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Final Report Cost Analysis of

Entry-Exit & Registered Traveller Systems

(CB-E-SO30-REP-003)

Abstract

This document is the Final Report of the cost analysis of the Entry-Exit

and Registered Traveller Systems

Document information

Document History

VER

DATE

AUTHOR

DESCRIPTION

ACTION*

PG

0.01 25/01/10 Huijgens

Initial

draft

0.02 11/02/10 Huijgens

Tavano

Updated based

on feedback

from COM.

Identified

scenarios and

described the

methodology

I U

All

0.03 16/02/10 Tavano

Revised

text,

tables, pictures

IR All

0.04 26/02/10 Tavano

Updated

based

on feedback

from COM.

IR All

0.05 04/03/10 Huijgens

Tavano

Revised text,

tables, pictures.

Updated based

on feedback

from COM.

IR All

0.06 23/03/10 Huijgens

Revised

text,

tables, pictures

IR All

0.07 24/03/10 Huijgens

Revised

text,

tables, pictures

IR All

1.00 24/03/10 Huijgens,

Dalamanga,

Wiersma

Final version

IR

All

1.10 29/03/10 Huijgens,

Dalamanga,

Wiersma

Final version

addressing COM

comments

IR All

AUTHOR

Unisys

OWNER

European Commission DG JLS

ISSUE DATE

19-04-2010

VERSION

1.30

APPROVAL STATUS

Submitted

(2)

VER

DATE

AUTHOR

DESCRIPTION

ACTION*

PG

1.20 31/03/10 Huijgens,

Dalamanga,

Wiersma

Final version

IR

All

1.30 19/04/10 Huijgens

Final

version,

removed

disclaimer

Changed

‘Semi-Automated’ to

‘Semi-Manual’

R 3

(3)

Contents

1

EXECUTIVE SUMMARY

7

2

INTRODUCTION

10

3

METHODOLOGY AND COST ANALYSIS STRUCTURE

11

3.1

IDENTIFYING THE COST ELEMENTS

11

3.2

TOOLS

12

3.2.1

The Cost Model

12

3.2.2

Function Point Analysis

13

3.2.3

CostXpert

14

3.2.4

Infrastructure Design and Sizing

14

3.2.5

Accuracy

14

4

USE CASES

15

4.1

THIRD COUNTRY NATIONAL BORDER CROSSING – ENTRY

15

4.2

THIRD COUNTRY NATIONAL BORDER CROSSING – EXIT

20

4.3

REGISTERED TRAVELLER BORDER CROSSING – ENTRY

23

4.4

REGISTERED TRAVELLER BORDER CROSSING – EXIT

27

4.5

REGISTERED TRAVELLER ENROLMENT

30

4.6

DATA DICTIONARY

33

4.7

TABLE OF INTERFACES

35

5

ASSUMPTIONS FOR SYSTEM AND COST MODELS

36

5.1

GENERAL ASSUMPTIONS

36

5.2

ANTICIPATED SYSTEM LOAD

37

5.3

SYSTEM MODEL PARAMETERS AND ASSUMPTIONS

38

6

SYSTEMS ARCHITECTURE

42

6.1

CENTRALISED SYSTEM ARCHITECTURE

42

6.1.1

Member State Technical Infrastructure

43

6.1.2

Central Technical Infrastructure

46

6.2

DISTRIBUTED SYSTEM ARCHITECTURE

49

6.2.1

Member State Distributed Technical Architecture

53

7

COST ANALYSIS

57

7.1

HOW TO USE THE EXCEL COST MODEL

57

7.1.1

Input

57

7.1.2

Presentation

57

7.1.3

Sizing

59

7.1.4

Estimating costs using the Model

59

7.2

COST ANALYSIS PRESENTATION

60

7.2.1

Cost elements

60

7.2.2

Costs

62

7.2.3

General Remarks

63

7.3

CENTRALISED SYSTEM ARCHITECTURE

64

7.4

A1C – CENTRALISED ENTRY-EXIT SYSTEM, NO BIOMETRICS

64

7.4.1

Scenario Parameters

64

7.4.2

Cost Summary Tables

66

7.5

A1D – DISTRIBUTED ENTRY-EXIT SYSTEM, NO BIOMETRICS

68

7.5.1

Scenario Parameters

68

(4)

7.6

A2C – CENTRALISED ENTRY-EXIT SYSTEM, WITH BIOMETRICS

71

7.6.1

Scenario Parameters

71

7.6.2

Cost Summary Tables

72

7.7

A2D – DISTRIBUTED ENTRY-EXIT SYSTEM, WITH BIOMETRICS

74

7.7.1

Scenario Parameters

74

7.7.2

Cost Summary Tables

75

7.8

A3C – CENTRALISED ENTRY-EXIT SYSTEM, BIOMETRICS ADDED LATER

77

7.8.1

Scenario Parameters

77

7.8.2

Cost Summary Tables

78

7.9

A3D – DISTRIBUTED ENTRY-EXIT SYSTEM, BIOMETRICS ADDED LATER

80

7.9.1

Scenario Parameters

80

7.9.2

Cost Summary Tables

81

7.10

B0 – TOKEN-BASED RTS ONLY

83

7.10.1

Scenario Parameters

83

7.10.2

Cost Summary Tables

84

7.11

B1C – TOKEN-BASED RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITHOUT BIOMETRICS

86

7.11.1

Scenario Parameters

86

7.11.2

Cost Summary Tables

87

7.12

B1D – TOKEN-BASED RTS AND DISTRIBUTED ENTRY-EXIT SYSTEM WITHOUT BIOMETRICS

89

7.12.1

Scenario Parameters

89

7.12.2

Cost Summary Tables

90

7.13

B2C – TOKEN-BASED RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITH BIOMETRICS 92

7.13.1

Scenario Parameters

92

7.13.2

Cost Summary Tables

93

7.14

B2D – TOKEN-BASED RTS AND DISTRIBUTED ENTRY-EXIT SYSTEM WITH BIOMETRICS 95

7.14.1

Scenario Parameters

95

7.14.2

Cost Summary Tables

96

7.15

B3C – TOKEN-BASED RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITH BIOMETRICS

