Air Section Operational ConceptAir Section Operational Concept D.M. Bergeron S.E. Bourdon P.D. Dickson Defence R&D Canada – CORA Technical Memorandum DRDC CORA TM 2009-068 December

Air Section Operational Concept D.M. Bergeron Air Section S.E. Bourdon Air Section P.D. Dickson Strategic Analysis Section

Defence R&D CanadaCentre for Operational Research & Analysis

DRDC CORA TM 2009-068December 2009

Air Section Operational Concept

D.M. Bergeron S.E. Bourdon P.D. Dickson

Defence R&D Canada – CORA

Technical Memorandum

DRDC CORA TM 2009-068

December 2009

Principal Author

Original signed by

D.M. Bergeron, Ph.D. S.E. Bourdon P.D. Dickson, Ph.D.

Head, Air Section Leader, Air Staff Team Strategic Analyst

Approved by

Original signed by

R.W. Graham, Ph.D.

Director General

Approved for release by

Original signed by

D.F. Reding

Chief Scientist, Chair Document Review Panel

Defence R&D Canada – Centre for Operational Research and Analysis (CORA)

© Her Majesty the Queen in Right of Canada, as represented by the Minister of National Defence, 2009

© Sa Majesté la Reine (en droit du Canada), telle que représentée par le ministre de la Défense nationale, 2009

DRDC CORA TM 2009-068 i

Abstract ……..

The Air Section generates operational research & analysis knowledge, tools and methodologies and applies them to aerospace power issues as they pertain to the Department of National Defence and the Canadian Forces. The Air Section also conducts research in the area of decision sciences. By virtue of its focus on the aerospace power domain, the Air Section works primarily with the Air Force and the North American Aerospace Defense Command (NORAD), as well as with other stakeholders in the department.

Intended for section members and partners, this document describes the composition of the Air Section and its functions. It provides a common basis for understanding how operational research and analysis is formulated and delivered. It should facilitate suitable partnership arrangements that maximize responsiveness while ensuring the integrity of the science and advice offered by the section.

Résumé ….....

La Section air génère des connaissances, des outils et des méthodes d’analyse et de recherche opérationnelle. Ces capacités sont appliquées à l’analyse de problèmes ayant trait à la puissance aérospatiale pour le Ministère de la défense nationale et les Forces canadiennes. La section performe aussi des recherches dans le domaine des sciences de décision. Comme la section se spécialise en puissance aérospatiale, elle travaille surtout avec la Force aérienne et le Commandement de la défense aérospatiale de l’Amérique du nord (NORAD), ainsi qu'avec d’autres intervenants du ministère.

D’abord à l’intention des membres de la section et de ses partenaires, ce document décrit la composition de la section et de ses fonctions. Il fournit une base commune pour comprendre comment l’analyse et la recherche opérationnelle sont formulées et livrées. Le document devrait faciliter la mise en place d’arrangements appropriés afin de maximiser l’habileté de répondre tout en assurant l’intégrité de la science et des avis produits par la section.

ii DRDC CORA TM 2009-068

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DRDC CORA TM 2009-068 iii

Executive Summary


D.M. Bergeron; S.E. Bourdon; P.D. Dickson; DRDC CORA TM 2009-068; Defence R&D Canada – CORA; December 2009.

This document presents the Air Section Operational Concept (ASOC): a description of how the Air Section strives to operate. It describes what the section will become: the composition and footprint of the section; the key factors and processes that enable and sustain the operation of the section; how it participates in the Defence Research and Development Canada (DRDC) program formulation process to define its work program; and finally, how it monitors and delivers this work program. The target audience of this document includes new and existing section staff, as well as partners and stakeholders that wish to access the capabilities offered by the section. It provides a common basis for understanding how operational research and analysis (OR&A) is formulated and delivered. Ultimately, it should facilitate suitable partnership arrangements that maximize responsiveness while ensuring the integrity of the science and advice offered by the section.

Within the DRDC Centre for Operational Research and Analysis (CORA), OR&A is delivered through sections that support all core departmental processes. The sections are Maritime, Air, Land and Operational Commands, Strategic Analysis, Joint and Common, and Scientific and Technical Intelligence. Together, these sections provide OR&A to the CF and DND across a wide range of command, environment, joint, and alliance organisations.

The mission of the Air Section is to provide the Department of National Defence (DND) and the Canadian Forces (CF) with a scientific decision support capability relating to aerospace power. Currently, the Air Section generates OR&A knowledge, tools and methodologies and applies them to aerospace power issues as they pertain to DND and the CF. The Air Section also conducts research in the area of decision sciences.

The ASOC will facilitate the Air Section’s vision to be a:

Responsive and innovative S&T partner able to generate, access and apply advanced knowledge in a timely manner to support CF and DND decision-making in their execution of aerospace operations and in the development of future capabilities.

To achieve its mission and deliver its program, the Air Section works primarily with the Air Force and the North American Aerospace Defense Command (NORAD), as well as with other stakeholders in the department. The section is managed by the Head, Air Section (H/AS), and organised into CORA teams distributed based on considerations of how to best develop aerospace power for the CF and the Air Force. H/AS delegates to Team Leaders some responsibility for supervising and managing the DS’s who deliver the program. The ASOC posits a revised section organisation so that it can better deliver the program, and provide advice to key decision makers dealing with aerospace power issues. Most of the section’s teams remain collocated with partner organisations, but the ASOC further describes and defines the responsibilities of the section personnel and leadership, and their relationship to partners and stakeholders, a relationship that is best captured by the “lodger unit” concept.

iv DRDC CORA TM 2009-068

The section’s core S&T capability is built on the individual DSs’ professional competence. DRDC has the delegation of human resources authorities for its DS employees. Within CORA, two senior managers are responsible for the professional development of CORA employees: the Deputy Director General is the professional development manager for section heads and all team leaders, whilst the Chief Scientist is the professional development manager for all other employees. Section Heads assist the professional development managers with the development of their employees and have a career advisor role towards them. Ultimately, the responsibility for developing and maintaining this competence is shared between the individual DSs, their team leaders, and the Head Air Section (H/AS).

The Air Section formulates its work program through the DRDC program formulation process. The ASOC prescribes a relationship between the section and its partners with respect to the DRDC program formulation process and structure. The exception is the formulation of the work program for NORAD, which is carried out in accordance with the process stipulated in the agreement signed between DG CORA and the NORAD Deputy Commander.

The bulk of the section work program is part of the departmental Research, Technology and Analysis (RTA) program, which is documented annually in rolling three-year Mutual Partnership Agreements (MPAs). The RTA program consists of multi-year projects and short-term tasks known as out-of-cycle RTA. Multi-year projects (called RTA projects) have objectives and deliverables that are delivered over three to four years; they are the main mechanism through which DRDC develops and maintains S&T capabilities.

Priorities for the section work program are based on an analysis of departmental priorities and objectives; department level strategies; and S&T capability gaps identified during this analysis. Other activities of the yearly work cycle that must be considered when developing the work program include professional development, program management and corporate management. The ASOC also describes a mechanism should an issue arise with respect to priority of out-of-cycle RTA tasks. H/AS will elevate the matter through the general officers chain until an acceptable resolution is reached. It is expected that such a situation would be rare and that for most cases, the principle of resolving issues at the lowest level of authority possible using the process described in the ASOC should suffice.

To deliver its work program, the Air Section uses the full range of DRDC delivery mechanisms at its disposal, but the ASOC highlights that the quality of the section’s scientific and technical publications is extremely important to DRDC. It is critical that the advice provided by the Air Section be credible and well-founded in rigorous analysis based on the scientific method. Documentation and peer review are essential to ensure the integrity of the process. ADM(S&T) also requires all DRDC sections to report 100% of their activities in the Collaborative Project Management Environment (CPME). The Air Section reports progress for both components of its work program as required throughout the year. CPME is also used to document personnel allocation to the projects and the use of funds, including salaries.

In sum, the ASOC is meant to provide guidance on how the Air Section operates, but it is sensitive to changes in DRDC and partner requirements and organizations. As such, it is a living document and will be revised periodically. It is important that the ASOC provide a common basis for understanding how OR&A is formulated and delivered within the defence S&T environment. Ideally, the ASOC should facilitate suitable collocation arrangements, maximize responsiveness and ensure the integrity of the science and advice offered by the section.

DRDC CORA TM 2009-068 v

Sommaire .....


D.M. Bergeron; S.E. Bourdon; P.D. Dickson; DRDC CORA TM 2009-068; R & D pour la défense Canada – CORA; Décembre 2009.

Le présent document décrit le concept d’opération de la section air (COSA) : une présentation de la façon dont la section air met tout en œuvre pour fonctionner. Il décrit ce que la section deviendra : sa composition et la place occupée; les facteurs et les processus essentiels qui permettent le fonctionnement et le maintiennent en puissance; la façon dont elle participe au processus de conception de programme de Recherche et développement pour la défense Canada (RDDC) afin de définir son programme de travail; et la façon dont elle supervise et exécute ce programme. Le public cible du présent document comprend le personnel de la section ainsi que les partenaires et les intervenants qui souhaitent avoir accès aux capacités qu’offre la section. Le COSA sert de point de départ commun pour comprendre la façon dont l’analyse et la recherche opérationnelle (ARO) sont conçues et effectuées. Enfin, il devrait favoriser des accords de partenariat convenables qui maximisent la capacité d’intervention tout en garantissant l’intégrité de la science et des conseils offerts par la section.

