e-borders full business case - appendicesdata.parliament.uk/depositedpapers/files/dep2013... ·...

Restricted

e-Borders FULL BUSINESS CASE - APPENDICES

V1.0 12 November 2007

Restricted e-Borders

Issued: 12 November 2007

Full Business Case - APPENDICES v 1.0 Restricted

[Page intentionally left blank]



Full Business Case - APPENDICES v1.0 Restricted

2 of 108

Table of Contents

APPENDIX A Glossary ............................................................................. 6

APPENDIX B Service requirements and standards ............................ 12 B.1 Introduction .............................................................................................. 12 B.2 Changes between PITN and FITN ........................................................... 12 B.3 Changes between FITN and BAFO .......................................................... 15 B.4 Comparison of Services between PITN, FITN and BAFO ........................ 16 B.5 Service Standards.................................................................................... 22

APPENDIX C Description of options .................................................... 24 C.1 Introduction .............................................................................................. 24 C.2 Do Nothing ............................................................................................... 24 C.3 Do Minimum ............................................................................................. 25 C.4 Universal Visa Regime ............................................................................. 27 C.5 e-Borders option ...................................................................................... 29

APPENDIX D Benefits identification registers ..................................... 32 D.1 Introduction .............................................................................................. 32 D.2 1 - Improved border security .................................................................... 35 D.3 3 - More effective use of Enforcement resources ..................................... 38 D.4 4 – Reduction in the cost of the asylum process ...................................... 41 D.5 5 - Improved management information ..................................................... 43 D.6 9 - Increased detections and interventions of individuals of interest to the police and to SOCA ............................................................................................. 45 D.7 10 - Improved data and intelligence on lost, stolen and recovered travel documents ........................................................................................................... 47 D.8 12 - Improved MI for monitoring visa compliance (overstayers) trends and patterns ............................................................................................................... 49 D.9 13 - Ensuring flows of data needed by Border and Immigration Agency and ONS .............................................................................................................. 51 D.10 15 - Efficient and effective processing of passengers at UK ports ............ 53 D.11 16 - Improved cross-agency working ....................................................... 56 D.12 19 – Increase in intelligence captured relating to terrorism and serious and organised crime ................................................................................................... 57 D.13 22 - Reduced benefits overpayment or incorrect payments ...................... 59 D.14 24 – Improved public confidence in border and security controls ............. 61 D.15 25 - Improved intelligence and risk analysis ............................................. 63 D.16 26 - Improved tactical intelligence ............................................................ 65 D.17 27 - Reduction in processing certain categories of leave to remain cases 67 D.18 31 - More robust decision making for Managed Migration cases .............. 69 D.19 33 - Ability to check status of PBS visa .................................................... 71 D.20 34 - Eliminate the cost of processing Landing Cards ................................ 73 D.21 35 - Improved decision-making for repeat visa applications ..................... 75 D.22 36 - Improved watch-listing capability....................................................... 77 D.23 38 - Improved joint working provides efficiency savings for police operations ............................................................................................................ 79 D.24 42 - Reduction in the loss of direct taxes .................................................. 82 D.25 43 - Reduction in the loss of indirect taxes ............................................... 84 D.26 44 - Reduction in handling documents ..................................................... 86 D.27 45 - Reduction in processing times for nationality cases .......................... 88 D.28 46 – More robust decisions making for nationality cases.......................... 90 D.29 47 - Improved MI for monitoring visa compliance (overstayers) trends and patterns ............................................................................................................... 92




3 of 108

D.30 48 - Increase in the number of seizures of prohibited and restricted materials drugs, firearms etc. ............................................................................... 94

APPENDIX E Comparison of current and future operating models .. 97

APPENDIX F Reporting ....................................................................... 107 F.1 Programme Reporting ............................................................................ 107 F.2 Service Provider Reporting .................................................................... 108

APPENDIX G Related documents ....................................................... 109 G.1 Introduction ............................................................................................ 109

APPENDIX H REDACTED .................................................................... 111 H.1 REDACTED ........................................................................................... 111




4 of 108

Document Control Sheet Version/Change History

Version No. Date Comments

0.1 14 June 07 Draft issued to JAC and GIB Secretariat for review

0.2 24 Aug 07 Working draft issued to Agencies for review

0.3 6 Sept 07 Release to JAC and Steering Group

0.4 7 Sept 07 Release to GIB

0.5 12 Sept 07 Release to GIB and HMT

0.6 19 Sept 07 Revised to note post contract approach to benefits

Released to JAC, GIB and HMT

0.7 5 Nov 07 Draft updated to Preferred Bidder announcement

1.0 Final version reflecting reviewers‟ comments

Approvers

Name Title Signature Date

Brodie Clark Senior Responsible Owner

REDACTED Programme Director

Distribution (additional to reviewers)

Name Title

HO GIB Secretariat

BIA JAC Secretariat

e-Borders Programme Office

Agency Representatives




5 of 108





6 of 108

APPENDIX A Glossary

Term Definition

ACS Automated Clearance Services. Automated clearance of designated low risk passengers holding biometrically enabled travel documents.

„As is‟ Term used to describe current situation. Used in process maps and business requirements.

„To Be‟ Term used to describe a future situation incorporating all recommended changes. Used in process maps and business requirements.

ALO Airline Liaison Officer. Immigration staff posted overseas whose role is to offer advice, training and expertise to airlines with a view to preventing/disrupting the carriage of inadequately documented passengers to the United Kingdom.

API Advance Passenger Information – Passenger‟s passport, travel and other details received in advance of arrival (see also TDI and SI, which collectively are often referred to colloquially as API).

APP Advance Passenger Processing. The interactive use of API to determine immigration, or other government agency, action in respect of impending arrivals/departures.

ATC Authority to Carry. The concept of granting or denying a carrier the authority to carry a passenger to the UK.

Background checks Further checks carried out by UK authorities after an ATC check, but before arrival in the UK. The results are used to inform the arrivals control (Immigration Control Point), and relevant other agencies, of the risk level associated with the passenger.

BAFO Best and Final Offer documentation issued to short-listed bidders (following FITN)

Biodata The personal data shown on a passport.

Biometrics The use of physiological identifiers, such as fingerprints, facial recognition, iris recognition.

Border agencies Border and Immigration Agency Border Control, HM Revenue & Customs, UKvisas and National Co-ordinator for Ports Policing (NCPP).




7 of 108

CID Casework Information Database. A Border and immigration Agency database that supports the management of immigration and nationality casework.

CTA Common Travel Area -an area including the UK, Republic of Ireland, Isle of Man and the Channel Islands, in which leave to enter is not normally required for travel within the area.

DCS Departure Control System. Airlines use their DCS to manage check-in, loading etc.

e-BOC e-Borders Operations Centre.

EEA European Economic Area

Embarkation Control Immigration control on passenger s departing from the UK.

Entry clearance Certain nationalities and categories of passengers are required to apply for an entry clearance or visa at UK missions abroad in advance of travel to the UK. An entry clearance or visa is granted in the form of a sticker placed in the passport.

ETAS Electronic Travel Authority System. An Australian system for issuing „electronic visas‟ to low-risk passengers.

Exporting the border The concept of assessing the bona fides of passengers prior to their arrival in the UK. A number of measures to export the border have been introduced including ALOs, visa regimes and juxtaposed controls.

REDACTED REDACTED

FCO Foreign and Commonwealth Office.

FITN Final Invitation to Negotiate documentation issued to short-listed bidders (following down-selection from long-listed bidders at PITN stage)

REDACTED REDACTED

REDACTED REDACTED

HIU Heathrow Intelligence Unit

IAFS+ Immigration automated fingerprint system (phase2)

IDAs Inadequately Documented Arrivals - those passengers who arrive at the immigration control in the UK with either no passport, and/or UK visa.




