERS);
  3. Supp Res records;
  4. administrative review boards; and
  5. release administration files (PIB PPE 818).

6.9 When a Reg F member becomes NES, the UPR is also imaged into the PERMIS.

6.10 If a board of inquiry involves a CAF member, only the cover and a subject page of the board of inquiry are entered in the PERMIS to indicate that such a document exists. The original documents are sent directly to LAC to be archived with the other non-electronic documents.

6.11 Upon release of a CAF member, CF personnel record components not imaged in the PERMIS are sent directly to LAC by the respective CF personnel record custodians.

6.12 These custodians are the:

  1. CF H Svcs Gp;
  2. CFPM;
  3. DAPPP; and
  4. DSCO.

Note - When a Res F member becomes NES, the UPR is not imaged.

PERMIS Records Disposition

6.13 CF personnel records of Reg F and Supp Res members are held by the PERMIS for a period of ten years from date of release, and then transferred to LAC in accordance with RDA 2000/019-1.

6.14 Other CF personnel records of Res F members are maintained by the responsible administrative headquarters for a period of three years from date of the CAF member's release, after which they are sent to LAC for disposition in accordance with RDA PAC 1985/012.

Judge Advocate General

Service Estate Records

A service estate record shall be created upon the death of a CF member of the:

  • Reg F;
  • Special Force; or
  • Res F on Class "B" or "C" Reserve Service.

The Minister has appointed the JAG as the Director of Estates.

Disposition

On completion of all necessary action, service estate records are forwarded to D NDHQ SSS and retained for three years. After three years, D NDHQ SSS forwards the service estate records to the Personnel Records Centre for a further retention period of two years before transfer to LAC.

Responsibilities

Responsibility Table

The following table identifies the responsibilities associated with the management of CF personnel records of the DGMC and the DHRIM, and service estate records of the JAG:

The … is or are responsible for …

DMP Pol

  • establishing standards to ensure the consistent application of procedures regarding information contained in CF personnel records of the DGMC and the DHRIM, and service estate records of the JAG;
  • keeping policy related to the above records up-to-date; and
  • providing advice in all matters related to the above records.

OPIs and custodians

  • ensuring the integrity of CF personnel records of the DGMC and the DHRIM, and service estate records of the JAG;
  • ensuring compliance with RDAs; and
  • conducting regular audits (at least once every five years) to confirm that the management and administration of HR is effectively supported by useful, complete and accurate information.

DAIP

  • coordinating requests under the Privacy Act for personal information.

References

Source References

Related References