Au sein du Centre d’analyse et de recherche opérationnelle (CARO) de RDDC, l’ARO est exécutée au moyen de sections qui soutiennent les processus ministériels de base. Ces sections sont : Maritime, Air, Terrestre et commandements opérationnels, Analyse stratégique, Interarmées et commun, Renseignement scientifique et technique. Ensemble, ces sections fournissent les services d’ARO aux Forces canadiennes (FC) et au ministère de la Défense nationale (MDN) dans une vaste gamme d’organisations de commandement, de service, interarmées et alliées.

La mission de la section air est d’offrir au MDN et aux FC une capacité d’aide à la décision scientifique relativement à la puissance aérospatiale. Actuellement la section air génère des méthodologies, des outils et des connaissances en ARO, et les applique à des questions de puissance aérospatiale qui concernent le MDN et les FC. La section air effectue également des recherches dans le domaine des sciences de la décision.

Le COSA favorisera la vision de la section air, qui consiste à être un :

partenaire en S et T réactif et innovateur qui peut générer des connaissances avancées, y avoir accès et les appliquer en temps opportun afin de soutenir les décideurs des FC et du MDN dans l’exécution de leurs opérations aérospatiales et le développement de leurs capacités futures.

Pour accomplir sa mission et exécuter son programme, la section air travaille d’abord avec la Force aérienne et le Commandement de la défense aérospatiale de l’Amérique du Nord (NORAD) ainsi qu’avec d’autres intervenants dans le Ministère. La section est gérée par le Chef de la section air (CSA) et est répartie dans des équipes du CARO selon les éléments à prendre en considération pour optimiser la puissance aérospatiale des FC et de la Force aérienne. Le CSA délègue certaines responsabilités aux chefs d’équipes pour superviser et gérer les scientifiques de la Défense (SD) qui exécutent le programme. Le COSA propose une organisation révisée de la section afin de pouvoir mieux exécuter le programme et fournir des conseils aux décideurs principaux qui traitent les questions de puissance aérospatiale. La plupart des équipes de la

vi DRDC CORA TM 2009-068

section sont co-implantées avec les organisations partenaires, mais le COSA décrit et définit davantage les responsabilités du personnel et des dirigeants de la section, et leur relation avec les partenaires et les intervenants qui est mieux saisie au moyen du concept de « l’unité hébergée ».

La capacité S et T essentielle de la section repose sur les compétences professionnelles des SD. RDDC possède une délégation d’autorités en ressources humaines pour les SD. Au sein du CARO, deux cadres supérieurs sont chargés du perfectionnement professionnel du personnel : le Directeur général adjoint est le gestionnaire du perfectionnement professionnel pour les chefs de section et les chefs d’équipe, tandis que le scientifique en chef est le gestionnaire du perfectionnement professionnel pour les autres membres du personnel. Les chefs de section aident les gestionnaires du perfectionnement professionnel et agissent à titre de conseillers en orientation professionnelle. Enfin, les SD, les chefs d’équipe et le CSA se partagent le rôle de développer et de maintenir cette compétence.

La section air élabore son programme au moyen du processus de conception de programme de RDDC. Le COSA prévoit une relation entre la section et ses partenaires en ce qui a trait au processus et à la structure de conception de programme de RDDC, à l’exception de l’élaboration du programme de travail pour le NORAD qui est accomplie conformément à l’accord signé entre le DG CARO et le commandant adjoint du NORAD.

Le programme de travail fait partie du Programme de recherches, de technologie et d’analyse (RTA) du Ministère, qui est documenté chaque année dans des ententes multipartites trisannuelles et continues. Le programme RTA comporte des projets pluriannuels et des tâches à court terme connues sous le nom de « RTA hors cycle ». Les projets pluriannuels (ou les projets RTA) ont des objectifs et des livrables qui sont réalisés sur une période de trois à quatre ans; ils sont le mécanisme principal par lequel RDDC développe et maintient des capacités S et T.

Les priorités du programme de travail sont fondées sur une analyse des priorités et des objectifs du Ministère, les stratégies ministérielles et les lacunes identifiées dans les capacités S et T durant l’analyse. Le perfectionnement professionnel, la gestion de programme et la gestion des services généraux sont d’autres activités du cycle de travail annuel à prendre en considération. Le COSA présente également un mécanisme à utiliser si un problème survenait dans la priorité des tâches RTA hors cycle. Le CSA fera cheminer ce problème dans la chaîne des officiers généraux jusqu'à ce qu’une solution acceptable soit trouvée. Nous nous attendons à ce que ce genre de situation soit rare et qu’il soit suffisant, dans la plupart des cas, de recourir au niveau hiérarchique le plus bas pour résoudre les problèmes au moyen du processus prévu dans le COSA.

Afin d’exécuter le programme de travail, la section air utilise la gamme complète des mécanismes d’exécution de RDDC à sa disposition, mais le COSA souligne que la qualité des publications scientifiques et techniques est très importante pour RDDC. Les conseils donnés par la section air doivent être crédibles et justifiés par des analyses rigoureuses qui sont conformes à la méthode scientifique. La documentation et le contrôle par les pairs sont essentiels à l’intégrité du processus. Le SMA(S & T) exige également que les sections de RDDC fassent part de toutes leurs activités dans le Système commun de planification et de gestion (SCPG). La section air rend compte de l’avancement des deux éléments de son programme de travail, ce qui est exigé au cours de l’année. Le SCPG est également utilisé pour documenter l’affectation du personnel aux projets et l’utilisation des fonds, y compris la rémunération.

En résumé, le COSA a pour but de donner des directives sur la façon dont fonctionne la section air, mais il est sensible aux changements apportés aux exigences et aux organisations de RDDC et de ses partenaires. À ce titre, il s’agit d’un document évolutif qui sera examiné régulièrement. Le

DRDC CORA TM 2009-068 vii

COSA doit servir de point de départ commun pour comprendre la façon dont l’ARO est élaborée et effectuée au sein de l’environnement des sciences et technologies pour la défense. Idéalement, le COSA devrait favoriser les accords de co-implantation, maximiser la capacité d’intervention et assurer l’intégrité de la science et des conseils émanant de la section.

viii DRDC CORA TM 2009-068

Table of contents

Abstract …….. ................................................................................................................................. i

Résumé …..... ................................................................................................................................... i

Executive Summary........................................................................................................................ iii

Sommaire ........................................................................................................................................ v

Table of contents .......................................................................................................................... viii

List of figures .................................................................................................................................. x

Acknowledgements ........................................................................................................................ xi

1 Introduction............................................................................................................................... 1

2 Mission and Vision ................................................................................................................... 2

3 Roles and Responsibilities ........................................................................................................ 3

3.1 Air Section Personnel .................................................................................................... 3

3.1.1 Head Air Section (H/AS) ................................................................................ 4

3.1.2 Team Leaders .................................................................................................. 4

3.2 Collocation with Military Organisations ....................................................................... 5

3.2.1 Access to Decision Makers of the Host Organisations ................................... 5

3.2.2 Support from Host Organisations.................................................................... 6

4 Professional Development and Section Capability................................................................... 7

4.1 DS Professional Development....................................................................................... 7

4.2 Maintaining Section Capability ..................................................................................... 8

5 Program Formulation................................................................................................................ 9

5.1 Setting Priorities for the Work Program...................................................................... 10

5.2 Identification of Air Force and NORAD RTA Requirements..................................... 11

5.2.1 Consultation with Partners (January/February)............................................. 11

5.2.2 Assessment and Planning (March)................................................................ 11

5.2.3 Endorsement and Approval (April/May) ...................................................... 12

5.3 Preparation of New RTA Project Proposals ................................................................ 12

5.4 Initiation and Prioritisation of Out-of-Cycle RTA Tasks ............................................ 13

6 Program Delivery.................................................................................................................... 15

6.1 Documenting the Work ............................................................................................... 15

6.2 Reporting Progress of Projects against the MPAs....................................................... 16

DRDC CORA TM 2009-068 ix

6.3 Tracking Progress........................................................................................................ 16

7 Conclusion .............................................................................................................................. 17

Annex A..Section Expertise ......................................................................................................... 18

Annex B..Knowledge and Personnel Management ..................................................................... 19

Annex C..Request for Operational Research & Analysis ............................................................ 20

Annex D..Partner Groups and DRDC Program Formulation Process ......................................... 21

Annex E...DRDC Publications ..................................................................................................... 24

List of symbols/abbreviations/acronyms/initialisms ..................................................................... 27

Distribution list.............................................................................................................................. 30

x DRDC CORA TM 2009-068

List of figures

Figure 1: Future composition of the Air Section with the location of each team and the key position they are responsive to within the host organisation......................................... 3

Figure 2: Program formulation process from the Air Section’s perspective. ................................ 14

Figure 3: Six Partner Groups collectively define the departmental RTA program. ...................... 21

DRDC CORA TM 2009-068 xi

Acknowledgements

The process of developing this document was initiated during a meeting of the section team leaders in August 2008. The authors are indebted to all personnel of the Air Section who contributed to the development of this document, with special recognition going to Mr. Dave Mason, Mr. Jean-Denis Caron, Mr. Charles Hunter and Dr. Andrew Billyard for their active participation, both as contributors and reviewers. A special thank you is also owed to Mr. Gary Geling, DSTA, for his comments relating to program formulation and his assistance in defining the place of Operational Research and Analysis in the RTA program.

xii DRDC CORA TM 2009-068

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DRDC CORA TM 2009-068 1

1 Introduction

This document presents a description of how the Air Section strives to operate. It describes what the section will become: the composition and footprint of the section; some key factors and processes that enable and sustain the operation of the section; how it participates in the Defence Research and Development Canada (DRDC) program formulation process to define its work program; and finally, how it monitors and delivers this work program. The target audience of this document includes new and existing section staff, as well as partners and stakeholders that wish to access the capabilities offered by the section.

