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"content": "Acknowledgements In conducting this study, the RAND representatives who took part in re- Within RAND Europe, the team is Europe study team is grateful to the search interviews. Appendix A of the appreciative of the valuable contribu- many people who have provided their Technical Annex lists their affiliations tions of Jennifer Moroney and the ex- time, advice and support. The team is and, in some cases, their names: some perts group, comprising Alex Hall, Sonja grateful to Frontex for providing nu- interviewees' identities have been an- Marjanovic, Jon Freeman and Catriona merous contacts, coordinating survey onymised at their request. Thanks are Manville. Finally, the team is very grate- responses, and contributing valuable also due to the Member State (MS) and ful to the quality assurance reviewers feedback as the study has progressed . industry survey participants for their val- Emma Disley and James Black for their The study team would like to thank uable insights, as well to those who at- constructive feedback. the policy officials, border security prac- tended the stakeholder workshop held titioners, academic experts, and industry in Warsaw, Poland, ons September 2017. 21 of 156",
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"content": "l. Introduction This report presents the results of a RAND continued pressure on EU borders, with Given the scale, severity and cross- Europe study examining the setup and 96 per cent of immigrants arriving in border nature of these security threats, management of border security research the Central Mediterranean region in 2016 integrated border management (IBM) within and beyond the European Union stating that they had used the services of remains a strategic priority for the EU, (EU) . Commissioned by the European illegal smuggling networks. 6 According IBM is a concept that consists of five Border and Coast Guard Agency (Frontex) 3 to the European Union Agency for Law elements: in December 2016, this study aims to in- Enforcement Cooperation (Europa!), ■ Border control (checks and surveil- form possible alternatives to the current many of the organised crime groups in- lance); model of contracting and managing bor- volved in migrant smuggling are 'poly- ■ Detection and investigation of cross- der security research, and explore the criminal' and engage in a range of other border crime; role that Frontex could play in facilitat- criminal activities, including document ■ Inter-agency cooperation for bor- ing uptake of research outputs by end counterfeiting, property crime, drug traf- der management and international users ('border guards'). 4 This chapter pro- ficking, excise fraud, and trafficking in cooperation; vides an overview of the study context, counterfeit goods , Other forms of organ- ■ Coordination and coherence of activi- its purpose and scope, and the research ised crime posing security problems at ties of MS and institutions; and approach employed. EU borders include weapons smuggling ■ Four-tier access control model': this and trafficking in human beings (THB).7 model supports the detection and Recent attacks in France, 8 Germany 9 investigation of cross-border crime 1.1. Study context and Belgium also highlight that ter- 10 through a combination of measures rorist threats are becoming more inter- in third countries, cooperation with 1.1.1. Diverse threats highlight national and cross-border in nature . 11 In neighbouring countries, border con- the need to strengthen EU border particular, the Syrian conflict has at- trol at the external border, and control security tracted thousands of so-called 'foreign measures within the Schengen area. 15 fighters' from Europe, many of whom Today, the EU faces a range of pressures are likely to return as the Islamic State By assigning strategic importance to on its external and internal borders. (IS) continues to lose territory.\" As some border security, the EU aims to ensure In 2016, Member States (MS) reported of these individuals may pose a threat to that EU citizens' freedom and security more than half a million detected ille- internal security, the role ofFrontex13 and are protected in full compliance with gal border crossings . While this figure European border authorities in monitor- the Union's values, including the rule represents a significant decrease from ing their cross-border movements is in- oflaw and fundamental rights . 16 Border the number of illegal crossings detected creasingly important. 1• security is central to two of the European in 2015 (over a million), it is markedly Commission's Ten Priorities (or Europe, 17 and higher than any annual total between 6 Europol (2017). two of the three strategic priorities set 2010 (around 100 ooo) and 2014 (around 7 Frontex (2017), out in the European Agenda on Security . 18 290 ooo). 