ADDED LATER

98

7.15.1

Scenario Parameters

98

7.15.2

Cost Summary Tables

99

7.16

B3D – TOKEN-BASED RTS AND DISTRIBUTED ENTRY-EXIT SYSTEM WITH BIOMETRICS

ADDED LATER

101

7.16.1

Scenario Parameters

101

7.16.2

Cost Summary Tables

102

7.17

C0 – TOKEN-LESS RTS ONLY

104

7.17.1

Scenario Parameters

104

7.17.2

Cost Summary Tables

105

7.18

C1C – TOKEN-LESS RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITHOUT BIOMETRICS

107

7.18.1

Scenario Parameters

107

7.18.2

Cost Summary Tables

108

7.19

C1D – TOKEN-LESS RTS AND DISTRIBUTED ENTRY-EXIT SYSTEM WITHOUT BIOMETRICS

110

7.19.1

Scenario Parameters

110

7.19.2

Cost Summary Tables

111

7.20

C2C – TOKEN-LESS RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITH BIOMETRICS 113

7.20.1

Scenario Parameters

113

7.20.2

Cost Summary Tables

114

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7.21.1

Scenario Parameters

116

7.21.2

Cost Summary Tables

117

7.22

C3C – TOKEN-LESS RTS AND CENTRALISED ENTRY-EXIT SYSTEM WITH BIOMETRICS

ADDED LATER

119

7.22.1

Scenario Parameters

119

7.22.2

Cost Summary Tables

120

7.23

C3D – TOKEN-LESS RTS AND DISTRIBUTED ENTRY-EXIT SYSTEM WITH BIOMETRICS

ADDED LATER

122

7.23.1

Scenario Parameters

122

7.23.2

Cost Summary Tables

123

8

SUMMARY TABLE

125

8.1

COMPARISON OF THE COSTS FOR VIS CO-LOCATION (NO VIS CONNECTION)

126

8.2

COMPARISON OF THE COSTS FOR VIS CONNECTION

127

9

REFERENCE AND APPLICABLE DOCUMENTS

128

9.1

APPLICABLE DOCUMENTS

128

9.2

REFERENCE DOCUMENTS

128

10

TERMINOLOGY AND ANNEXES

130

10.1

ACRONYMS & ABBREVIATIONS

130

11

ANNEX 1 – COST MODEL BUILDING BLOCKS

132

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Tables

Table 1: Comparison of the costs - VIS co-location (no VIS connection) ... 8

Table 2: Comparison of costs - VIS co-location... 9

Table 3: Costing Scenarios ...10

Table 4: Cost Items vs. Solution Scenarios ...11

Table 5: EES Anticipated System load...37

Table 6: RTS Anticipated System load...38

Table 7: Business parameters ...38

Table 8: Cost Parameters ...39

Table 9: Member State Technical Architecture Building Blocks ...44

Table 10: Central Infrastructure Building Blocks ...47

Table 11: Central System Building Blocks...51

Table 12: Distributed architecture building blocks ...54

Table 13: Cost elements...61

Table 14: Cost parameters ...61

Table 15: Example of MS Administrative Costs ...64

Table 15: Comparison of the costs - VIS co-location (no VIS connection)... 126

Table 16: Comparison of costs – VIS connection... 127

Table 17: Applicable Documents ...128

Table 18: Reference Documents ... 129

Table 19: Acronyms & Abbreviations ... 131

Figures

Figure 1: Spreadsheet Costing Workbook Structure ...13

Figure 2: TCN Border Crossing Systems Map – Entry...16

Figure 3: TCN Border Crossing Systems Map – Exit...20

Figure 4: RT Border Crossing Systems Map – Entry...23

Figure 5: RT Border Crossing Systems Map – Exit...27

Figure 6: RT Enrolment ...30

Figure 7: Centralised System Architecture ...42

Figure 8: Member State Technical Architecture...44

Figure 9: Central Technical Architecture ...47

Figure 10: Collaboration architecture...50

Figure 11: Base distributed system architecture ...50

Figure 12: Central RTS system in distributed architecture ...51

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1

EXECUTIVE SUMMARY

The objective of this study was to carry out a thorough assessment of the costs connected to

establishing an Entry/Exit System and a Registered Traveller System taking into account the

various options and sub-options identified during the preparation of the legal proposals of the two

systems. The study complements the Impact Assessments accompanying those proposals. The

study was carried out based on the details in this document and, to a limited extent, on the

Entry-Exit Feasibility Study Final report

1

.

All cost estimates have been based on the documentary material provided by COM and the

“SPECIFICATIONS FOR A COST ANALYSIS STUDY” as reported in the document

“20091110_EES_RT_IA_Cost_ToR_lang”.

To correctly estimate the costs, various techniques were used:

-

Sizing

o

Hardware sizing based on simplified process models from the Feasibility Study and

forecasted numbers of Entries/Exits and RT travel events.

o

Software development sizing based on information in the Feasibility Study and

completed with Function Point Analysis when necessary.

o

Network sizing based on predictions of the eventual expected system load

-

Costing

o

Parametric cost analysis techniques were used to estimate development efforts and

maintenance costs to support the introduction of a new software product.

o

Parametric cost estimation is based on the functional size of the solution, the level of

re-usability of existing products and the proportion of COTS products that are used.

Obvious parameters are the hourly rates and skill levels of the development team at

specified reference rates. Less obvious parameters are associated with the

development environment and project governance. The parameters that we propose to

use for the estimations have been discussed and agreed with the COM.

o

Estimates of the costs of third party hardware, software and network products were

based on list prices of popular and appropriate COTS products.

o

For estimating operational costs, we assumed a harmonised model, in which we

adopted the rates given in the specifications as average rates to be used across

Member States. We also assumed the same business hours throughout the Union, as

well as the same number of holidays.

-

Planning

o

The initial planning was produced by the parametric costing tool (CostXpert). This

includes specification, design, realisation, testing and implementation and the first

phase of deployment, where any defects have been detected.

o

The manual intervention and adjustments of the schedule is necessary, as CostXpert

assumes unlimited resources to be available, which means that the planning needs to

be adjusted to make it fit the actual situation.

Two basic architectures have been considered:

Central architecture

Distributed (full-meshed) architecture.

In addition to the above considerations, other features considered were the existence or not of a

Registered Traveller System.

