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The Canadian Forces (CF) operates an elaborate and highly structured system for personnel recruitment, development and management. This chapter reviews the chief features of this system to place the selection, screening and training of military personnel for the Somalia mission in context.1 Questions of selection, screening, and training specific to that mission are dealt with in Volume 2, chapters 20 and 21.
In any major CF deployment, the personnel who serve are sent largely on the basis of their current job and posting. With the exception of the contingent commander, CF members go because the unit or sub-unit in which they serve has been assigned to participate in the mission. Some categories of personnel within a unit may be left behind as a 'rear party' because their military trade or specialization is not required or is not a priority. Personnel may also be left behind simply to comply with the manning ceiling set for the mission. But in general, once a unit is selected by the chain of command, all members of that unit are presumed to be deploying unless they are specifically screened out for some reason.
There is a set of explicit and uniform standards for deployment suitability, which relate primarily to administrative, medical, and family considerations.2 The concern is to minimize the operational disruption and financial cost of unexpectedly and prematurely repatriating and replacing personnel in a distant operational theatre.3
Behavioural suitability, on the other hand, is a matter of discretion for the chain of command within the deploying unit. Until recently (May 1994), there was little formal guidance on how that discretion should be exercised.4 To identify personnel who might pose a significant disciplinary risk during a mission, the system relied on the attitude and judgement of commanders and supervisors within the deploying unit. Obviously this approach also relied heavily on the general personnel system to recruit, screen, train, employ, and promote CF members appropriately.
Thus, an understanding of the critical elements of this system is useful before delving into the selection, screening, and training of CF personnel participating in the Somalia deployment.
The military is not a typical employer for several reasons. One important reason is that the CF has a monopoly on the legitimate development and use of military force in and for our society; that is, for all intents and purposes, the CF is the only social institution that can provide contemporary military training and is, at the same time, the only legitimate consumer of such skills.
A number of special precepts about service in the CF flow from this basic reality. First, since it is the only place to learn and develop combat and combat management and support skills, there are no lateral transfers into the military. All CF members start at the bottom of their respective rank structures (officers as lieutenants and non-commissioned members as privates), and all subsequent career progression is based on acquiring specific experience and knowledge through education, training, and employment over time.
Moreover, there are established patterns to career progression in the military. Each level of responsibility fits into a functional structure designed to conduct or support military operations. One cannot intelligently employ and manage a particular component of that structure without intimate knowledge of how the sub-components work. The only way to acquire such knowledge in a meaningful and reliable way is through the particular training, education and employment experience offered at each level of responsibility.
Hence, military employment, training and education opportunities, as well as promotion to higher rank, are carefully structured to progress in a specified order and at a certain rate.5 For example, promotions are given only one rank level at a time, and levels of responsibility cannot be skipped in military employment. To take a simple example, officers cannot expect to command a battalion until they have commanded platoons and companies.
Progression through this highly structured and physically challenging system of professional development takes a lot of time and training. As a result, military careers begin at a relatively young age and involve many years of service before retirement.
Military service is, indeed, a career rather than a job. A number of factors contribute to this. First, as noted earlier, the CF is the country's only real consumer of military skills; second, the military requires its leaders at all levels (including the highest levels) to have undergone its elaborate program of in-house professional development; third, Canada has a standing, full-time, military force to staff, maintain, support and lead; and fourth, the recruitment, training, education, and maintenance of a soldier represents a considerable investment of resources. The CF has a strong institutional interest in providing meaningful careers to those with significant potential in their military trade and to avoid premature attrition among them. The intense and continuous nature of combat readiness and the corresponding requirement for military discipline make special demands on CF members. There is also a unique role for morale as a factor in military life and, indeed, in operational capability. Hence, the CF concerns itself with the broader welfare of its members, not just job performance.
Having reviewed some of the distinctive features of personnel management in the CF, we now turn to an examination of the key elements of the personnel system designed to meet the particular requirements of the CF Unless otherwise indicated, the procedures described in this chapter were in place in 1992.