5 An increase in people-smug- 8 Tlle Guardian (2017); BBC (2016); BBC Under the European Agenda on Migration, 19 (2015a); BBC (2015b). gling activities has contributed to this a number of measures have been taken to 9 TI1e Guardian (201 G) ; TI1e Telegraph (2016a) ; Tlle Telegraph (20 1Gb). reinforce the security of the EU's external 10 France 24 (2017). While Frontex is now officially named 11 European Commission (201 sc). the 'European Border and Coast Guard 12 Frnntex (2017). 15 Council of the European Union (2006). Agency', it is still widely referred to as 13 Established in 2004, Frontex promotes, 16 European Commission (2015 d). 'Frontex'. In tl1is report, 'Frontex' and 'the coordinates and develops European border 17 TI1ese priorities are •justice and fundamen- Agency· are used interchangeably to refer management in line with the EU funda- tal rights' and' migration'. See European to the organisation. mental rights charter and the concept of Union (2015). 4 An ·end user ' in the context of this study Integrated Border Management. See Fron· 18 TI1ese priorities focus on supporting a refers to the national or multinational tex (n.d.). strong EU response to terrorism and for· authority responsible for border manage· 14 While Fromex (2017) highligtlts IS as the eign fighters and on tackling serious and ment. 1l1e terms 'end user' and 'border main terrorist threat to EU borders, al- organised crime, which both pose cross· guard' are used interchangeably through· Qaeda, its affiliates and other terrorist border challenges. See European Commis- out this document. groups may similarly pose a threat to bar· sion (2015e). Frontex (2017). der security. 19 European Commission (2017a). 22 of 156",
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"content": "Final Report borders and to support the national bor- 1.1.2. Research is important for cross-border dimension . 3' Horizon 2020 der guards deployed by MS. One such border security (H2020), which replaced the Seventh measure was the creation in October 2016 Framework Programme (FP) for Research of a European Border and Coast Guard Research 25 can help security officials un- and Technological Development (FP7) (EBCG), comprising Frontex and the var- derstand and respond to these threats (2007- 2013), is the biggest EU R&I pro- ious national authorities responsible for to border security, as well as support- gramme, with around €8obn of funding border management at the MS level. 20 ing the development of evidence-based available over seven years (2014- 2020). 32 To support these strategic objectives, security policies and operational tools. 26 Border security research sits within the the funding, personnel and remit of An important part of Frontex's man- ' Secure Societies' strand of the H2020 Frontex have been increased since the date involves monitoring and contribut- programme, \" with a maximum amount EBCG came into force in 2016. EU fund- ing to research developments relevant of €73m and €55m available for border ing for Frontex is set to increase from to the Agency's area of operations in security research projects in 2014- 2015 €281m in 2017 to €322m in 2020, with the order to bridge the gap between tech- and 2016 - 2017, respectively. 34 'Secure number of staff members expected to rise nological and research advancements Societies' was set up to focus on 'multi- from 400 in 2016 to 1 ooo by 2020. 21 The and the needs of border control author- disciplinary, mission-oriented research' role and activities of the Agency have ities . Responsibility for monitoring de - which combines 'end users and suppli- been strengthened wi th, for example, a velopments in these areas lies with the ers in project definition and execution'. 35 new Rapid Reaction Pool of 1 500 border Research and Development Unit (RDU). 27 guards and other officers being placed Through projects, worl<shops and con- 1.1.3. Challenges remain in at the Agency's immediate disposal ferences , the RDU aims to facilitate en- incorporating research into since December 2016, alongside a Rapid gagement and exchange of information operational practice Reaction Equipment Pool consisting of between border management authori- helicopters, vessels and other equipment ties and providers of research, includ- Despite the millions of euros invested in to carry out rapid border interventions . 22 ing research institutes, universities EU border security research each year, Additional measures have been taken and industry. Frontex is also responsi- challenges remain in achieving 'impact' to improve situational awareness at the ble for keeping MS and the European through research; that is, improving EU 's external borders and to support the Commission up to date with develop - operational practices, contributing to detection of cross-border crime . For ex- ments , and provides input to policy an enhanced understanding of policy ample, underthe EU's earth-observation development . 28 issues, and building capacity through programme 'Copernicus', the European Beyond the border security research skills development. 36 There is already Commission has agreed to provide projects awarded directly by Frontex, some evidence to suggest that the 'pull- €46.7m to Frontex between 2015 and 2020 several EU funding mechanisms for re - through' of border security research can in order to implement satellite services search and innovation 29 support the pri- be challenging and that many promis- dedicated to border surveillance. 