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DAOD 6001-2, Forms Management

Table of Contents

  1. Introduction
  2. Definitions
  3. Overview
  4. Requirements
  5. Compliance and Consequences
  6. Responsibilities
  7. References

1. Introduction

Date of Issue: 2013-03-14

Date of Last Modification: 2024-03-00

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:

Approval Authority: Assistant Deputy Minister (Digital Transformation) (ADM(DT))

Enquiries: Director Knowledge and Information Management (DKIM)

2. Definitions

data (données)

Set of values of subjects with respect to qualitative or quantitative variables representing facts, statistics, or items of information in a formalized manner suitable for communication, reinterpretation, or processing. (Policy on Service and Digital, Treasury Board)

Note – In the DND and the CAF, data is created, collected and used both in military operations and exercises, and in corporate administrative processes.

electronic signature (signature électronique)

Means a signature that consists of one or more letters, characters, numbers or other symbols in digital form incorporated in, attached to or associated with an electronic document. (Subsection 31(1) of the Personal Information Protection and Electronic Documents Act)

form (formulaire)

A standardized printed or electronic document used to collect data. (Defence Terminology Bank record number 1800)

information asset (ressource d’information)

A body of information defined and managed as a single unit so it can be understood, shared, protected and exploited effectively.

Note – An information asset has recognizable and manageable value, risk and content for DND business and CAF operations. (Defence Terminology Bank record number 696375)

national defence form (formulaire de la défense nationale)

A form used by multiple business lines to support centralized processes and standardize input across the DND and CAF for specific functions. (Defence Terminology Bank record number 44108)

secure electronic signature (signature électronique sécurisée)

Means an electronic signature that results from the application of a technology or process prescribed by regulations made under subsection 48(1) of the Personal Information Protection and Electronic Documents Act. (Subsection 31(1) of the Personal Information Protection and Electronic Documents Act)

3. Overview

Context

3.1 The accuracy and consistency of the content captured in forms are increased in a cost-effective manner. Forms are therefore an important information management (IM) tool for DND business and CAF operations.

3.2 Standardization in the design of forms, centralized form distribution and consistent processes for the control of forms throughout their life cycle support strategic IM in meeting DND business and CAF operational objectives.

3.3 Forms supporting DND business or CAF operations, including any government or institutional forms used in the office of the Minister of National Defence, are the property of the DND and the CAF.

3.4 National defence forms and other forms managed by DND and CAF organizations, regardless of medium or format, must be managed in accordance with this DAOD and other relevant instruments listed in the References section.

3.5 This DAOD should be read in conjunction with the DND and CAF IM and IT Policy Framework and other relevant policies, directives, instructions, standards and guidelines.

Objective

3.6 The objective of this DAOD is to establish the roles and responsibilities necessary for the efficient and effective management of electronic and paper forms.

Expected Results

3.7 The expected results of this DAOD are as follows:

  1. the development and use of electronic forms over paper forms are prioritized;
  2. the reliance on wet-ink signatures is reduced through the implementation of electronic signatures (ESs) and secure electronic signatures (SESs);
  3. the use of national defence forms is increased;
  4. the use of other forms is decreased;
  5. forms remain agile and allow for continuous improvement;
  6. forms are open by default;
  7. forms are accessible, easy to use and available in both official languages;
  8. the collection and the reuse of the content in forms are improved; and
  9. all forms are reused, to the greatest extent possible, to reduce redundancy and duplication.

4. Requirements

General

4.1 The DND and the CAF must develop and manage both electronic and paper forms. Electronic versions of forms must be used in preference to paper forms.

4.2 Electronic forms must be enabled with ESs and SESs to the greatest extent possible.

4.3 All content in national defence forms and other forms managed by DND and CAF organizations is subject to IM, security, legal, and privacy requirements. DND and CAF organizations must ensure that the content in forms is managed, stored, protected, organized, shared and disposed of in compliance with:

  1. applicable laws;
  2. DAOD 6001-1, Information Management Programme; and
  3. other relevant Government of Canada (GC), DND and CAF policies, directives, instructions, standards and guidelines.

4.4 National defence forms and other forms managed by DND and CAF organizations are information assets and must be managed accordingly.

4.5 Forms must be inclusive and accessible through their design and implementation while complying with applicable laws and GC, DND and CAF security, legal, privacy and official language requirements.

4.6 Other GC organizations manage forms in their areas of responsibility and provide access to their forms. These forms must be used in the DND and the CAF, if possible, as an alternative to designing new forms.

Note – See section 7 for links related to these forms.

National Defense Forms

4.7 DKIM is responsible for the management of national defence forms, including their creation, maintenance and distribution in partnership with DND and CAF organizations.

4.8 Forms dealing with the following subject matters are normally of a national scope and should be managed by DKIM as national defence forms:

  1. CAF exercises and operations;
  2. career management;
  3. human resources;
  4. health services;
  5. financial management;
  6. materiel and supply;
  7. safety and security; and
  8. legal services.