8 of 108

ILO Immigration Liaison Officer. Works overseas with foreign governments on joint immigration issues.

Immigration Control Point

Another name for the arrivals control, the point at which leave to enter the UK is considered.

IO Immigration Officer

IOI Individual of Interest

IPS Identity and Passport Service

IRIS Iris Recognition Immigration System. A project to implement automated clearance using biometrics to recognise registered low-risk passengers.

IRS Immigration Research and Statistics

JIC Joint Intelligence Cell. Units composed of staff from more than one agency.

JPAS Joint Passenger Analysis System.

Juxtaposed Controls UK arrival controls situated overseas, primarily at the channel sea ports of France and Eurostar/Eurotunnel rail terminals. Avoids the need for a control at the UK destination. Aimed at preventing inadmissible passengers from reaching the UK. Potential asylum seekers would therefore have to make their case in that country.

LCU Landing Card Unit - responsible for the counting and processing of landing cards.

Leave to Enter (LTE)

Leave to Remain (LTR)

LTE - permission to enter granted by an immigration officer on arrival or an Entry Clearance Officer when a visa is issued

LTR - permission to remain granted after arrival (extensions and applications in-country).

MIS Management Information System.

Mission An overseas office representing the UK, e.g. an embassy, high commission or consulate.

Movement Record A record of a passenger trip, including biodata, travel details and an audit trail of transactions in relation to that trip.

MRZ Machine Readable Zone – Area containing biodata on a passport/Visa/ ID card readable by machine.




9 of 108

NDT New Detection Technologies. Devices such as heartbeat detectors, x-rays and passive millimetric wave detectors, placed at overseas sea ports) to detect clandestine passengers concealed in vehicles and trailers.

OGC Office of Government Commerce. Promotes best practice in managing large government projects.

OGD Other Government Department (or agency).

Omnibase Secure IPS database of UK passports

Operations centre See e-BOC

OPI Other passenger information - records held in carrier information systems that contain all details concerning the creation and modification of a passenger‟s reservation. Sometimes referred to as passenger name record (PNR)

Passport reader A device for recording passport biodata automatically. Sometimes restricted to mean an MRZ reader.

Passport scanner A device for recording passport data automatically. Typically refers to one that takes a digital image of the biodata page as well as recording the MRZ data.

PER Public Expense Removal. The removal, at public expense (rather than carrier), of a person who has been refused entry or served with illegal entry papers.

PFI / PPP Private Finance Initiative / Public Private Partnership

PKI Public Key Infrastructure

PNC Police national computer - the police national database of persons convicted of offences, wanted/missing or otherwise of interest to the police service and allied agencies. The system also includes a number of other indices including motor vehicle registered keepers, stolen property etc.

PITN Preliminary Invitation to Negotiate documentation issued to long-listed bidders

Risk profiling The process of assessing the risk associated with impending arrivals.

RPI Reduced Passenger Information - data relating to a passenger‟s, or crew member‟s, identity on a domestic or CTA voyage, where travel documents are not required.




10 of 108

RRS Reservation Retrieval System. A system for selecting and viewing OPI.

SI Service Information. Details of a voyage by a vessel

SIS Schengen Information System EU wide database of wanted persons

Single Window A concept for allowing carriers to deliver passenger information to one UK Government point, but also allowing the various border agencies to have different access to that data according to their legal entitlements.

TDI Travel Document Information. Biographical and other information contained in a travel document.

TDNI Travel Document Number.

TWOV Transit Without a Visa. A concession under which a visa national can enter the UK temporarily without a visa, while in transit to another country (typically an overnight stay while waiting for a connecting flight).

Watchlist A database holding names of individuals or organisations of interest.

WI Warnings Index – A watch list containing lists of people of interest to relevant Government departments and guidance on how they should be handled at immigration.




11 of 108





12 of 108

APPENDIX B Service requirements and standards

B.1 Introduction

Over the course of the procurement there have been several iterations of the Authority‟s Requirements.

May 2006

PITN

May 2007

FITN

August 2007

BAFO

Between PITN, issued May 2006, and FITN, issued May 2007, much of the activity focused on expanding detail, and developing new requirements. Between FITN and BAFO, issued 17th August 2007, the focus was on strengthening requirements and finalising the scope of System Services contained within:

Business Service Requirements – those services that the Service Provider will provide following contract award. These requirements are fully defined and represent the irreducible minimum necessary to address immediate strategic requirements;

Additional Service Requirements – specific capabilities for which a priced response will be given by bidders. Their inclusion will be subject to affordability or the necessary development of other government systems; and

Future Service Requirements – described at a high level in the contract but for which detailed requirements have not been specified, and which are not priced. The Authority reserves the right to obtain any Future Service from any supplier of IT services other than the Service Provider.

This appendix outlines the key high level changes to the requirements that took place between the PITN, FITN and BAFO stages of the procurement process.

B.2 Changes between PITN and FITN

B.2.1 New Business Service Requirements added at FITN:

The following key additions were made to the Business Service requirements between PITN and FITN:

Watchlist Check and Travel History Request System Services - a generic System interface for Agencies through which they can request the execution of Watchlist checks and retrieval of Travel Histories;

Specific Transport Type Information System Services – a new service to capture information regarding General Aviation and Maritime;

Degraded modes of operation for Clearance System Services and Embarkation Control System Services – to ensure that essential System capability if maintained in a degraded mode of operation;




13 of 108

On-train Clearance System Services – ability for Immigration Officers to conduct clearance on trains where no Juxtaposed Controls are in operation e.g. ski trains and trains from Disneyland Paris; and

OPI and Profiling Pilot Services – introduced to retain the capability provided by Semaphore.

B.2.2 Refinement of Business Service Requirements at FITN:

The following Business Service requirements were refined and developed between PITN and FITN:

Requirements around Carrier data capture were changed to be more output based.

Border Control Watchlist Tasking at Passenger Analysis Units (PAU) System Services - the requirements were broadened to include the capability for Border Control to have visibility of all of their Alerts from their PAUs. This allowed Border Control Tasking Managers to view and amend Alerts (e.g. updating Alert Handling Instructions).

The requirements for Clearance were broadened to include the processing of Biometric Residence Permits.

More detail was added at FITN around:

Travel History Management Services;

Service Levels for Performance and Availability of the System;

TDI Repair; and

Workflow Configuration within the System.

In addition to this at FITN,:

the Business Services were streamlined into logical groups with common services;

Methods of access requirements were refined and associated volumetrics for equipment/system access required and user numbers; and

Interface to CID – the Technical Requirements in FITN state re-use of the existing WI interface to CID. Upgrade to this interface is included as an Additional Service.

B.2.3 Business Service Requirements removed at FITN

The following requirements were removed from the Business Services at FITN:

Alert scheduling for HMRC and Police Business Service was removed at FITN.

The provision of OPI Data Capture Services and Passenger Profiling Services was moved to be a Future Service. The decision on whether to implement the services to be informed by the OPI and Profiling Pilot service added to the Business Service Requirements set up to retain the Semaphore capability going forward(OPI & Profiling Pilot Services).