23 With ori ties of the European Agenda on Security .30 ing insights are never incorporated into the agreement finalised on 10 November These priorities focus on countering practice . In some cases, research pro- 2015, the European Commission has en- terrorism, organised crime and cyber- jects can be 'overtaken by events' and lose trusted Frontex with the border sur- crime as interlinked areas with a strong their relevance over time, particularly veillance component of the Copernicus given that EU research funding tends programme. This involves supporting to be long-term in nature, while politi- the European Border Surveillance System 25 \"Research' is the detailed study of a sub- cal priorities and personnel can change (EUROSUR) by providing real-time data ject, especially in order to discover infor- more rapidly. A lack of understanding mation orreach a new understanding (see on activities on land and sea around EU \"Glossary of key terms', and fuller defini- among research providers of the opera- borders . Satellite data has already been tion provided in Chapter 3). While a core tional context and constraints affecting used in combination with ship report- focus of this report is the in tegration of end users can also reportedly limit the ing systems to identify smugglers and research fi ndings in to operational prac- relevance of research outputs to the end save lives at sea. 4 2 tice across these case studies , the report user community. J1 focuses on both 'basic research', which is driven by interest in expand ing knowledge ratl1er than on developing n ew products. and 'applied research', which is designed 31 European Commission (2015a). to address practical problems. 32 European Commissiorr (n .d.-a) . 26 European Commission (2015a). 33 European Commission (n.d.-b). 27 European Union (20 11). 34 European Commission (2015e); European 28 European Urrion (2011). Commission (2 016a). 20 European Un ion (2016) . 29 'Innovation' refers to a process that is able 35 European Secu rity Research Advisory Board 21 European Commission (2015a). to transform new ideas into products, ser- (2 006). 22 European Commission (201Gb). vices and processes, also encompassirrg 36 Economic an d Social Research Council 23 Frontex (2015). the process of invention with a focus on (ES RC) (2017). 24 For example, 350 people were rescu ed af- ensuring lhat such new ideas are applied 37 Startup project m eeting at Frontex offices, ter Copemirns helped identify four rub- to the benefit of end users. See Chapler 3 Warsaw, 19 /anuary 201.7. See Section 3.2 ber dinghies leaving the coast of Libya on and the glossary of key terms. for a more in-deplh discussi on of these 7 October 2015. See Copernicus (n.d.-a). 30 European Co mmission (2015d) . challenges and constraints. 23 of 156",
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"content": "1.2. Purpose and scope approach combining data-collection ac- six organisations also operating in other tivities with a rigorous analytical pro- domains - namely defence and space - Given the challenges inherent in pulling cess. Figure 1.1 presents the overall with a view to understanding different through operationally relevant research, research approach, which is structured functional roles for R&l. Frontex is interested in developing a bet- around three Work Packages (WP) linked The case studies conducted in WP3 fo- ter understanding of how border security to the three RQs above. cused on the following six organisations: research is set up, managed and opera- ■ European Space Agency (ESA): The tionalised by agencies operating at the The RAND Europe project team used two ESA is the coordinating entity for national level within and beyond the main research methods to conduct this European civilian space activities. It EU. This is intended to increase aware- study: case studies (drawing on docu- is an intergovernmental organisation ness of alternative or new ways of set- ment reviews, research interviews and- of 22 MS, dedicated to the exploita- ting up, managing and using research for WP1 only - surveys) and workshops. tion of space science, research and outcomes that enable the faster integra- As shown in Figure 1.1, the case studies technology. tion of relevant research, make research were conducted in two separate phases ■ European Institute oflnnovation & more focused on operational needs, and and with different purposes. Technology (EIT): The EIT is an in- ensure that its potential for positive im- dependent EU body set up to sup- pact on EU and MS border security is fully Case studies port innovation in Europe. The EIT realised. brings together universities, research To support this overarching objective, In the first phase of the study, the WP1- 2 labs and companies to form partner- this study addresses three research ques- case studies were used to answer the first ships ('Knowledge and Innovation tions (RQs): 