Under the QR&O for the Canadian Forces, recruits must be at least 17 years of age and must be "of good character" to be enrolled in the forces.6 The preferred age for entry into 'operational' and 'unskilled' military trades (called military occupation codes, or MOCs), like the infantry, is 17 to 25 years.7 All direct-entry applicants for the officer corps must have a university degree, membership in a professional association, be a graduate of a suitable course of a recognized institute of technology, or have former commissioned service.8 For service in the non-commissioned ranks, an applicant must normally have completed grade 10.9 Other basic conditions for enrolment relate to citizenship and health standards.10 Both officer and non-commissioned member (NCM) applicants undergo various aptitude tests to determine the MOC for which they are best suited.11
The following persons, among others, are normally precluded from enrolment in the CF: anyone previously released from the CF, the RCMP or any foreign force for inefficiency or poor conduct; anyone who has previously been punished with dismissal with disgrace from Her Majesty's service; anyone who has engaged in "sexual misconduct"; and anyone who has "an outstanding obligation to the judicial system", meaning anyone awaiting trial, incarcerated, under suspended sentence, on probation, or on parole.12 Aside from these restrictions, recruiters appear to have considerable discretion in weighing criminal record information when assessing an applicant's character or general suitability for military service.13 In terms of screening out active racists, before October 1993, there was no policy on this subject.14
These are the minimum legal standards for enrolment. With larger pools of qualified applicants and a smaller recruitment quota, there has been a significant increase in the quality of recruits over recent years. By the same token, there were some problems with applicant quality at certain times during the 1970s and 1980s, when civilian job market conditions were better and recruitment quotas were higher.
Since the late 1980s, recruitment standards for the full-time Regular Force and the part-time Reserve Force have been the same.15 Currently, some 10,000 members are recruited annually, with about 20 per cent going into the Regular Force.
The first stage in the recruiting process is the contact interview, which takes place at a recruitment centre. At this stage, the applicant is counselled about the forces and the various trades available in the military. Basic eligibility is confirmed at this stage. Applicants are also asked whether they have ever been convicted of a criminal offence for which they have not received a pardon.16 Applicants are asked only about convictions under the Young Offenders Act for which they are currently under a resulting disposition, such as a probation order. Such applicants are not asked for details about the offence itself.17
The next stage is testing for specific employment aptitudes and, in the case of non-commissioned members, general learning ability.18
A medical assessment is then conducted to determine, among other things, the sort of employment for which the applicant is fit.19 Applicants are also asked to reveal their medical history, including, specifically, any previous treatment by a psychiatrist, psychologist, or social worker.20
An assessment interview is then conducted by a military career counsellor. Applicants are questioned more thoroughly about their qualifications, education and employment history, and motivation.21 Further military career counselling is also conducted. Applicants are asked about their history of drug use, and the CF policy on drugs is explained. Applicants are also questioned about their experience with and attitudes toward people of diverse racial and cultural backgrounds, and the CF policy in this regard is reviewed. This last component of the interview has been in place only since October 1993.22
The next step is reliability screening. All CF enrolees must pass an 'enhanced reliability' check.23 This includes review of identification documentation; verification of qualifications, employment history and references; a criminal record check; and a credit check.24
If the reliability status is granted, the applicant is given a Military Potential rating by the military career counsellor. This rating integrates everything the counsellor knows about the applicant from interviews, tests and other sources, and assesses this profile in relation to the demands of the military and of the particular occupation in which the applicant is interested.25 The general attributes that counsellors are to look for in applicants are teamwork, perseverance, physical endurance, conformity to rules, acceptance of criticism, and initiative. In the case of applicants for the officer ranks, leadership skills are also sought. The ratings range from one to nine, with those scoring only one or two deemed unsuitable. Applicants are eligible to receive offers of enrolment with the CF in order of merit, based on their Military Potential rating.26
The aim of the Military Potential rating is to predict whether an applicant will integrate successfully into the Canadian Forces, particularly during basic recruit training and initial military occupation training.27 However, recent internal research casts doubt on the effectiveness of this rating as a predictor of performance, either in basic training or subsequent military occupation qualification training.28
Even in cases where a pardon has not yet been granted, a previous criminal conviction does not necessarily preclude admission to the CF. However, since hiring for the CF is competitive, past offences do adversely affect an applicant's chances of enrolment. Moreover, if sufficiently serious, a criminal record could lead to denial of reliability status (a prerequisite for enrolment) or denial of a security clearance.29 The consequences of a denial or revocation of a security clearance range from various employment restrictions to occupational transfer to release from the CF.30
Use of information about convictions under the Young Offenders Act is carefully controlled. Young offender information is not sent to the relevant recruitment centre. Instead, it goes to the CF Recruitment, Education and Training System headquarters, where the implications of the information for enrolment suitability are assessed. If personnel at the recruitment centre do happen to learn about young offender convictions, they are not permitted to use that information in determining an applicant's suitability for enrolment.31
During the medical examination, applicants are asked about problems with drug or alcohol abuse and any previous treatment by a psychiatrist, psychologist, or social worker.32 Disclosures of past treatment are followed up, and details are obtained from the treating professional.33
In most cases, however, psychological testing is used only to help determine an individual's aptitude for particular military occupations, not to assess psycho-social stability.34 By contrast, applicants for most civilian police forces undergo a series of psychological screening tests.35 Normally, psychological fitness (in the sense of predisposition to aberrant behaviour) is assessed subjectively by recruiters on the basis of the applicant's behavioural and social history.36 To this end, recruiters investigate applicants' education, work experience, family and social relationships, criminal convictions, drug use, and debts.
