DAOD 5019-4, Remedial Measures

Table of Contents

1. Introduction
2. Definitions
3. Abbreviations
4. General Principles
5. Requirements for Remedial Measures
6. Procedures for Remedial Measures
7. Consequences of Remedial Measures
8. Record Keeping
9. Compliance and Consequences
10. Responsibilities
11. References

1. Introduction

Date of Issue: 2007-07-13

Date of Last Modification: 2022-06-20

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

Supersession:

• CFAO 26-17, Recorded Warning and Counselling and Probation
• CANFORGEN 134/12, Decentralization of Authorities Related to Remedial Measures and Administrative Actions
• CANFORGEN 112/14, Amendment – Decentralization of Authorities Related to Remedial Measures and Administrative Actions

Approval Authority: Chief of Military Personnel (CMP)

Policy Office of Primary Interest: Director Military Career Policy and Grievance (DMCPG)

Enquiries: Administrative Response Centre (ARC)

2. Definitions

alcohol misconduct (inconduite liée à l'alcool)

Any conduct, other than a conduct deficiency involving alcohol, that is an offence under the Criminal Code or a service offence under the Code of Service Discipline that includes the consumption or influence of alcohol as an element of the offence or as a contributing factor.

Notes 1. Alcohol misconduct includes the following offences in which alcohol is an element of the offence:

• impaired driving;
• impaired driving causing bodily harm or death;
• refusing to comply with a demand to provide a breath or blood sample; and
• drunkenness under section 97 of the National Defence Act or an offence related to QR&O article 19.04, Intoxicants.

    2. Alcohol misconduct includes the offences of stealing, assault and sexual assault when alcohol is a contributing factor     in these offences. (Defence Terminology Bank record number 42877)

CAF personnel record (dossier du personnel des FAC)

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. (Defence Terminology Bank record number 42959)

conduct deficiency involving alcohol (écart de conduite lié à l'alcool)

Any conduct or performance involving alcohol that:

a) is a service infraction under QR&O 120.04, Infractions in Relation to Drugs and Alcohol;

b) is an offence under provincial or municipal law; or

c) demonstrates personal financial mismanagement or any other conduct or performance deficiency. (Defence Terminology Bank record number 43020)

disability(déficience)

Any previous or existing mental or physical disability and includes disfigurement and previous or existing dependence on alcohol or a drug. (Section 25 of the Canadian Human Rights Act)

Note - In the CAF context, a disability is considered to be partial or full impairment in the ability to perform an activity in a manner or within the range considered normal while respecting the principle of universality of service.

hateful conduct(conduite haineuse)

An act or conduct, including the display or communication of words, symbols or images, by a CAF member, that they knew or ought reasonably to have known would constitute, encourage, justify or promote violence or hatred against a person or persons of an identifiable group, based on their national or ethnic origin, race, colour, religion, age, sex, sexual orientation, gender identity or expression, marital status, family status, genetic characteristics or disability. (Defence Terminology Bank record number 695993)

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

Any act, other than prohibited drug use, that:

• involves a drug or is committed with the intent to commit an act that involves a drug; and
• is an offence under federal legislation. (Defence Terminology Bank record number 43165)

prohibited drug use (usage interdit de drogues)

Any use of drugs contrary to QR&O article 20.04, Prohibition. (Defence Terminology Bank record number 693839)

sexual misconduct (inconduite sexuelle)

Conduct of a sexual nature that causes or could cause harm to others, and that the person knew or ought reasonably to have known could cause harm, including:

• actions or words that devalue others on the basis of their sex, sexuality, sexual orientation, gender identity or expression;
• jokes of a sexual nature, sexual remarks, advances of a sexual nature or verbal abuse of a sexual nature in the workplace;
• harassment of a sexual nature, including initiation rites of a sexual nature;
• viewing, accessing, distributing or displaying sexually explicit material in the workplace; and
• any Criminal Code offence of a sexual nature, including:
  • section 162 (voyeurism, i.e. surreptitiously observing or recording a person in a place where the person exposes or could expose his or her genital organs or anal region or her breasts or could be engaged in explicit sexual activity, or distributing such a recording);
  • section 162.1 (publication, etc., of an intimate image without consent, i.e. publishing, distributing, transmitting, selling or making available an intimate image of another person without their consent, such as a visual recording in which the person depicted is nude, exposing his or her genital organs or anal region or her breasts, or is engaged in explicit sexual activity); and
  • section 271 (sexual assault, i.e. engaging in any kind of sexual activity with another person without their consent). (Defence Terminology Bank record number 43247)

Note - Brief summaries of sections 162, 162.1 and 271 of the Criminal Code are provided above strictly for the convenience of readers. The actual sections in the Criminal Code should be consulted for all elements and other provisions of these offences.