38 two research questions (RQ1 and RQ2) Communities') . ■ RQ1 : How is research and innovation described in Section 1.2. As part of this ■ Defense Innovation Unit - Experi- in the area of border security set up, analysis, these case studies helped gen- mental (DIUx): Headquartered in Sili- conducted and operationalised by EU erate a high-level understanding of good con Valley in California, DIUx is a US organisations and MS? practices and common challenges relat- Department ofDefense (DoD) organ- ■ RQ2: What approaches are used in the ing to the operationalisation of border isation focused on accelerating com- US, Canada and Australia to fund and security research . As per WP1 and WP2, mercial technology development for apply research in this area? 39 this first set of case studies focused ex- the US military. ■ RQJ : What 'good practices' from these clusively on institutions or organisations ■ Department of Homeland Security different approaches could be incor- involved in border security research in (DHS) Small Business Innovation porated into the EU approach? the following countries and regions: the Research (SBIR) : The DHS SBIR EU, the US, Canada, Australia, Turkey programme aims to increase small While a central focus of the study is and selected parts of North Africa (Egypt, business participation in US federal on the integration of research findings Morocco and Tunisia). 42 These case stud- research that has the potential for into operational practice, this report fo- ies are presented in Figure 1.2 on page 26, commercialisation. cuses on both 'basic research', which is along with an overview of the main gov- ■ Homeland Security Innovation driven by interest in expanding knowl- ernmental actors and EU institutions re- Programs (HSIP) : The HSIP aims to edge rather than on developing new sponsible for the setup and management generate innovation in hubs across products, • and 'applied research', which 0 ofborder security research . Detailed de- the US in order to solve DHS's most is designed to address practical problems scriptions of the EU and non-EU case complex challenges through outreach of the modern world rather than to ac- studies are presented in Chapters 2 and to investors and funding for innova- quire knowledge for knowledge's sake. 4' 3, respectively, of the Technical Annex. tive start-ups . ■ Centers of Excellence (COEs): COEs In the second phase of the study (WP3), refer to a coordinated, university- 1.3. Research approach to inform the development of recommen- based programme that aims to har- dations for Frontex, the project team con- ness expertise from US academic To achieve the objectives of the study, ducted a more in-depth investigation of institutions in order to support re- the project team deployed a structured search efforts and deliver tools, technologies, knowledge products, 42 At Frontex·s request, the EU, US, Canada training and expertise for the home- 38 More detailed informati on in response to and Australia cases studies offer a more land security enterprise . RQ1, RQ2 and RQ3 can be found in Chap- granular analysis of how researcl1 is set ters 2, 3 a nd 4, respectively, of t he Tecl1- up, conducted and implemented in prac- nical Annex . tice . while the Turl<ey and North Africa The WP3 case studies were selected at 39 At the client's request, the study's anal- cases offer a 'lighter-touch' analysis that an internal analysis session. At this ses- ysis focuses on the EU, US, Canada, Aus - provides a high-level description of: (il the sion, the study team identified research tralia and - (to a lesser ex tent) on Turkey extent to which border security research is organisations for further, more in-depth and three North African countries: Egypt , already being conducted and operational- Morocco and Tunisia (see Section 1. 3). ised in these councries; and (ii ) any exist- analysis from the first phase of the study 40 Lawrence Berkeley National Library (n .d. ). ing or intended involvement in the Hori- (SBIR, HSIP and COE), before agreeing on 41 Lawrence Berkeley National Library (n.d. ). zon 2020 programme . organisations from other sectors with 24 of 156",
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"content": "Final Report Figure 1.1 Overview of research approach Data collection outcomes Analitical process r - - - - - - - - 7 r--------- ------ -- , WPl &.. WP2 WP3 Case studies: Case studies: Case studies: Workshop: EU border Non-EU border Selected External experts security research security research EU and non-EU (national border guard (EU organ isation and MS) (Relevant authorites in organisations agencies, Frontex us, Canada, Austral ia, and other EU (Incl uding those operating institutions) plus selected industries) in defence an d space Interviews sectors) Interviews Interviews Literature review Literature review surveys Literature review Understanding of Stakeholders· perception Landscaping of good practices and challenges related ate border security research different operational of Frontex role in the models context of research Consultat ion w it h internal experts Consultation with intern al experts Creation of R&J pathway fo r the operat ion a lisation of Development of Option analysis border security research org anisational functions Development of way forward ______________ .J applicable lessons for border security R&l 'grey' literature. 