Recruiters are not trained in the behavioural sciences, but guidelines for recognizing and assessing psychological warning signs are provided in the Recruiter's Handbook for the Canadian Forces and various recruiting directives. Moreover, recruiters receive training from CF personnel selection officers, who have at least a master's degree in psychology,37 as well as specialized training and work experience. Personnel selection officers are also available to provide technical advice to recruiters and others in the personnel selection system in particular cases of concern, or on general issues.38 Furthermore, specific cases can be referred to a personnel selection officer where the recruiter has a doubt about an applicant's psychological fitness.39
Screening and monitoring of CF personnel continue after enrolment.
In addition to its essential developmental value, basic military training is considered an excellent opportunity to gauge a recruit's ability to adapt psychologically to military life and discipline.40 This period is marked by intensive training and indoctrination combined with extensive direct observation by superiors and frequent peer evaluations. Moreover, specialist personnel are available on training bases to assist in the diagnosis of psychological disorders and behavioural instability.41
To perform their duties, most CF members require some level of security clearance in addition to the reliability vetting that is a condition of enrolment.42 The main additional elements for the security clearance are the personal character reference check and the Canadian Security Intelligence Service (CSIS) indices check.43 This latter check could expose involvement in extremist organizations, provided the organization is deemed to represent a "threat to security" as defined in the Canadian Security Intelligence Service Act.44
For example, white supremacist groups were not necessarily seen as security threats by CSIS at the time of the Somalia deployment, and whatever interest CSIS did have in such organizations focused on their leaders, rather than the general membership.45 Moreover, before October 1993, active affiliation with racist groups was not, in itself, deemed inconsistent with membership in the CF.46
Supervisors must report changes in circumstances or behaviour that could be relevant to a member's suitability to hold a security clearance, and reliability screening information must be updated at least every 10 years.47
Convictions for civil or military offences that occur after enrolment are recorded on a member's conduct sheet, which will be seen by superiors, career managers, and merit boards.48
CF members are assessed at least once a year on their performance by their supervisors.49 Performance appraisals are seen by at least the supervisor's superior, and they are reviewed at even higher levels if they are particularly good or bad.50 Members are liable to be released involuntarily from the CF for a range of shortcomings, including serious or persistent disciplinary problems and poor performance.51
Training for peace support operations must be seen in the context of military training in general.52 In the CF, training is aimed first at achieving operational readiness to perform missions and tasks and, second, at supporting the career development of CF members. Training forms part of the overall personnel management system and is of two types: individual and collective. Responsibility for individual training falls within the mandate of the assistant deputy minister for personnel (ADM(Per)), while collective training is within the purview of the deputy chief of the defence staff, who retains the overall policy-setting function. The planning, development, and management of collective training are delegated to the functional commands through the Chief of the Defence Staff Direction to Commanders, which details the missions to be accomplished, including training missions.
Individual training is aimed at satisfying professional and technical requirements of CF members operating within the CF's military occupational structure and the separate career development/management systems for officers and non-commissioned members. It includes general military training, occupational training, and specialty (or specialist) training, conducted mainly at in-service training establishments or educational institutions (basic training schools, military colleges, command and staff colleges, warrant officers' academies, etc.), but also outside DND (for example at civilian universities). Basic occupational training for operational personnel -- including members of the combat arms -- is typically conducted within the operational command environments, with technical support from the central system if required.
There are both basic and advanced levels in all categories of individual training. General military training, which is tied to general specifications for both officers and non-commissioned members, can take place any time during a service career. It includes such training as leadership courses for senior officers and senior non-commissioned members, usually offered to enable them to fulfil a requirement for a specific rank or as a prerequisite for a higher rank.
Individual training for CF members is progressive. It begins at the basic (new entry) level, which is designed primarily to teach general military skills and provide initial indoctrination into the CF way of life. It then proceeds through basic and advanced occupational training (usually a rank progression prerequisite) and is finally interspersed with general military training and/or specialty training as required by the level of responsibility achieved or a specific duty assignment within an occupational group.
The CF controls the quality and quantity of individual training by means of a planning and management model encompassing a five-phase approach to training: analysis, design, conduct, evaluation, and validation. The analysis phase focuses on the specific need for training, and the result of the process is a course-training standard or on-job training standard. These standards, against which individual performance is assessed, are monitored and updated periodically.
