DAOD 6001-2, Forms Management


1. Introduction

Date of Issue: 2013-03-14

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 36-24, Controlled Serial Numbered Forms
  • CFAO 60-2, Forms Management Services
  • CANFORGEN 048/01, Defence Forms Catalogue (DFC)

Approval Authority: Assistant Deputy Minister (Information Management) (ADM(IM))

Enquiries: Director Information Management Policy and Standards (DIMPS)

2. Definitions

defence form (formulaire de la défense)

An official standardized form that is used for a specific purpose in the DND and the CAF. (Defence Terminology Bank, record number 44108)

form (formulaire)

A standardized tool to increase productivity and minimize errors in information capture, transmission and recovery through the use of graphic design techniques, regardless of the media in which it appears. (Defence Terminology Bank, record number 1800)

3. Overview

Context

3.1 Both electronic- and paper-based forms are important information management (IM) tools for DND and CAF business activities and operations. Forms permit the collection of information that increases both the accuracy and consistency of the data that is collected, and allows this collection to be done in a cost-effective manner.

3.2 Standardization in the design of forms, centralized form distribution and consistent processes for the control of forms throughout their lifecycle all contribute to improved handling of information required in meeting the objectives of the DND and the CAF.

3.3 This DAOD is part of the DND and CF IM and IT Policy Framework and should be read in conjunction with other relevant ADM(IM) policies, instructions, directives, standards and guidance.

Objective

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

Expected Results

3.5 The expected results of this DAOD are:

  1. increased standardization in forms;
  2. improved efficiency in forms development processes;
  3. decreased use of paper forms;
  4. a reduction in the number of redundant, obsolete or duplicate forms; and
  5. improved accessibility of forms.

4. Requirements

Preference for Electronic Forms

4.1 The DND and the CAF must develop and manage both electronic and paper forms. In compliance with the Treasury Board Policy on Information Management, electronic versions of forms must be used in preference to paper-based forms.

IM and Recordkeeping

4.2 Most information collected in forms qualifies as information of business value and is subject to the IM requirements of recordkeeping. DND and CAF form offices of primary interest (OPIs) must ensure that this information is stored, protected, organized, shared and disposed of in accordance with DAOD 6001-1, Recordkeeping.

Defence Forms Catalogue

4.3 The Defence Forms Manager must ensure that all defence forms are stored in the DFC, facilitating their sharing and reuse.

Forms Standards and Guidelines

4.4 The Defence Forms Manager provides DND and CAF form OPIs with direction and guidance to ensure that applicable form management standards are applied to defence forms.

Other Department and Agency Forms

4.5 Other Government of Canada (GC) organizations manage forms within 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.

5. Consequences

Consequences of Non-Compliance

5.1 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 will be investigated. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance. 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 liability of Her Majesty in right of Canada;
  7. the application of specific consequences as set out in applicable laws, codes of conduct, and DND and CAF policies and instructions; and
  8. other administrative or disciplinary action, or both.

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 paper defence forms.

ADM(IM)

  • setting standards, communicating clear expectations and issuing direction for forms management.

Defence Forms Manager

  • providing direction, advice and assistance to the DND and the CAF on form design, management and lifecycle issues;
  • developing standards and guidelines for the management of forms throughout their lifecycle;
  • managing the DFC;
  • ensuring that applicable form standards are applied to all defence forms;
  • identifying and defining the requirements for the procurement of defence paper forms;
  • representing DND and the CAF on matters related to forms management with other government departments, agencies and allies; and
  • notifying the ADM(IM) of any non-compliance with this DAOD.

DND and CAF form OPIs

  • using existing forms when possible;
  • designing and managing defence forms throughout their lifecycle;
  • ensuring their defence forms comply with federal statutes and regulations and applicable GC, DND and CAF policies, instructions, directives and standards; and
  • ensuring the storage of their defence forms in the DFC.

DND employees and CAF members

  • complying with all GC, DND and CAF policies, instructions, directives and standards in respect of forms management; and
  • using defence forms from the DFC for the conduct of DND and CAF business activities and operations.

7. References

Acts, Regulations, Central Agency Policies and Policy DAOD

Other References

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