43 The WP1-2 review fo- ernment agencies and other stakehold- (ESA, EIT and DIUx) . Literature availa- cused on literature relating to the insti- ers involved in the setup, management bility was also a considered as part of se- tutional setup of border security research and operationalisation of research. The lection in order to ensure that there was across the case study countries and re- team included literature in the review sufficient source material to conduct an gions, while the WP3 review explored on the basis of relevance to the research informed analysis. Detailed descriptions the functional activities of the six case questions and to the scope of the study, of the WP3 case studies are provided in study organisations . Both reviews were and findings were written up in a nar- Chapter 4 of the Technical Annex . conducted through Google and Google rative synthesis . As the following paragraphs describe Scholar searches and 'snowball' search- in more detail, the WP1-3 case studies ing. 44 Given the institutional and proce- Research interviews are based on a combination ofliterature dural focus of the study, the study team Complementing the literature review, a review and research interviews, with identified most of the literature reviewed total of 32 semi-structured•5 telephone in- additional WP1 data collected through by searching the websites of relevant gov- two surveys . 45 Semi-structured interviews combine the 43 'Grey literature' is produced by organisa- use of an interview protocol containing Literature reviews tions outside of academic or commercial specific questions with flexibility to asl< Across all WPs, data was collected through publish ing channels . Examples of grey li t- unplanned follow -up quest ions. By con - structured reviews of peer-reviewed and eratu re include government documents, trast, structured interviews fo ll m,v an i n- technical re ports, wor ld n g papers, doc- terview protocol w i th all interviewees toral theses and conference proceedings. asked exactly the same questions in t h e 44 'S n owbal.l searching ' involves using a same order, while unstructured interviews given document's reference li st to iden- consist of a free -flow ing conversation on tify ocher relevant documents. a given topic. 25 of 156",
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"content": "Figure 1.2 Overviev of WP1 and WP2 case studies Canada European Union Turkey Main actors: Public Safety Canada, Defence Main actors: European Commission, DG HOME, Main actors: Fcoo<e~e\\h.~ ,e ~,=yMS Research &. Development Canada (Centre for Unknown (owning to political sensivities) Security Science), Canada Border Services Agency (Science&. Technology) _~ _ ~}. ;;; ,_ \"'ii. \"!_~ i,\\ 'If! . '-~ . ~ ·2~ United States Main actors: . -~ ,'·· Departament of Homeland Security (Science and Technology Directorate, Coast Guard) Source: RAND analysis (2017). North Africa: Egypt, Morocco and Tunisia Acs:,,:< Main actors: Departament of Main actors: National Ministries of Defence and Immigration and Border Protection, Ministries of Interior Minister of Immi gration, Cabinet terviews were conducted across all WP. Interviewees were policy officials, bor- der guard practitioners, academic ex- Surveys Workshops perts and industry representatives with expertise relating to the case studies un- To support the WP1 analysis, the study In addition to the case studies, an ex- der analysis. 46 Interviewees were identi- team distributed two electronic sur- ternal stakeholder workshop was held fied by conducting online searches and veys. The first survey was circulated at Frontex premises in Warsaw, Poland, leveraging RAND's contact networks, to National Frontex Points of Contact on 5 September 2017 with the participa- and through recommendations from (NFPOC) within all 28 EU MS, with a tion of 30 experts from national border Frontex. An interview protocol was 39 per cent response rate (n of 28 MS). 47 guard agencies, Frontex and other EU used to conduct these interviews (see In order to complement the MS survey institutions.48 The purpose of this ex- Appendix B of the Technical Annex). This data with perspectives from research, ternal stakeholder workshop was to an- guidance document was designed to help academic and industry representatives, alyse different types of functional role interviewers cover all the desired topics Frontex circulated a second survey to 52 that Frontex could play in order to sup- while allowing scope for flexibility, and of their contacts from industry and aca- port the operationalisation of border se- was adjusted for each of the case stud- demia, with a 10 per cent response rate curity research (see Chapter 5). ies. It was also designed to ensure that (5 of 52 contacts). The purpose of these To help structure our research