Based on the analysis presented in the current study, the following tables present a summary of

the costs for the different scenarios and for the two variables considered (co-location with VIS,

VIS connection):

(8)

Table 1: Comparison of the costs - VIS co-location (no VIS connection)

Scenario, no VIS connection EU one-time costs MS one-time Costs

EU Total Yearly Incurring costs in 2014 MS Total Yearly Incurring costs in 2014 EU Total Yearly Incurring costs in 2020 MS Total Yearly Incurring costs in 2020 EU Cost Model:

Proposal for the EES/RTS

A1C - Central EES no biometrics, no RTS, not connected to VIS, co-located with VIS, 5 year retention

21,028,017

€ € 178,216,654 € 6,202,947 € 129,063,562 € 6,467,072 € 171,626,820

EU Cost Model: Proposal for the EES/RTS

A2C - Central EES with biometrics, no RTS, not connected to VIS, co-located with VIS, 5 year retention

27,543,949

€ € 175,948,404 € (3,335,536) € 125,568,865 € 7,652,216 € 168,457,900

EU Cost Model: Proposal for the EES/RTS

A3C - Central EES with biometrics added later, no RTS, not connected to VIS, co-located with VIS, 5 year retention

27,790,819

€ € 175,491,869 € (3,304,561) € 125,516,924 € 7,683,190 € 168,405,959

EU Cost Model: Proposal for the EES/RTS

B0 - Token-Based RTS, No EES, not connected to VIS, co-located with VIS, 5 year retention

21,028,017

€ € 178,216,654 € 6,202,947 € 129,063,562 € 6,467,072 € 171,626,820

EU Cost Model: Proposal for the EES/RTS

B1C - Token-Based RTS, EES no biometrics, not connected to VIS, co-located with VIS, 5 year retention

25,042,223

€ € 180,809,796 € 6,633,247 € 129,293,997 € 6,897,371 € 171,857,255

EU Cost Model: Proposal for the EES/RTS

B2C - Token-Based RTS, EES with biometrics, not connected to VIS, co-located with VIS, 5 year retention

34,686,831

€ € 181,186,811 € (1,555,916) € 129,580,236 € 8,260,409 € 173,773,514

EU Cost Model: Proposal for the EES/RTS

B3C - Token-Based RTS, EES with biometrics added later, not connected to VIS, co-located with VIS, 5 year retention

34,940,784

€ € 180,763,172 € (1,530,520) € 129,537,872 € 8,285,804 € 173,731,150

EU Cost Model: Proposal for the EES/RTS

C0 - Token-Less RTS, No EES, not connected to VIS, co-located with VIS, 5 year retention

30,255,713

€ € 178,713,446 € (149,470) € 129,367,775 € 11,006,450 € 172,787,550

EU Cost Model: Proposal for the EES/RTS

C1C - Token-Less RTS, EES no biometrics, not connected to VIS, co-located with VIS, 5 year retention

34,454,544

€ € 181,635,674 € (1,577,548) € 129,625,122 € 8,175,616 € 173,018,098

EU Cost Model: Proposal for the EES/RTS

C2C - Token-Less RTS, EES with biometrics, not connected to VIS, co-located with VIS, 5 year retention

34,454,544

€ € 181,641,325 € (1,577,548) € 129,865,124 € 7,790,432 € 173,377,884

EU Cost Model: Proposal for the EES/RTS

C3C - Token-Less RTS, EES with biometrics added later, not connected to VIS, co-located with VIS, 5 year retention

34,719,998

€ € 181,198,498 € (1,551,003) € 129,820,841 € 7,816,977 € 173,333,601

EU Cost Model: Proposal for the EES/RTS

A1D - Distributed EES no biometrics, no RTS, not connected to VIS, co-located with VIS, 5 year retention

13,320,261

€ € 204,488,995 € 4,755,301 € 125,907,808 € 4,979,870 € 151,338,725

EU Cost Model: Proposal for the EES/RTS

A2D - Distributed EES with biometrics, no RTS, not connected to VIS, co-located with VIS, 5 year retention

17,315,218

€ € 238,570,976 € 5,276,562 € 130,376,886 € 5,457,774 € 159,171,805

EU Cost Model: Proposal for the EES/RTS

A3D - Distributed EES with biometrics added later, no RTS, not connected to VIS, co-located with VIS, 5 year retention

17,884,224

(9)

Table 2: Comparison of costs - VIS co-location

Scenario, with VIS connection EU one-time costs MS one-time Costs

EU Total Yearly Incurring costs in 2014 MS Total Yearly Incurring costs in 2014 EU Total Yearly Incurring costs in 2020 MS Total Yearly Incurring costs in 2020 EU Cost Model:

Proposal for the EES/RTS

A1C - Central EES no biometrics, no RTS, connected to VIS, co-located with VIS, 5 year retention

15,708,069

€ € 179,508,919 € 4,548,235 € 125,969,552 € 6,549,689 € 168,841,787

EU Cost Model: Proposal for the EES/RTS

A2C - Central EES with biometrics, no RTS, connected to VIS, co-located with VIS, 5 year retention

27,477,147

€ € 175,948,404 € (3,391,917) € 125,568,865 € 7,538,791 € 168,457,900

EU Cost Model: Proposal for the EES/RTS

A3C - Central EES with biometrics added later, no RTS, connected to VIS, co-located with VIS, 5 year retention

27,724,017

€ € 175,491,869 € (3,360,942) € 125,516,924 € 7,569,765 € 168,405,959

EU Cost Model: Proposal for the EES/RTS

B0 - Token-Based RTS, No EES, connected to VIS, co-located with VIS, 5 year retention

20,984,516

€ € 178,216,654 € 6,148,533 € 129,063,562 € 6,420,185 € 171,626,820

EU Cost Model: Proposal for the EES/RTS

B1C - Token-Based RTS, EES no biometrics, connected to VIS, co-located with VIS, 5 year retention

24,998,722

€ € 180,809,796 € 6,578,833 € 129,293,997 € 6,850,485 € 171,857,255

EU Cost Model: Proposal for the EES/RTS

B2C - Token-Based RTS, EES with biometrics, connected to VIS, co-located with VIS, 5 year retention

34,627,999

€ € 181,186,811 € (1,613,234) € 129,580,236 € 8,146,984 € 173,773,514

EU Cost Model: Proposal for the EES/RTS

B3C - Token-Based RTS, EES with biometrics added later, connected to VIS, co-located with VIS, 5 year retention