DRDC enables strategically relevant and tactically decisive Canadian Forces by generating, accessing and applying state-of-the-art knowledge and methodologies to deliver timely and effective solutions. Part of this mandate is the development and provision of operational research and analysis (OR&A) to inform the decision making process across the Canadian Forces (CF) and the Department of National Defence (DND).1 Within DRDC, one of the main providers of this capability is the Centre for Operational Research and Analysis (CORA).

Within CORA, OR&A is delivered through sections that support all core departmental processes. The sections are Maritime, Air, Land and Operational Commands, Strategic Analysis, Joint and Common, and Scientific and Technical Intelligence. Together, these sections provide OR&A to the CF and DND across a wide range of command, environment, joint, and alliance organisations.

To deliver its mission, the Air Section is responsible for generating and accessing the Science & Technology (S&T) capabilities2 that it requires, i.e., OR&A knowledge, tools and methodologies. The Air Section applies these S&T capabilities to the analysis and resolution of aerospace power3 issues that are relevant to DND and the CF. By virtue of its focus on aerospace power, the Air Section works predominantly in partnership with the Air Force and the North American Aerospace Defense Command (NORAD). The Air Section also works with other stakeholders in the department when required.

The Air Section strives to be responsive and relevant. As such, the section must be sensitive to changes in government defence and S&T policy, changes in the security environment and to the demands of its partners and other stakeholders. Consequently, the way the section operates will be reviewed periodically and the ASOC will be revised as necessary to ensure the Air Section remains able to achieve its mission.

1 Drawn from pages 5-6, Defence S&T Strategy – Science & Technology for a Secure Canada, released December 2006. The S&T Strategy states that the role of S&T is to enable the department to deliver its programs in an efficient manner.

2 The draft Technical Memorandum S&T Capability Management Framework – Discussion Paper defines a defence S&T capability as “a combination of components that execute or enable the accomplishment of a desired S&T outcome.”

3 B-GA-400 defines aerospace power as the component of military power applied within or from the aerospace environment to achieve effects above, on and below the surface of the earth.

2 DRDC CORA TM 2009-068

2 Mission and Vision

The mission of the Air Section is to provide DND and the CF with a scientific decision support capability relating to aerospace power. This capability deals with strategic, operational and tactical issues in a way that is timely, rigorous, relevant and anticipatory. The Air Section accomplishes its mission by:

• Providing independent and objective advice to inform decisions within the Air Force (AF) and NORAD through the application of science4;

• Monitoring and analysing factors that could impact AF operations including, advances in S&T, security environment trends and changes to policy;

• Maintaining and developing section expertise relevant to aerospace power through:

o The conduct of research in Decision Sciences5;

o The development of OR&A tools, models and techniques; and

o The fostering of relationships and partnerships with the external S&T community in order to leverage the departmental investment in S&T.

The vision of the Air Section is to be a:

Responsive and innovative S&T partner able to generate, access and apply advanced knowledge in a timely manner to support CF and DND decision-making in their execution of aerospace operations and in the development of future capabilities.

4 Referring to science in the mission statement is fundamental and binds the Air Section to doing its work in accordance with the scientific method. While there is no universally accepted definition of science, application of the scientific method requires the use of systematic means to collect evidence, record data, and analyse this information to construct models, discern patterns, etc. Scientists are expected to document and disseminate their findings to facilitate transparency and to increase knowledge and understanding. Benoît Godin, What is Science? Defining Science by the Numbers, 1920-2000. Project in the History and Sociology of STI Statistics, Working Paper 35 (Institut national de la recherche scientifique: Québec, QC, 2007).

5 In this document, Decision Sciences is defined as: (a) the study of how decision makers (individuals or groups) choose among a set of alternative courses of action, and (b) the design of efficient procedures that either aid a decision maker’s effort or that evaluate his courses of action according to chosen criteria or policies so that a decision logically follows from the computations. The decision theories respectively arising or underlying these efforts take into consideration the uncertainty of the situation, the information available about consequences, the risks involved, the costs and benefits of each action and the time, resources and preferences a decision maker has at his disposal for making a decision. (Accessed September 2009: http://dictionary.babylon.com/Decision_Science).


3 Roles and Responsibilities

To achieve its mission and deliver its program, the Air Section is organised such that it can provide advice to key decision makers dealing with aerospace power issues. Most of the section’s teams are collocated with partner organisations. Each team reports to the Head Air Section (H/AS). Figure 1 illustrates the Air Section chain of command, and lines of accountability; and how section personnel are positioned to maximise responsiveness to their primary partners, the Air Force and NORAD. The figure identifies an individual in the host organisation that each team is responsive to for the delivery of OR&A. This individual should occupy a position with executive authority as a team will seek this individual’s advice to balance priorities.

Head Air Section (H/AS)

Ottawa (NDHQ)

Reports to DG CORA

Air Staff Team Ottawa (NDHQ)

Responsive to ACAS

Air Div HQ Team Winnipeg

Responsive to Commanders 1 and 2 Canadian Air Division

Methodology Team Ottawa (Shirley’s Bay)

Responsive to CORA Chief Scientist

CFAWC Team Ottawa (Shirley’s Bay)

Responsive to CO CFAWC

NORAD Team Colorado Springs (NORAD HQ)

Responsive to NORAD Deputy Commander

Air Strategic AnalysisOttawa (NDHQ)

Responsive to ACAS

Figure 1: Future composition of the Air Section with the location of each team and the key position they are responsive to within the host organisation.

The composition of the section is augmented by DRDC personnel from the Strategic Analysis Section. This team reports to the Head Strategic Analysis Section, but their work program is coordinated with, and mostly carried out with, the Air Section. The section can also be supplemented through contracted support. In a reciprocal manner, Air Section personnel may be called to lend their expertise to high-priority assignments originating from other parts of the Defence institution.

3.1 Air Section Personnel

Most section personnel are Defence Scientists (DSs). They share the responsibility for delivering the Air Section’s OR&A program. As employees of DRDC, DSs are accountable to ADM(S&T) for the scientific merit of their work and for ensuring the appropriate use of DRDC resources in


delivering the program, as agreed through the DRDC Mutual Partnership Agreements (MPAs).6 The following sub-sections describe the roles and responsibilities of key individuals of the section.

3.1.1 Head Air Section (H/AS)

H/AS reports to the Director General of DRDC CORA (DG CORA). The position has Level 3 departmental delegations, which give H/AS the authority over the development, management and delivery of a specific program of OR&A. H/AS prioritises and assigns personnel and O&M resources to the teams under his/her authority; ensures that the respective programs are run efficiently; and that section activities are aligned with the section’s program. H/AS is accountable to DG CORA for the delivery of the approved work program, as described in DRDC MPAs. In summary, H/AS has the authority to:

1. Manage the section’s human and financial resources, including approval of leave, overtime and travel/temporary duty, even when these are funded by the partner;

2. Ensure the scientific quality of the program;

3. Facilitate the professional development of the DS and other personnel in his/her section;

4. Develop capabilities that enable delivery of OR&A to the partners and others;

5. Manage the delivery of the work program assigned to the Air Section through the DRDC MPAs; and

6. Approve out-of-cycle Research, Technology and Analysis (RTA) tasks undertaken by the section (see section 5).

3.1.2 Team Leaders

The team leaders report to and are accountable to H/AS. They have the authority from H/AS to:

1. Supervise the defence scientific staff assigned to their team;

2. Maintain situational awareness with their client organisations;

3. Assist partners in identifying new RTA requirements (see section 5);

4. Assist partners in shaping requests for out-of-cycle RTA (see section 5);

5. Deliver their portion of the overall Air Section work program; and

6. Report back to their client organisation on program delivery.

The team leaders work with H/AS to:

1. Develop, evaluate and prioritise RTA project proposals for submission to the DRDC program formulation process;

2. Track progress of their team’s activities against approved projects and keep current the section’s and DRDC’s reporting systems;

6 See the description on program formulation in Section 5 of this document.


3. Ensure that their team’s work is meeting the DRDC scientific standards and requirements; and

4. Ensure their team’s personnel are provided with the necessary tools and opportunities to progress professionally.

3.2 Collocation with Military Organisations

Most Air Section teams are collocated with military organisations. The Defence Terminology Bank (DTB) defines collocation as the physical placement of two or more detachments, units, organisations, or facilities at a specifically defined location.7 However, collocation captures only the physical situation of section personnel, not the chain of command or accountabilities to DG CORA or their responsibilities to the partner organisations. This situation is best understood by thinking of section teams or individuals as lodger units.8

Collocated section personnel are not seconded or integrated9 into the partner’s chain of command, even when they hold positions that appear in the partner’s organisational structure. Rather, their primary role and accountabilities are established through the DRDC chain of command and they must remain independent in their primary role, even where that primary role is support of the partner. The activities undertaken by collocated personnel are defined through the DRDC program formulation process, which is described later in this document.

