Border Science: Going Beyond

Five-Year Vision / Strategy

Laboratory and Scientific Services Directorate
Innovation, Science and Technology Branch

Table of Contents

• Preface
• A Changing World
• Laying the Groundwork
• Findings
• Conclusions
• Future Direction
• Moving Forward
• Success
• Appendix A – Science and Engineering
• Appendix B – Chief Scientific Officer

Preface

A key component of the Canada Border Services Agency's Innovation, Science and Technology Branch is the science and engineering role the Laboratory and Scientific Services Directorate plays in border management.  The intent of this document is to describe the high-level direction that the Directorate intends to follow over the next five years and the strategies to move forward in that direction.  It is the result of the largest and most extensive consultation in the Directorate's history.

Following Agency approval of the direction and strategy, the Directorate will publish its Implementation Plan which will provide details of the initiatives to be undertaken to support the Agency's regulatory requirements and funded program priorities, and turn the strategic directions into reality.

A Changing World

Originally a Customs and Excise Laboratory in 1875 analyzing alcohol and tobacco products, the Laboratory mandate expanded in 1898 to include tariff classification of trade products.  Under Revenue Canada (customs, excise, and taxation) and subsequently, Canada Customs and Revenue Agency, the Directorate was the functional authority for science, with the mandate to provide scientific services such as product analysis and opinions in support of tariff, trade, and excise regulations, as well as forensic document examination for income tax purposes.  In the late 1990s, the Directorate expanded its scientific capabilities and evolved to include applied research, development, and engineering for border management.  These advancements in the science and engineering of equipment and devices to detect weapons of mass destruction, drugs, and other contraband have greatly improved Canada's ability to secure its borders, as well as put Canada at the forefront of detection sensor technologies.

Some things from the Directorate's early days remain constant; for example, the science in support of legislative and regulatory¹ requirements.  This Directorate is the only federal government “regulatory” laboratory in Canada for both contraband² and counterfeit³ tobacco and alcohol products.  The Directorate continues to be recognized internationally as experts in the domains of contraband, counterfeit tobacco, and forensic document examination.  As well, it advises the World Customs Organization (WCO) in the realm of tariff classification and other areas.

"CBSA's scientific capacity, nurtured by world-class scientists and a progressive laboratory, fortifies its border enforcement posture and positions the Agency to fully leverage leading science and technology opportunities."

(World Customs Organization Special Report 2007)

With the Directorate's evolution, came a variety of changes and challenges.  As the Agency name and business changed in 2003, so too did demand for the Directorate's science and engineering services to shape border management.  Resources were shifted internally from commodity analysis to border safety and security.  The Directorate now finds itself operating within an unsustainable infrastructure in terms of financial capacity, physical environment, and human resource capacity, including dependency on single person points of failure.  In addition, the Agency could optimize its business investments by incorporating scientific and engineering due diligence.

Laying the Groundwork

In mid-late 2007, the Directorate launched a consultation exercise, the first of its kind in its history.  The purpose of these consultations was to determine how the Directorate could better serve the Agency and other stakeholders, to get a better understanding of how the Directorate's primary stakeholders view the Directorate, to invite suggestions on how it might strengthen its performance, and to solicit program requirements for its science and engineering services.

The Directorate followed a formal process, taking the time necessary to review the environment, develop a science and engineering context, create sandboxes⁴ for all its functions, and conduct an internal SWOT (strengths, weaknesses, opportunities, threats) analysis, as well as a stakeholder analysis.  Interviews were conducted with approximately 200 people, including all Agency senior executives, Directorate staff, and representation from program areas, regional offices, external stakeholders, and international partners.

The guiding principles the Directorate established in setting a clear business direction for the coming years, were that:

• It had to align with the Agency's Strategic Plan and Priorities and the three principles of federal science and technology, namely alignment, linkages, and excellence;
• It would incorporate the findings of extensive consultations at all levels (clients, staff, executives, partners, etc.);
• It would focus primarily on the Agency, but would also include the needs of major stakeholders, such as Canada Revenue Agency;
• It would respect that the CBSA is an operational Agency that uses science and engineering as a mechanism for achieving its mandate;
• It needed to clearly articulate how the Directorate could help the Agency fully leverage leading science and engineering opportunities to position it for the border of the future, while continuing to meet ongoing operational requirements;
• There would be no boundaries to its thinking and it would not be limited by its current capacity; and
• Despite best efforts, there would be some outstanding questions.