Responsibility for individual training is dispersed through three levels of management:
Collective (or operational) training is planned, scheduled, and conducted at the formation or unit level. It is designed to build cohesive teams and units that can act independently or in concert with others to perform a variety of missions or tasks (e.g., peace operations, war fighting, etc.). Collective training capitalizes on general military and occupational skills and competencies already acquired by CF members and forms the bulk of mission-specific peacekeeping training for the combat arms and support elements to be deployed. Refresher training may occur as part of an annual operational training cycle or as required by a specific mission, generally at the unit level; in the case of the Land Force, it is regulated by individual battle task standards and offered only if a deficiency in a skill is detected through testing.
Whereas the ADM(Per) has a direct and an indirect, as well as a relatively continuous monitoring function respecting adherence to policies and standards in the individual training system, the deputy chief of the defence staff has only indirect and periodic mechanisms for monitoring consistency across commands (e.g., annual training plans, Chief Review Services reviews). Thus, collective training is decentralized training, with a minimum of control being exercised by NDHQ over how policies and standards are applied. The bulk of training for peacekeeping falls into this category. As a consequence, standardization in peacekeeping training must be maintained primarily through well developed policies and supporting documentation to ensure a thorough understanding of direction and requirements.
Training is central to the Canadian Forces. It not only provides the basis for developing the knowledge, skills, and abilities needed for a wide range of functions, but is also a primary vehicle for promoting morale and cohesion. From the perspective of operational capability, a well managed training system with adequate resources provides the best means -- short of actual operations -- of developing and practising command and leadership skills.
Throughout their careers, NCMs are required to take general military training, as well as occupation-related training.53 The requirements -- common and environmental -- for all NCMs are found in the NCM General Specification. The development of NCMs includes on-the-job training, as well as training in leadership, management, occupational and specialty training, and self-study.54
Under the Canadian Forces training system, there are three basic developmental periods in the career of an NCM: basic recruit, junior leader and senior leader.
For infantry NCMs, in addition to the cross-environmental junior leader course, there are also formal courses and other training related to the infantry MOC, e.g., weapons use and training.
As with the other two periods, this one includes continuing occupational and environmental training through formal courses and on-the-job learning.
The progression of an officer's career involves training, education and employment. During an officer's tenure with the Canadian Forces, this includes on-the-job training, as well as training in leadership, management, occupational and specialty training, and self-study.59
Officer candidates can be recruited at the beginning of their post-secondary education, which is then integrated with their development as an officer. This can be done through attendance at a military college (of the original three -- Royal Military College of Canada in Kingston (RMC), Royal Roads Military College in Victoria, and Collège militaire royal de Saint-Jean in Quebec -- only RMC remains) or through attendance at another university, combined with summers spent in officer training.
Alternatively, officers can be recruited at the end of their university studies, in which case their initial training is more intensive and compressed. Finally, a small number of officers are recruited from the ranks, through plans that permit serving NCMs to upgrade their education as required to qualify them for officer responsibilities. Whatever the method of entry, the basic approach to the development of officers remains the same. Under the Canadian Forces training system, there are four basic developmental periods in the career of an officer.
The key element of training during this period is the Basic Officer Training Course.60 It also includes training specific to the officer's environment (Maritime, Land Force, or Air) and MOC. The basic MOC training for all three combat arms branches of Land Force (artillery, infantry, and armour is given through courses at the appropriate school at the Combat Training Centre at Gagetown.
A key educational component for a Land Force officer is attendance at the Canadian Land Force Command Staff College at Fort Frontenac in Kingston.63 As well, during this period an army officer would normally complete the Intermediate Tactics Course.64
A key educational component at this stage is attendance at the Canada Forces Command and Staff College, which is a course given for senior officers from all three environments.65 This course has been described as " the cornerstone activity in the development of the senior officer cadre and the centre for instruction of operational level environmental, joint and combined doctrine within the CF."66
During this period of officer development, officers would normally occupy a combination of staff and command positions of increasing responsibility. In combination with major and shorter courses both in leadership and in a specific occupational field, officers can be expected to acquire the guidance, leadership training/experience, and management skills necessary to discharge their functions as senior leaders in the CF.
Although the key criterion in promotion and appointment decisions in the CF is ostensibly merit, it cannot be said that this is the only factor. Staffing needs and limitations appear to be the real driving force behind the promotion and appointment system.68 Generally speaking, there are no promotions unless there are vacancies -- no matter how deserving those eligible for promotion may be.69 But the converse is equally true. In the event of a vacancy, a member of the relevant class of eligible candidates will be promoted.70 The military personnel system cannot go outside itself to fill the position, nor can it leave a significant gap in its organization indefinitely.
The number of personnel available to fill a position is necessarily restricted by a variety of systemic constraints. As the only source of training in military skills and knowledge, the CF can hire only from within, and all entrants must move up the relevant rank structure to acquire specific knowledge and abilities through training, study and employment experience.71 Before being eligible for promotion, members must have been in their current rank for a minimum number of years.