34,881,951

€ € 180,763,172 € (1,587,839) € 129,537,872 € 8,172,379 € 173,731,150

EU Cost Model: Proposal for the EES/RTS

C0 - Token-Less RTS, No EES, connected to VIS, co-located with VIS, 5 year retention

30,207,578

€ € 178,713,446 € (232,510) € 129,367,775 € 10,651,523 € 172,787,550

EU Cost Model: Proposal for the EES/RTS

C1C - Token-Less RTS, EES no biometrics, connected to VIS, co-located with VIS, 5 year retention

34,395,196

€ € 181,635,674 € (1,635,336) € 129,625,122 € 8,062,191 € 173,018,098

EU Cost Model: Proposal for the EES/RTS

C2C - Token-Less RTS, EES with biometrics, connected to VIS, co-located with VIS, 5 year retention

34,395,196

€ € 181,641,325 € (1,635,336) € 129,865,124 € 7,677,007 € 173,377,884

EU Cost Model: Proposal for the EES/RTS

C3C - Token-Less RTS, EES with biometrics added later, connected to VIS, co-located with VIS, 5 year retention

34,660,651

€ € 181,198,498 € (1,608,790) € 129,820,841 € 7,703,552 € 173,333,601

EU Cost Model: Proposal for the EES/RTS

A1D - Distributed EES no biometrics, no RTS, connected to VIS, co-located with VIS, 5 year retention

13,276,053

€ € 204,488,995 € 4,724,002 € 125,907,808 € 4,932,984 € 151,338,725

EU Cost Model: Proposal for the EES/RTS

A2D - Distributed EES with biometrics, no RTS, connected to VIS, co-located with VIS, 5 year retention

17,271,010

€ € 238,570,976 € 5,245,263 € 130,376,886 € 5,410,888 € 159,171,805

EU Cost Model: Proposal for the EES/RTS

A3D - Distributed EES with biometrics added later, no RTS, connected to VIS, co-located with VIS, 5 year retention

17,840,016

(10)

2

INTRODUCTION

Table 3 contains the identifications of all costing scenarios that are described in this document.

For easy navigation, the references to the scenarios contain hyper links to the relevant sections.

Table 3: Costing Scenarios

No E-E

E-E

No/Biometrics

E-E

w/Biometrics

E-E

Later/Biometrics

Central Distributed Central Distributed Central Distributed

No RTS

N/A

A1C

A1D

A2C

A2D

A3C

A3D

RTS | Token

Based

B0

B1C

B1D

B2C

B2D

B3C

B3D

RTS |

Token-less2

C0

C1C

C1D

C2C

C2D

C3C

C3D

As described in the Terms of Reference [R1] document, the costs for the Entry-Exit System (EES)

are estimated in two forms; as a centralised system with national interfaces and as a distributed

system with a consultation mechanism active between Member States. These scenarios end up

being remarkably different from a technical stand-point, making it appropriate to identify them as

two separate alternatives, whereby 20 alternative scenarios are defined and analysed in total.

2

The token-less and token-based Registered Traveller systems refer to centralised

systems that serve all the Member States. Only the EES can be either centralised or

distributed architecture.

(11)

3

METHODOLOGY AND COST ANALYSIS STRUCTURE

3.1

Identifying the Cost Elements

For each applicable scenario, cost elements as mentioned in the Terms of Reference [R1] are

calculated, based on the expected yearly volumes of third-country national (TCN) travellers.

As several commonalities can be found among the various cost scenarios, it is therefore

appropriate to introduce well-identified “cost building blocks” to be re-used in order to rationalise

the cost model and reduce inherent complexity.

Cost items pertain to the so called Central System (CS) scenario – which is to be run by under

responsibility of the Management Authority – and to Member States’ distributed systems.

For tangible cost elements – such as hardware, networking, software and facilities – costs have

been estimated using a bottom-up approach, detailing the actual a Bill-of-Materials (BOM) of each

individual system component.

Furthermore, cost values are projected over time up to 2020, so that estimates for 2013, 2015

and 2020 can be extracted as requested by ToR [R1].

Table 2 below provides a complete overview of all cost categories and applicable options.

Table 4: Cost Items vs. Solution Scenarios

Central System

Distributed System

Options

Cost

Category

Development

Operations

Development

Operations

1

2

3

4

5

Hardware

Purchase

Deploy

Maintain

Grow

Purchase

Deploy

Maintain

Grow

9

9

9

9

Software

Purchase

Develop

Deploy

Maintain

Grow

Purchase

Develop

Deploy

Maintain

Grow

9

9

9

9

Other Capital

Expenditure

Purchase

Deploy

Maintain

Grow

Purchase

Deploy

Maintain

Grow

9

9

9

9

Project

Management

Quality

Assurance

Provide

Provide

9

9

9

9

Administration

Procure

Contract

Control

Control

Procure

Contract

Procure

Contract

Control

Control

Procure

Contract

9

9

9

9

Training

Plan

Deliver

Plan

Deliver

Plan

Deliver

Plan

Deliver

9

9

9

Operating

Manage

Manage

9

9

9

9

9

Applicable options are:

1.

Architecture

a.

E-E is a self-contained system, thoroughly independent from SIS/VIS

b.

E-E is interfaced with VIS, leverages BMS features, including database and

biometric matcher

2.

Retention Time

a.

1 year

b.

5 years

c.

1 year for E-E details, 5 years for traveller details

3.

RTS Enrolment site

(12)

a.

Consular post

b.

At Schengen border control points (BCP)

c.

Both a) and b) above

4.

Border Control mode for RTS users

a.

Fully-automated

b.

Semi-manual

5.

Housing of EES / RTS

a.

Co-location with SIS / VIS

b.

Location independent from SIS / VIS

3.2

Tools

Actual costs are calculated by identifying the elementary ‘cost units’ that are specific or typical of

each cost category, such as:

Development / Management / Administration

o

Labour

Facilities

o

Required space

o

Power

o

Bandwidth

Operations

o

HW Maintenance

o

SW Maintenance / Licensing

o

Labour

...

3.2.1

The Cost Model

Microsoft Excel is the tool of choice for elaborating the cost structure that eventually allows

calculating solutions cost for the various scenarios. This structure is designed top-down, starting

from the ToR [R1] and the supporting documentation.

Starting from the business requirements, that quantify system functionality and behaviour, the

most-likely solution architectures have been determined – inclusive of technical and software

elements – based on the findings of [R6] and also taking into account further developments since

the publication of that report.