4.9 National defence forms must be open by default and stored within the Defence Forms Catalogue (DFC) in order to ensure compliance and accessibility. A request for exemption from storage in the DFC must be justified and submitted to DKIM for approval.

4.10 Subject to any security and legal requirements, software code used in the design and development of national defence forms must be open by default.

4.11 National defence forms must:

  1. be designed, developed and implemented using a client-centric approach;
  2. take into account business and operational requirements;
  3. use an iterative approach and incorporate user feedback in order to permit continual improvement;
  4. integrate accessibility, diversity and inclusion requirements by design; and
  5. comply with applicable laws and GC, DND and CAF policies, directives, instructions, standards and guidelines.

4.12 Any change or exemption to a national defence form must be approved by both the office of primary interest (OPI) for the national defence form and DKIM. If bulk modifications to national defence forms are required in order to comply with Treasury Board, DND or CAF policies, directives, instructions, standards or guidelines, DKIM must make the required changes and promptly inform the applicable OPIs. Bulk changes may be required to address updates respecting information technology, security, diversity protocols or the language employed.

Other Forms Managed by DND and CAF Organizations

4.13 DND and CAF OPIs for forms management must identify and reduce the usage of any forms with a national scope in their organizations that are not managed as national defence forms. As such, OPIs must:

  1. comply with the requirements for national defence forms;
  2. collaborate with DKIM to identify forms that have a national scope and transfer their management as national defence forms to DKIM; and
  3. collaborate with DKIM when creating new forms that may have a national scope in order to evaluate their qualification as national defence forms.

5. Compliance and Consequences

Compliance

5.1 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

5.2 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.

5.3 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 His 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.

6. Responsibilities

Responsibility Table

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

The … is or are responsible for …

Assistant Deputy Minister (Materiel)
  • procuring, storing and distributing national defense forms in paper format.

ADM(DT)
  • providing direction, oversight and guidance for forms management.

Chief Information Officer 
  • collaborating and supporting ADM(DT) on data standardization requirements for national defence forms.
L1s and commanders of commands and formations
  • implementing this DAOD in their organizations;
  • prioritizing within their organizations the use of electronic forms and reduction in the use of paper forms; and
  • increasing the use in their organizations of ESs and SESs to reduce their reliance on wet-ink signatures.

DKIM
  • providing guidance and assistance to the DND and the CAF on design, development, management and life cycle issues related to forms;
  • managing and maintaining the DFC;
  • developing and amplifying standards and guidelines for national defence forms;
  • managing and making available through the DFC all new and revised national defence forms;
  • ensuring that national defence forms comply with applicable laws and GC, DND and CAF policies, directives, instructions and other standards related to forms;
  • designing, developing and implementing national defence forms using a client-centric approach;
  • enabling ESs or SESs for national defence forms;
  • introducing, implementing and promoting new technologies to facilitate and enhance the use of national defence forms;
  • liaising and collaborating with ADM(DIA) on management standards for forms and data standardization requirements;
  • collaborating with DND and CAF accessibility, diversity and inclusion corporate offices on the design, development and implementation of national defence forms;
  • representing the DND and the CAF in discussions on form management standards with other GC departments, agencies and allies; and
  • collaborating with the Canadian Government Cataloguing System representatives on requirements for national defence forms.

L1 information management officers (IMOs)
  • maintaining an updated list of contact information for the OPIs in their organizations who are responsible for national defence forms;
  • conducting an annual audit of forms created and maintained within their organizations;
  • assisting OPIs to transition their forms into national defence forms in collaboration with DKIM; and
  • notifying DKIM of any non-compliance with this DAOD.

DND and CAF OPIs for forms 
  • managing the lifecycle material management of forms, including national defence forms in print format;
  • promoting and using national defence forms;
  • reducing the use of paper forms in favour of electronic forms in collaboration with their L1 IMO and DKIM;
  • transitioning their current forms into national defence forms to the greatest extent possible, in collaboration with their L1 IMO and DKIM;
  • ensuring that all forms integrate accessibility, diversity and inclusion requirements by design;
  • consulting DKIM before making changes to national defence forms;
  • complying with requirements for national defence forms;
  • notifying their L1 IMO and DKIM of OPI representative changes; and
  • ensuring that completed forms are managed throughout their life cycle in compliance with applicable GC, DND and CAF IM policies, directives, instructions and standards.

DND employees and CAF members
  • complying with all GC, DND and CAF policies, directives, instructions and standards in respect of the management of forms;
  • using national defence forms to the greatest extent possible for DND business and CAF operations; and
  • referring any proposed change to a national defence form to their OPI for forms management.

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7. References

Acts, Regulations, Central Agency Policies and Policy DAOD

Other References

Page details

2024-12-16