There are also many functional and occupational categories in the military. Despite unification, Land Force Command, Maritime Command, and Air Command continue to function as distinct branches to a significant degree. In terms of staffing, this means that, below the level of the national command and support bureaucracy (or a joint force headquarters), positions tend to be restricted to a particular command. This is certainly true for combat positions. Beyond that, the military personnel structure is divided into numerous fields and sub-disciplines (called branches and military occupation codes respectively).72 Many positions in the military are trade-specific. In addition, the key combat arms occupations in the Land Force environment have a regimental system that adds a further dimension to promotions and appointments.
Since environmental command, MOC, and rank all imply certain types or levels of knowledge, training and experience, this elaborate and self-contained personnel structure enables the military to focus quickly on a manageable pool of candidates.
For the most part, promotion to higher rank is based on competition among peers (i.e., personnel holding the same rank within the same occupation) and is determined by relative ranking by centralized panels called merit boards.73 There are several key exceptions to this general rule. First, certain promotions are handled outside the competitive merit board process. After enrolment as an NCM, promotions up to and including the rank of corporal are handled within the member's unit by the commanding officer.74 The same process can be extended to master corporal appointments in the Land Force combat arms occupations where the need arises, through the Delegated Authority Promotion System (described later in this chapter).75 Promotion to major-general or above is by personal selection of the chief of the defence staff with the approval of the minister.76
In addition, a number of entry-level promotions for officers are automatic upon meeting the requirements. After enrolment as an officer-cadet and completion of the stipulated requirements, commissioning in the rank of second lieutenant and promotion to lieutenant are automatic. In the case of officers commissioned from the NCM ranks, commissioning in the rank of second lieutenant with simultaneous promotion to lieutenant (where the prior rank attained was master corporal or higher) or captain (where the prior rank attained was master warrant officer or higher) are automatic. For specialist officer classifications (chaplain, medical, legal), post-commissioning promotion up to the rank of captain is non-competitive.77
In all other cases, personnel are selected for promotion from merit lists ranking all eligible members of a given military occupation and rank relative to each other. Merit lists are compiled annually by the various merit boards based on the annual performance evaluation reports and other personnel file contents, such as course reports, conduct sheets, and records of administrative actions against the member.78 This process is outlined in greater detail below.
These reports (known as PERs) are completed on all CF personnel each year. More than one can be done in a year if there is a new posting or in cases of exceptionally good or poor performance. Reports are completed by members' supervisors, who are usually their immediate superiors in the chain of command.79
Members are rated, in comparison with their peers, on the basis of a variety of performance-related skills or factors. These include acceptance of responsibilities and duties; application of job knowledge and skills; problem analysis; decisiveness; planning and preparation; delegation, direction and supervision; communication; working with others; and ensuring the well-being and development of subordinates. Members are also rated on the following professional attributes: professional knowledge, appearance, physical fitness, conduct, intellect, integrity, loyalty, dedication, and courage. On each of these points, members are rated as low, normal or high, and within these broad ratings there are often two to three further gradations. There is also space on the report form for comments by the supervisor.
Finally, members are given an overall rating on their potential: 'adverse', 'low normal', 'normal', 'high normal', 'superior', or 'outstanding'.80 The report also indicates whether the member is recommended for promotion. In addition to the other reporting requirements relating to disciplinary actions, such actions must also be noted in the performance evaluation report. In the case of officers, this includes convictions under civilian penal law (but, in the case of provincial offences, only those where there is a sentence of imprisonment) and under the Code of Service Discipline.81 However, a reproof is not referred to in a PER.82 In the case of NCMs, only serious breaches need to be reported on the member's PER.83
PERs must be shown to the member.84 They are then reviewed by the supervisor's superior who also provides comments and recommendations. In the case of PERs with an outstanding or an adverse rating, a further review by more senior levels of command is mandatory. In fact, CFAO 26-6 defines an outstanding or adverse PER rating as a judgement by the reporting officer that the member being evaluated "is so exceptional in every respect, in comparison to other officers of the same rank, that the officer's effectiveness and potential, or lack thereof, should be brought to the attention of senior officers in the chain of command." In addition to these mandatory reviews, PERs can be reviewed by other senior officers. A member's CO is obliged to report any change in circumstances occurring after submission of the PER that may affect the member's eligibility or suitability for promotion.85
When an officer receives an adverse overall rating on a PER, the CO must follow the procedure governing career shortcomings in CFAO 26-21 and counsel the officer or -- if this has already been attempted without success -- place the officer on report of shortcomings.86
Finally, all PERs are sent to the appropriate NDHQ career management staff.87 Copies are not to be retained by units, bases or commands.88 The career manager makes sure that the report is complete and otherwise meets established requirements. Among other things, a team at NDHQ monitors all NCM PERs to ensure that reporting practices are standardized, exceptionally high or low ratings are substantiated, and higher ratings are not being over-used.89 Personnel staff at NDHQ may even send a PER back if there is a problem with it. For example, evidence before us indicated that, occasionally, a PER contains a contradiction between the supervisor's comments and the overall rating.90 Career managers retain the PERs, along with other relevant documentation, on the CF members for whom they are responsible.