The intent of collocation is to maintain critical and timely situational awareness on the high-level requirements of host partner organisations, thereby providing the means to facilitate responsiveness and render timely advice. It also allows for the establishment of a professional relationship based on trust and provides CORA personnel with opportunities to develop mutually beneficial contacts, not just with the host partner organisation, but across the larger defence community. Equally, it provides the partner organisation with access to the broader S&T community, internally and externally.

3.2.1 Access to Decision Makers of the Host Organisations

Access to decision makers is a key element of maintaining situational awareness on the high-level requirements and priorities of a host organisation. In practice, this is achieved when one or more members of the section (usually H/AS or a delegate) are included in director-level meetings, email distribution lists and correspondence. CORA Air Section personnel hold three Air Force positions that facilitate access to director-level information:

7 NATO and Canadian usage. Definition from the Defence Terminology Databank of Canada’s Department of National Defence (Accessed May 09: http://terminology.mil.ca/term-eng.asp).

8 Lodger Unit: An autonomous unit of one command which is normally lodged on a host unit of a different command. Definition from the Defence Terminology Databank of Canada’s Department of National Defence. (Accessed May 09: http://terminology.mil.ca/term-eng.asp).

9 Integrated Staff: A staff in which one officer only is appointed to each post on the establishment of the headquarters, irrespective of nationality and service. Secondment: The assignment of a member for continuous duty outside the Canadian Forces when the duty is not of advantage primarily to the Canadian Forces. Definition from the Defence Terminology Databank of Canada’s Department of National Defence (Accessed May 09: http://terminology.mil.ca/term-eng.asp).


• Director Air Staff Operational Research – position within the Air Staff in NDHQ;

• Director Operational Research and Analysis – position within the Headquarters of 1 Canadian Air Division, Winnipeg; and

• Head Operational Research and Analysis Branch – position within the CFAWC.

The above Air Force positions are not managerial appointments from ADM(S&T). Instead, the purpose of these positions is to create a professional relationship that is recognised by the host military organisation and that facilitates access to director-level information for specific CORA personnel.

3.2.2 Support from Host Organisations

As lodger units, Air Section teams and personnel that are collocated with partner organisations depend on the host organisation for some services. These are defined in a formal agreement such as a memorandum of understanding (MOU) or a service level agreement (SLA) between DG CORA and the partner. Some agreements also include provision for client-funded positions.10 The minimum support includes computer facilities, connectivity to the appropriate local area networks and internet, office space, and funds for project specific travel, software, training and overtime. H/AS or his/her delegate is responsible for managing the local budgets and support staff provided by the host. In general, the provision of resources and administration for collocated section personnel is a shared responsibility between CORA and the partner.

10 The Memorandum of Understanding between DG DRDC CORA and the Chief of the Air Staff (CAS) for the Management of Defence Scientists Supporting the Air Force, dated 1 April 2007, identifies a number of section positions that are funded by the Air Force. Such positions currently exist within director-level organisations. The work program undertaken by these individuals is reported as part of the departmental Research, Technology and Analysis program, in keeping with the departmental Defence S&T Strategy.


4 Professional Development and Section Capability

The section’s core S&T capability is built on the individual DSs’ professional competence. The responsibility for developing and maintaining this competence is shared between the individual DSs, their team leaders, and H/AS. The partners’ satisfaction with the integrity of a DS’s work is a necessary condition for measuring competence, but alone it is inadequate to fully gauge the scientific merit of the work and hence insufficient to assess the state of the individual’s professional development.

4.1 DS Professional Development

DRDC has the delegation of human resources authorities for its DS employees. Within CORA, two senior managers are responsible for the professional development of CORA employees: the Deputy Director General is the professional development manager for section heads and all team leaders, whilst the Chief Scientist is the professional development manager for all other employees. Section Heads assist the professional development managers with the development of their employees and have a career advisor role towards them.

For DSs, advancement is based on individual, rather than relative, merit measured against seven objective characteristics organised into three major categories:

• Competencies – These assess who the DS is and how well equipped he (or she) is to meet the partners’ requirements. Two characteristics are used to measure this:

o Knowledge and Expertise

o Personal Interactions and Communication;

• Valued Outcomes – These assess what the DS does and how well it is done. Four characteristics are used to measure this:

o Creativity

o Productivity

o Impact

o Recognition; and

• Responsibilities – This assesses the level of leadership of the DS and his or her ability to formulate, plan, organise, control and evaluate OR&A activities. This is captured in a single characteristic by the same name:

o Responsibilities.

These characteristics apply to all DSs in the section and help ensure that every individual within the section has the appropriate level of scientific competence to advance the section’s work program. This is largely predicated on the thesis that someone must do science to be competent at providing scientific advice.

The DS professional development process is shaped by the annual preparation of Performance Evaluation Reports (PERs) and consequent career interviews and reviews. H/AS is responsible to prepare the PERs in cooperation with the DSs and the team leaders. This includes the collection


and analysis of evidence about the state and rate of professional development of each employee in the section, and recommending appropriate career management actions to the appropriate professional development manager (Deputy Director General or Chief Scientist). Input from the partner is one factor used to assess the impact characteristic, but the overall evaluation is based on evidence measured against the seven characteristics given above. More details on professional development can be found in the DS Salary Administration System (SAS) document.11

CORA DS employees may be assigned or posted into and out of the Air Section on a cyclical basis. This component of professional development provides opportunities for DS employees to be exposed to different operational environments and requirements across DND and the CF. DS employees assigned to the Air Section bring both a broader perspective on and experience with CF issues in addition to the appropriate level of scientific background as measured using the seven characteristics outlined above.

4.2 Maintaining Section Capability

An S&T capability to provide scientific decision support relating to aerospace power is predicated upon an ever-growing body of knowledge, resident in the institution as well as the DSs and the other section personnel. This body of knowledge and section personnel must be directly managed by H/AS and his/her staffs to support the generation, access and application of OR&A knowledge relating to aerospace power. Annex A provides a summary of current expertise resident in the Air Section, while some of the knowledge and personnel management tasks for which the H/AS is responsible are listed in Annex B. Knowledge management includes, for example, responsibility for maintaining the currency of the research materials in the DRDC library related to the section’s core expertise, while personnel management is exemplified by the responsibility to populate and maintain a minimum skill set for each team within the section.

The H/AS has the responsibility, in cooperation with the team leaders, to manage the knowledge and personnel resources required by section members (and those augmenting the section) for the ongoing programs of professional development and analysis. Section capabilities are reviewed annually by H/AS while the section participates in the DRDC program formulation process, to ensure the proper match between the section’s ability to deliver the section work program and the needs of the partners.

11 The SAS is available as part of the Defence Science Promotion and Salary Advancement Guidelines (Oct 2007), Accessible only from the DREnet: http://descartes.drdc-rddc.gc.ca/hr/docs/dssas/ds_promoOct2007_e.doc


5 Program Formulation

The Air Section formulates its work program through the DRDC program formulation process. One exception is the formulation of the work program for NORAD, which is carried out in accordance with the process stipulated in the agreement signed between DG CORA and the NORAD Deputy Commander.12 The bulk of the section work program is part of the departmental RTA program, which is documented annually in rolling three-year MPAs. The RTA program consists of multi-year projects and short-term tasks known as out-of-cycle RTA. Multi-year projects (called RTA projects in the remainder of this document) have objectives and deliverables that are typically delivered over three to four years; they are the main mechanism through which DRDC develops and maintains S&T capabilities.

Out-of-cycle RTA tasks are often initiated and completed within the timeframe of a single annual planning cycle. Out-of-cycle RTA usually draws from – and applies – the S&T capabilities developed through RTA projects. Several types of activities may be conducted under out-of-cycle RTA, including in-year requests for specific analyses and immediate decision support.

In keeping with its mission and vision, the section focuses its efforts on RTA projects and out-of-cycle RTA tasks that relate to OR&A for aerospace power. The section work program strives to achieve an appropriate balance between performing OR&A for the section’s partners while developing and maintaining the S&T capabilities required to deliver innovative and timely OR&A. RTA projects and out-of-cycle RTA tasks are described in greater detail below:

• RTA Projects – As the name implies, RTA projects include three complementary types of activities relating to research, technology and analysis as follows:

o Research – Sometimes called knowledge generation, research activities aim at increasing the understanding of operations and requirements, as well as the knowledge base of the section, to enable current and future analysis within the section and the S&T enterprise.13 Typical tasks include research into decision science and OR&A methodologies, the development of mathematical models, and the development of databases relating to S&T and aerospace power. The knowledge generated internally is used to access external knowledge; thus, research is often done in collaboration with internal and external partners, including academia, industry and international partners, e.g., The Technical Cooperation Program (TTCP) and the North Atlantic Treaty Organisation (NATO) Research and Technology Organisation (RTO).

o Technology – These activities enable the development of the tools that the section requires to perform OR&A or that partners can use to support decisions or perform activities like planning operations and options analyses.

12 Memorandum of Understanding between DG DRDC CORA and Deputy Commander NORAD for the Management of Defence Scientists Supporting the NORAD HQ, dated 15 October 2007.

