LIGHTING THE SHADOWS: AN EVALUATION OF THEORY AND PRACTICE IN CANADIAN DEFENCE INTELLIGENCE FAffiE DE LA LUMIERE: UNE EVALUATION DE LA THEORIE ET DE LA PRATIQUE DU RENSEIGNEMENT DE DEFENSE AU CANADA A Thesis Submitted to the Division of Graduate Studies of the Royal Military College of Canada by James Samuel Cox, OMM, CD, MA Brigadier General (Retired) In Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy May 2011 © This thesis may be used within the Department of National Defence but copyright for open publication remains the property of the author. 1 Library and Archives Bibliotheque et 1*1 Canada Archives Canada Published Heritage Direction du Branch Patrimoine de I'edition 395 Wellington Street 395, rue Wellington OttawaONK1A0N4 OttawaONK1A0N4 Canada Canada Your file Votre reference ISBN: 978-0-494-82224-1 Our file Notre reference ISBN: 978-0-494-82224-1 NOTICE: AVIS: The author has granted a non­ L'auteur a accorde une licence non exclusive exclusive license allowing Library and permettant a la Bibliotheque et Archives Archives Canada to reproduce, Canada de reproduire, publier, archiver, publish, archive, preserve, conserve, sauvegarder, conserver, transmettre au public communicate to the public by par telecommunication ou par I'lnternet, preter, telecommunication or on the Internet, distribuer et vendre des theses partout dans le loan, distribute and sell theses monde, a des fins commerciales ou autres, sur worldwide, for commercial or non­ support microforme, papier, electronique et/ou commercial purposes, in microform, autres formats. paper, electronic and/or any other formats. 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Main Supervisor / Directeur de these principal n The research involving human subjects that is reported in this thesis was conducted with the approval of the Royal Military College of Canada General Research Ethics Board. in This dissertation is dedicated to the men and women of Canadian defence intelligence. ACKNOWLEDGMENTS I have gained great benefit from the gracious guidance and direction of my two co- supervisors, Dr. Michael Hennessy of the Royal Military College of Canada and Dr. Barbara Falk of the Canadian Forces College. I thank them sincerely for allowing me room to manoeuvre and for giving a good pull on the reins when it was needed. I also wish to acknowledge the valuable help provided by the many serving and retired Canadian Forces personnel who helped me in the conduct of research for this dissertation. Many were old friends like Lieutenant-Colonel Greg Jensen and Mr. Gudmund Thompson. Lieutenant-General Mike Gauthier (Retired), a former Chief of Defence Intelligence, was of particular help in reviewing one of my final drafts in its entirety. Dr. Stuart Farson, Dr. Kurt Jensen and Ms. Margaret Purdy reviewed a number of my working drafts along the way and pulled me back onto an appropriately academic path when I started to wander astray. Most importantly, I fondly highlight the tolerance and understanding (sometimes more apparent than others) of my wife Tricia. The years I have spent on this academic journey have denied her the 'retired' husband she had expected in 2001. I now intend to spend more time with her. v ABSTRACT Cox, James Samuel; Ph.D.; Royal Military College of Canada; September 2010; Lighting the Shadows: An Evaluation of Theory and Practice in Canadian Defence Intelligence; Dr. M.A. Hennessy, Dr. B.J. Falk. Analysis of expert literature on intelligence studies could contribute to the optimization of intelligence practices. While learned opinion is open to question and debate, such views should be considered and accepted or discarded with reason, rather than simply ignored. This thesis identifies the degree to which the Canadian defence intelligence organization and its activities have been informed by expert academic views found in the literature on intelligence. Findings are provided in three categories that reflect six conceptual components of intelligence: 1) Policy and Governance; 2) Organization and People; and 3) Process, Product and Action. Within each category I derive theoretical best practices from expert literature. Then, using a case study of Canadian defence intelligence, I identify relevant current practices that are subsequently compared to the theoretical best practices. After identifying gaps or anomalies, this thesis both evaluates Canadian defence intelligence on the basis of the degree to which theoretical best practices are reflected in current practices and makes recommendations to close gaps and eliminate anomalies, to enhance the alignment of current and theoretical practices. My findings demonstrate that of the thirty theoretical best practices identified, seventeen are reflected in current Canadian defence intelligence practices. Of those seventeen theoretical best practices, ten have fully aligned current practices. Seven current practices are only partially aligned with theoretical best practices. The remaining thirteen theoretical best practices have no aligned current practices. In particular, I demonstrate that defence intelligence deficiencies exist in legislation, overall intelligence policy, human resource development and procedural efficiency. A process of formal review and evaluation is also absent. Given the significance of these gaps, I evaluate Canadian defence intelligence organization and activity to be less than optimally informed by expert academic opinion. My principal recommendations call for a legislated basis for defence intelligence; a national defence intelligence policy; a departmental intelligence human resource strategy; a larger, more widely experienced and better educated strategic analytical cadre; and more rigorous leadership and stewardship of the intelligence function on the part of senior civilian defence officials. The Department of National Defence should also establish and lead a Canadian Defence Institute of Intelligence Studies as a centre of excellence for the study and practice of intelligence within the Canadian government. Keywords: intelligence; defence; analysis; government; strategic, VI EXTRAIT Cox, James Samuel; Ph.D.; College militaire royal du Canada; Septembre 2010; Faire de la lumiere: Une evaluation de la theorie de la pratique du renseignement de defense au Canada; Dr. M.A. Hennessy, Dr. B.J. Falk. Une analyse de la litterature experte pourrait contribuer a l'optimisation des pratiques en matiere de-renseignement. Certes, les opinions des experts peuvent susciter le scepticisme ou la controverse, mais elles devraient neanmoins etre examinees et acceptees - ou rejetees - avec juste raison, plutot que simplement laissees de cote. La these dont il est ici question determine dans quelle mesure l'organisation et les pratiques du renseignement de la defense au Canada ont ete influeneees par les opinions des experts. Les resultats sont regroupes en trois categories, qui refletent six volets conceptuels du renseignement: categorie 1, Politique et gouvernance; categorie 2, Organisation et personnel; et categorie 3, Processus, produit et marehe a suivre. Pour chaque categorie, je recense les pratiques theoriques exemplaires a partir d'ouvrages specialises. Par la suite, en faisant du renseignement de defense au Canada une