3. Abbreviations

4. General Principles

General

4.1 Each CAF member is required to maintain professional standards of conduct and performance. If a CAF member has demonstrated a conduct or performance deficiency, an appropriate remedial measure may be initiated.

4.2 The CAF must ensure that all remedial measures:

1. respect DAOD 5516-5, Learning Disability Accommodation during Recruiting, Training and Education, and DAOD 5023-0, Universality of Service; and
2. are not based, in whole or in part, on any prohibited ground of discrimination, as set out in the CHRA, i.e. race, national or ethnic origin, colour, religion, age, sex, sexual orientation, gender identity or expression, marital status, family status, genetic characteristics, disability or conviction of an offence for which a pardon has been granted or in respect of which a record suspension has been ordered.

4.3 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

4.4 The standard of conduct for a CAF member is based on established military standards, ethics and values identified in regulations, codes of conduct, policies, orders, instructions and directives applicable to the CAF member, including the standards of conduct expressed in Duty with Honour: The Profession of Arms in Canada.

Standard of Performance

4.5 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.

4.6 This DAOD does not replace existing performance appraisal procedures for untrained CAF members undergoing IT&E who fail to meet IT&E objectives.

Remedial Measures

4.7 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.

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

1. IC;
2. RW; and
3. C&P.

Initiating Authority

4.9 The IA:

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.

4.10 The following can be IAs for remedial measures in relation to conduct and performance deficiencies:

• the CO of the CAF member or an officer designated in writing by the CO;
• the officer commanding the command or formation of the CAF member;
• DMCA;
• D Mil C;
• DSA;
• any officer of the rank of colonel or above at NDHQ;
• DGMC or any other CAF director general at NDHQ;
• CMP; or
• CDS.

4.11 An officer who has been designated by the CO to act as an IA must have reached their operationally functional point and be at least one rank higher than the CAF member subject to the remedial measure.

4.12 If it is determined on the balance of probabilities that a CAF member has engaged in sexual misconduct or hateful conduct, the CO of the CAF member must consult DMCA 2 prior to initiating any remedial measure.

Administrative Actions

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

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

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

1. 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.

4.15 For more information on administrative actions, see section 4 in DAOD 5019-2, Administrative Review.

Administrative Actions Versus Disciplinary Actions

4.16 Administrative actions are not punishment or sanctions under the Code of Service Discipline.

4.17 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.

4.18 Disciplinary actions and administrative actions serve different purposes. Disciplinary actions possess a sanctioning  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.

5. Requirements for Remedial Measures

Initiation of a Remedial Measure

5.1 A remedial measure may be initiated if there is clear and convincing evidence that establishes on a balance of probabilities that a CAF member has demonstrated:

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

Identifying the Deficiency

5.2 A deficiency must 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.

5.3 If a CAF member demonstrates different deficiencies at the same time, each deficiency must be dealt with separately. For example, if a CAF member demonstrates a performance deficiency and is involved in drug and alcohol misuse, the IA could initiate an IC for alcohol misconduct, an IC for performance deficiency and C&P for prohibited drug use.

Determining the Appropriate Action

5.4 In determining if a remedial measure should be initiated, an IA must consider:

1. the potential consequences if a remedial measure is not initiated;
2. whether another administrative action is more appropriate;
3. whether the conduct or performance deficiency would be more appropriately dealt with through disciplinary action;
4. the existence of any relevant MEL; and
5. whether a disclosed disability was a factor in the conduct or performance deficiency.

5.5 Although there may exist a link between a demonstrated behavioural issue and a disability, a disability does not automatically excuse a CAF member from the requirement to meet the established standards of conduct and performance set out in regulations, codes of conduct, policies, orders, instructions and directives applicable to the CAF member. However, the IA must take the disability and the CAF member’s overall conduct and performance into account and ensure that any remedial measure does not conflict with the CHRA.