ap- all topics of discussion were, as far as surveys was to expand on and validate proach and synthesise findings, three possible, covered with all participants. the emerging findings of the WP1 lit- internal analysis workshops were held We conducted 14 interviews focused erature review and interviews, as well with a RAND Experts Group made up on EU border security research (WP1), 14 as to provide further details about EU of senior researchers and topic experts interviews focused on non-EU border se- border management processes and the in research, innovation and border se- curity research (WP2), and 4 interviews roles of different agencies that were not curity at RAND Europe. The purpose with representatives from R&l organisa- otherwise captured through the litera- of the first internal workshop, held at tions (WP3). The majority of interviews ture review. the early stages of the study, was to de- focused on WP1- 2, given that the WP3 velop a draft research and innovation case studies were intended to be based pathway to map the possible processes primarily on a literature review. Table 1.1 47 7 NFPOC (Surveys A- G) provided completed linking border security research and its presents the distribution of interviewees survey responses: 3 NFPOCs (Surveys H-J) informed che study team that they do not across countries and regions. perform activities related to border secu- 48 For information on supporting materials rity research, and 1 NFPOC (Survey K) was used at the workshop and on workshop 46 A full list of interviewees is included in unable to complete the survey due to other findings, please refer to Appendices D and Appendix A of che Technical Annex, work commitments. E of the Technical Annex, respectively. 26 of 156",
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"content": "Final Report Table 1.1 Distribution of interviews across countries and regions (WP1-3)49 North Africa, EU us Canada Australia Turkey (Tunisia, Morocco, Egypt) Interviews 15 5 5 4 l 2 conducted (WPl: 14, WP3 : 1) (WP2: 2, WP3 3) {All WP2) (All WP2) (WP2) (Both WP2) Source: RAND analysis (2017). Figure 1.3 Structure of this report ANALYSIS OF CURRENT PRACTICES ANALYSIS OF FUTURE INTRODUCTION CONCEPTUALI SATION OPPORTUN ITI ES Chapter, Chapter 2 Chapter3 Chapter 4 Chapters I I Technical Annex Technical Annex Chapters 2-3 Chapter 4 '. ,,. ,,. Scoping of Background Functional roles R&.I f ramework good practices Recomendations and approach for R&.I &. chal leng es implementation by border guard author- innovation' to refer to the entire pro- examples of 'research impact', 'end ities . The resulting framework was used cess that leads to the operationalisa- user involvement' and 'the operation- to structure the study team's approach tion of research and its related impact alisation of research' were sought by to data collection (see Chapter 2). The on policy and operational practices. RAND researchers, in some cases little second internal workshop focused re- This process includes, but it is not detail on this could be elicited from spectively on refining the research and limited to, the 'research & develop- the available literature, interviews innovation pathway, and the third on ment' phase (see Chapter 2 for more and survey responses . validating the case study and external details). ■ The identification of'good practices' stakeholder workshop findings. ■ Across the WP1-2 case studies, more and 'challenges' in the setup and literature and interview data was management of border security re- available for the EU and the US than search across the case studies is based 1.4. High-level assumptions for other countries and regions.s A 0 largely on the views of WP1-3 study relative shortage of data on Canada, interviewees representing policy, A number of high-level assumptions Australia, and in particular North practitioner, academic and industry should be noted in considering the find- Africa and Turkey (in part due to po- stakeholder communities. ings presented in this report: litical sensitivities) 5' has implications ■ While the report highlights the main ■ From a terminology perspective, this for the depth of analysis on these fo- challenges and areas of good practice report uses the term 'research and cus countries and regions . identified through the WP1- 3 inter- ■ In a number of areas, the nature of views and literature review conducted the data available to the study team within the study timeframe, the 49 Since submission of the Interim Report means that the WP1- 2 case study find- study team recognises that there are in June 2017, additional interviews have ings lack granularity. While specific likely to be good practices and chal- been conducted with EU stakeho lders (11=3) and Australian stakeholders (11=1 ) lenges not captured in this document, to update WP1 and WP2 content. A to - and that those listed are not exclu- tal of 4 WP3 interviews l1ave also been 50 While comparatively few interviews were sive to the case studies in which they conducted (11=3 US imerviews compris- conducted with US stakeholders (11=2) , this are outlined. ing 1 with SBIR, 1 with HSlP and 1 with limitation was offset by the high ava.ila- ■ Relatively low WP1 survey response an anonymous US organisation; and 11=1 bility of US literature. EU interview with an anonymous EU 51 Please referto Section 2. 2. 3 of this repo rt rates (39 per cent and 10 per cent re- organ isation). and Section 3. 4 of the Technical Annex. spectively for the MS and industry 27 of 156",