The sizing of the system infrastructure is calculated from the expected system load. Sizing in this

context comes down to actually determine which of building blocks are required for which

scenarios, thus calculating the actual “horsepower” needed to meet the required performance.

Business requirements per se are necessary but not sufficient in order to be able to properly size

the solution. In fact, detailed technical assumptions are made to achieve this goal.

The starting point is that most costs were as far as possible estimated irrelevant of any particular

commercial product. However, infrastructure cost estimates were based on average ‘list prices’ for

popular products, such that cost values are as realistic as possible and drawn from public sources.

All relevant assumptions are duly documented in this report, the technical assumptions required

for system sizing being implemented as variable parameters in the Excel structure so that they

can be changed if and when necessary.

(13)

Actual costs are calculated bottom-up, aggregating all costs that are captured for each building

block. Aggregation to conform to scenarios is then done via the option-based scenario

specifications.

Figure 1 shows the spreadsheet workbook structure.

Business Requirements (ToR) Feasibility Study Legal Draft etc EES-RTS Scenario

XnC/D EES-RTS Sizing EES-RTS Parameters

Building Block Building Block Building Block Building Block

Unisys Team Bu si ne ss r equ ir em en ts Tech nic al P ara me ters De sig n a ssu mp tion s G e ne ral P aram e ters A ss um ption s General parameters Scenario parameters sizing S c en a ri o P a ram e te rs B u ildi ng Bl oc k in fo Scenario Costs BOM Specification Costs EES/RTS Costing Study Final Report C o s ti n g i n fo S cena rio P aram eters Scen ario Param eters Scenario Paramete rs Building B lock info B u ild ing B lo ck in fo Build ing B lock info Pricing details P ric ing de tails Pric ing deta

ils Pricin g details

Public Domain

Figure 1: Spreadsheet Costing Workbook Structure

3.2.2

Function Point Analysis

Function-Point Analysis (FPA) was used to estimate the effort required to develop the

custom-made software components.

FPA is a well-known and accepted technique that allows estimating the functional size of the

system, describing it as a number of “Function Points”. In summary, the technique is based on

analysing the data that is stored and managed by the system, its interactions with the users and

other systems that store external data. The level of complexity of the data to be handled and the

required operations on the data represent a reliable measure of the functional size of the system.

As system sizing is fully based on system functionality as perceived from the user’s perspective,

this technique is well suited for this cost analysis as only the functional behaviour of the EES and

RTS systems are known at this time.

The results from FPA do not represent cost, or project schedule. They are treated as input data

into the CostXpert cost analysis tool (see below).

For each required scenario, an FPA estimation was performed, which led to a single spreadsheet

containing the results and documenting all parameters.

(14)

3.2.3

CostXpert

3

CostXpert is a parametric tool capable of estimating development costs and planning of a software

development project. The tool relies on industry best practice data that are gathered by

researchers in this area.

“The Cost Xpert Tool Suite represents the latest standard of the Integrated Methodology driven

Estimation (IME) and is an intuitive operated standard tool for the realistic estimation of effort,

time, resources and cost to complete a project, as well as an estimate of potential risk, defects,

and documentation page count for the entire IT application life cycle. Our solution is based on

scientifically published methods and models, industry standards and best practice approaches. It

is the most comprehensive approach, covering any project situation no matter if it is feasibility

phase, development or maintenance.

The intelligent consideration of all relevant elements including project types, process models, hard

facts, soft facts, quality and risk factors and constraints ensures the accurate estimation. The

intuitive workflow and precalibrations of our expert system, as well as a wizard guided

assessment enables the effective use of methods even without the necessarily need to become a

methodology expert first.”

4

CostXpert supports a wide variety of estimation algorithms and methods. One all important input

parameter is the actual size of the solution, but the tool also caters for such characteristic

elements as the development environment, development methodology and maturity and quality of

the development organisation.

CostXpert also provides a high-level project plan, inclusive of a Work Breakdown Structure (WBS),

estimating the project’s efficiency and throughput time. Based on proper hourly rates, it can thus

provide a reliable estimate of development costs.

Lastly, it is worth observing that the calculated values include costs associated with the early

phase immediately following the system’s deployment, as the model also allows estimates of the

number and nature of system infancy defects and incidents that need resolution.

3.2.4

Infrastructure Design and Sizing

Designing the system infrastructure is mandatory, as it is needed to estimate infrastructure costs

and also to understand the impact in terms of required storage space, network capacity and

power.

This design was done assuming an Enterprise Data Centre Architecture (EDCA) model, while using

‘Queuing Theory’ to estimate the ‘physical size’ of the infrastructure in combination with the

expected system loads.

Again, a spreadsheet was used to capture all this information.

3.2.5

Accuracy

Given the many assumptions made – given the level of uncertainty on the final solution, and the

many options proposed – the described approach led to estimates that we consider realistic, if not

“real”, as we consider overall accuracy to fall in the surroundings of 20% to 30%.

This is well in line with industry’s best practices and historical data. In fact, the relevant amount

of options, alternative scenarios and undefined constraints make it impossible to provide

estimates much closer to the final figures.

Therefore, all cost values in the following of this report should be considered a median value,

considering circa 25% as confidence range, plus or minus.

3

The Estimation Company.

(15)

4

USE CASES

The Use Cases that are described in this section represent the basis for estimating the functional

requirements of the solution system(s). These requirements serve then as an input to the FPA

phase.

These Use Cases are examples of the information that is presented in the Technical Feasibility

Study [R6] and in the proposal for the foreseen implementation [R5], though the information from

these sources is used to perform the analysis. The described processes are without prejudice to

the final technical implementation at central or national level.

4.1

Third Country National Border Crossing – Entry

5

C

ONTEXT

TCN travellers crossing external EU borders to enter the

Schengen area

B

RIEF

D

ESCRIPTION

This process is triggered when a TCN Traveller wishes to

cross the border to enter the EU Schengen area

He/she must undergo a border check procedure.