Colonel Arp, a former career manager for lieutenant-colonels and -- at the time of his testimony -- special assistant to the ADM (Per), gave evidence about the PER system among other things. He conceded that PERs do tend to emphasize the positive elements of a member's performance and downplay problems. Interpreting a PER properly, therefore, involves considering not only what it says, but also what it does not say. To deal with the problem of inflated ratings, a ceiling was placed on the proportion of personnel who could receive the top two overall ratings. Each formation was limited to rating 8 per cent of its personnel 'outstanding' and 22 per cent as 'superior'; exceptions had to be approved by the Commander Land Force Command. These constraints led units to conduct their own internal boards to decide who would receive the top ratings. In Colonel Arp's experience, officers did not get promoted without at least a 'superior' rating on their most recent PERs. In other words, members had to be in the top third of their rank and occupation, according to PER ratings, in order to advance.
Generally, members must have served two or three years in their current rank to be eligible for merit board consideration. It is largely their PERs that determine which of the eligible personnel are selected by the career manager for consideration by a merit board. Current practice is to submit only eligible members in the top. 50 per cent of their rank and classification --based on their last three PERs -- to a merit board for promotion ranking.
Some 86 different merit boards are convened annually to consider promotions within the various ranks and military occupations. The boards are structured to ensure experience and familiarity with the needs and challenges of the branch in question, while maintaining objectivity and independence.
Officer merit boards normally consist of six to eight officers from a trade or branch similar to that of the candidates being considered. Within the relevant branch, the widest possible representation from the various sub-disciplines is sought, and at least two of the three elements of the armed forces should be represented.91 Where applicable, there is also representation from the appropriate regiments. Normally, the board chair is three ranks above the candidates, and board members are two ranks higher. COs from the combat arms branches are precluded from sitting on officer merit boards, and no one can serve more than two consecutive years on a board.
NCM boards have four members, including either two or three officers and one or two senior NCMs, depending on the rank level of the promotion.92 Like the officer boards, experience in the relevant branch, inter-element representation, and official language representation are sought in merit board composition. Board members are not normally to serve in consecutive years. In the case of infantry NCMs, promotions are handled by regimental merit boards, which include battalion COs and regimental sergeants-major.93 NCM merit boards decide who will be offered further periods of service and indefinite service, as well as promotions.94
The results of board decisions are sent to the appropriate promotion authority for approval.95 Once approved, merit lists are in force until replaced by the next ones, usually after a year. Promotions must be made based on the order of precedence in the lists. Only the chief of the defence staff personally can authorize a deviation from the list. The CDS is responsible for approving promotions to all ranks up to colonel and recommends all promotions to the general officer ranks. The minister of national defence approves all promotions to the general officer ranks, and the Cabinet appoints the CDS. In the case of promotion to ranks below colonel, however, the CDS's responsibility can be, and has been, delegated to other officials.96
In addition to the existence of a vacancy and a potential candidate's merit list position, a variety of criteria for promotion are prescribed by the CDS, depending on the rank and occupation in question.97 The common criteria for promotion among officers are the completion of specified periods of qualifying service in the current rank; attaining the qualification requirements of the particular MOC; medical fitness in relation to the officer's field of employment; and possession of the minimum security clearance required in that MOC.98 The common criteria for promotion of NCMs are similar, except that NCMs must also have a recent history of satisfactory performance and conduct and the recommendation of their CO.
All candidates for competitive promotion in the officer ranks are also rated by merit boards on their performance -- as indicated in PERs and course reports -- and their potential for more senior rank, which includes an assessment of experience, qualifications, linguistic ability, remaining years of service, personality, and physical fitness.99 In the case of NCMs, COs are to recommend promotion only where the member has demonstrated the necessary potential and where the CO is prepared to retain and develop the member in that rank.100 In the infantry, only the top five per cent are promoted in a given year.101
Incidents of misconduct or poor performance generally jeopardize a member's promotion prospects, at least in the immediate term. In the case of NCMs, recent satisfactory conduct is a formal criterion for promotion, although that standard is open to interpretation and thus allows for the exercise of discretion by the chain of command and NDHQ.102 In the case of officers, any conduct sheet entries must be indicated on the PER, so merit boards will be aware of civil or military offences.103 Officers on report of shortcomings will not be posted out of their parent units.104 Where officers or warrant officers have received a reproof, a record of this remains in their file for one year and is therefore seen by the merit board in that year but not thereafter.105 NCMs on counselling and probation are not eligible for promotion and will not be posted out of their current unit during the probation period.106 By itself, a recorded warning does not affect promotion or posting eligibility,107 but in a competitive environment, it can obviously be a handicap.