14 of 108

B.2.4 New Additional Services added at FITN:

At PITN there were no service line Additional Service items. Between PITN and FITN the following Additional Service line items were added:

Automatic Number Plate Recognition at Ports Services - requirements to provide ANPR or other equivalent technology as an Additional Service. This supports the identification of Passengers travelling in vehicles at both Juxtaposed Controls and non-Juxtaposed sea Ports;

CID interface upgrade – requirements to support the receipt of Watchlist extract information and to allow the Immigration Officer to create and amend CID records;

The following new Additional Services introduced at FITN were previously Business Services or Future Services at PITN:

Automated Clearance (Registered Traveller) System Services – requirements for the development, test and implementation of automated gates at the Immigration Point of Control to allow registered travellers in possession of biometrically enabled Travel Documents to enter the UK without the need to present themselves to an Immigration Officer;

Data Mining – requirements to support the analysis of the data held within the System, such as Travel Histories for all Passengers and Crew;

Visa Authentication and Biometric Identity Verification of Visa Holders – requirements to support the collection of Visa Information and Passenger fingerprint biometric data for verification against biometric records captured at Visa issue;

Schengen Information System II (SIS II) Watchlist Services – requirements for the receipt of Watchlist content from SISII; and

Domestic Travel System Services – requirements for the collection of Passenger and Crew data for Carriers operating routes between Northern Ireland and Great Britain

B.2.5 New Future Services added at FITN:

The following new Future Services were added at FITN:

TDI Data Quality Validation System Services – to provide a near real time feedback to Carriers, regarding the data quality of each TDI message that they submit. This would be achieved by comparing each Passenger‟s TDI details against the known verified TDI held, for example, on Omnibase or another nations trusted TDI store;

Identification Support Services – requirements to support an Agency Officer in identifying Passengers of interest as they move through a Port;

OPI Data Capture Services – to capture OPI from Carriers on specific routes of interest, previously a Business Service at PITN;

Passenger Profiling Services – to support the risk assessment of Carrier data through the identification of specific trends and characteristics, previously a Business Service at PITN;




15 of 108

Automated Clearance (Registered Traveller) at Juxtaposed Controls – to support the Implementations of ACS points of control at Juxtaposed controls;

Automated Clearance (Trusted Traveller) Scheme – to enable Passengers who are not eligible to enrol in the Registered Traveller Scheme to benefit from Automated Clearance Services to expedite their entry to the UK; and

Ensuring a Unique Secure ID for Non-EEA Nationals - to support the IO at Clearance in capturing the fingerprint biometrics and a facial image from non-EEA non-Visa national Passengers for transmission to the Home Office Fingerprint system for storage and verification of uniqueness. For subsequent arrivals in the UK, the System would be required to support IO at Clearance to verify the Passenger‟s identity by comparing the Passenger‟s live fingerprint biometrics against the fingerprint biometrics stored in the Home Office Fingerprint system.

The ATC requirements were also modified with requirements for the System to support the creation and issue of ATC Denials (Phase 1b) and the full automation of ATC checks (Phase 2) added to Future Services.

B.3 Changes between FITN and BAFO

B.3.1 Changes to scope:

Changes to scope at BAFO resulted in FITN services moving between Business services, Additional Services and Future Services.

The following services moved from Business Services to Additional Services at BAFO:

Iris Recognition Immigration System Services; and

Watchlist Check and Travel History Request System Services

The following services moved from Future Services to Additional Services at BAFO:

Passenger Profiling Services; and

OPI Data Capture Services.

The following services were removed at BAFO:

OPI and Profiling Pilot services - following the review by Lord West and the subsequent announcement to Parliament by Gordon Brown, OPI and Profiling System Services moved from Future Services to become Additional Services, likely to be procured close to the effective date of the contract and therefore making OPI and Profiling Pilot redundant; and

Data Mining Services - removed as a standalone Additional Service as the requirement for Data Mining is now part of the detailed requirement for the OPI Additional Service.




16 of 108

B.4 Comparison of Services between PITN, FITN and BAFO

The following table, and figure shows the Services included in the Business Service Requirements, Additional Services and Future Services.




17 of 108

Section of Requirements

PITN Section of Requirements

FITN Section of Requirements

BAFO

Business Service Requirements

(Volume 2, Section 3)

International Pre-Arrivals Services

International Arrivals Services

International Departure Services

Passenger and Crew Risk Assessment Services

Alert Management Services

Alert Distribution Services

Reporting and Data Analysis Services

Variations to the Business Service Baseline Requirements

e-Borders Methods of Access Descriptions & Requirements

Business Service Requirements (Schedule 2.1, Part B)

Passenger & Crew Data Capture Services

Visa Application Check Services

Watchlist Management Services

Risk Assessment Services

Alert Management & Distribution Services

Agency Services at PAUs

Alert Presentation and Points of Control Services

Iris Recognition Immigration System Support Services

Travel History Management Services

Maintenance Services

Reporting & Data Analysis Services

Variations to Business Service Requirements

Methods of Access – Descriptions and Requirements

Degraded Modes of Operation – Alert Presentation and Points

Business Service Requirements (Schedule 2.1, Part B)

Passenger & Crew Data Capture Services

Visa Application Check Services

Watchlist Management Services

Risk Assessment Services

Alert Management & Distribution Services

Agency Services at PAUs

Alert Presentation and Points of Control Services

Travel History Management Services

Maintenance Services

Reporting & Data Analysis Services

Variations to Business Service Requirements

Methods of Access – Descriptions and Requirements

Degraded Modes of Operation – Alert Presentation and Points of Control Services




18 of 108




BAFO

of Control Services

OPI & Profiling Pilot Services

Additional Services


- Various Catalogue Items e.g. additional units of equipment.

Additional Services

(Schedule 2.1, Part J)

Service line items:

Automated Clearance (Registered Traveller) Services – Stage 2: Model Office Testing

Automated Clearance (Registered Traveller) Services – Stage 3: Proof of Solution

Automated Clearance (Registered Traveller) Services

Automatic Number Plate Recognition at Ports Services

Data Mining Services

CID Interface Upgrade

Visa Authentication and Biometric Identity Verification of Visa Holders

Schengen Information System (SIS II) Watchlist Services

Domestic Travel System Services

Catalogue Items:

Various Catalogue Items

Additional Services

(Schedule 2.1, Part J)

Automated Clearance (Registered Traveller) Services – Stage 2: Model Office Testing

Automated Clearance (Registered Traveller) Services – Stage 3: Proof of Solution

Automated Clearance (Registered Traveller) Services

Automatic Number Plate Recognition at Ports Services

CID Interface Upgrade

Visa Authentication and Biometric Identity Verification of Visa Holders

Schengen Information System (SIS II) Watchlist Services

Iris Recognition Immigration System Support Services


Other Passenger




19 of 108




BAFO

e.g. additional units of equipment.

Information Services (includes Data Mining)


Profiling Services


Catalogue Items:

Various Catalogue Items e.g. additional units of equipment.

Future Services


Domestic Travel Services;

Authority to Carry (Phase 2) & ATC Support Desk Services;

Non-Core Agency Services;

Automated Clearance Services;

Registered Traveller Services;

Charging Services;

Capture of OPI Data from Additional Carriers Services; and

Use of Biometrics in Travel Histories Services.

Future Services (Schedule 2.1, Part K)

Authority to Carry (Phases 1b / 2) & ATC Support Desk Services;

Charging Services

TDI Data Quality Validation Services

Innovation Centre Services

OPI Data Capture Services

Passenger Profiling Services

Identification Support Services

e-Borders Equipment Type 7

e-Borders System Access Type 2

Future Services (Schedule 2.1, Part K)

Authority to Carry (Phases 1b / 2) & ATC Support Desk Services;

Charging Services

TDI Data Quality Validation Services

Innovation Centre Services

Profile Workflow and Alet Creation Services

Identification Support Services

e-Borders Equipment Type 7

e-Borders System Access Type 2

Technical Refresh

Automated Clearance




20 of 108




BAFO

Technical Refresh

Automated Clearance (Registered Traveller) at Juxtaposed Controls

Automated Clearance (Trusted Traveller) Scheme

Ensuring a Unique Secure ID for Non-EEA Nationals

Watchlist Hit Creation Managed Service

Additional e-BOC

Replacement of Agency Systems

Watchlist interface to Back Office Facility (BOFII)

Integration with Freight Targeting System


(Registered Traveller) at Juxtaposed Controls

Automated Clearance (Trusted Traveller) Scheme

Ensuring a Unique Secure ID for Non-EEA Nationals

Watchlist Hit Creation

Additional e-BOC

Replacement of Agency Systems

Watchlist Interface to Back Office Facility (BOFII)

Integration with Freight Targeting System

Costed Option


Watchlist Hit Creation Managed Services

N/A N/A




21 of 108

<Figure redacted>

B.5 Service Standards

B.5.1 Border and Immigration Agency service standards

The Service Standards below relate to current Border and Immigration Agency operational business targets for passenger clearance.