A

CTORS

Border Officer

National Border Check System (NBCS)

TCN Traveller

S

TAKEHOLDERS

&

I

NTEREST

The stakeholders are the EES, VIS, SIS, other national

systems/databases

The interest of these stakeholders is to support the

border check procedure and, for EES, to record the entry

record of TCN travellers

P

RECONDITIONS

BCP is open and accepting travellers

Border Officer is available

TCN Traveller presents herself at a border check-booth

5

Note that this use case does not take into account RTS, which is described in section

(16)
(17)

A

ƒ

Border Officer gathers information from the TCN’s travel document and inserts it in the NBCS

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

Travel

Credential

Travel

Credential

Reader

MRZ

Scan

MRZ_Validity_Status_OK

MRZ

Read

Pax_Details

Travel_Credential_Details

Pax_Details

Travel_Credential_Details

Write

Entry_Data_Record

I-NBCS

NBCS

B

ƒ

ƒ

NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to

confirm document validity

ƒ

validate the travellers’ identity

ƒ

help assess her entry eligibility

ƒ

Specifically, EES confirms that TCN Traveller has not previously overstayed, returns the allowed number of days for the present stay

and sends the result to the NBCS

ƒ

NBCS returns any relevant information found

SIS

I-SIS

Entry_Data_Record

Check Blacklist

SIS_Entry_Status

I-NBCS

NBCS

EES

I-EES

Entry_Data_Record

Check EE History

EE_Entry_Status

I-NBCS

NBCS

Other Syt’s

I-Others

Entry_Data_Record

Check Blacklist

Other_Sys_Entry_Status

I-NBCS

NBCS

Other Syt’s

I-Others

Entry_Data_Record

Check

Other_Sys_Entry_Status

I-NBCS

NBCS

NBCS

*_Entry_Status

Assessment & Clearance

Entry_Status_OK

Display

NBCS

C

ƒ

Border Officer helps and supervises the traveller while capturing her fingerprints

ƒ

NBCS verifies the quality of the fingerprints and stores them temporarily for later processing

ƒ

Border Officer allows the TCN to enter the Schengen area and inserts his decision in the NBCS

Traveller

Fingerprint

scanner

Fingerprints

Scan

Fingerprint_Image

Fingerprint_Template

I-NBCS

NBCS

NBCS

Fingerprint_Image

Fingerprint_Template

Check Quality Level

Fingerprint_Quality_Status

NBCS

NBCS

I-NBCS

Fingerprint_Quality_Status

*_Entry_Status

Decision on Entry

Decision_on_Entry_OK

(18)

D

ƒ

NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process

ƒ

NBCS purges any temporary data stored

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Pax_Details

Fingerprint_Image

Fingerprint_Template

Decision_on_Entry_OK

Date&Time_Stamp

BCP

Write

EE_Data_Record

I-EES

EES

NBCS

*_Temporary_Data

Delete

If TCN holds a valid entry visa, the following event applies.

E

ƒ

Border Officer additionally gathers information from the visa sticker and inserts it in the NBCS

ƒ

NBCS additionally interrogates VIS to validate the traveller’s identity and visa to help assess eligibility to entry

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

TCN Visa

Visa Reader

Visa_Data

Scan

Visa_Data

I-NBCS

NBCS

VIS

I-VIS

Visa_Data

Check Visa Validity

Visa_Validity_OK

I-NBCS

NBCS

In case TCN needs to be re-directed to second-line checks, the following event applies.

F

ƒ

Border Officer cancels the procedure

ƒ

NBCS purges any unneeded information

ƒ

TCN is directed to second-line checks

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Interactive

*_Temporary_Data

Delete

(19)

G

ƒ

Border Officer enters recording of refusal of entry in the national system (This point is referred here for completeness, but is out of

scope for the current cost study).

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

(20)

4.2

Third Country National Border Crossing – Exit

C

ONTEXT

TCN travellers crossing external EU borders to exit the

Schengen area

B

RIEF

D

ESCRIPTION

This process is triggered when a TCN Traveller wishes to

cross the border to exit the EU Schengen area

He/she must undergo a border check procedure.

A

CTORS

Border Officer

National Border Check System (NBCS)

Automated Exit Gate (e-Gate)

TCN Traveller

S

TAKEHOLDERS

&

I

NTEREST

The stakeholders are the EES, VIS, SIS, other national

systems/databases

The interest of these stakeholders is to support the border

exit procedure and, for EES, to record the exit record of TCN

travellers

P

RECONDITIONS

BCP is open and accepting travellers

Border Officer is available, or

Automated Gate (e-Gate) is available under Border Officer

supervision

TCN Traveller presents herself at a border check-booth

(21)

A

ƒ

Automated Gate (e-Gate) or Border Officer provides instructions to the TCN Traveller to help her scan her travel document and to

capture her fingerprints.

ƒ

E-Gate (Border Officer) processes and dispatches all data to NBCS

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

E-Gate

Video screen

E_Gate_Instructions_to_Tra

veller

Display

Travel

Credential

Travel

Credential

Reader

MRZ

Scan

MRZ_Validity_Status_OK

MRZ

Read

Pax_Details

Travel_Credential_Details

Pax_Details

Travel_Credential_Details

Write

Exit_Data_Record

I-NBCS

NBCS

Traveller

Fingerprint

scanner

Fingerprints

Scan

Fingerprint_Image

Fingerprint_Template

I-NBCS

NBCS

NBCS

Fingerprint_Image

Fingerprint_Template

Check Quality Level

Fingerprint_Quality_Status

NBCS

NBCS

I-NBCS

Fingerprint_Quality_Status

*_Exit_Status

Decision on Exit

Decision_on_Exit_OK

Border

Officer

Interactive

Dialogue

Procedural_Q&A

Decision on Exit

Decision_on_Exit_OK

I-NBCS

NBCS

B

ƒ

NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to

ƒ

confirm document validity

ƒ

validate the travellers’ identity

ƒ

help assess her entry eligibility

ƒ

Specifically, EES confirms that TCN Traveller has not previously overstayed, returns the allowed number of days for the present stay and

sends the result to the NBCS

ƒ

NBCS returns any relevant information found

SIS

I-SIS

Exit_Data_Record

Check Blacklist

SIS_Exit_Status

I-NBCS

NBCS

EES

ƒ

I-EES

ƒ

Exit_Data_Record

ƒ

Check EE History

ƒ

EE_Exit_Status

ƒ

I-NBCS

ƒ

NBCS

ƒ

Other Syt’s

I-Others

Exit_Data_Record

Check Blacklist

Other_Sys_Exit_Status

I-NBCS

NBCS

Other Syt’s

I-Others

Exit_Data_Record

Check

Other_Sys_Exit_Status

I-NBCS

NBCS

(22)

C

ƒ

EES confirms that TCN is exiting within the allowed number of days (no overstaying) and sends the result back to NBCS

ƒ

NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process

ƒ

NBCS purges any temporary data stored

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Pax_Details

Fingerprint_Image

Fingerprint_Template

Decision_on_Exit_OK

Date&Time_Stamp

BCP

Write

EE_Data_Record

I-EES

EES

NBCS

*_Temporary_Data

Delete

When Exception handlings are required, such as:

Travel document cannot be read/scanned at e-Gate

Fingerprints do not meet required quality levels

EES or other critical system is unavailable

TCN Traveller is recognised as a threat to security and/or public health

TCN Traveller is flagged by EES as having overstayed her permit/visa

TCN is to be re-directed to second-line checks, whereby the following event applies.

