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Civil Aviation Directive

Directive No. 38
Original

Civil Aviation Research and Development

Policy Objective:

To provide a formal structure and strategy for an effective and efficient Civil Aviation research and development program.

Background:

In 1995, the Government of Canada committed to implementing Results-Based Management (RBM) in all federal departments and agencies. In his 1995 report to Parliament, Strengthening Government Review, the President of the Treasury Board reaffirmed the government’s commitment to a management culture that is “fact-based, results-oriented, open and accountable.” Subsequently, the tabling in March 2000 of Results for Canadians: A Management Framework for the Government of Canada reinforced the government’s commitment to RBM and modern comptrollership, through continuous management improvement and accountability for results.

Results-based management is about managing for results. In a government setting, this implies that the expected results to be achieved through a program should be clearly articulated, that measures of success should be selected and that accomplishments achieved be reported in a fair and credible manner. The Civil Aviation Service Line Performance Measurement Model supports this activity. Performance information is used to monitor the progress of a program towards achieving its strategic objective, and test if the program is working well or if adjustments are needed to improve efficiency and effectiveness. This information is essential to effective planning, resource allocation and decision-making for improving management practices and program activities.

In the aim of meeting the new departmental R&D framework, Straight Ahead initiatives, and Civil Aviation’s Flight 2005 (and beyond ie: Flight 2010), there is a need to review and implement an R&D framework in Civil Aviation to include modern comptrollership, accountability, and best results for Canadians. The policies and procedures referenced herein will make the most effective use of research dollars utilizing principals from such documents as Flight 2005: A Civil Aviation Safety Framework for Canada and to address the Government of Canada’s management framework Results for Canadians: A Management Framework for the Government of Canada.

The International Aviation and Technical Programs Branch has been assigned the Civil Aviation R&D portfolio. The branch has created the Transport Canada Civil Aviation Research and Development (TCCARD) office to assist in the development of a strategic plan, monitor projects and track the allocation of Research & Development funding sources (ie: RDMB, PERD, Climate Change, SARS, S&T action fund, etc.) for the identified and supported projects.

Policy Statement:

Civil Aviation strategically plans and implements R&D to enhance our objective of continuous improvement in our transportation system. This research is related to, but not limited to, the advancement of technology, innovation, performance measures and data analysis to achieve our mandate.

Application:

This directive applies to all Civil Aviation employees involved in any R&D work as defined in the TCCA Research and Development Manual (RDIMS Doc No. 728433) regardless of source of funding.

Definitions:

Project Director (PD) - person assigned to a given R&D project, who has primary responsibility for a Research Project, using his/her authority to direct, control and carry out the objectives and requirements of the project proposal.

Project Manager (PM) - person assigned to a given R&D project, with project management responsibility that assists the Project Director of the project by implementing modern comptrollership and accountable practices to achieve the objectives.

Project Proposal - The formal justification for funding and detailed objectives for a project, vetted and approved by the sponsoring branch.

Sponsoring Branch - The Civil Aviation Branch with the highest interest in a given project proposal and shows support for the project by committing leverage funding in the way of personnel or risk money.

Approach:

The R&D cycle starts with an overall Civil Aviation R&D strategic plan that is derived by input of respective Branch R&D program plans. These program plans must provide the vision and objectives of required research and development for the next five to 10 years (using Flight 2010 vision). The program plans are reviewed and consolidated by an R&D Technical Advisory Committee and presented to the Civil Aviation Management Executive (CAMX) in the form of a strategic plan for Civil Aviation R&D.

Once approved, the plan is used to call for project proposals from all available and interested parties with particular focus on direction and results required by Civil Aviation. To meet this objective, Branch R&D program plans must be developed and reviewed/updated by end of February every year.

Once project proposals are accumulated, they are reviewed and prioritized in order of taskings to the strategic activities in Civil Aviation and provided to CAMX for final acceptance on a project level priority. Work plans are then drafted itemizing the tasks for each project in order of priority.

Following the RDMB call letter for project proposals, the Civil Aviation listing will be forwarded for funding support. Upon allocation of RDMB funds, TCCARD will monitor and follow-up with Project Directors on all aspects of the research program. Status updates and work plan summaries are an essential part of the monitoring process.