13 The Defence S&T Strategy – Science & Technology for a Secure Canada defines the S&T enterprise as a matrix organization that connects those within the Canadian Forces and the department that direct, deliver and exploit the outputs from the [departmental S&T] investment.


o Analysis – These activities may also be referred to as knowledge application, whereby existing and emerging knowledge, models and methodologies are applied to the study of departmental issues and priorities with the aim of informing decisions. These activities could be anticipatory, laying the foundation for future decision support activities on topics with long-term or strategic importance.

Approved RTA projects are usually funded by DRDC, which enables access to external resources and collaboration. Project resources are typically assigned over three to four years and are documented in a MPA. Allocations are reviewed annually and may be amended by mutual consent between partners. Recently, in recognition of the often short timelines associated with OR&A activities, Partner Group 3 (PG3) introduced an annual call for RTA requirements. The Air Section uses this call to consult with Air Force/NORAD partners and identify new topics of analysis that may either be integrated in existing RTA projects or used to define new RTA projects.

• Out-of-cycle RTA Tasks – Although they may be requested at any time during the year, many such tasks are identified during the annual PG3 call for RTA requirements. Of an emerging nature and usually of high operational priority, out-of-cycle RTA tasks draw from the section’s existing capabilities, developed and maintained through RTA projects, to perform OR&A in support of in-year or immediate decisions. Since out-of-cycle RTA tasks have been required on a consistent basis in the past, the section reserves a significant portion of its human resources for this component of its work program, but the partner is expected to pay incremental costs (e.g., TD, O&M, or research contracts) as required.

5.1 Setting Priorities for the Work Program

Priorities for the section work program are based on an analysis of departmental and Air Force priorities and objectives; department level strategies; and S&T capability gaps identified during this analysis. Other activities of the yearly work cycle that must be considered when developing the work program include professional development, program management and corporate management.

RTA projects position the section to respond to future out-of-cycle RTA requests. The section’s resources are apportioned to balance the two components of the program. The section works with Air Force and NORAD partners to identify domains of analysis that will require decision support in the future. Strategic indicators relating to the Air Force and NORAD plans and priorities or campaign plans are useful for this purpose. Early identification of domains of analysis allows the section to assemble the facts, prepare its toolset and engage external partners well before the results of an analysis are required.

Given the section’s mission of providing a decision support capability, the section’s human resources are predominantly devoted to analysis tasks. Long term and on-going tasks should be integrated into RTA projects to facilitate access to external resources. The section gives priority to out-of-cycle RTA task requests in support of immediate decisions, but there is a practical limit to the number of such tasks that the section can take on; without an investment in its people and S&T capabilities, the section’s ability to provide quality, timely advice will degrade over time. A reasonable assignment of the section’s personnel resources over a given year is 75% to analysis tasks and 25% to research and technology development tasks.


5.2 Identification of Air Force and NORAD RTA Requirements

In January of each year, the PG3 issues a call for new RTA requirements; this call goes to Air Force Directors and Wing Commanders as well as selected staffs in NORAD. In response to this call, the Air Section takes advantage of collocation to work with partner organisations and capture their requirements for RTA. Responses are analysed and ranked prior to further discussion with appropriate Air Force and NORAD oversight committees. In the case of NORAD, the Oversight Committee recommendations are presented to a Steering Committee for approval. The Air Section identifies and prioritises Air Force and NORAD RTA requirements using three distinct steps, as described below.

5.2.1 Consultation with Partners (January/February)

The purpose of this step is to identify new RTA requirements of partner organisations. Following the call from PG3, Air section staffs work with Air Force and NORAD directors to identify topics that are important to decision makers, both immediately and in the longer term. Team leaders collect and shape the proposals using the form at Annex C, acting as local contact points to answer any questions.

Deliverables: List of partner’s new RTA requirements from each team

Responsible Parties: H/AS and team leaders

Timeframe: Lists compiled by late-February

5.2.2 Assessment and Planning (March)

The purpose of this step is to analyse the RTA requirements captured from partners and assess how these would be best addressed. This step is divided in two sub-steps as follows:

a) Assessment of tasks with respect to existing RTA projects and out-of-cycle RTA requests – H/AS and the team leaders combine the inputs: the lists of partner RTA requirements, the Aerospace Capabilities Initiatives List (ACIL), and similar sources external to the section. New RTA requirements are examined to identify areas of commonality and are combined as necessary. The combined requirements are analysed relative to partner priorities to assess their importance against the existing work program and to produce a preliminary list of potential new tasks that could be incorporated in existing RTA projects or be out-of-cycle RTA tasks. The result is measured against the section’s capacity14 in order to assess the resources and timeframe requirements.

b) Identification of potential new RTA projects – New RTA requirements are examined to determine what knowledge and S&T capabilities are required to address them. Gaps with respect to tools, methodologies or enablers such as databases and precursor studies are identified. Consideration is given as to whether or not a new RTA project is required to fill each gap.

Deliverables: Lists of new tasks for existing RTA projects, new out-of-cycle RTA tasks and potential new RTA projects

14 The Air Section’s capacity is not limited to the individuals within the section. Capacity in this context refers to both the section’s resources as well as capacity that is leveraged from the use of contracts, augmentees, and other external resources.


Responsible Parties: H/AS and team leaders

Timeframe: Lists due by the end of March

5.2.3 Endorsement and Approval (April/May)

This step is conducted separately for NORAD and the Air Force. The list of new NORAD tasks is reviewed at a meeting of the NORAD Oversight Committee, chaired by H/AS and the recommendations from this committee are then presented to the NORAD Steering Committee for endorsement and approval.

For the Air Force, H/AS presents the list of new tasks at the spring meeting of the Air Force Science & Technology Oversight Committee (AFSTOC), seeking endorsement of the list as well as advice on how tasks should be prioritised. Additionally, this presentation at AFSTOC is an opportunity to examine Air Force RTA requirements with all other PG3 thrusts.

Deliverables: New out-of-cycle RTA tasks, and potential new RTA projects

Responsible Parties: H/AS, Director S&T Air (DSTA), Team leaders, and representatives from NORAD, the Air Force, and DRDC as required

Timeframe: NORAD Oversight Committee meeting in April; NORAD Steering Committee meeting in May; AFSTOC meeting in May/June

5.3 Preparation of New RTA Project Proposals

ADM(S&T) uses an annual process to develop the departmental RTA program, which is organised into six major PGs. Each PG deals with activities that are either of interest to a specific environment (Maritime, Land or Air) or that have a common theme at the joint level (Integrated Capabilities, Personnel or C4ISR). Annex D provides a short description of the PG structure and outlines the program formulation process for the Air PG. The interests of the section’s main partners are mostly aligned with the RTA programs of the Air, Personnel and C4ISR PGs.

Within the RTA program, the Air Section focuses on OR&A in the domain of aerospace power. The section strives to develop S&T capabilities in these domains and to apply these capabilities to the analysis of problems of interest to DND, CF and NORAD. The Air Section prepares RTA project proposals based on the results from its consultation with DND, CF and NORAD partners, as described previously. Other DRDC scientific sections and the Director Science & Technology for each PG are also consulted to enable the full resources of DRDC to be tapped in the delivery of RTA projects. When the requirement for a new RTA project is confirmed, a project proposal is prepared for submission to the most appropriate PG. Each project proposal is presented at a Thrust Advisory Group (TAG) meeting. If the TAG accepts the proposal, the latter is forwarded to the PG level and ranked with all other projects for that PG. Funding is then allocated to the proposals according to ranking and the total amount of PG funds. If an Air Section proposal is above the funding line, it becomes part of that PG’s MPA, and funding starts the following fiscal year. If a proposal is below the funding line, the section can submit the proposal again the following year. All proposals that are funded become part of the section’s portfolio of RTA projects. Figure 2 depicts program formulation activities from the section’s perspective.


5.4 Initiation and Prioritisation of Out-of-Cycle RTA Tasks

It is common practice for an out-of-cycle RTA task to be initiated directly by a partner through direct contact with the local CORA team. An out-of-cycle RTA task could also be initiated through DSTA. The Air Section reserves approximately 25% of its resources for out-of-cycle RTA tasks. Upon receipt of task request, the local team leader or H/AS will work with the requester to:

• fully define the scope of the request;

• assess the resources and timeframe requirements to complete the task; and

• capture requirements in writing using the form found at Annex C.

This form is also available online on the DRDC CORA DWAN website http://cora.mil.ca. To ensure that the request is of high priority, the signature from a Colonel-level representative is required. H/AS will assess the impact of the request on the section’s work program and assign suitable resources. If there is a requirement to delay delivery on other section work, H/AS will consult with – or inform – the appropriate stakeholders and make every effort to ensure that the stakeholder’s best interests continue to be served.

Should an issue arise with respect to priority of out-of-cycle RTA tasks, H/AS will elevate the matter through the general officer chain until an acceptable resolution is reached. It is expected that such a situation would be rare and that for most cases, the principle of resolving issues at the lowest level of authority possible will function satisfactorily.