The CDS can waive any promotion requirement,108 and NCMs can be promoted in recognition of meritorious service or an act of gallantry.109
Accelerated promotion allows members of the CF who demonstrate exceptional ability and potential to be promoted more quickly than normal.110 Normally, members must serve two to four years in a rank (depending on the rank) to be eligible for promotion to the next rank.111 If accelerated promotion is authorized, officers can be promoted after as little as one year in rank; NCMs can be promoted after one to three years, depending on the rank.112 In the case of accelerated private to corporal promotions, NDHQ (specifically, the Director General Personnel Careers Other Ranks) establishes annual ceilings for each of the commands.113
For both officers and NCMs, accelerated promotion first requires the recommendation of the member's CO.114 The promotion authorities are the same as for normal promotions: the member's CO, for promotions up to corporal; and the Director General Personnel Careers Other Ranks, for promotions to master corporal and above.115
For officers, a special PER is prepared on the nominee and forwarded to NDHQ. The report must set out in detail "the reasons why the officer is deserving of rapid and extraordinary promotion, and why such promotion will be in the interests of the CF."116 The report must include specific assessments of the nominee's "leadership and management abilities" and a description of the officer's "outstanding qualities". The report must also be supported by the most senior officer at each level of the chain of command. If fully supported, the PER is referred to the next scheduled merit board for consideration.
For NCMs, the procedure is somewhat different, depending on the rank and MOC. For accelerated promotion to corporal, the approving authority is the same as for a regular promotion -- the member's CO, subject to any limitations prescribed by the commands.117 The general procedure for accelerated promotion to master corporal or above is similar to that for officers. A special PER is submitted and considered by the regular merit board.118 The criteria are distinct however: accelerated promotion to corporal requires demonstration of outstanding performance in the member's trade, whereas promotion to master corporal or above also requires leadership potential. Aside from the normal minimum time in rank, the member must meet all other qualifications for the promotion.
The DAPS is a special form of accelerated promotion to the rank of master corporal that applies to certain MOCs, including the infantry. In fact, DAPS replaces the general accelerated system just described with respect to promotions to master corporal in the affected classifications. DAPS aims to ensure an adequate number of master corporals in the combat arms occupations.119 So, in contrast with accelerated promotion, which is merit-driven, the DAPS responds to organizational requirements.
If vacancies in the affected occupation classifications cannot be filled by application of the normal criteria, the Director General Personnel Careers Other Ranks authorizes DAPS promotions.120 Privates or corporals selected by their CO who meet all qualifications for promotion to master corporal, except for time served in current rank, can then be promoted to master corporal.121 The CO is responsible for ensuring that the member has all the necessary qualifications.
The key difference between DAPS and accelerated promotion generally is that no special PER is prepared or considered by a merit board. Once NDHQ determines the need for DAPS to fill vacancies at the master corporal level and COs have selected candidates, promotions are automatic rather than competitive. In this respect, DAPS differs from both the normal promotion system for master corporals and the accelerated system.
In the case of the combat arms occupations in the Land Force environment -- armour, artillery, field engineer, and infantry -- promotion occur in the context of a regimental system. Each regiment has its own history and traditions. Members progress in their careers within a particular unit or family of units. Along the way, they may serve in extra-regimental postings such as staff positions at higher headquarters and CF training and educational institutions or when units or sub-units of their regiment have been grouped in larger formations with units or sub-units from other regiments. But members remain affiliated with their home regiment, and they are no transferred between regiments.122
In addition to the official command structure of the component units, each regiment has a semi-official oversight and advisory entity, a regimental council known variously as the Senate, the Regimental Guard, or la Régie, the heads of which are known colloquially as 'Godfathers'. These bodies are normally composed of the serving general officers of the regiment and certain honorary appointees, such as retired generals from that regiment. The role is to oversee the long-term well-being of the regiment.
An important aspect of their mandate is to provide advice and input to NDHQ personnel staff on key promotions and appointments within the regiment. This is, to a certain extent, a natural role for them, since they know the officers who are candidates for promotion, having observed their development from officer-cadet to lieutenant-colonel. They also know the candidate supervisors better than career managers are likely to do.123
By contrast, a member's superiors in the chain of command and the career manager at NDHQ change regularly. Because of their unique corporate memory, input from the regimental councils on personnel matters is highly valued by the chain of command. Although they have no formal authority in the process, the personnel recommendations of these regiment councils are, in practice, very influential.