Findings

The consultations revealed that:

1. There is a high level of satisfaction with the Directorate's current services, although in a number of cases, there are opportunities to improve its operational turnaround times.
2. There is an increased need for more science and engineering (Appendix A) to meet program requirements over the coming years, categorized as:
   • More sophisticated “goods” detection techniques and technologies for:
     • Commodities such as currency, firearms, alcohol, tobacco, plants, animals, foods, insects, fumigants and solvents, pseudo drugs, narcotics, liquids, fraudulent documents, and prohibited imports (endangered species, etc.); and
     • Postal and courier mode (packages, parcels, etc.) to address issues related to high volume, rates, and cross-contamination.
   • More sophisticated “people” technologies and techniques to facilitate risk management of travelers coming into Canada in terms of unique identifiers, determining their origin, etc.  From an Immigration and Refugee Protection Act (IRPA) perspective, there is a need for immigration surveillance technologies [e.g., Global Positioning System (GPS) bracelets, voice recognition, video surveillance] for monitoring the movement of people released on security certificates.
   • Analytical tools, methods, technologies and path-breaking scientific and research advances to translate large volumes of complex data into information, patterns, and trends that will enable the Agency to maintain and extend its intelligence⁵ advantage against emerging threats.  The intelligence can be used for risk analysis and better approaches for targeting of individuals, importers, exporters, etc.
   • Science at the border to provide front line officers with the necessary tools, techniques, and training in order to conduct preliminary analysis for the detection and authentication of goods and verification of people entering the country.
   • Stronger science and engineering leadership role to keep the Agency abreast of new developments, the ‘art of the possible', and ideally shape science and engineering systems and devices for border management.
3. Parts of the Agency are still not aware of the Directorate, nor do they have a good understanding of what the Directorate does or how its services can be used to support their mandate.

In parallel with the external stakeholder consultation process, the Directorate held internal consultations with Directorate managers and staff that resulted in the articulation of factors or principles to be kept in mind when shaping the future direction:

• Balance:  The Agency's increasing focus on counter-terrorism creates an expectation for increased efforts on the Directorate's part to fully leverage any emerging science and engineering opportunities, which needs to be fulfilled without sacrificing its ongoing efforts against criminal activity.
• Keeping pace:  Evolution by the Agency, CRA, CIC, RCMP, and other Public Safety partners towards greater and more sophisticated targeting will significantly affect the Directorate's casework and caseload.
• Resiliency:  Impact of the upcoming culture change (exodus of baby-boomers overlapping with the influx of next-generation techno-savvy officers and managers) will affect the knowledge base and experience, service levels, response times, and ability to meet client expectations.
• Strategic thinking:  A need exists to think more strategically in terms of anticipating circumventions of Agency security and developing protective countermeasures.  Criminals can be earlier adopters of new technologies than large government departments and agencies.
• Agility:  The Directorate must be poised to respond quickly (‘state of readiness') to new business priorities and science and engineering opportunities the Agency wants to take advantage of (proof of concept to operational reality in a relatively short timeframe) and unpredictable shifts in a changing world.  It needs a strong foundation with adequate capacity (internal competencies, staffing, training, adequate space, etc.), in balance with its operational landscape.
• Responsibility:  The science and engineering framework needs to respect the constraints under the Canadian Charter of Rights and Freedoms and the Privacy Act, environmental trends, etc.

Conclusions

When combined, the above findings helped the Directorate come to a number of conclusions that underpin its thinking for the future.

1. All the existing business lines are needed, and where possible, operational efficiencies need to be further realized (e.g., greater use of senior staff for more sophisticated work).
2. A need exists for a cohesive Agency science and engineering program that:
   • unifies all the science and engineering initiatives and resources for more focused efforts;
   • manages the Agency's growing needs for advanced border science and engineering (increased demand for the Directorate's services, increasing complexity of technology and sophisticated threat agents);
   • ensures an Agency ‘state of readiness' in anticipation of tomorrow's border security challenges that can respond to unpredictable shifts and priorities; and
   • institutes greater due diligence to bring about wiser business investments and fully leveraged opportunities.
3. An Agency authority must be created for the science and engineering program.  Given that the Directorate has these credentials, it should hold the portfolio and be at the heart of all science and engineering initiatives.

Future Direction

Over the next five years, as the Science and Engineering Authority⁶ for the Agency, the Directorate will:

