DAOD 5040-1, Historical Records

Table of Contents

1. Introduction
2. Definition
3. Operating Principles
4. Annual Historical Report
5. Operations Diary
6. Consequences
7. Responsibilities
8. References

1. Introduction

Date of Issue: 2015-06-25

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 71-7, Unit Histories and Historical Records

Approval Authority: Chief of Military Personnel (CMP)

Enquiries: Director History and Heritage (DHH)

2. Definition

record (document)

Records are information created, received, and maintained by an organization or person for business purposes, legal obligations, or both, regardless of medium or form. (Directive on Recordkeeping, Treasury Board)

3. Operating Principles

Context

3.1 Canadian statutes and regulations provide for the preservation and protection of records and other information.

Interpretation

3.2 For purposes of this DAOD, “historical records” consists of records of historical, heritage or legal value for the DND and the CAF.

DND and CAF Commitment

3.3 The DND and the CAF are committed to creating and conserving historical records in order to:

1. raise public understanding of Canadian military history;
2. shape the CAF and the Canadian identity;
3. contribute to esprit de corps; and
4. foster cohesion and operational effectiveness.

DHH Mandate

3.4 The DHH is mandated to produce the official histories of the CAF and the former services, and other historical products, including products obtained through CAF-sponsored artists programmes, in accordance with priorities set by senior management.

3.5 The DHH must:

1. contribute to the CAF and the Canadian identity by the publication of historical records in paper and electronic versions, as appropriate;
2. maintain such archival, library and public research facilities, as well as a Web-based presence, as required to fulfil the DHH mandate; and
3. create historical records and communicate them to the Canadian public.

4. Annual Historical Report

Purpose

4.1 Annual historical reports are historical records created to assist in:

1. responding to ministerial inquiries and access to information requests;
2. completing boards of inquiry and other investigations;
3. compiling official histories of the CAF and the former services;
4. adjudicating claims administered by the Department of Veterans Affairs; and
5. providing information for other DND and CAF purposes.

Requirements

4.2 All Regular Force and Reserve Force units must submit an annual historical report.

4.3 Details on preparing an annual historical report are set out in A-AD-200-000/AG-000, The Heritage Structure of the Canadian Forces.

Annual Historical Report Relative to the Operations Diary

4.4 When a unit or other element is ordered for deployment, in or outside of Canada, for which an operations diary is to be completed, an unclassified summary of activities in the operations diary is to be included, as appropriate, in the annual historical report. The requirement for an operations diary is set out in section 5.

5. Operations Diary

Purpose

5.1 An operations diary (formerly a “war diary”) is a historical record created to preserve an authentic record of operations for historical purposes. Operations diaries become source material for:

1. the writing of official histories;
2. the substantiation of battle honours;
3. the substantiation of foreign service allowance and other allowances and benefits;
4. the adjudication of claims administered by the Department of Veterans Affairs;
5. official inquiries; and
6. other DND and CAF purposes.

Requirements

5.2 When a unit or other element is ordered for deployment, a separate operations diary must be submitted. In the context of this DAOD, an operation occurs whenever the CAF is ordered by the Government of Canada to engage, in or outside of Canada, in armed conflict, counter-insurgency, peacekeeping, humanitarian relief or aid of the civil power, or ordered for duty during a precautionary stage for such an operation. Only an unclassified summary of the activities in the operations diary may be included, as appropriate, in the annual historical report.

5.3 Details on preparing an operations diary are set out in A-AD-200-000/AG-000.

6. Consequences

Consequences of Non-Compliance

6.1 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. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

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

7. Responsibilities

Table of Responsibilities

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

8. References

Acts, Regulations, Central Agency Policies and Policy DAOD

• Access to Information Act
• Library and Archives of Canada Act
• Framework for the Management of Compliance, Treasury Board
• Directive on Recordkeeping, Treasury Board
• DAOD 5040-0, Military History and Heritage

Other References

• DAOD 6001-1, Recordkeeping
• A-AD-200-000/AG-000, The Heritage Structure of the Canadian Forces
• Defence Subject Classification and Disposition System (DSCDS)