Combined List of NewRTA Requirements

Assessmentand

Gap Analysis

January -

February

April-May

June - December

Methodology Team

New RTARequirements

Methodology Team

New RTARequirements

Air Staff Team

New RTARequirements

Air Staff Team

New RTARequirements

Winnipeg Team

New RTARequirements

Winnipeg Team

New RTARequirements

NORAD Team

New RTARequirements

NORAD Team

New RTARequirements

Call for RTA Requirements issued by PG 3

NORADAir Force

Potential New Activities for Existing RTA Projectsand Out-of-Cycle RTA

1. ------ --- ------ --- - -2. -- ---- ---- - - -- -- --3. -------- ------- ------

ACILS&T Strategy

Air Force StrategyCFDSM

arch

Current Year Air Section’s Work Program

RTA Projects

1. ------ --- ------ --- - -2. -- ---- ------------3. -------- ------- ----- -

Out-of-Cycle RTA

1. ------ --- ------ --- - -2.------------------3. -------- ------- ----- -

OversightCommittee Spring

AFSTOC

SteeringCommittee

Spring TAGs

New Air Section Work Program

RTA Projects (in MPAs)

1. ------ --- ------ --- - -2. -- ---- ------------3. -------- ------- ----- -

Out-of-Cycle RTA

1. ------ --- ------ --- - -2.------------------3. -------- ------- ----- -

Existing Thrust xx Projects•New and Ongoing AnalysisActivities•Ongoing Knowledge Generation Activities



Existing RTA Projects and Out-of-Cycle RTA

The Air Section incorporates endorsed activities into its work program




New RTA Project ProposalsThe Air Section prepares new RTA project proposals that will be competed in the DRDC program formulation process

Monitor Shape

Fall TAGs

Monitor Compete

SpringAFDCSpringAFDC

FallAFDC

PG MPAs

Consultation with Partners

Assessment and Planning

Potential New RTA Projects

1. ------ --- ------ --- - -2. -- ---- ------------3. -------- ------- ----- -

Endorsed New Activities forExisting RTA Projectsand Out-of-Cycle RTA

1. ------ --- ------ --- - -2. -- ---- ------------3. -------- ------- ------

Endorsement and Approval

Incorporate New RTA Activities inExisting Section Work Program andPrepare New RTA Project Proposals

Fall AFSTOC/PG3 Joint Meeting

Ranking of new RTA project proposals submitted to PG3 is discussed before inclusion in the MPA – Same with other PGs.

CFAWC Team

New Analysis ActivityProposals

CFAWC Team

New Analysis ActivityProposals

Figure 2: Program formulation process from the Air Section’s perspective.


6 Program Delivery

To deliver its work program, as agreed to in the various MPAs, the Air Section has the full range of DRDC delivery mechanisms at its disposal, including:

• Internal partnerships with other DRDC sections, with DND/CF organisations and with other Government Departments;

• External partnerships with academia and industry using collaborative and contracting mechanisms; and

• International collaboration, including with the NATO RTO, TTCP, bi-lateral and tri-lateral agreements.

These mechanisms may be used to deliver any portion of the work program. The section makes use of national partnerships with Canadian industry and academia to develop national expertise and capacity that can be leveraged to assist the department. International involvement plays an important role in maintaining a high level of expertise for defence scientists and to leverage knowledge from other countries on problems of relevance to the department. Together, these mechanisms allow the section to maintain its expertise, to provide access to similar activities in other countries and to support the development of the knowledge and tools required to deliver OR&A for future RTA requirements, and to ensure that it is representative of the current international state of the art.

The Air Section is required to document its work and to report against the program as agreed to in the MPAs. It uses a project management framework to track its activities and ensure compliance with these requirements.

6.1 Documenting the Work

It is of the utmost importance that the advice provided by the Air Section be credible and well-founded in rigorous analysis based on the scientific method. Documentation and peer review is essential to ensure the integrity of the process. In publishing its work, the Air Section adheres to the DRDC Publication Standard.15 The standard states that formal publications are concrete evidence of DRDC’s work and the main method to formally provide information to partners, the scientific and defence communities and other audiences, including the general public. The body of publications provides a large part of DRDC’s corporate memory as well as an essential reference for future research.

The quality of its scientific and technical publications is extremely important to DRDC. All technical reports and memoranda, journal articles and other documents produced either by DRDC scientific and technical staff, or by an individual or organisation under contract to perform work on behalf of DRDC, reflect on DRDC’s reputation as a leader in defence science research, development and analysis. The standard gives all participants involved in the publication process the information they need to produce professional S&T documents.

15 Defence R&D Canada, Publication Standard for Scientific and Technical Documents, Second Edition, September 2007.


Different publication vehicles are available to tune the documentation to the type of work and distinct audiences. Irrespective of the audience, there is a need to balance the timely delivery and scientific rigour of the results. Annex E lists the six types of formal and informal reports that can be used to document the results of the section’s work program. In practice, the analysis component of the work program is documented in a mix of letter reports and formal publications. Letter reports are used to provide results and advice to partners quickly, while formal publications capture the details of the work, including assumptions, methodology and analysis. The formal report is a record of the work, which can be reviewed by peers and that can be referenced in the future. In addition, briefings represent another typical reporting mechanism for the Air Section. Given the lesser time constraints associated with knowledge generation activities, this work is more likely to be documented in the scientific literature. It is this documentation and peer review process that confirms the scientific credibility of section staff.

6.2 Reporting Progress of Projects against the MPAs

ADM(S&T) requires all DRDC sections to report 100% of their activities in the Collaborative Project Management Environment (CPME).16 The Air Section reports progress for both components of its work program as required throughout the year. CPME is also used to document personnel allocation to the projects and the use of funds, including salaries.

6.3 Tracking Progress

The Air Section uses a web-based toolset, called the Activity Tracking System (ATS), to manage and monitor the progress of the work program in a transparent manner. Within ATS, individuals contributing to the Air Section work program can establish milestones, report progress and generate activity reports. Based on the DWAN, ATS is accessible to DND, CF and NORAD partners. An authorized DWAN user can access ATS at the following URL address: http://cora.mil.ca.

16 ADM(S&T) uses this information to report annually on the performance of DRDC to the DM and CDS.


7 Conclusion

This document describes the functions, composition, and intent of the CORA Air Section. It is meant to provide guidance for how the Air Section operates, and as such, is a living document. The document will be revised periodically. It should provide new section members and partners with an introduction to the section and its main features.

It is also meant to be the foundation for formulating the agreements that define the relationships between the section and its partners. The document provides a common basis for understanding how operational research and analysis is formulated and delivered. It should facilitate suitable collocation arrangements, maximize responsiveness and ensure the integrity of the science and advice offered by the section.


Annex A Section Expertise

To fulfil its mission, the section must develop, retain, and have access to relevant subject matter expertise and the necessary tools to exploit it. Specialisation within each of the section’s teams will develop as a result of collocation and will facilitate responsiveness to the partner’s requirements. The team leaders are responsible for fostering this development and maintenance of the team’s particular areas of expertise and for ensuring access to the requisite tools and methodologies. At the section level, the aggregate of expertise allows delivery of OR&A across all departmental core processes. The following are examples of the expertise currently required by the section to meet the needs of its partners.

• Strategy and Policy

o Strategic analysis

o Strategic war gaming

o Current and future trends analysis (theory and practice)

o Defence and military policy analysis

o Strategic planning processes

• Force Development and Capability Production

o Concept Development and Experimentation (CD&E)

o Aerospace power capabilities with respect to force structure, personnel and posture

o Synthetic environments and distributed mission operations

o Integrating concepts

o Complex systems for DND and CF issues

o Force development relating to continental defence

• Force Generation and Force Employment

o Operational effectiveness of specific platforms, fleets or communities (fighters, air mobility, land aviation, maritime air, search and rescue (SAR), etc)

o Flight safety

o Scheduling and resource allocation for Ab-initio training

o Force employment, including operations and exercises

o Analysis of lessons learned

o Maintenance and logistics focused on operational fleet maintenance and deployment

o Force employment specific to aerospace warning and control and maritime warning


Annex B Knowledge and Personnel Management

The following is a list of knowledge and personnel management tasks that the Air Section is currently doing, or that it plans to do in the future. All section staffs share a responsibility in delivering these tasks.

The list of specific knowledge management tasks includes the following:

• Maintain through the DRDC CORA library, an Air Force knowledge repository to include books, periodicals, research papers, and reports;

• Develop and maintain the section specific portion of the CORA website that lists section subject matter expertise, with links to publications;

• Develop and maintain a database listing external expertise including researchers, university departments, other DRDC centres, organisations and international partners;

• Develop and maintain an Air Section Operational Concept document;

• Catalogue section outputs, both internal and external (reports and briefings);

• Identify and compile a database of relevant aerospace power knowledge;

• Continue to maintain ComplexityHub.org, the website for the DRDC complexity research community, and the Complexity Interest Group (CIG) web page under ComplexityHub;

• Continue to organise a regular seminar series on complexity under the CIG.

The list of personnel management tasks includes the following:

• Ensure appropriate level of Subject Matter Expertise (SME) within the section (particularly in light of personnel assignments) and within each team;

• Ensure access to and facilitate collaboration with experts and accountable stakeholders external to the section;

• Ensure appropriate level of knowledge on OR&A tools, models, and methodologies;

• Facilitate access to education, training, and development opportunities relevant to the aerospace environment and the section S&T program;

• Facilitate opportunities for collaboration with internal and external partners.