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"content": "surveys) limited the generalisability ■ Chapter 2 outlines the concepts of re- ■ Chapters 2-4 are the 'core' chapters of of the data collected from respond- search and innovation, and presents the Technical Annex, presenting case ents . However, complementing sur- the research and innovation path- study findings relating to EU border vey data with data from the research way developed as part of this study security research (WP1), non-EU bor- interviews ensured that our analy- to guide our analysis . der security research (WP2), and the sis was informed by a wide range of ■ Chapter 3 provides a summary of functional roles for R&I within dif- stal<eholder perspectives. findings across the WP1-3 case stud- ferent organisations (WP3). ■ Discussions at external workshop ies in relation to good practices and ■ Appendix A lists the study were informed mainly by EU bor- challenges for operationalising bor- interviewees. der guards and Frontex representa- der security research. ■ Appendices B-D present supporting tives, given that these stakeholder ■ Chapter 4 explores a range of func- research materials : interview ques- groups accounted for the majority of tional roles that organisations can tions (Appendix B), survey outlines attendees. play along the research and innova- (Appendix C), and materials for the tion pathway described in Chapter 2 . external workshop (Appendix D). ■ Chapters presents a series of forward- ■ Appendix E summarises proceedings 1.5. Structure of the report looking recommendations for consid- and findings of the external stake- eration by Frontex. holder workshop. This report outlines the findings of this study and provides a set of recommen- This report is accompanied by a Technical Figure 1.3 on the previous page high- dations for Frontex. In addition to this Annex, the contents of which are as lights the links between the chapters of introduction, this document contains follows : this report and the core chapters of the four substantive chapters : ■ Chapter 1 provides an overview of the accompanying Technical Annex. Technical Annex. 28 of 156",
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"content": "2. Conceptualising research and innovation This chapter introduces the concepts of Whether basic or applied, research is processes set out under the DOTMPLFI research and innovation, explaining how part of innovation (though not all inno - framework. While the definition of the latter relates to the adoption of re- vation requires research), but it is lim- capability and its constituent parts search by end users in the border secu- ited to the creation and investigation may vary by sector or country, the rity context. The following sections then of new ideas and solutions - in simple principle that it includes more than draw on established R&J models and theo- terms, it goes only halfway to solving just new technologies or new knowl- ries identified through a literature review an identified gap since it does not in- edge st ill holds true. The process to develop a bespoke 'research and inno- clude all the steps that turn ideas into through which new technologies and vation pathway', which serves two pur- new products, services and processes. new knowledge are integrated fully poses . First, this pathway offers a way of Translating border security research into operational practice is usually presenting case study findings related to into operational practice goes beyond referred to as capability development .57 EU and non-EU border security research the success of any individual project (WP1-2) in a structured and consistent and relies on the existence of two main Given that the focus of this study is on way (see Chapters 2 and 3 of the Technical processes: research (both basic and applied) and in- Annex) .5' Second, a number of'functional ■ From an industrial and academic novation, analysis of the capability-de- roles' for R&J, identified through the case perspective , it requires a process that velopment process is beyond the scope of study research (WP1-3), are mapped onto is able to transform new ideas into this report. However, Frontex should re- the pathway (see Chapter 4) in order to new products, services and processes, main cognisant of these considerations inform a set of recommendations for also encompassing the process of in- when approaching R&J ifit is to take in- Frontex (see Chapters) . vention with a focus on ensuring that novative new products and effectively such new ideas are applied to the ben- put them into the field as fully matured, efit of end users. This process is usu- supportable new capabilities. 