Reports and Publications

• Evaluation Reports
• Evaluation report No. 10/2011
  • Contents
  • Letter to the Minister
  • Executive Summary
  • Chief of Defence Force Response
  • Section 1 Introduction
  • Section 2 Policy and guidance
  • Section 3 Organisation and process
  • Section 4 Future developments
  • Annex A Examples of lessons learned

 

Management of Lessons Learned by the NZDF

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Section 2: Policy and guidance

Expectation: There is clearly defined and effective strategic policy and guidance on identification, collection, analysis and management of lessons learned.

NZDF policy

2.1
NZDF policy on lessons learned is contained in CDF Directive 31/2005 Introduction of a Global Lessons Learned System to the NZDF, which establishes the concept of a global lessons learned system and introduces EARLLS to achieve this intent. The specified aim of EARLLS is to:⁵

• facilitate collection, analysis, resolution and publication of issues and the lessons learned arising from the full range of NZDF activities. ‘Activities’ are defined as operations, exercises and other activities (war games, trials, UN missions, Board/Court of Inquiry, courses, visits and conferences);
• provide the post activity reporting system;
• provide a staffing mechanism for the resolution of problems identified conducting NZDF activities;
• provide simple trend analysis to enable further evaluation of systematic weaknesses that become evident over a period of time; and
• provide a readily accessible NZDF knowledge database for application of that knowledge to future NZDF activities, thereby enhancing the NZDF capability.

2.2
The Directive allocates the task of expanding the use of EARLLS for activities beyond those covered by the Maritime, Land, and Air Component Commanders to the respective Service Chiefs. Amongst other things, the Chiefs are to direct that all post activity reports are submitted for activity analysis through EARLLS, review the utility of EARLLS within their Service for other activities, and issue additional instructions to enable users within their Service to utilise the application.

2.3
EARLLS, and the policy surrounding it, is intended to promote the NZDF as a learning organisation, enabling lessons to be learned across the organisation and contributing to the maintenance of the ‘knowledge edge’.

Service Policy

2.4
Service policy reflects CDF Directive 31/2005 and is largely focussed on the reporting of operational and readiness activities.

Navy

2.5
NZBR 97 Maritime Component Commander’s Operational Orders outlines the requirements for the preparation of situation or post activity reports as directed by operation/exercise/activity orders or instructions. Of note is that reports are required for all ship activities including maintenance periods.

2.6
NZBR 42 RNZN Electronic Activity Reporting and Lessons Learned System outlines the lessons learned process, reporting requirements, and responsibilities.

Army

2.7
DFO (A) Defence Force Orders for the Army, Volume 7, Chapter 4 Collective Training – Post Activity Reporting Requirements outlines the need for submission of post activity reports as specified in the activity instruction. The DFO also includes guidance on the type of information requiring capture in EARLLS, notably any need for follow-up training or retraining, or follow-up action for the conduct of similar activities in the future.

Air Force

2.8
DFFO Defence Force Flying Orders directs the use of EARLLS for reporting observations on all HQ JFNZ directed activities. The focus of reporting is the conduct of the activity and achievement of the activity objectives. If not achieved, explanations as to why and any impact on DLOC generation should be included. Air Force utilisation of EARLLS appears to be limited to flying operations and activities.

2.9
More recently the Air Force has directed the use of EARLLS in relation to its operational test and evaluation programmes for introduction into service of new or refurbished aircraft. NZAP 102 RNZAF Operational Test and Evaluation Manual, Chapter 8 Operational Test and Evaluation Analysis and Reporting makes the test director responsible for ensuring that lessons learned are documented appropriately using EARLLS. This is to ensure that lessons learned during one programme will increase the success of subsequent programmes, as well as potentially reduce resource requirements and improve programme efficiency.

Other guidance

Joint lessons

2.10
HQ JFNZ Standard Operating Procedures and Operational Instructions No. 802 prescribes requirements for activity reporting to be submitted through EARLLS. This includes specified post activity reports, and regular situation reports, for missions and longer duration deployments, as well as post activity reports for all exercises and readiness activities conducted under the auspices of HQ JFNZ.

2.11
The objectives of this reporting are to:

1. provide COMJFNZ, component commanders and force element commanders with a low cost feedback process and database management system to collate, and disseminate observations, issues and lessons learned; and
2. provide a responsive method for identifying deficiencies and initiating corrective action in the areas of policy, organisation, training, education, equipment, doctrine, tactics, techniques and procedures, or platforms and their systems.

2.12
Procedures also require activity planners to review information held on EARLLS, in particular observations and issues submitted through previous post activity reports.

2.13
HQ JFNZ maintains an on-line EARLLS user guide and associated tutorials to assist new users to gain familiarity with the system.

Promotion of lessons learned culture generally

2.14
General officer and NCO training provides an awareness of the importance of lessons learned within the NZDF. An introduction to EARLLS is included in this training.

2.15
From an ongoing business perspective, a lessons learned culture is promoted within the Services through the Naval Excellence Programme of continuous improvement, the Centre for Army Lessons and the Directorate of Air Force Safety. Each of these areas has a responsibility for encouraging organisation development through lessons learned.

Centre for Army Lessons

2.16
The Army established a Centre for Army Lessons in 2000 with the aim of developing lessons learned processes within the Army. Although the Centre for Army Lessons achieved a number of successes largely relating to the collating and publication of lessons associated with various Army operations and activities, a lack of clarity over its role, and under resourcing, has limited its effectiveness in driving Army lessons learned.

2.17
An initiative to reinvigorate lessons learned across the Army, outlined in a soon to be issued draft Chief of Army Directive NZ Army Lessons Policy, allocates a central role to the Centre for Army Lessons. Key tasks include, the construction of a master topic list for lessons learned priorities, the development of a lessons learned website resource, and the creation and encouragement of a lessons learned culture through education and training.

2.18
This policy recognises that the collection of Army lessons learned involves a combination of ‘passive’ (EARLLS) reporting and many ‘active’ (formal and informal) methods, for example, lessons steering groups, training analysis, and through contact with military partners. Because of this, lessons from all these sources require coordination and integration before being actioned and shared across the organisation.

Functional area lessons

2.19
Service specific policy and standard operating procedures for various functional areas cover training validation, logistics issue resolution, health and safety accidents, security incident management and Board/Court of Inquiry recommendations.

Findings

2.20
Effective NZDF and Service policy on post activity reporting for lessons learned purposes for operational activities, covering overseas missions, major exercises, and other readiness or collective training activities is in place.

2.21
There is general acceptance of the need to complete post activity reporting of visits, conferences and courses. However, only the Army has a formal instruction to input details for these activities into EARLLS. We have reported previously⁶ on the variability of post activity reporting for these types of activities and recommended that the NZDF ensures reports are completed.

2.22
There is a lack of clarity in the CDF Directive, in that while it refers to the full range of NZDF activities, it also specifically identifies those that are included. This has caused some uncertainty over the intent of the policy on lessons learned and may have restricted the extent to which EARLLS has been utilised elsewhere.

2.23
Service specific policy and guidance is in place for lessons learned in various functional areas.

2.24
There is no policy in HQ NZDF regarding the management of lessons learned through its strategic and corporate activities. AC Capability is looking at the possibility of establishing EARLLS as the sole application for managing lessons learned relating to capability projects within the NZDF project management framework.

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5. CDF Directive 31/2005, para 11.
6. Evaluation Report 7/2011 Management of the NZDF’s Programme of International Commitments, dated 9 May 2011.

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