1. Establish a solid science and engineering program that links directly with the Agency's objectives to leverage more science, innovation, and fact-based decision making.
2. Provide leadership and advice in the application of scientific methodologies and technologies to solve today's problems, as well as for the border of the future.
3. Evolve the Director General's science and engineering role to include the parallel function of Agency Chief Scientific Officer (Appendix B) with the authority for all science and engineering within the CBSA.
4. Ensure a stronger science and engineering presence and voice at decision-making tables through an appropriate governance structure.  This could take the form of either an Agency investment committee, a science and engineering committee or an advisory board, with internal and external membership.
5. Integrate the Agency into national and international science and engineering communities.
6. Concentrate on two priority technical streams that will leverage science and engineering to its fullest:
   • Integrate the existing independent program sensors into a connected border management sensor network that collects and feeds information into business intelligence.
   • Use advanced scientific analysis to obtain/improve scientific data through the development or optimization of new analysis methods, enhanced techniques and technologies, and new research
   • Use automated analytics to better exploit Agency data (business databases, sensor data, scientific data, video data, etc.) to create knowledge and intelligence.
7. Dedicate Directorate resources to finding solutions and providing and enhancing the operational excellence needed to support the Agency business lines:
   • Trade Product Sample Analysis for tariff classification;
   • Application of commercial and/or purpose-built, detection and authentication systems and tools for detection of suspected contraband and illegal activities; and
   • Analysis of suspected contraband and counterfeit tobacco, alcohol, contraband drugs (as part of the National Anti-Drug Strategy), and documents for authentication and prosecution purposes.
8. Invest Directorate science and engineering resourcesin a more proactive strategic role to help shape the Agency for tomorrow and increase its level of readiness:
   • Applying a systematic approach for taking science and engineering to the border, including remote or virtual border presence through the use of remote instrumentation, specialized kit development, sensor systems, etc.;
   • Researching new advancements in the area of biometrics, information visualization, computer forensics, video surveillance technologies, and next generation detection technologies;
   • Developing white papers and/or giving technology demonstrations on relevant science and engineering advancements and the “art of the possible”; and
   • Anticipating potential circumventions to existing security and developing appropriate countermeasures to address them.
9. Periodically review the Strategy to ensure its alignment and relevancy to Agency priorities.

Moving Forward

Implementation of this strategy will require an action plan incorporating the following key components:

• A Business Plan outlines the initiatives that the Directorate will undertake over the next three years, both from the operational and problem-solving perspective, as well as the proactive “shaping tomorrow” strategic element.  It will include the business requirements that the program areas have validated, prioritized, and resourced, using the input from the consultation process as their starting point. It is the intention to have client and stakeholder contracts or agreements that clearly outline the priority projects, including roles and responsibilities, deliverables, service levels, standards, etc.
• A Financial Plan incorporates sound business principles for assessing, prioritizing, and funding any future science and engineering business opportunities in order to ensure ongoing sustainability.  In the short term, the Directorate will work within its threshold capacity / MOU levels to maintain a healthier organization as it investigates alternative funding and investment mechanisms.
• A Human Resource Plan stabilizes the Directorate's short-term situation (i.e., succession plans, single person points of failure), supports the necessary growth for the envisioned science and engineering program, and incorporates opportunities to take advantage of senior staff expertise for more path-breaking scientific advancements.  The plan will ensure an agile workforce, consistent with the Directorate's state-of-readiness principle.
• An Outreach Plan gives new branding to the Directorate, and a marketing and communications plan to improve visibility by informing clients of what the Directorate does and how to take full advantage of its science and engineering expertise.
• Various Transition Plans position the Directorate to:
  • Establish a business development and client relationship management function that ensures ongoing client satisfaction, stronger Directorate presence within the Agency (e.g., getting onto the appropriate committees and agendas), as well as looking for new business opportunities;
  • Integrate more fully into the Innovation, Science and Technology Branch processes;
  • Make improvements and address inefficiencies in the Directorate's current processes and procedures, including project management, risk management practices, etc.
  • Ensure appropriate accommodation to handle the Directorate's planned growth in the areas of science and engineering; and
  • Obtain accreditation as a testing laboratory operating under an internationally recognized Quality Management System.

Success

Success is critical given the role that science and technology plays in the secure and efficient management of Canada's borders.  As the Directorate is part of a learning organization, the following questions will be asked on a continual basis to measure progress and success:

• Is there a solid Agency science and engineering program with effectual leadership that is relied upon to ensure sound investment decisions based on strategic priorities and scientific due diligence?
• Has a Chief Scientific Officer role been established within the Agency, and is it effective?
• How are the two priority technical streams contributing to the Agency's strategic outcomes?
• Is the Agency proportionally investing in science and engineering opportunities that will shape the border management of tomorrow?
• Is the Directorate continuing to provide operational excellence and solutions?
• Does the Directorate collaborate effectively with the science and technology community nationally and internationally?
• Does the Directorate have mechanisms in place to solicit external advice on the excellence and relevance of its science and engineering?
• Is the Directorate workforce still motivated, competent, productive, working as a team, and enjoying the work that they do?

The Directorate will also periodically monitor progress and perform tangible analysis of progress where possible to ensure success is achieved.

"Now this is not the end. It is not even the beginning of the end… But it is, perhaps, the end of the beginning."

Sir Winston Churchill,
Speech in November 1942
British politician (1874-1965)

Appendix A – Science and Engineering

Science and Engineering – Definitions

For the purpose of this strategy, we have defined science and engineering as follows:

Science

• The acquiring of knowledge through analysis.