The intention is that e-Borders would not adversely impact these targets and may potentially improve them.

Waiting times for non-EEA nationals of no more than:

45 minutes 100% of the time; and

30 minutes 90% of the time

The service standards for EEA passengers is not currently formally specified but is based on the intention of clearing passengers without delay. The intention is baseline the transaction this year.




22 of 108





23 of 108

APPENDIX C Description of options

C.1 Introduction

Four options have been considered:

Do Nothing – maintain current processes and staffing levels, notwithstanding increasing passenger numbers;

Do Minimum – maintain current processes by scaling staffing levels to reflect increases in the volume of passenger movements;

Universal Visa Regime – extend the Do Minimum option to include a requirement for all non EU/EEA visitors to obtain a visa prior to travelling; and

e-Borders – a multi-Agency approach in which passenger information is collected in advance of travel, checked against watchlists, risk assessed and a movement record created.

Each of these options is described below.

C.2 Do Nothing

Do Nothing

Principles maintain staffing levels, no increase in line with rising passenger

numbers;

universal challenge maintained by UKIS Border Control except for a small proportion of passengers enrolled on specific schemes utilising expedited processes

no change to current primary line system; and

assume no refresh of HOWI and Semaphore continues as per contract excluding extension.

Operational Processes

Risk assessment

UKvisas perform limited risk assessment as part of the visa issuing process;

HMRC collect limited manual Other Passenger Information (OPI) for intelligence purposes; and

Police and Intelligence activities constrained by current sources of information.

Inbound all passengers challenged at the primary line by an Immigration

Officer;

passengers enrolled on trusted traveller schemes approach biometric gates. Biometric gates verify identity, then either allow or deny entry; and

border control agencies perform limited interventions based on intelligence.

Outbound border control agencies perform limited interventions based on

intelligence.

Technology Enablers

Travel Document Information (TDI)

Not applicable.

Authority to Carry (ATC)




24 of 108

Other Passenger Information (OPI)

Other UKvisas system improvements.

Core Stakeholder Impact

Border Control

either no improvement, or potentially a reduction, in the effectiveness of the operation of border control.

HMRC either no improvement, or potentially a reduction, in the

effectiveness of the operation of border control.

Police

UKvisas potentially some limited increase in resources required to

respond to increasing number of visa applications; and

either no improvement, or potentially a reduction, in the effectiveness of the visa decisions.

Summary This option requires no substantial capital expenditure or major change Programme. However it fails to respond in any way to the drivers and issues facing UK border and security agencies and will lead to deterioration in the effectiveness and efficiency of border control. Lack of action will lead to the inability to handle the increasing passenger numbers, creating significant problems for passengers and carriers. Potential economic and reputation impact on the UK as a whole.

C.3 Do Minimum

Do Minimum

Principles resources devoted to border control activities increase (subject

to efficiency improvements) with the growth in passenger numbers and port expansion;

planned initiatives would be rolled out in accordance with agreed timescales, in particular WI, UKvisas‟ biometic visa Programme, Semaphore extension and IRIS would continue;

universal challenge maintained by UKIS Border Control except for a small proportion of passengers enrolled on specific schemes utilising expedited processes;

no change to current primary line system; and


Risk assessment

UKvisas perform limited risk assessment as part of the visa issuing process;

Customs collect limited manual Other Passenger Information (OPI) for intelligence purposes; and

Police and Intelligence activities constrained by current sources of information.

Inbound all passengers challenged at the primary line by an Immigration

Officer;

passengers enrolled on trusted traveller schemes approach biometric gates (IRIS). Biometric gates verify identity, then either allow or deny entry; and

other border control agencies perform limited interventions based on intelligence.




25 of 108


intelligence.

Technology Enablers


Not applicable.



Biometric Gates

biometrically-controlled gates linked to database of pre-enrolled passengers.



Border Control

an increase in resources required in response to increasing passenger numbers and port expansion; and


HMRC

potentially some limited increase in resources required to respond to increasing passenger numbers and port expansion; and


Police potentially some limited increase in resources required to

respond to increasing passenger numbers and port expansion; and


UKvisas potentially some limited increase in resources required to

respond to increasing number of visa applications; and

either no improvement, or potentially a reduction, in the effectiveness of the visa decisions.

Related Programme Impact

Warnings Index

ongoing technical refreshes every 3 years, yearly maintenance and support contracts and ongoing staffing costs

Semaphore ongoing technical refreshes every 3 years, yearly maintenance

and support contracts and ongoing staffing costs.

IRIS ongoing contract service charges incurred, with technical

refreshes every 2 years

LCU potential increase in headcount in line with passenger growth.

Summary This option represents the minimum change required to current border control business processes and systems to maintain approximately the current level of




26 of 108

operational effectiveness. In the short term it is a credible option as, to-date, the level of effectiveness of border control has been considered at least adequate and it requires no major capital expenditure or no changes to operational processes. However, it fails to respond adequately to the drivers and issues facing the border control agencies and will deliver no new benefits in response to additional investment in resources. It is likely that the level of security and immigration risk will rise.

C.4 Universal Visa Regime

Universal Visa Regime

Principles all non EU/EEA nationals will be required to obtain a visa from

an overseas mission to enter or transit the UK. However it would only apply to additional 9% of incoming passengers (approx 85% are EU/EEA, 6% non-EU/EEA have Visas);

universal challenge maintained by Border Control except for a small proportion of passengers enrolled on specific schemes utilising expedited processes;

biometrics collected as part of visa issuing process;

potential to expedite processing of holders of biometrically enabled visas;

no change to arrivals control configuration;

assumes withdrawal of the visa waiver scheme; and

assumes the withdrawal of the current Transit Without a Visa (TWOV) concession.


Risk assessment

mechanism for „exporting the border‟, risk assessment of non-EU/EEA passengers in advance of travel at the visa application stage; and

Customs collect limited manual Other Passenger Information (OPI) for intelligence purposes.

Police and Intelligence activities constrained by current sources of information

Inbound passengers challenged at the primary line by an Immigration

Officer;

passengers enrolled on trusted traveller schemes approach biometric gates (IRIS). Biometric gates verify identity, then either allow or deny entry; and

other border control agencies perform limited interventions based on intelligence.


intelligence.

Technology Enablers


Not applicable.






27 of 108



Border Control

would be the main beneficiary, potential efficiencies arising from reduced examination time on arrival for (approx) 9% of all inbound passengers;

however it would not deliver additional benefits in respect of EU/EEA passengers (approx 85% of all inbound passengers); and

need to increase resources in line with passenger growth will exist.

HMRC

potentially some limited increase in resources required to respond to increasing passenger numbers and port expansion; and

could provide additional but limited intelligence.

Police potentially some limited increase in resources required to

respond to increasing passenger numbers and port expansion; and

could provide additional but limited intelligence.

UKvisas potentially significant increase in resources required to deliver

a universal visa regime; and

no direct public sector costs as all visa application costs are passed on to applicants.


Warnings Index

ongoing technical refreshes every 3 years, yearly maintenance and support contracts, and ongoing staffing costs (as for Do Minimum option).

Semaphore ongoing technical refreshes every 3 years, yearly maintenance

and support contracts, and ongoing staffing costs (as for Do Minimum option).