Annex C Request for Operational Research & Analysis

Centre for Operational Research & Analysis Centre d’analyse et de recherche opérationnelle

Task Request Form Formule de demande de tâche

Section or Unit: Section ou unité :

Task OPI: PDC de la tâche :

Local: Poste :

Task Title: Titre de la tâche :

Task Background: (a short statement to set the task in perspective) Renseignements de base : (Un court énoncé visant à donner un aperçu de la tâche)

Task Description: (What are the objectives for this task? List specific questions to be answered; add additional sheets if required.) Description de la tâche : (Quels sont les objectifs de cette tâche? Veuillez indiquer les questions auxquelles on doit répondre; ajoutez d'autres feuilles, si nécessaire.)

Desired form of results: (i.e. report, software, model, tables, graphs, etc.) Présentation désirée des résultats : (C.-à-d. rapport, logiciel, modèle, tables, graphiques, etc.)

Target Date: Date d'échéance :

Latest Acceptable Date: Dernière date limite :

Title/Titre Signature/Signature Date/Date

CORA use: CORA No. Completion details: À l'usage du CARO : CARO no Renseignements sur la réalisation :


Annex D Partner Groups and DRDC Program Formulation Process

Program formulation is the mechanism by which DRDC implements the S&T Strategy and develops mutual understanding of partner and S&T priorities. DRDC and its partners formulate the RTA program of work through six PGs, where each PG program consists of a collection of RTA activities (funding, people, goals) that relate to a specific environment (Maritime, Land or Air) or to a common theme at the joint level (Integrated Capabilities, Personnel or C4ISR). The program is derived from the annual business planning cycle, which involves consultation between senior managers from ADM(S&T) and the DND and CF. The six PGs are illustrated in the figure below.

PG 5 – C4ISRPG 5 – C4ISR

PG 4 – PersonnelPG 4 – Personnel

PG 3 - AirPG 3 - Air

PG 2 - LandPG 2 - Land

PG 1 - MaritimePG 1 - Maritime

PG 0 - Integrated Capabilities


Partner GroupsPartner Groups

PG 5 – C4ISRPG 5 – C4ISR

PG 4 – PersonnelPG 4 – Personnel

PG 3 - AirPG 3 - Air

PG 2 - LandPG 2 - Land

PG 1 - MaritimePG 1 - Maritime



Partner GroupsPartner Groups

Figure 3: Six Partner Groups collectively define the departmental RTA program.

Each PG is divided into four to six Thrusts that each deal with specific domains of defence science. Each thrust is led by a DRDC representative (Thrust Leader) and a military co-chair. One or more Deputy Thrust Leader(s) may be appointed as required. Together with a Thrust Coordinator, the thrust leader, military co-chair and deputy thrust leaders form the Thrust Executive. Each thrust executive is advised by a Thrust Advisory Group (TAG) made up of representatives from the DND/CF and external consultants (e.g., from the National Research Council) that are knowledgeable in the domains of interest to the Thrust.

All Partner Groups follow roughly the same steps. The steps followed by the Air PG are typical of this process. The cycle starts in January of each year and continues over the course of a full year with the aim of developing the RTA program for the following fiscal year, i.e., 15 months later. The interaction of the Air Section with the process is highlighted.

• Annual Call for new RTA activities (January) – DSTA and D Air SP issue a joint call letter to Air Force Directors and Wing Commanders, as well as selected staffs in NORAD. This is an invitation to identify their emerging RTA requirements and to work with the appropriate TAGs in defining and submitting RTA proposals.


• AFDC Spring Meeting (April) – DSTA and the Air PG Thrust Leaders attend the Spring meeting of the Air Force Development Committee (AFDC) to seek strategic guidance on Air Force priorities for the coming year. A broad range of stakeholders, including NORAD, is represented at the meeting.

• AFSTOC Spring Meeting (April/May) – DSTA and the Air PG Thrust Leaders attend the spring meeting of the Air Force Science & Technology Oversight Committee (AFSTOC) for strategic level discussions relating to Air Force priorities and expectations from the S&T Enterprise, including the RTA program. The Air Section presents the list of new RTA requirements derived from its latest round of consultations in response to the Air PG call letter for new RTA requirements. H/AS seeks endorsement of the current list of out-of-cycle RTA tasks as well as guidance as to the prioritization of these tasks.

• Air PG TAGs Spring Meetings (May/June) – Selected staffs from the Air Section attend the appropriate TAG meetings (which could in fact be from any PG) to report on the status of existing RTA projects and to present the results from their analysis of Air Force and NORAD RTA requirements. The Air Section seeks to identify opportunities for collaboration with other DRDC sections. Once agreement is reached on potential new RTA projects, DRDC sections are invited to prepare research proposals, which is done through the summer months in preparation of the next round of TAG meetings.

• Air PG Spring Meeting (June) – The Air Section participates in this meeting, which is chaired by Scientific Advisor (Air) (SA(Air)). The inputs received from AFDC and AFSTOC, as well as the results from the TAG spring meetings, are reviewed for the purpose of adjusting the strategic direction of the PG.

• Air PG TAGs Fall Meetings (September/October) – The Air Section staffs submit RTA project proposals to the TAGs. These are evaluated and ranked against all other proposals received. The executive of each TAG has delegated authority to approve the top-ranked proposal from their TAG. All other proposals are passed on to DSTA and SA(Air) for further ranking.

• AFSTOC & AFDC Fall Meetings (October/November) – The full list of RTA project proposals consolidated by DSTA staffs is presented at the AFSTOC Fall Meeting. DSTA also presents the latest Technology Demonstration Program (TDP) proposals. This meeting is co-chaired by SA(Air) and the Director General Air Force Development (DG Air FD). AFSTOC members comment on new RTA project proposals and their rankings. The latter is important because funding will be allocated to proposals in accordance with their rankings. As required, the list of proposals is amended after the AFSTOC meeting and a summary is presented at the AFDC Fall meeting for endorsement.

• Mutual Partnership Agreement (MPA) preparation (December-March) – DSTA and his/her staff finalize the findings from the consultation carried out during the year, reconcile the results against the resources available17, and draft a new MPA that reflects changes from one year to the next. SA(Air) and DG Air FD then review the draft MPA for final changes before it is submitted to ADM(S&T) for his/her review, comments and approval. The MPA is then

17 The resource allocations from the VCDS are not available until the following fiscal year; thus, notional budgets are used to plan the following year’s program. There is always a risk that some proposals will not be fully funded, in which case adjustments are made in-year.


frozen and prepared for final signature by DRDC and Air Force representatives. By this time, the Air Section knows which proposals are most likely to be funded.

• MPA signature (April of next fiscal year) – The yearly cycle ends when DG-level representatives of DRDC and the Air Force co-sign the new MPA, which replaces the previous MPA. At this point, research proposals involving the Air Section are official. The Air Section is accountable to DG CORA to deliver against these projects.


Annex E DRDC Publications

The following provides definitions and general information on the types of documents published by DRDC. There are three general classes of S&T documents based on the audience for whom they are written. These are:

1. Documents for partners (including those written primarily for colleagues within DRDC), henceforth referred to as partner-oriented documents;

2. Documents written for open or defence scientific literature, e.g. papers published in scientific journals, conference proceedings, books or book chapters, articles published by NATO RTO and TTCP; and

3. Documents written for the general public, corporate or other audiences. (Note: These are not subject to the DRDC Publication Standard).

Only the first two classes are considered S&T documents.

Partner-oriented documents

There are six document categories within the partner-oriented class; four of them are produced to a format and structure that is considered ‘formal’, and two are produced to a format and structure that is considered ‘informal’.

Formal Reports

1. Technical Report (TR)

− used to record a significant technical, scientific or analytical accomplishment typically associated with completing a work unit, project or thrust; and

− normally written for a broad audience, including fellow scientists or engineers, as well as project officers and partners, managers and directors in Canada and abroad.

2. Technical Memorandum (TM)

− used to record technical work that has a smaller scope than a Technical Report, or that has a narrower distribution (e.g. a progress report within a project or work unit);

− normally written for colleagues, project officers, project partners and project managers; and

− where timeliness of the publication is critical.

3. External Client Report (ECR)

− produced by DRDC, under contract, for other federal organisations, departments or agencies, provincial or municipal governments, universities, hospitals, private-sector companies or individuals and international entities, in return for revenue or other resources; and

− normally follows the format of a Technical Report or Technical Memorandum unless other formatting has been agreed to by the partner and DRDC.


4. Contract Report (CR)

− produced by an external organisation (Contractor) as a deliverable of a contract between DRDC and the organisation (e.g. a university, private company or another government department or agency); and

− written by the Contractor under the direction of the Contract Scientific Authority (CSA).

Informal Reports

1. Technical Note (TN)

− is primarily for archival purposes at DRDC Centres and DRDC Corporate Office, for internal use and limited external use;

− records a short summary analysis produced for a targeted partner group;

− may record interim results during the lifetime of a research activity that may be ultimately reported in a Technical Memorandum or Technical Report;

− ensures that information, which is not published elsewhere, is preserved;

− is exempt from all formatting requirements and most document structure requirements described in the DRDC Publication Standard;

− must adhere to security requirements for the protection of sensitive information; and

− used when economy and/or haste of production is a goal.

2. Letter Report (LR)

– used to respond quickly to immediate operational and S&T issues and problems;

− normally distributed only to the partner for whom the report was written;

− not assigned a document number; however, it is filed as per DRDC Centre Central Registry procedures;

− is exempt from all formatting requirements and most document structure requirements described in the DRDC Publication Standard;

− is assigned a file number according to the DRDC file numbering system; and

− is written on official DRDC letterhead.