Engineering

• The process of designing and developing tools, devices and systems.

Science and Engineering

• Overlap of the two disciplines:
  • understanding the science and engineering behind a tool, device or system; and
  • designing a tool, device or system using results, knowledge and/or techniques from science

Science and Engineering within a border management context

The use of science and engineering methods and developments to better secure our borders while facilitating the legitimate flow of traffic.  Application areas include:

• Scientific analysis of industrial commodities (for tariff classification)
• Scientific analysis of suspected contraband substances
• Advanced document analysis and forensics
• Detection technologies and sensor systems
• Computer and media forensics
• Biometrics (an automated technology used for measuring one or several physical characteristics of a person for the purpose of identifying an individual or verifying his/her identity –typically against a smart card or the equivalent)
• Advanced information analytics
• Etc.

Comparison: IT vs Science and Engineering

Information Management	Science and Engineering
Information Infrastructure (network, desktops, computing devices)	Scientific Infrastructure (scientific network infrastructure with scientific instrumentation) IT experimental proof-of-concept infrastructure for future projects and benchmarking
Database Centric Applications	Detection / analysis / process-based applications
Large Enterprise production applications	Science-based applications and experimental applications for proof of concept / prototype (on a smaller scale)
Systems Integration of Devices	Understand the construction, algorithms, and/or analytics of the integrated devices

Appendix B – Chief Scientific Officer

Chief Scientific Officer

Function	DG, Laboratory and Scientific Services Directorate Role.	Chief Scientific Officer Role.
Governance	Report to Vice President, Innovation, Science and Technology Branch	Report directly to the Vice President or other.
Leadership	Create and lead the execution of the CBSA's Science and Engineering strategy to advance the Agency's Smart Border agenda. Lead, direct, and nurture a top-flight Science and Engineering team for the CBSA's Laboratory providing Science and Engineering Research and Development services. Provide the scientific leadership necessary to build strong strategic Science and Engineering relationships, increase information exchange, Science and Engineering understanding, and commercial interaction. Encourage and coordinate opportunities for collaborative projects within the Agency, across the country and internationally. Assist the executive team with the creation and management of a new “Scientific Advisory Board” and assume a position on the Board. Anticipate and react to major Science and Engineering changes to ensure the maintenance of the CBSA leadership in the border management landscape.	Injecting technical lens into business strategies. Drive a highly proactive and innovative approach to the development of border management Science and Engineering and ensure that the CBSA stays at the forefront. Be a key member of the leadership team and support the development and execution of the CBSA's strategy, and support the realization of the CBSA's Plans and Priorities. Provide visible leadership for the CBSA within the relevant science and technology communities, both locally and world-wide, and act as a spokesperson and liaison for the Agency's Science and Engineering portfolio both nationally and internationally. Scan global developments for new opportunities and, more importantly, translate those opportunities into value creation for the CBSA. Act as an advisor to universities on scientific direction and research projects of mutual benefit to the Agency and to the universities, and share research findings to maximize CBSA success.
Reporting out	Direct the development, prioritization, and publication of documents including application notes, technical articles, scientific publications, white papers, and press releases.
Advising	Establish scientific and technical standards and ensure the CBSA adherence to them for Lab credibility. Provide strategic scientific-technological advice and recommendations to senior Government officials, clients, partners, and other stakeholders. Represent own directorate and department, as well as the Agency at different forums or on various committees and/or workings groups.	Advise the Agency on all strategic scientific and technological matters.
Managing	Management of human and financial resources (operational planning, HR, budgeting, etc.).	Identify and develop strategic collaborations with key research partners and industry leaders to strengthen the CBSA's scientific knowledge while increasing the Lab's profile.
Promoting	Promoting the CBSA on domestic and international platforms.	Promoting the CBSA on domestic and international platforms.

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• 1. Consists of all science and engineering activities specifically motivated by regulatory and legal requirements.  Regulatory science provides the information needed to establish, meet, or ensure compliance with regulatory and legal requirements and scientific background to enable decision makers to make sound regulatory decisions. [Return to text]
• 2. Goods whose importation, exportation, or possession is prohibited by law (black-market, smuggled, or bootleg) [Return to text]
• 3. A forgery, fake, or copy that is represented as the original [Return to text]
• 4. Visual depiction of all the players with whom we have a relationship for a particular function [Return to text]
• 5. CBSA Intelligence Vision:  CBSA Intelligence will be a world-class, integrated function proficient at rapidly transforming information from multiple national and global sources into high-grade intelligence that informs and supports the Agency's program and operational decisions. [Return to text]
• 6. Agency expert in the field of science and engineering, in a position to influence Agency thinking, and whose opinions are accurate and relevant [Return to text]