IRIS ongoing contract service charges incurred, with technical

refreshes every 2 years

LCU potential increase in headcount in line with passenger growth.

Discouraged traveller

passengers discouraged from travelling to the UK as a result of the visa regime will have an adverse impact on UK GDP.

Ports and Carriers

passengers discouraged from travelling to the UK as a result of the visa regime will have an adverse impact on UK ports and carriers.

Summary Provides a mechanism to further „export the border‟ by screening passengers against watchlists, and collecting data, including biometrics, about them, prior to travel. Potentially addresses some of the issues facing the UK Border Control. As this option extends an existing, effective process, there will be expansion, but no major re-configuration of operational processes, minimising change cost and risk. However, it does not fully address the drivers and issues facing the border control agencies and could have a significant impact on business and tourism as passengers who currently do not require a visa may be deterred from visiting the UK.




28 of 108

C.5 e-Borders option

e-Borders

e-Borders (Core and Additional Services)

The focus of the appraisal is based on the Core and Additional Services as outlined in Appendix B

e-Borders (Future Services) Future services are summarised in Appendix B


Risk assessment

applicants for a visa are checked against their passenger movement record;

creation of a new shared service centre (the electronic Border Operations Control centre) to perform limited passenger risk assessment;

generation of alerts on inbound and outbound persons of interest to relevant agencies;

ATC decision to identify known and unknown risks posed by individuals and groups;

Inbound

(except at locations with juxtaposed controls)

capture of passport MRZ data by carriers at check-in for the journey (or sector for multi-leg journeys) to or from the UK (legal obligation to supply data falls on carrier transporting passenger into the UK);

checking of passenger details against watchlists and issuing of alerts to agencies

Communication of ATC refusal to the carrier

revised immigration control point to create passenger movement record; and

platform for future automated clearance service.

Inbound juxtaposed

capture of passport MRZ data and creation of passenger movement record

checking of passenger details against watchlists and issuing of alerts to agencies

Outbound

capture of passport MRZ data at check-in;

updating of passenger movement record to note departure; and

potential interdiction by border control agencies before boarding based on communication of alerts.

Technology Enablers


at check-in, communication of TDI/SI, in the form of passport MRZ data, to the e-BOC, for both incoming and outgoing services; and

check TDI/SI against watchlists in real time.


use of TDI/SI risk assessment to make real-time ATC decision; and

In case of denial, manual communication of ATC decision from the e-BOC to check-in desk for the final leg to the UK;

Other integration with UKvisas‟ application records;

a complete audit trail of passenger movements, including a record of all entries to and exits from the UK; and

the data would also be warehoused to provide bulk data for analytical functions to be conducted.

Border increased effectiveness in preventing arrival of passengers who




29 of 108

Control do not have a right of entry to the UK, such as those subject to exclusion orders or attempting to travel on lost or stolen travel documents; and

increased efficiency of the primary line by identifying passengers posing an immigration risk and focusing of resources on these risks.


HMRC

increased effectiveness of intelligence through generation of alerts based on passenger movement records;

further increased effectiveness of intelligence through generation of alerts based on TDI / SI;

increased effectiveness through potential to intercept of passengers of interest on arrival or before departure; and

increased effectiveness through better management of passengers of interest at arrivals control.

Police increased effectiveness of intelligence through generation of

alerts based on passenger movement records ;

further increased effectiveness of intelligence through generation of alerts based on TDI / SI;

increased effectiveness through potential to intercept of passengers of interest on arrival or before departure; and

increased effectiveness through better management of passengers of interest at arrivals control.

UKvisas increased effectiveness through improved decision-making

delivered by access to passenger movement records.

Warnings Index

One refresh cycle assumed (in 2010/11) – thereafter it is subsumed into the Service Provider‟s e-Borders solution.


Semaphore Programme subsumed within e-Borders.

IRIS IRIS is assumed to continue throughout the appraisal period.

Ongoing contract service charges incurred, with technical refreshes every 2 years

LCU functionality rendered obsolete by e-Borders

DWP increased ability to identify fraud abroad when e-Borders is

rolled out.

Carriers changes required to reservation and check in systems;

potential savings in removal and detention costs

improved customer service as a result of expedited border control processes.

Managed Migration/ Nationality

process savings for certain types of applications.

Others Legacy casework will gain insight of those passengers who have

left the UK with outstanding applications;

Potential ability to use e-Borders‟ data to tackle “health tourism”

Summary responds to the key business drivers and issues facing the border control

agencies;

exploits improved identity management offered by biometrically enabled travel documents

provides comprehensive data on the travelling population thereby improving the




30 of 108

ability to identify individuals of interest and develop the intelligence picture;

capture and analysis of this data in advance of journeys will support more coordinated and focused deployment of resources across agencies, improved decision making and facilitating expedited processing of bona fide passengers;

it offers the opportunity to implement a step change in the efficiency and effectiveness of border control operations and will provide significant benefits across Government;

passengers and carriers will benefit from improved processing at ports and public confidence in border control activities will be enhanced; and

this option will require initial investment which will be offset to an extent by financial benefits which accrue across the life of the project but requires the introduction of new processes and systems requiring significant organisational change across several government agencies




31 of 108

APPENDIX D Benefits identification registers

D.1 Introduction

This appendix lists both quantifiable and qualitative benefits identified by a wide range of stakeholders as part of ongoing engagement by the Programme team, and how they align with the Programme‟s key objectives of security, effectiveness and efficiency. To ensure the credibility of the business case stakeholders have been asked to confirm that the costs and benefits identified are realistic and achievable, within the constraints of a Full Business Case. Following contract award it is intended that the approach to benefits will be reviewed by the programme, agencies and the service provider. This review process will include clarifying the mechanics for measuring and tracking of benefits. The following table provides a log of all extant benefit templates. It should be noted that some benefits identified at an earlier stage have been closed and no longer feature.

Section No

Template No

Agency Title and brief description of benefit

Security / Effectiveness / Efficiency

Quantitative / Qualitative

D2 1 Border Control

Improved Border Security

Security Qualitative

D3 3 Enforcement Programme Office

More effective use of Enforcement resources

Effectiveness

Quantitative

D4 4 Asylum Performance and Resources Directorate

Reduction in the cost of the asylum process

Efficiency Quantitative

D5 5 Border Control

Improved management information

Effectiveness Qualitative

D6 9 Police Increased detections and interventions of individuals of interest to the police and to SOCA

Security Effectiveness

Quantitative (non-financial)

D7 10 IPS Improved data and intelligence on lost, stolen and recovered travel documents

Security Effectiveness Efficiency

Qualitative

D8 12 UKvisas Improved MI for monitoring visa compliance (over-stayers) trends and





32 of 108

Section No

Template No




patterns

D9 13 IRS Ensuring flows of data needed by BIA and ONS


D10 15 Border Control

Efficient and effective processing of passengers at UK ports


D11 16 UK plc Improved cross Agency working

Efficiency Qualitative

D12 19 Police Increase in intelligence captured relating to terrorism and serious and organised crime


Qualitative

D13 22 DWP Reduced benefits‟ overpayment or incorrect payments

Effectiveness Quantitative

D14 24 UK plc Improved public confidence in border and security controls


Qualitative

D15 25 Intelligence Directorate

Improved intelligence and risk analysis


D16 26 Intelligence Directorate

Improved tactical intelligence


D17 27 Managed Migration - PIDP

Reduction in processing certain categories of leave to remain cases



More robust decision making for managed migration cases



Ability to check status of PBS visa holders


D20 34 LCU Eliminate the cost of processing





33 of 108

Section No

Template No




Landing Cards

D21 35 UKvisas Improved decision-making for repeat visa applications

Effectiveness Efficiency

Quantitative & Qualitative

D22 36 UKvisas Improved watchilisting capability

Effectiveness Efficiency

Quantitative

D23 38 Police Improved joint working provides efficiency savings for police operations


D24 42 HMRC Reduction in the loss of direct taxes

Effectiveness Quantitative (contextual)

D25 43 HMRC Reduction in loss of indirect taxes

Effectiveness Quantitative (contextual)

D26 44 Managed Migration -Nationality

Reduction in handling documents



Reduction in processing times for nationality cases

Efficiency Qualitative


More Robust Decision making for Nationality Cases


D29 47 Managed Migration – PIDP

Improved MI for monitoring visa compliance (over-stayers) trends and patterns


D30 48 HMRC Increase in the number of seizures of prohibited and restricted materials: drugs, firearms etc

Security Quantitative (contextual)




34 of 108

D.2 1 - Improved border security M

an

ag

em

en

t C

om

mit

men

t

No. and short title

1 – Improved border security

Detailed Description

The information which will flow from e-Borders systems and processes will provide improved security and integrity of border control.