Factors in Selecting a Remedial Measure

5.6 An IA must consider the following factors before selecting a remedial measure:

1. the facts of the case, including the significance and impact of the conduct or performance 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 representations made by the CAF member that directly relate to the conduct or performance deficiency;
4. any conduct or performance appraisal, evaluation or constructive criticism previously received by the CAF member in respect of the deficiency;
5. 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);
6. the existence of any relevant MEL and disclosed disability, subject to the requirements of the principle of universality of service; and
7. any other relevant factors in associated policies or orders related to the deficiency.

Progression of Measures

5.7 An IA may select an appropriate remedial measure without progressing from IC to RW to C&P. If a CAF member has demonstrated a conduct or performance deficiency, an IA may review the CAF personnel record and determine that other administrative action is warranted. For example, a CAF member whose CAF personnel record contains two ICs 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.

5.8 An IA may, in certain 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.

5.9 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

5.10 There is no limit to the number of remedial measures to which a CAF member may be subject 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.

6. Procedures for Remedial Measures

Description of a Deficiency

6.1 Adequate detail in describing the conduct or performance deficiency in a remedial measure 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 remedial measure.

6.2 The description of a conduct or performance deficiency must 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 that a CAF member was charged with, convicted, sentenced, fined or found guilty of an offence; or
3. state that a CAF member was charged with, found to have committed, or been sanctioned for a service infraction.

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

Administering an IC or RW

6.4 The IA must ensure that any IC or RW is administered in a confidential manner. The procedure to administer an IC or RW is as follows:

Notice of Intent and Initiation of C&P

6.5 The IA must ensure that any C&P is administered in a confidential manner. The procedure to deliver the NOI and initiate C&P is as follows:

Release of Information

6.6 The IA must not release information in respect of a remedial measure that would be exempt or excluded under a request made under the Access to Information Act or the 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 IA must consult with their local JAG representative.

Selecting the Appropriate Form

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

Delivery of Appropriate Forms and Briefing of the CAF Member

6.8 When practical, the IA must personally deliver the appropriate forms and brief the CAF member accordingly.

6.9 In other cases, the IA may direct an officer to personally deliver the appropriate forms and to conduct the briefing with the CAF member on behalf of the IA. The officer who delivers the forms must notify the CAF member that it is being done on behalf of the IA.

Evading Delivery

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

6.11 The form sent by registered mail must:

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.

6.12 If the CAF member fails to appear without good reason for the scheduled briefing, the IA, or the officer acting on behalf of the IA, must annotate the IA’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.

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

Official Language

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

Monitoring Period

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

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

6.16 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:

7. Consequences of Remedial Measures

Career Consequences

7.1 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:

Note 1 – A CAF member may be eligible for voluntary occupational transfer, compulsory occupational transfer, subsidized education or a commissioning plan if the monitoring period of the remedial measure expires before the annual competition closing date promulgated by CANFORGEN. The CAF member’s unit must send correspondence supporting eligibility to the local PSO. A CAF member on IC on or after the closing date may exceptionally be considered but the local PSO must submit a waiver request to DPGR 4. No selection message will be released until the CAF member’s remedial measure has been concluded or unless approved by DMCPG on a case-by-case basis.

Note 2 – A CAF member subject to a COT and a remedial measure can be considered eligible and processed for the COT if the CAF member is on an IC or RW as long as it is determined by the local PSO that the deficiency is assessed as minor and this determination has been confirmed by the local senior PSO or Command PSO, as applicable. If there is any doubt, the case can be submitted to DPGR 4 and discussed with DPGR as the policy holder of COT. If the deficiency is not assessed as minor, COT processing will not start until the remedial measure is concluded. Examples of deficiencies that are not assessed as minor are those involving sexual misconduct, any misconduct that could discredit the CAF or a pattern of behaviour that cumulatively reveals a significant departure from the expected standard of conduct of a CAF member. No COT will occur unless the remedial measure is concluded or the COT is approved by DMCPG on a case-by-case basis.

Note 3 – Normally, there will be no restriction on remedial career courses or other training that support a CAF member who is on C&P in overcoming any conduct or performance deficiency. Each situation will be considered on a case-by-case basis.

Note 4 – A CAF member on C&P may be eligible for a posting or attached posting for an operational deployment. In any other case, DGMC may determine that the CAF member is eligible for a posting or attached posting on a case-by-case basis.

Monitoring and Consequential Action

7.2 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.