D

ƒ

Border Officer takes control of the procedure

ƒ

NBCS purges any unneeded information

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

(23)

4.3

Registered Traveller Border Crossing – Entry

C

ONTEXT

Registered travellers crossing external EU borders to enter the

Schengen area

B

RIEF

D

ESCRIPTION

This process is triggered when a Registered Traveller (RT)

wishes to cross the border to enter the EU Schengen area

He/she must undergo a border check procedure.

A

CTORS

Border Officer

National Border Check System (NBCS), Registered Traveller

System (RTS)

Automated Gate (e-Gate)

Registered Traveller (RT)

S

TAKEHOLDERS

&

I

NTEREST

The stakeholders are the EES, RTS, VIS, SIS, other national

databases

The role of the RT system is to make sure verification occurs

that the traveller was previously enrolled and therefore

entitled to use the automated border crossing facility

The role of all systems is to support the border check

procedure and, for EES, to record the entry record of

Registered Travellers

P

RECONDITIONS

BCP is open and accepting travellers

E-Gate is available

6

Border Officer is available for supervision and back-up

RT presents herself at a BCP e-Gate

Figure 4: RT Border Crossing Systems Map – Entry

6

E-gate might not be available at all BCPs but in this case the RT holder could still benefit from a facilitated

check. The same processes would take place, but without the e-gate.

(24)

A

ƒ

ƒ

e-Gate (Border Officer) provides instructions to the Traveller to help her scan her travel document and to capture her fingerprints

E-Gate processes and dispatches all data to NBCS

ƒ

RTS final validation is required only after NBCS has verified effective rights of entry, also replacing mandatory Q&A interaction with

the Border Officer

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

E-Gate

Video screen

EGate_Instructions_to_Trav

eller

Display

Travel

Credential

Travel

Credential

Reader

MRZ

Scan

MRZ_Validity_Status_OK

MRZ

Read

Pax_Details

Travel_Credential_Details

Pax_Details

Travel_Credential_Details

Write

Entry_Data_Record

I-NBCS

NBCS

Traveller

Fingerprint

scanner

Fingerprints

Scan

Fingerprint_Image

Fingerprint_Template

I-NBCS

NBCS

NBCS

Fingerprint_Image

Fingerprint_Template

Check Quality Level

Fingerprint_Quality_Status

NBCS

NBCS

I-NBCS

Fingerprint_Quality_Status

*_Entry_Status

Decision on Entry

Decision_on_Entry_OK

Fingerprint_Quality_Status

*_Entry_Status

I-RTS

RTS

RTS

Travel_Credential_Details

Fingerprint_Image

Fingerprint_Template

Check RTS

Decision_on_Entry_OK

I-NBCS

NBCS

B

ƒ

NBCS interrogates various databases (EES, SIS and national databases in parallel) to:

o

confirm document validity

o

validate the travellers’ identity

o

help assess her entry eligibility

ƒ

Specifically, EES confirms that RT has not previously overstayed, returns the allowed number of days for the present stay and sends

the result to the NBCS

ƒ

NBCS returns any relevant information found

SIS

I-SIS

Entry_Data_Record

Check Blacklist

SIS_Entry_Status

I-NBCS

NBCS

EES

I-EES

Entry_Data_Record

Check EE History

EE_Entry_Status

I-NBCS

NBCS

Other Syt’s

I-Others

Entry_Data_Record

Check Blacklist

Other_Sys_Entry_Status

I-NBCS

NBCS

(25)

C

ƒ

NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process

ƒ

NBCS purges any temporary data stored

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Pax_Details

Fingerprint_Image

Fingerprint_Template

Decision_on_Entry_OK

Date&Time_Stamp

BCP

Write

EE_Data_Record

I-EES

I-RTS

EES

RTS

NBCS

*_Temporary_Data

Delete

If RT holds a valid entry visa, the following event applies.

D

ƒ

NBCS additionally interrogates VIS to validate the traveller’s identity and visa to help assess eligibility to entry

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

TCN Visa

Travel

Credential

Reader

Visa_Data

Scan

Visa_Data

I-NBCS

NBCS

VIS

I-VIS

Visa_Data

Check Visa Validity

Visa_Validity_OK

I-NBCS

NBCS

In case RT needs to be re-directed to second-line checks, the following event holds.

E

ƒ

Border Officer cancels the procedure

ƒ

NBCS purges all information no more needed

ƒ

RT is directed to second-line checks

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Interactive

*_Temporary_Data

Delete

(26)

F

ƒ

Border Officer enters recording of refusal of entry in the national system (This point is referred here for completeness, but is out of

scope for the current cost study).).

ƒ

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

Refuse_Entry

Write

Interactive

NBCS

(27)

4.4

Registered Traveller Border Crossing – Exit

C

ONTEXT

Registered travellers crossing external EU borders to enter

the Schengen area

B

RIEF

D

ESCRIPTION

This process is triggered when a Registered Traveller (RT)

wishes to cross the border to exit the EU Schengen area

He/she must undergo a border check procedure.

A

CTORS

Border Officer

National Border Check System (NBCS)

Registered Traveller System (RTS)

Automated Gate (e-Gate)

Registered Traveller (RT)

S

TAKEHOLDERS

&

I

NTEREST

The stakeholders are the EES, RTS, VIS, SIS, other national

databases

The role of the RT system is to make sure verification

occurs that the traveller was previously enrolled and

therefore entitled to use the automated border crossing

facility, if available. A facilitated check could be carried out

manually in case an automated border crossing system is

not available.