The benefits from e-Borders are:

Authority to Carry (ATC) will prevent persons identified as travelling on lost or stolen travel documents, subject of exclusion or deportation orders, or other categories currently under consideration, from travelling to the UK

Improved watchlisting capability will increase the ability to identify those passengers and crew members of interest, including those travelling on lost/stolen passports.

The Passenger Movement Record (PMR) will provide a detailed travel history enabling officers at the primary line to conduct a more focused examination of the passenger and thus identify those who are of immigration interest

Availability of Other Passenger Information (OPI) for profiling will identify those who may merit further examination which will lead to better focused interviews and more robust decision making

Identification and evidence of facilitators from PMR and OPI may lead to fewer people being facilitated to the UK and may assist facilitation/trafficking investigations

More effective use of the detention estate as those refused ATC are likely to have required detention if allowed to travel.

Access to Omnibase at the primary line will provide additional intelligence to identify passengers travelling on falsified British travel documents

Watchlist checks and issuing of alerts in respect of departing passengers and enable Border Control to Identify and mount a targeted intervention against those of immigration interest

The introduction of comprehensive checks on crew data will improve the integrity of the control and enable Border Control to Identify and mount a targeted intervention against those of immigration interest

The provision of passenger data from CTA locations will enable Border Control to Identify and mount a targeted intervention against those of immigration interest.

An automated clearance system (ACS) will read biometric security features in passports and visas and be more robust and reliable than current (2007) manual processes.

Beneficiary Border Control

PSA Impact

Border Control Business Plan 2006-07 - Home Office Public Service Agreement 5 „Reduce unfounded asylum claims as part of a wider strategy to tackle abuse of the immigration laws and promote controlled legal migration.‟

Key Business Objectives Supported

Effective controls Public confidence Technology base

Other objectives contributed to

Support E&R targets – Watchlisting departing passengers Support NAS/NAM targets - ATC

Target Value / Quantification

Qualitative

Source of quantification

N/A

Benefit Category Security Change Type

See change impact assessment

En

ab

lers

Enablers – Features and How Delivered

Functionality Capturing TDI, SI , PMR, Watch-listing, , ATC, access to Omnibase, ACS Process step Pre-embarkation, primary line-International arrivals and departures checks and controls




35 of 108

Bu

sin

ess

Acti

on

Required Business Changes Process / Technology/ Information

Refer to the Business Change Impact and Investigations template

The introduction of the e-Borders solution will lead to new ways of working on the primary line as officers will have access to additional information.

Acco

un

tab

ilit

y

Unit / Name (if applicable) Function / Dept

Who receives the benefit

Border Control General public

Who is accountable for delivery

Border Control

Measures Baseline ( as per PID)

Target (as per Business case)

Start Date

End Date

Benefit profile (e.g. 25% annual leakage after 2 years)

Frequency of measurement / by whom measured

1 Ratio of IS81s to refusal

IRS/BSU stats 12 months to 31/3/09

Increase AOC April 2009

FOC + March 2014

Quarterly/Border Control

2 Number of ATC refusals

0 Increase AOC April 2009

FOC + March 2014

High percentage leakage


3 Asylum claims at ports

IRS/BSU stats 12 months to 31/3/09

Decrease AOC April 2009

FOC + March 2014


4 Percentage of those granted TA that abscond

BSU/Local stats 12 months to 31/3/09


FOC + March 2014

High percentage leakage as e-Borders will identify more candidates for detention


5 Number of falsified UK passports identified at the primary line – including departures

NDFU stats 12 months to 31/3/09


FOC + March 2014

High percentage leakage from IOC onwards


6 Number of ASU applicants

IRS/ASU 12 months to 31/3/09


FOC + March 2014

Moderate percentage leakage from IOC onwards


7 Number of CTA refusals

BSU stats 12 months to 31/3/09


FOC + March 2014

High percentage leakage from IOC onwards


8 Number of individuals of interest identified at embarks



FOC + March 2014


9 Number of crew refusals



FOC + March 2014





36 of 108

To whom are measures reported

Border Control Border Transformation Board

Costs of measurement

Key review dates

End of 2009 to understand initial impact of e-Borders End 2011 post medium operational capability go live End 2014 post full operational capability go live

All

Issues / Risks / Dependencies

Risk:

Information provided to and from the e-BOC may not be accurate

Obtaining accurate baseline measures Dependencies:

e-Boc operating ATC

e-Borders system collecting pre-travel TDI

Senior User Concurrence

Name : REDACTED Signature: Date: 07/08/07

SRO/Programme Director Concurrence

Name : Signature: Date:

Notes / references

A number of the measures are already counted and collated by BCBSU

The measures are only indicators that the benefit has been realised

The targets may be contributed to by other initiatives and may not be solely attributable to e-Borders

The targets may not be achieved due to external influences Maybe unable to quantify all targets




37 of 108

D.3 3 - More effective use of Enforcement resources

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 3 – More effective use of Enforcement resources


Capture of outbound TDI/SI data will identify and confirm details of Asylum Seekers / Non Asylum Offenders whom have left the UK (or departed and re-entered) without informing the Border and Immigration Agency (BIA). This information will be used to cease any further operational or casework activity on the case and allow the BIA to record the departure on it‟s CID database and therefore close the case:

Enforcement will not waste resources on conducting operations against those individuals where e-borders have identified their departure from the U.K.

Enforcement can identify known absconders whom have left the U.K & cease any outstanding case action / remove the person from the Police National Computer system.

Every departure identified by e-Borders and officially recorded by Enforcement may assist towards harm reduction and removal targets.

Enforcement staff will have the ability to confirm the documentation used by the applicant to travel to the U.K, which would aid the re-documentation process of those that have their asylum claims refused in the U.K and those non asylum offenders who have accidentally or purposely lost their passport / travel document.

The information will help the BIA quantify the numbers of people who overstay, as well as allowing for better analysis of these individuals.

Utilisation of business provided watch-lists will allow Enforcement to be instantly notified if a person of interest arrives or departs from the U.K.

Beneficiary BIA – Enforcement

PSA Impact

More effective use of Enforcement resources will contribute towards BIA‟s target of ensuring more effective immigration control.


Effective control

Sustain FAS Tipping Point.

Return more non FAS offenders.

Expedited re-documentation of FAS.

Support to Legal Migration

Increased level of compliance with the immigration rules.

Value for money

Reduce unnecessary case-working / operational costs on dealing with cases of people no longer resident in the U.K.


BIA Strategic Objectives

Strengthen our Borders.

Ensure and enforce compliance with our Immigration laws.

BIA Capability Programme Systems which work and make delivery easier.

Becoming a leading implementer of technology.