Reporting on the Personnel Appraisal Report

7.3 A reporting officer may comment in a performance evaluation report on a CAF member’s conduct or performance deficiency in accordance with the policy set out in DAOD 5059-0, Performance Appraisal of Canadian Forces Members.

Grievance

7.4 A CAF member who believes 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.

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8. Record Keeping

Permanent Record

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

8.2  All forms referred to in this DAOD and all correspondence indicating conclusion of a remedial measure must be kept permanently on the CAF personnel record.

8.3  Form DND 2827-E, any documents disclosed to the CAF member and any representations made by the CAF member must be placed on the CAF personnel record only if C&P is initiated.

8.4 The IA must place a written account of each progress-briefing session on the CAF personnel record.

Form Distribution

8.5 Forms and correspondence associated with remedial measures must also be distributed as follows:

9. Compliance and Consequences

Compliance

9.1 CAF members must comply with this DAOD. Should clarification of the policies or instructions set out in this DAOD be required, CAF members may seek direction through their chain of command. Military supervisors have the primary responsibility for and means of ensuring the compliance of CAF members with this DAOD.

Consequences of Non-Compliance

9.2 CAF members are accountable to their military supervisors for any failure to comply with the direction set out in this DAOD. Non-compliance with this DAOD may have consequences for both the CAF as an institution, and for CAF members as individuals. Suspected non-compliance may be investigated. Military supervisors must take or direct appropriate corrective measures if non-compliance with this DAOD has consequences for the CAF. The decision of an L1 or other senior official to take action or to intervene in a case of non-compliance, other than in respect of a decision under the Code of Service Discipline regarding a CAF member, will depend on the degree of risk based on the impact and likelihood of an adverse outcome resulting from the non-compliance and other circumstances of the case.

9.3 The nature and severity of the consequences resulting from non-compliance should be commensurate with the circumstances of the non-compliance and other relevant circumstances. Consequences of non-compliance may include one or more of the following:

1. the ordering of the completion of appropriate learning, training or professional development;
2. the entering of observations in individual performance evaluations;
3. increased reporting and performance monitoring;
4. the withdrawal of any authority provided under this DAOD to a CAF member;
5. the reporting of suspected offences to responsible law enforcement agencies;
6. the application of specific consequences as set out in applicable laws, codes of conduct, and DND and CAF policies and instructions;
7. other administrative or disciplinary action, or both, for a CAF member; and
8. the imposition of liability on the part of Her Majesty in right of Canada and CAF members.

10. Responsibilities

Responsibility Table

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

11. References

Acts, Regulations, Central Agency Policies and Policy DAOD

• Access to Information Act
• Canadian Human Rights Act
• Criminal Code
• National Defence Act
• Privacy Act
• QR&O Chapter 7, Grievances
• QR&O Chapter 15, Release
• DAOD 5019-0, Conduct and Performance Deficiencies

Other References

• DAOD 1001-0, Access to Information
• DAOD 1002-0, Personal Information
• DAOD 5012-0, Harassment Prevention and Resolution
• DAOD 5019-2, Administrative Review
• DAOD 5019-3, Canadian Forces Drug Control Program
• DAOD 5019-7, Alcohol Misconduct
• DAOD 5023-0, Universality of Service
• DAOD 5023-2, Physical Fitness Programme
• DAOD 5044-4, Family Violence
• DAOD 5050-0, Canadian Forces Personnel Records
• DAOD 5059-0, Performance Appraisal of Canadian Forces Members
• DAOD 5516-0, Human Rights
• DAOD 5516-5, Learning Disability Accommodation during Recruiting, Training and Education
• DAOD 7016-0, Pardons
• DAOD 7023-1, Defence Ethics Programme
• DAOD 9005-1, Sexual Misconduct Response
• CFAO 15-2, Release - Regular Force (accessible only on the internal DWAN network).
• A-AD-005-DCP/AG-00, Canadian Forces Drug Control Program Manual
• CF Mil Pers Instruction 01/20, Hateful Conduct
• CDS Designated Release Authorities – Regular Force
• CDS Designated Release Authorities – Reserve Force
• Duty With Honour: The Profession of Arms in Canada
• The Path to Dignity and Respect. The Canadian Armed Forces Strategy to Address Sexual Misconduct
• Form DND 2826-E, Remedial Measure
• Form DND 2827-E, Notice of Intent to Initiate Counselling and Probation
• Form DND 4345-E, Medical Employment Limitations For Administrative Review(AR/MEL)