The role of all systems is to support the border check

procedure and, for EES, to record the exit record of

Registered Travellers

P

RECONDITIONS

BCP is open and accepting travellers

E-Gate is available

Border Officer is available for supervision and back-up

RT presents herself at a BCP e-Gate

(28)

A

ƒ

e-Gate (Border Officer) provides instructions to the Traveller to help her scan her travel document and to capture her fingerprints

ƒ

E-Gate processes and dispatches all data to NBCS

ƒ

RTS final validation is required only after NBCS has verified effective rights of exit, and replaces the mandatory Q&A interaction with

the Border Officer

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

E-Gate

Video screen

EGate_Instructions_to_Trav

eller

Display

Travel

Credential

Travel

Credential

Reader

MRZ

Scan

MRZ_Validity_Status_OK

MRZ

Read

Pax_Details

Travel_Credential_Details

Pax_Details

Travel_Credential_Details

Write

Exit_Data_Record

I-NBCS

NBCS

Traveller

Fingerprint

scanner

Fingerprints

Scan

Fingerprint_Image

Fingerprint_Template

I-NBCS

NBCS

NBCS

Fingerprint_Image

Fingerprint_Template

Check Quality Level

Fingerprint_Quality_Status

NBCS

NBCS

I-NBCS

Fingerprint_Quality_Status

*_Exit_Status

Decision on Exit

Decision_on_Exit_OK

Fingerprint_Quality_Status

*_Exit_Status

I-RTS

RTS

RTS

Travel_Credential_Details

Fingerprint_Image

Fingerprint_Template

Check RTS

Decision_on_Exit_OK

I-NBCS

NBCS

B

ƒ

NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to

o

confirm document validity

o

validate the travellers’ identity

o

help assess her exit eligibility

ƒ

Specifically, EES confirms that RT has not previously overstayed, returns the allowed number of days for the present stay and sends

the result to NBCS

ƒ

NBCS returns any relevant information found

SIS

I-SIS

Exit_Data_Record

Check Blacklist

SIS_Exit_Status

I-NBCS

NBCS

EES

I-EES

Exit_Data_Record

Check EE History

EE_Exit_Status

I-NBCS

NBCS

Other Syt’s

I-Others

Exit_Data_Record

Check Blacklist

Other_Sys_Exit_Status

I-NBCS

NBCS

(29)

C

ƒ

NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process

ƒ

NBCS purges any temporary data stored

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

NBCS

Pax_Details

Fingerprint_Image

Fingerprint_Template

Decision_on_Exit_OK

Date&Time_Stamp

BCP

Write

EE_Data_Record

I-EES

I-RTS

EES

RTS

NBCS

*_Temporary_Data

Delete

When Exception handlings are required, such as:

Travel document cannot be read/scanned at e-Gate

Fingerprints do not meet required quality levels

EES or other critical system is unavailable

RT Traveller is recognised as a threat to security and/or public health

RT Traveller is flagged by EES as having overstayed her permit/visa

RT is to be re-directed to second-line checks, whereby the following event applies.

D

ƒ

Border Officer takes control of the procedure

ƒ

NBCS purges all information no more needed

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

(30)

4.5

Registered Traveller Enrolment

C

ONTEXT

(TCN) Travellers seeking cleared status of Registered

Traveller in order to benefit from fast processing at

semi-/automated facilities when crossing external EU borders

upon entry to or exit from the Schengen area

B

RIEF

D

ESCRIPTION

This process is triggered when a traveller wishes to enrol as

a Registered Traveller and gain Registered Traveller status

He/she must undergo a preliminary background check

procedure and willingly provide her biometric details.

A

CTORS

Border/Enrolment Officer

Registered Traveller System (RTS)

Traveller applying for RT status

S

TAKEHOLDERS

&

I

NTEREST

The stakeholders are the EES, VIS, SIS, other national

databases

The role of the RTS is to make sure verification occurs that

the traveller is suitable for enrolment and therefore can be

entitled to use semi-/automated border crossing facilities

The role of all systems is to support the enrolment

procedure and, for EES, to return previous border crossing

records, including a qualitative assessment of the traveller’s

overstay history, if applicable

P

RECONDITIONS

RTS is operational

Border/Enrolment Officer is available

Traveller presents herself at a Registered Traveller System

Enrolment Facility (RTS-EF)

(31)

A

ƒ

Border/Enrolment Officer drives the process, providing instructions to the Traveller, helping her while scanning travel document and

capturing fingerprints

ƒ

RTS processes and dispatches all data to NBCS

7

ƒ

NBCS polls all relevant back-office systems to carry out background checks and vet traveller’s application

ƒ

RTS final validation is required only after NBCS has verified effective rights of entry, and replaces the mandatory Q&A interaction with

the Border Officer

8

on arrival at BCP

Source

Interface

Input Data

Process

Output Data

Interface

Storage

Hyperlinks

Travel

Credential

Travel

Credential

Reader

MRZ

Scan

MRZ_Validity_Status_OK

MRZ

Read

Pax_Details

Travel_Credential_Details

Pax_Details

Travel_Credential_Details

Write

Entry_Data_Record

I-RTS

RTS

Traveller

Fingerprint

scanner

Fingerprints

Scan

Fingerprint_Image

Fingerprint_Template

I-RTS

RTS

Traveller

Camera

Face

9

Scan

Face_Image

I-RTS

RTS

RTS

Fingerprint_Image

Fingerprint_Template

Check Quality Level

Fingerprint_Quality_Status

RTS

RTS

I-RTS

Fingerprint_Quality_Status

*_RT_Status

Decision on Application

RT_Status_OK

RTS

I-RTS

Travel_Credential_Details

Fingerprint_Image

Fingerprint_Template

Check NBCS

RT_Data_Record

I-NBCS

NBCS

B

ƒ

NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to

o

confirm document validity

o

validate the travellers’ identity

o

help assess her entry eligibility

ƒ

Specifically, EES returns Traveller’s history of previous stays and dispatches the result to the NBCS

ƒ

NBCS returns any relevant information found to RTS

7

Please note that the enrolment would most likely take place using a direct interface to the RTS, though also this structure could/would be used in

some MS depending on the national implementation.

(32)

Other Syt’s

I-Others

RT_Data_Record

Check Blacklist

RT_Entry_Status

I-NBCS

NBCS

Other Syt’s

I-Others

RT_Data_Record

Check

RT_Entry_Status<

References

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