38 of 108

Target Value

The Enforcement & e-Borders data exchange will provide data to Enforcement that gives the opportunity to direct resources more effectively. This will enable the department to re-deploy resources to other enforcement priorities. Overall this will help BIA move towards its goal of ensuring more effective immigration control. Whilst there will be benefits at a strategic level, practical operational difficulties will make this difficult to quantify. The introduction and utilisation of bio-metric technology will allow us to confirm and monitor a person’s arrival & departure, which will be far more effective then only being able to monitor the travel document used by a person to travel, which may not actually relate to the person using the document to travel.

Benefit Category Effectiveness Change Type

En

ab

lers


Functionality TDI, MIS Process step

Bu

sin

ess A

cti

on

Required Business Changes (*Process / Organisation/ Technology/ Information * delete as appropriate)

Enforcement has already established processes for the transfer of data from the Semaphore data exchange and these processes will be developed in line with the rollout of e-Borders.

Enforcement Staff will require access to the e-Borders system across its current 32 locations over the POISE network. Also BIA staff in the field would ideally require access to e-Borders over remote access to RAS laptops.

Enforcement will need to identify, build & maintain key watch-lists to be fed into e-Borders system.

Acco

un

tab

ilit

y



Enforcement - BIA Enforcement Programme Office


Enforcement - BIA Enforcement Programme Office



Start Date End Date



1. Identifying Asylum Seekers that have departed form the U.K. without informing Immigration authorities.

2 new departures a month identified via Semaphore

10+ (depending on rollout of e-Borders across all UK Ports)

Jan 06 (Semaphore pilot)

Ongoing

Measured monthly by the Enforcement Programme Office

2. Identifying Non Asylum Offenders that have departed form the U.K. without informing Immigration authorities.

1 new departures a month identified via Semaphore

10+ (depending on rollout of e-Borders across all UK Ports)

Jan 06 (Semaphore pilot)

Ongoing Measured monthly by the Enforcement Programme Office

3. Expedited re-documentation process for those whose documentation used to enter the U.K. is known.

67 days average to obtain an Emergency Travel Document

Unquantifiable at present – policy yet to be tested in this area.

Rollout of e-Borders

Ongoing Measured monthly by the Enforcement Programme Office


Senior Managers / Published Immigration Statistics


N/A – Business as usual

Key review Dates

N/A




39 of 108

All


A potential risk is that it will encourage more people to enter, or attempt to enter and leave the UK clandestinely. Actual benefits depend on what functionality the e-Borders system finally delivers & it‟s interaction with other IT systems (CID database / POISE network etc). Future benefits regarding the recording and usage of biometric data are out of scope at this moment in time, but need to be factored in to future development of the e-Borders and other BIA systems.





Notes / references

Semaphore data matching results to date: Semaphore has so far identified 21 new departures from the United Kingdom: Nov 05 3 Dec 05 2 Jan 06 1 Feb 06 2 Mar 06 3 Aug 06 3 Sep 06 2 Nov 06 1 Dec 06 1 Jan 07 2 Feb 07 1 This pilot was expected to produce around 2-5 FAS removals per month across the limited number of existing Semaphore routes monitored. Operation Union results to date: (Manual embarkation checks conducted at London Heathrow) Manual embarkation control at Heathrow TN3 has identified 3739 departures from the United Kingdom (when resource was available to conduct embark controls) Jan 06 24 Feb 06 230 Mar 06 295 Apr 06 312 May 06 281 Jun 06 291 Jul 06 323 Aug 06 388 Sep 06 308 Oct 06 342 Nov 06 383 Dec 06 562 The expected number of FAS removals is 70-80 per month. Staff: The Enforcement staff levels at Embark Control have recently reduced partly as there are no longer operations carried out at Terminal one. This work will be transferred to Border Control to take forward, but should no longer be required after the rollout of e-Borders across all UK Ports.




40 of 108

D.4 4 – Reduction in the cost of the asylum process

M

an

ag

em

en

t C

om

mit

men

t

No. and short title 4 – Reduction in the cost of the asylum process


Ability to access outbound TDI/SI will identify asylum seekers who leave whilst their applications are still under consideration and also Failed Asylum Seekers (FAS) receiving Section 4 support. In addition ATC may reduce the number of people claiming asylum in the UK. For example, it will identify and stop those travelling on lost and stolen passports prior to travelling to the UK. Current process: Currently if an asylum seeker (AS) or failed asylum seeker (FAS) leaves the UK without the knowledge of E&C (removed or voluntary return) Ithe Border and Immigration Agencywill not be aware which could result in continuation of funding to AS / FAS, as well as of the continuation of appeals that should legally be deemed to abandoned. e-Borders will potentially : - reduce costs in supporting accommodation and subsistence - reduce appeals process costs for Border and Immigration Agency – whatever stage - avoided Enforcement and Removals process costs – i.e. resource spent locating a FAS - reduce removal costs

Beneficiary Asylum

PSA Impact The budget for asylum support of flow (new) cases (including Section 4 and Grants) is £71m for 2007-08.


End-to-end caseworking process (NAM) will increase caseworking efficiency with less duplication on a single case leading to a saving in process costs per asylum claim.


Savings are based on assumption of 2% reduction in intake from AIR model. Savings have already been taken out of budget and e-borders will need to demonstrate delivery of this 2% reduction if savings are to be achieved. REDACTED



Benefit Category Efficiency Change Type

En

ab

lers


Functionality TDI, Replacement HOWI & Watch listing, Phase 1 ATC (%) and Phase 2 ATC (%) Process step International Inbound and Outbound

Bu

sin

ess

Acti

on


Refer to the Business Change Impact and Investigation template

Acco

un

tab

i

lity



Asylum




41 of 108


Asylum will account for financial benefit but this is dependent on successful achievement of e-borders programme.



Start Date End Date



1 Number of abscondees

Unknown

2 Failed Asylum support costs

Asylum support budget for „flow‟ cases is £71m for 2007/08.

REDACTED 2008/09

Should carry on for as long as processes are in place

NYK

3 Number of AS/FAS deterred

Unknown



Key review dates

All


Dependency - Proof of “leaving the country” must be Name, DoB, Nationality and Passport number. Dependency – Benefits will only accrue if it can be confirmed that an AS/FAS has left the country (proof of identity) and would not have been identified through other processes.


Name : REDACTED Signature: REDACTED Date: 18th

May 2007



Notes / references

We do not have data for the annual number of appeals abandoned as a result of the appellant leaving the UK, but if we were informed of such departures, that would remove the need to present these appeals, thus resulting in a saving. Applicants are not generally permitted to work and are supported by Asylum (and other agencies such as local authorities).




42 of 108

D.5 5 - Improved management information

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 5 - Improved management information


Management Information from e-Borders systems will provide::

The potential to identify transaction times for various categories of passengers leading to the ability to deploy resources accordingly

Detailed passenger information used to deploy resources leading to improved passenger processing times

More accurate and comprehensive data leading to more informed assessments for Race Relations (Amendment) Act purposes and new visa impositions, increasing the confidence in the assessment and decision making process and increase ability to rebut challenges

Ability to create records in CID and its successor systems from e-Borders, using e-Borders data to populate CID and its successor systems and link the records, will allow MI to be collated from across the two systems

A more accurate figure for the number of passengers required to submit to further examination (IS81s issued)

More accurate information to manage and monitor staff performance, including quality and integrity of decision making.

Information on arrival and clearance times and who dealt with an individual will be available for the investigation of complaints


PSA Impact



Support to legal migration Community Cohesion Public Confidence Effective resource management Technology base Knowledge Management



Qualitative benefit


Benefit Category Effectiveness Change Type See change impact assessment

En

ab

lers


Functionality Capturing TDI, Primary Line services, Standard Reports for Primary Line managers, Ad hoc reporting, PMR Process step Primary Line- International Arrivals, Data Analysis

Bu

sin

ess

Acti

on

Required Business Changes Process / Technology/ Information


Access to data and technology to deploy operational staff, and support performance measurement and passenger analysis.