2.1. Overview of key ally known as 'innovation'. 55 definitions ■ From a border security perspective , the acquisition of a newly available 2.2. The research and Understanding the distinctions between technology is not per sea new capabil- innovation pathway 'research' and 'innovation' is important ity. In most cases, 'capability' com- for enhancing awareness of how new prises a range of different constituent In relation to research and innovation, it technology or knowledge can be more ef- parts (e.g . pieces of equipment, in- is possible to identify a series of sequen- ficiently and effectively translated into frastructure and knowledge) . For tial steps that connect the generation of operational practice. As described in example, the North Atlantic Treaty an idea, or the identification of a capa- Section 1.2, one possible way of defin- Organisation (NATO) identifies eight bility gap, to the adoption of a solution ing research is by splitting the concept elements that collectively mal<e up a by end users and its related impact on into two categories: capability: Doctrine, Organisation, operational practices and its wider so- ■ 'Basic research' (also referred to as Training, Materiel, Leadership and cietal benefits . These steps are often in- 'fundamental' or 'pure' research), Education, Personnel, Facilities, and tegrated into the concept of a 'pathway' which is driven by interest in expand- Interoperability (DOTMLPFI) .56 Even in the literature. 58 Pathways are not lin- ing knowledge, rather than a focus on when thinking only about new equip- ear processes, but are often cyclical, with creating or inventing products; 53 and ment or technology, it is not enough ■ 'Applied research' , which is designed simply to procure it for border guards 57 This refers to the deve lopment and aper- ationalisation of a capability. Capability to solve practical problems of the to use; there must also be an effec- is defined as: 'Toe power to achieve a de - modern world, rather than to acquire tive maintenance and support so- sired operational effect in a nominated knowledge for knowledge's sake. 54 lution in place, in addition to the environment within a specified t ime and wider changes to training, policy and to sustain that effect for a designated pe - riod' (Australian Government Department 52 See in particular Sections 2. 1. 4, 3 .1, 4 , of Defence (2014), 3. 2 .4 and 3 -3 .4 of the Technical 1,nnex. 55 Freeman et al. (2015). 58 For an examp le of a research and inno - 53 Lawrence Berl<eley National Library (11. d.). 56 US Army Training and Doctrine Command vation patl1way model, see Donovan and 54 Lawrence Berkeley i\\ational Library (n.d.). (TRADOC ) (2013). Hanney (2011) . 29 of 156",
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"content": "Figure 2.1 Research and innovation as connected processes Source: RAND Europe analysis. Figure 2.2 The eight steps of the research and innovation pathway Research outputs Adaption by users Inputs to research Evaluation Research process Source: RAND Europe analysis. Please note that the steps of this graphic should be read in the order described on the previous page (i .e. beginning with 'needs identification and prioritisation', moving clockwise to 'project specification and selection', and continuing in the orde r indicated by the arrows). continuous feedback loops between each ■ Project specification and selection: ■ Research outputs: 'Outputs' are the of the steps. This step includes the creation of tech- products that result from project ac- Figure 2.1 illustrates how border se- nical specifications to be addressed by tivities (e.g. research publications, curity research and innovation are part the research project, as well as the toolkits, technologies/prototypes). of a cyclical process originating from the overall selection process of suppliers. ■ Adoption by end users: This step, identification of a capability gap (or area ■ Inputs to research: 'Inputs' are the also referred to as 'operationalisation', requiring improvement). Figures 2.2 and components that provide a basis for refers to the integration of research 2.3 elaborate on this pathway, which was the research process to take place outputs into operational practice. refined through a series of internal work- (e.g. funding, technical expertise, ■ Impact: While definitions vary, 'im- shops with RAND Europe border security relationships, project management, pact' can be defined as the extent and innovation experts. personnel). to which research improves opera- Several steps follow the identification ■ Research process : This includes all tional practices, contributes to an of a need (e.g. a capability gap) to form activities related to the delivery of enhanced understanding of policy the research and innovation pathway. the research against the technical issues, and builds capacity through These include:s9 requirements (see definition of 'ba- skills development. • 0 sic' versus 'applied research' above) . 59 RAND Europe analysis. 60 ESRC (n.d. ) . 30 of 156",
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