When projects are nearing the end of the fiscal year and contracts are resulting in deliverables being submitted, a review of all project results will be conducted by the Civil Aviation R&D Advisory Committee (CARDAC) and program plans will be amended or updated, as required.

This complete cycle, as depicted in the Civil Aviation R&D Framework diagram in Annex 1, repeats for the following year.

Roles and Responsibilities:

The Director, International Aviation and Technical Programs is the accountable executive for the Civil Aviation R&D program.

CAMX members are responsible for:

  • Approving the strategic directions and priorities setting for research programs.
  • Approving the Civil Aviation submission of project proposals seeking funding support from available financial sources.

TCCARD is responsible for:

  • Overseeing the implementation of the R&D Strategy within Civil Aviation
  • Coordinating the development of Civil Aviation Research and Development strategic/business plans and associated guidance documents
  • Developing an R&D project priority assessment and evaluation tool
  • Creating and chairing an R&D technical advisory committee to assist in the development of strategic directions and long range plans for civil aviation, and to evaluate and prioritize submitted project proposals
  • Providing a standardized approach in the development of all Civil Aviation project proposals, status updates, and task based activity tracking
  • Acting as the focal point for outside organizations with a vested interest in technology advancement in Civil Aviation
  • Obtaining and overseeing funding allocation of research monies.
  • Evaluating project priority assessments
  • Representing Civil Aviation R&D funding interests and strategic direction at conferences and meetings
  • Controlling and tracking of travel expenditures related to approved R&D projects
  • Scheduling meetings with Project Directors and Project Managers to discuss Project progress and obtain status updates
  • Selecting projects on cyclic basis for review (audit) to ensure that projects are being managed within the required stewardship and modern comptrollership framework
  • Providing program management and performance measurement expertise to Branch projects
  • Reporting R&D issues and status updates to the DGCA or CAMX as appropriate.
  • Promoting awareness of R&D deliverables to stakeholders and the general flying public via Internet or other means.

Branch Directors are responsible for:

  • Proactively incorporating an R&D program plan in their branch business plans
  • Supporting branch R&D programs plan by:
    • Identifying a Project Director for each supported project proposal
    • Providing the financial and personnel resources to projects as outlined in their respective proposals
    • Bringing feedback on R&D initiatives to the CAMX table
  • Assisting TCCARD in developing innovation and vision for new technology direction for future years
  • Assigning one technical representative to the Civil Aviation R&D technical Committee

Project Directors are responsible for:

  • Assisting in the development of project proposals and identifying targeted deliverables
  • Controlling and directing funded research projects
  • Prioritizing tasks within a project proposal
  • Obtaining, reviewing and accepting deliverables specified in a project proposal
  • Reviewing and accepting project status updates and resolving delayed or off course issues
  • Attending project review meetings
  • Completing tasks and follow-up of results

Project Managers* are responsible for:

  • Developing project proposals
  • Contracting of expertise and resources per the project requirements
  • Controlling expenditures in accordance to the allotted project funding limits
  • Providing status updates

*  Note:  As part of the RDMB funding caveat, TDC project managers are our first choice selection should outside management expertise be required.

Financial Setup:

At each yearly cycle for submission of proposals for RDMB funding, branch funding in support of the project must be made available to AARJ in the sums specified in the leverage A-Base amounts for their respective projects. These funds will be used only for the R&D travel intended, under control of TCCARD and in coordination with respective PD’s.

Monitoring and Reporting:

The Director of International Aviation and Technical Programs or his delegate will report regularly to the Director General, Civil Aviation, on the implementation and annual update of the R&D strategic plan. Directorate progress reports will also be provided to department level funding representatives in compliance with funding allocation requirements.

Further Information:

Robert Shuter
Director, International Aviation and Technical Programs (AARJ)
Telephone: (613) 990-8177
Facsimile: (613) 998-4860
E-mail: shuterb@tc.gc.ca

Merlin Preuss
Director General
Civil Aviation

Effective date:  January 31, 2005
Expiry date:  This directive will be reviewed annually to assess relevance to management practices as a result of Treasury Board Secretariat Policy revisions.

Reference Material:
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