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
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
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
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
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
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
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):
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
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
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 DistributedNo 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.
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
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.
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 ScenarioXnC/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.
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.
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
A
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
NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to
confirm document validity
validate the travellers’ identity
help assess her entry eligibility
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
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
Border Officer helps and supervises the traveller while capturing her fingerprints
NBCS verifies the quality of the fingerprints and stores them temporarily for later processing
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
•
•
•
D
NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process
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
Border Officer additionally gathers information from the visa sticker and inserts it in the NBCS
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
Border Officer cancels the procedure
NBCS purges any unneeded information
TCN is directed to second-line checks
Source
Interface
Input Data
Process
Output Data
Interface
Storage
Hyperlinks
•
NBCS
•
Interactive
•
*_Temporary_Data
•
Delete
•
•
•
•
G
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
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
A
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.
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
NBCS interrogates various databases (EES, SIS and national databases, possibly in parallel) to
confirm document validity
validate the travellers’ identity
help assess her entry eligibility
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
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
•
•
Other Syt’s
•
I-Others
•
Exit_Data_Record
•
Check
•
Other_Sys_Exit_Status
•
I-NBCS
•
NBCS
•
C
EES confirms that TCN is exiting within the allowed number of days (no overstaying) and sends the result back to NBCS
NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process
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
Border Officer takes control of the procedure
NBCS purges any unneeded information
Source
Interface
Input Data
Process
Output Data
Interface
Storage
Hyperlinks
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.
A
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
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
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
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
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
•
C
NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process
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
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
Border Officer cancels the procedure
NBCS purges all information no more needed
RT is directed to second-line checks
Source
Interface
Input Data
Process
Output Data
Interface
Storage
Hyperlinks
•
NBCS
•
Interactive
•
*_Temporary_Data
•
Delete
•
•
•
•
F
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
•
•
•
Refuse_Entry
•
Write
•
•
Interactive
•
NBCS
•
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
A
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
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
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
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
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
•
C
NBCS creates an EES record, inclusive of biographic and biometric data gathered earlier in the process
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
Border Officer takes control of the procedure
NBCS purges all information no more needed
Source
Interface
Input Data
Process
Output Data
Interface
Storage
Hyperlinks
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)
A
Border/Enrolment Officer drives the process, providing instructions to the Traveller, helping her while scanning travel document and
capturing fingerprints
RTS processes and dispatches all data to NBCS
7
NBCS polls all relevant back-office systems to carry out background checks and vet traveller’s application
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
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
Specifically, EES returns Traveller’s history of previous stays and dispatches the result to the NBCS
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.
•
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<