Open or defence scientific literature (SL)

DRDC S&T documents published in the open or defence scientific literature are original research papers (not minutes or proceedings of meetings) that may be contained in:

• proceedings of conferences and meetings sponsored by organisations such as NATO/RTO and TTCP;

• scientific journals;

• national and international defence journals;

• proceedings of scientific conferences; and


• books or book chapters.

Other examples of scientific literature include:

• letters or notes to scientific journals (written to quickly communicate new findings or to establish precedence of discovery); and

• theses (arising from the work of post-graduate students employed by DRDC).

Documents for the general public, corporate or other audiences

DRDC publications in this class include:

• ‘corporate’ publications, whether printed or in other media (e.g. Web pages, videos, multimedia presentations); and

• ‘media’ publications (e.g. articles in newspapers or magazines, in print or online).

These publications are not subject to the DRDC Publication Standard.


List of symbols/abbreviations/acronyms/initialisms

ACAS Assistant Chief of the Air Staff

ACIL Aerospace Capabilities Initiatives List

ADM(S&T) Assistant Deputy Minister (Science & Technology)

AF Air Force

AFDC Air Force Development Committee

AFEC Air Force Experimentation Centre

AFSTOC Air Force Science & Technology Oversight Committee

ATS Activity Tracking System

C4ISR Command, Control, Computers, Communications, Intelligence, Surveillance and Reconnaissance

CAS Chief of the Air Staff

CD&E Concept Development and Experimentation

CDS Chief of Defence Staff

CF Canadian Forces

CFAWC Canadian Forces Air Warfare Centre

CFDS Canada First Defence Strategy

CIG Complexity Interest Group

CO Commanding Officer

CORA Centre for Operational Research and Analysis

CPME Collaborative Project Management Environment

CR Contractor Report

CSA Contract Scientific Authority

D Air SP Director Air Strategic Plans

DG Director General

DG Air FD Director General Air Force Development

DG Air Pers Director General Air Personnel

DM Deputy Minister

DND Department of National Defence

DRDC Defence Research & Development Canada

DRDKIM Director Research & Development Knowledge and Information Management


DS Defence Scientist

DSTA Director Science & Technology Air

DTB Defence Terminology Bank

DWAN Defence Wide Area Network

ECR External Client Report

H/AS Head, Air Section

HQ Headquarters

IDS Immediate Decision Support

LR Letter Report

MOU Memorandum of Understanding

MPA Mutual Partnership Agreement

NATO North Atlantic Treaty Organisation

NDHQ National Defence Headquarters

NORAD North American Aerospace Defense Command

OIC Officer in Command

O&M Operations & Maintenance

OPI Office of Primary Interest

OR&A Operational Research & Analysis

PDC Point de Contact

PER Performance Evaluation Report

PG Partner Group

R&D Research & Development

RTA Research, Technology and Analysis

RTO Research and Technology Organisation

SAR Search and Rescue

SA(Air) Scientific Advisor (Air)

S&T Science & Technology

SL Scientific Literature

SLA Service Level Agreement

SME Subject Matter Expertise

TAG Thrust Advisory Group

TD Travel Duty


TDP Technology Demonstration Program

TM Technical Memorandum

TN Technical Note

TR Technical Report

TTCP The Technical Cooperation Program

VCDS Vice Chief of the Defence Staff


Distribution list

Document No.: DRDC CORA TM 2009-068

LIST PART 1: Internal Distribution by Centre

22 All Air Section Personnel 10 All CORA Managers 1 CORA Library 10 Spare copies for future distribution 43 TOTAL LIST PART 1 LIST PART 2: External Distribution by DRDKIM 1 NORAD Deputy Commander 1 Assistant Chief of the Air Staff 1 Commander 1 Canadian Air Division 1 Commander 2 Canadian Air Division 1 Scientific Advisor (Air) 1 DG Air FD 1 D Air SP 1 DG Air Pers 1 CO CFAWC 1 COS 1 Cdn Air Div 1 DSTA 1 OIC AFEC 1 NORAD-USNORTHCOM J84 (Mr. Tom Denesia) 1 DRDKIM 14 TOTAL LIST PART 2

57 TOTAL COPIES REQUIRED

DOCUMENT CONTROL DATA (Security classification of title, body of abstract and indexing annotation must be entered when the overall document is classified)

1. ORIGINATOR (The name and address of the organization preparing the document. Organizations for whom the document was prepared, e.g. Centre sponsoring a contractor's report, or tasking agency, are entered in section 8.)

Defence R&D Canada – CORA 101 Colonel By Drive Ottawa, Ontario K1A 0K2

2. SECURITY CLASSIFICATION (Overall security classification of the document including special warning terms if applicable.)

UNCLASSIFIED

3. TITLE (The complete document title as indicated on the title page. Its classification should be indicated by the appropriate abbreviation (S, C or U) in parentheses after the title.)

Air Section Operational Concept: 4. AUTHORS (last name, followed by initials – ranks, titles, etc. not to be used)

Bergeron, D.M.; Bourdon, S.E.; Dickson, P.D. 5. DATE OF PUBLICATION

(Month and year of publication of document.)

December 2009

6a. NO. OF PAGES (Total containing information, including Annexes, Appendices, etc.)

46

6b. NO. OF REFS (Total cited in document.)

0 7. DESCRIPTIVE NOTES (The category of the document, e.g. technical report, technical note or memorandum. If appropriate, enter the type of report,

e.g. interim, progress, summary, annual or final. Give the inclusive dates when a specific reporting period is covered.)

Technical Memorandum 8. SPONSORING ACTIVITY (The name of the department project office or laboratory sponsoring the research and development – include address.)

Defence R&D Canada – CORA 101 Colonel By Drive Ottawa, Ontario K1A 0K2

9a. PROJECT OR GRANT NO. (If appropriate, the applicable research and development project or grant number under which the document was written. Please specify whether project or grant.)

9b. CONTRACT NO. (If appropriate, the applicable number under which the document was written.)

10a. ORIGINATOR'S DOCUMENT NUMBER (The official document number by which the document is identified by the originating activity. This number must be unique to this document.)

DRDC CORA TM 2009-068

10b. OTHER DOCUMENT NO(s). (Any other numbers which may be assigned this document either by the originator or by the sponsor.)

11. DOCUMENT AVAILABILITY (Any limitations on further dissemination of the document, other than those imposed by security classification.)

Unlimited 12. DOCUMENT ANNOUNCEMENT (Any limitation to the bibliographic announcement of this document. This will normally correspond to the

Document Availability (11). However, where further distribution (beyond the audience specified in (11) is possible, a wider announcement audience may be selected.))

Unlimited

(NON-CONTROLLED GOODS) DMC A REVIEW: GCEC DECEMBER 2013

Cowhey.MR

New Stamp

13. ABSTRACT (A brief and factual summary of the document. It may also appear elsewhere in the body of the document itself. It is highly desirable that the abstract of classified documents be unclassified. Each paragraph of the abstract shall begin with an indication of the security classification of the information in the paragraph (unless the document itself is unclassified) represented as (S), (C), (R), or (U). It is not necessary to include here abstracts in both official languages unless the text is bilingual.)

The Air Section generates operational research & analysis knowledge, tools and methodologies and applies them to the analysis of aerospace power issues as they pertain to the Department of National Defence and the Canadian Forces. The Air Section also conducts research in the area of decision sciences. By virtue of its focus on the aerospace power domain, the Air Section works primarily with the Air Force and the North American Aerospace Defense Command (NORAD), as well as with other stakeholders in the department.

Intended for section members and partners, this document describes the composition of the Air Section and its functions. It provides a common basis for understanding how operational research and analysis is formulated and delivered. It should facilitate suitable partnership arrangements that maximize responsiveness while ensuring the integrity of the science and advice offered by the section.

La Section air génère des connaissances, des outils et des méthodes d’analyse et de recherche opérationnelle. Ces capacités sont appliquées à l’analyse de ayant trait à la puissance aérospatial pour le Ministère de la défense nationale et des Forces canadiennes. La section performe aussi des recherches dans le domaine des sciences de décision. Comme la section se spécialise en puissance aérospatiale, elle travaille surtout avec la Force aérienne et le Commandement de la défense aérospatiale de l’Amérique du nord, mais aussi avec d’autres intervenants du ministère.

D’abord à l’intention des membres de la section et de ses partenaires, ce document décrit la composition de la section et des ses fonctions. Il fournit une base commune pour comprendre comment l’analyse et la recherche opérationnelle sont formulées et livrées. Le document devrait faciliter la mise en place d’arrangements appropriés afin de maximiser l’habileté de répondre tout en assurant l’intégrité de la science et des avis produits par la section.

14. KEYWORDS, DESCRIPTORS or IDENTIFIERS (Technically meaningful terms or short phrases that characterize a document and could be helpful in cataloguing the document. They should be selected so that no security classification is required. Identifiers, such as equipment model designation, trade name, military project code name, geographic location may also be included. If possible keywords should be selected from a published thesaurus, e.g. Thesaurus of Engineering and Scientific Terms (TEST) and that thesaurus identified. If it is not possible to select indexing terms which are Unclassified, the classification of each should be indicated as with the title.)

Operational Research and Analysis; Roles and responsibilities; Program formulation; Program delivery; Out-of-cycle RTA; Aerospace power