Within the regimental council, a regimental colonel is appointed by the other members, among other things, to track the career development of key personnel in the regiment and advise NDHQ career managers on particular serving members. Col (ret) John Joly -- who held this position for Princess Patricia's Canadian Light Infantry between 1988 and 1991 -- described his role as follows:
to act on behalf of the regiment to manage the postings, career development, major corps selections and grooming of our officers and NCOs and soldiers in order to maintain the health and vitality of the regiment as a whole, the battalions in particular. And more importantly, [to manage] the individuals in their development so that in the longer term the regiment would not suffer any declines through mismanagement of the personnel assets...124
Regiments also conduct their own merit boards to rank the serving personnel of the regiment. In the case of NCMs, promotions are actually decided by these regimental boards, which are recognized in the CFAOs. For officers, however, the official merit boards are established according to rank level and combine candidates from all regiments as well as other combat arms occupations, resulting in "a much broader base of comparison and a higher standard [for promotion]."125 The regiment's advice on officer promotions is conveyed to NDHQ merit boards, either directly through their representatives on the boards,126 or indirectly through the career managers. In the case of key appointments in the regiment, the regiment provides recommendations to career managers and often directly to Land Force Command Headquarters as well.
As with promotions, the filling of unit and sub-unit command appointments involves a subtle interaction between NDHQ personnel staff (chiefly career managers), the chain of command, and the regimental councils. The appointment process involves more discretion, however, and the influence of regimental councils is more decisive. PERs and regimental rankings are important in the appointments process, but since command appointments usually occur within the first five years of achieving the required rank, many candidates for such postings will not be on a merit list, because they will not yet be eligible for further promotion. Another difference is that with postings or appointments, the wishes of the member are also an important factor. CF members do not apply for promotion, but they do, to a degree, apply for appointments.
The appointments system operates under certain constraints that do not affect promotions. A particular posting may have a bilingualism requirement. Postings have a specific tour length: three years generally, but only two years for command appointments, so candidates would generally have to be available for that period. Moreover, the CF tries to ration certain highly prized appointments, so that more members have a chance at them. Such postings include unit commands, certain senior staff positions, and various NATO, UN and other foreign postings -- generally, a member will not receive any of these appointments more than once. In addition, there may be personal constraints on a particular member, such as family situations, and for budgetary reasons, career managers are limited to a certain number of subsidized personnel relocations per year. Career managers testifying before this Inquiry, however, stated this constraint does not apply to unit command appointments.
Furthermore, appointments must be filled on the basis of the manning priorities established by the vice chief of the defence staff. Priority one postings such as UN appointments, must be filled first. There are relatively few priority two postings, but they include command of combat arms units. The majority of postings are priority three, including positions within units most positions at NDHQ.
Operating within these constraints, career managers consult widely in compiling their list of potential candidates. The environmental command -- in the case of the Canadian Airborne Regiment, Land Force Command -- is consulted and provides input on the requirements of the position and the available personnel. The branch adviser127, -- in this case the Director of Infantry -- also has some understanding of the criteria candidates should meet, as well as further information on the career advancement needs, preferences and prospects of candidates. The adviser is also in touch with the regime and with Land Force Command HQ. In the case of a sub-unit command appointment, the unit commanding officer is also a key player and effectively has a veto over postings to the unit. For unit CO appointments, the brigade commander is consulted. However, this is not part of the formal process. Strictly speaking, the key players in the selection process are the career manager, the branch adviser, and the Land Force Commander. But peers and subordinates are not consulted; only superiors are consulted.128 Candidates are also interviewed before being put on the list of personnel recommend for a posting. Once career managers have arrived at a tentative posting plan for the personnel in the rank and occupations for which they are responsible, they interview those members, discussing their options based on their performance, the positions of interest to the members, and their long-term career goals. These interviews are not an occasion to evaluate the candidate; this is the responsibility of the chain of command through the PERs.
Based on these consultations and members' personnel files, the career manager and the branch adviser come up with a list of suitable candidates for appointment. This list is taken to the appropriate regimental council by the branch adviser. The regimental council makes a selection from this list. Barring any administrative problems with the regiment's choice, the career manager takes their recommendation to the Deputy Commander LFC, where it is reviewed and discussed in detail. The career manager then interviews the members about the proposed postings. Finally, the matter goes to the Commander LFC for final approval, although the formal posting order is put out by the NDHQ personnel staff under the assistant deputy minister for personnel on behalf of the chief of the defence staff.
In the case of NCMs, the key players in promotions and postings are the unit CO and the regimental sergeant-major. The appropriate NDHQ career manager does everything in consultation with those officials.129
The effectiveness of the CF personnel system -- in combination with the mission-specific training, selection and screening of CF personnel -- in the case of the deployment to Somalia in 1992-93 is considered in Volume 2.
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