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DAOD 3002-4, Reporting of Ammunition or Explosives Accidents, Incidents, Defects and Malfunctions

Table of Contents

  1. Introduction
  2. Definitions
  3. Reporting
  4. Compliance and Consequences
  5. Responsibilities
  6. References

1. Introduction

Date of Issue: 2007-12-12

Date of Last Modification: 2020-07-10

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members).

Supersession: CFAO 71-4, Ammunition Accident, Incident, Defect and Malfunction Reports

Approval Authority: Director Ammunition and Explosives Regulation (DAER)

Enquiries: DAER 3

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2. Definitions

ammunition (munition)

A device charged with explosives, propellants, pyrotechnics, initiating composition or nuclear, biological or chemical material, for use in military operations, and includes a non-charged or inert replica of such a device. (Defence Terminology Bank record number 15923)

ammunition or explosive defect (défectuosité de munition ou d’explosif)

An ammunition or explosives design deficiency, or a manufacturing defect of, tampering with, or damage to, an ammunition item or explosive, that could or has resulted in less than effective performance. (Defence Terminology Bank record number 42886)

ammunition or explosive malfunction (défaillance de munition ou d’explosif)

A failure of an ammunition item or explosive to function in an expected or satisfactory manner. (Defence Terminology Bank record number 42889)

explosive (explosif)

Any thing that is made, manufactured or used to produce an explosion or a detonation or pyrotechnic effect, and includes any thing prescribed to be an explosive by the regulations made under the Explosives Act, but does not include gases, organic peroxides or any thing prescribed not to be an explosive by the regulations. (Section 2 of the Explosives Act)

hazardous occurrence (situation comportant des risques)

An event or series of events that results, or has the potential to result, in injury, illness or death, or damage to materiel, real property, immovables or the environment, regardless of the severity of the injury, illness or damage.

Note – DND and CAF policies and instructions set out notification, investigation and reporting requirements for all hazardous occurrences. (Defence Terminology Bank record number 694257)

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3. Reporting

Interpretation

3.1 In this DAOD:

Context

3.2 DAOD 3002-0, Ammunition and Explosives, provides that the DND and the CAF are committed to ensuring that DND employees and CAF members are aware of, and strictly adhere to, the laws, policies, orders, directives and instructions involving ammunitions or explosives (A&E)

Purpose

3.3 For the purpose of DAOD 3002-0, DND employees and CAF members who are involved with or responsible for A&E must be aware of and adhere to the procedures for reporting A&E occurrences.

Note – An accident or incident as described in this DAOD is also a “hazardous occurrence” for purposes of other DND and CAF safety programs.

3.4 This DAOD provides direction related to the reporting of A&E occurrences.

Investigation and Reporting Requirement

3.5 It is DND and CAF policy that all A&E occurrences must be investigated to determine their causes and reported to make recommendations to prevent recurrence.

3.6 DND employees and CAF members must report all A&E occurrences in accordance with A-GG-040-006/AG-002, DND Ammunition or Explosives Accident/Incident/Defect/Malfunction Reporting. Depending on the circumstances, additional investigation or reporting may also be required. See DAOD 7002-3, Subjects of Investigation and References, and DAOD 7026-0, Administrative Investigations, for additional information.

Multiple Safety Programs

3.7 As an A&E occurrence may concern more than one DND or CAF safety program, reporting under one or more safety programs may be required. Reporting to another safety program does not negate the requirement to report under the Ammunition and Explosives Safety Program (AESP). Similarly, the submission of a significant incident report or the conduct of a police investigation, summary investigation or board of inquiry, does not negate the requirement for an AESP investigation.

Ammunition and Explosives Safety Information Management System

3.8 DND employees and CAF members must use the Ammunition and Explosives Safety Information Management System (AESIMS) for the reporting of A&E occurrences. AESIMS is:

  1. a web-enabled tool operating on the Defence Wide Area Network that provides reporting, staffing and analytical functions in support of the AESP; and
  2. a limited-access tool, with defined qualifications for the various roles and associated qualifications set out in A-GG-040-006/AG-002.

Free and Open Reporting

3.9 The information in AESIMS must only be used in support of the AESP. In accordance with A-GG-040-001/AG-001, General Safety Program, Volume 1, Policy and Program, a hazardous occurrence investigation report, including a report in respect of an A&E occurrence, must not be used for disciplinary purposes. It must be emphasized that to successfully determine causes and contributing factors, investigations must be directed toward fact finding for prevention, not fault finding for punishment. Free and open sharing of critical safety information between managers and military supervisors, and operational personnel, without the threat of punitive action, represents the basis of a healthy safety program. DND employees and CAF members must be able to report A&E occurrences and safety concerns as they arise, without fear of sanction or embarrassment.

3.10 In providing mandatory reporting under paragraph 3.6, all DND employees and CAF members, and contractors to whom the provisions of this DAOD are applied, are expected to be candid and forthcoming in providing full information. They are expected to voluntarily acknowledge their own errors and omissions, and suggest new or improved preventative measures. Except in a prosecution for perjury or for giving contradictory evidence, any oral, written or recorded statement made by a person reporting an A&E occurrence for purposes of this DAOD, A-GG-040-006/AG-002 or the AESP is not to be used against the person in any administrative or disciplinary action.

Other Investigations

3.11 The investigation process under AESIMS is not intended to obtain evidence relating to a potential breach of the Code of Service Discipline or other statutory or regulatory provision, or assign criminal responsibility. If an investigation with such a purpose is to be conducted, the nearest representative of the JAG should be contacted.

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4. Compliance and Consequences

Compliance

4.1 DND employees and CAF members must comply with this DAOD. Should clarification of the policies or instructions set out in this DAOD be required, DND employees and CAF members may seek direction through their channel of communication or chain of command, as appropriate. Managers and military supervisors have the primary responsibility for and means of ensuring the compliance of their DND employees and CAF members with this DAOD. 

Consequences of Non-Compliance

4.2 DND employees and CAF members are accountable to their respective managers and 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 DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance may be investigated. Managers and military supervisors must take or direct appropriate corrective measures if non-compliance with this DAOD has consequences for the DND or the CAF. The decision of a level one advisor (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.

4.3 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 DND employee or 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 action, including the imposition of disciplinary measures, for a DND employee;
  8. other administrative or disciplinary action, or both, for a CAF member; and
  9. the imposition of liability on the part of Her Majesty in right of Canada, DND employees and CAF members.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

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5. Responsibilities

Responsibility Table

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

The …
 is or are responsible for …

Assistant Deputy Minister (Materiel)
  • reviewing, investigating and acting on all A&E occurrences to ensure that only safe and reliable A&E is maintained in the CAF inventory; and
  • reviewing and providing technical support for the investigation of A&E occurrences.

L1s, commanders of commands and formations, and commanding officers and superintendents of units
  • ensuring that:
    • cases of A&E occurrences are reported, properly investigated and staffed in AESIMS to the applicable L1 organization;
    • cases of A&E occurrences are reviewed, preventive measures applied and cases closed;
    • A&E occurrence trends are captured and promulgated within their own organizations and lessons learned are applied; and
    • their DND employees and CAF members know the procedures required to report A&E occurrences.

DAER
  • providing regulatory oversight of the investigation and reporting of A&E occurrences; and
  • analyzing trends in AESIMS to prevent recurrence.

DND employees and CAF members who are involved with or responsible for A&E
  • being aware of, and strictly adhering to, the procedures for reporting A&E occurrences.

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6. References

Acts, Regulations, Central Agency Policies and Policy DAOD

Other References

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