Acco

un

tab

ilit

y



Border Control General public


Border Control



Start Date End Date






43 of 108

Meet SLA for processing passengers

BSU 12 months to 31/3/09

AOC April 2009

FOC + March 2014

Moderate percentage leakage as passenger numbers increase


Survey port managers on usefulness of data for managing staff performance and handling complaints

Survey prior to 31/3/09

AOC April 2009

FOC + March 2014



Border Control BTB


Key review dates


All


Risks:

The management information may not be used effectively





Notes / references

The ability to meet the SLA will be impacted by the increase in passenger numbers and extent of ACS

Some elements of the benefit are not measurable




44 of 108

D.6 REDACTED

Table REDACTED




45 of 108

D.7 10 - Improved data and intelligence on lost, stolen and recovered travel documents

Ma

nag

em

en

t C

om

mit

men

t

No. and short title

10 – Improved data and intelligence on lost, stolen and recovered travel documents


e-Borders will lead to: 1. The identification of passengers travelling on lost/stolen travel documents entering/exiting the UK or in transit through the UK; and 2. Minimizing weaknesses in the lost and stolen records (LSR). 3.Improve the overall integrity of passport stock through joined up working, supporting the border management system Capture of inbound and outbound TDI/SI will enable identification of those travelling on lost, stolen and revoked travel documents. This will facilitate the cleansing of the database (ensuring a database of lost travel documents, which have not been recorded as found). This in turn will lead to maintaining and improving the credibility and reputation of the Passport Service in terms of data quality and LSR control and will also act as a deterrent to individual using such documents.

Passenger Movement Records will also contribute to improved intelligence on the use of lost and stolen travel documents. For example, improve the overall integrity of passport stock and assisting the profiling of trends or characteristics of the use of lost and stolen travel documents.

Depending on data sharing agreements between the UK and other states, there is the potential to share information regarding passengers who have already departed (no available resources to intercept) on an outbound flight identified as travelling on lost and stolen travel documents. UK authorities could inform border authorities at the port of intended arrival.

Continued collaboration and co-operation with US for lost and stolen travel documents for the Visa Waiver Programme

Beneficiary IPS

PSA Impact

IPS Corporate and Business Plans 2005-2010 We will focus on:

changing the business model to improve the IPS‟s capability to detect and deter fraudulent passport applications

the use of Omnibase and watchlists to detect and prevent fraudulent applications and abuse of issued passports.


Identity Authentication


Customer Service Transforming ID Management


Quantification of benefit is difficult but should provide the following: 1. Improved MI on travellers using UK passports that are on the lost/stolen

database. 2. Improved MI on action taken at Border Control in relation to above, receipt of

I.O reports would be useful. 3. Identification at pre-boarding stage of passengers using UK lost/stolen

passports thus allowing Border Control to decide whether the passenger should be allowed to travel.

4. Facilitating entry to UK of UK citizens who are identified as travelling on lost/stolen passport but who are the genuine holders of the document.

5. Provide IPS with ability to identify % of travellers using their own lost/stolen passport and if necessary to devise a strategy for reducing the occurrence.

6. Contribute to the IPS strategic objectives of establishing the ID of customers with greater certainty and promotion of best practice in ID authentication and verification.


LSR entries identified now Semaphore data – hits against passenger numbers or WI hits

Benefit Category Efficiency / effectiveness / security – all of these

Change Type




46 of 108

En

ab

lers


Functionality TDI, Replacement HOWI and Watch-listing, Passenger Movement Records Process step Notification of each traveller identified as holding a passport listed on the IPS lost and stolen database to be passed to IPS. Such notification will need to include travel details (port of departure, arrival port, date of departure, flight number). Notification will also be needed as to whether passenger was allowed to travel and retain the document, having been confirmed at rightful holder and whether the traveller‟s document was impounded on arrival. The UK address of the passenger will be needed and will demonstrate joined up government, acting as a deterrent and helping IPS to get the books back. It will be required so that IPS, where necessary, can carry out any follow up that may be required. For example if the travel document is not impounded, IPS may wish to contact the holder to retrieve it.

Bu

sin

ess A

cti

on


Refer to the Business Change Impact and Investigation template Automated link to IPS from e-Borders providing regular flow of details of travellers identified holding lost/stolen UK passports – this must include the outcomes so that we know what happened.

Acco

un

tab

ilit

y



IPS LSR Manager


e-Borders e-BOC


Target (as per Business case) To obtain data on 100% of travellers using UK lost/stolen passports to enter/leave the UK and who are covered by the e-Borders operation

Start Date End Date


Frequency of measurement / by whom measured To be decided – dependent on the frequency of receipt of data from e-Borders

1

The number of lost and stolen passports recovered at ports of entry in 2006/7

e-BOC go live date

open

Benefit delivery ramps up in line with e-Borders roll out profile

2

3



Key review dates

All


1. Means and frequency by which data is passed to IPS


Name REDACTED Signature: e-mail Date:11/06/07


Name : Brodie Clark Signature: Date:

Notes / references

The lost/stolen database could be significantly increased through sharing of info via Interpol etc leading to increased ATC denials




47 of 108

D.8 12 - Improved MI for monitoring visa compliance (overstayers) trends and patterns

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 12 – Improved MI for monitoring patterns and trends in visa compliance (over-stayers)


A) Capability

Access to comprehensive passenger movement records will enable provision of improved strategic management information on groups of visa holders who fail to comply with the time restrictions on their visas and thus provide evidence of broad compliance trends and patterns. Management will be able to more accurately ascertain whether there are particular categories of applicant (e.g. by nationality, age group) which have higher rates of non-compliance. Improved MI will be used to support the work of UKvisas Risk Assessment Units, enable more effective risk profiling, better targeting of resources towards correcting systematic weaknesses, and hence lead to more effective and efficient processes. B) Performance Management i) The provision of data will enable managers to effectively assess the operational integrity of individual management posts and regions. By analysing compliance rates compared to visa issue rates managers will be able to assess whether there are a disproportionate number of non-compliance cases and the reasons why. ii) The data will enable the provision of performance information to individuals via the appraisal process and enable the identification of further training needs.

Beneficiary UKvisas / Managed Migration

PSA Impact

Supports UKvisas PSA targets for processing non-settlement and settlement visa applications within target times.


FCO Objective II: Protection of the UK from illegal immigration, drug trafficking and other international crime

Home Office Aim 6: Effective regulation of entry to, and settlement in the UK, in the interests of sustainable growth and social inclusion.


Ukvisas Mission Statement: “UKvisas is the overseas arm of the UK's integrated border management . Our goals are to bring communities together and improve the UK's competitiveness as a destination for travel, trade, migration and investment through programmes which prevent immigration abuse, deliver value for money and earn public confidence."


[There is not enough data to fully envision quantification at this stage, however, future data will inform resourcing for posts and indicators will be provided in due course.]


Benefit Category Qualitative Change Type

En

ab

lers


Functionality

Travel History Data and linking

Reporting and data analysis services Process step

Performance management and monitoring.




48 of 108

Bu

sin

ess A

cti

on


Refer to the Business Change Impact and Investigations section of this plan

Acco

un

tab

ilit

y



UKvisas Corporate Services, Business Development, Network Operations


UKvisas Performance Management Analysis and Forecasting Team and e-Borders Integration Team



Start Date End Date



1

2

3



Key review dates

All


Accuracy of TDI and passenger movement records

Data accuracy

Data matching of passenger details – biometric verification

Handling issue over staff information – managing expectations and communications

Ensuring appropriate systems and processes are in place to receive and act upon the data

Ensuring lessons are learned from Project Semaphore.


Name : REDACTED Signature: REDACTED Date: 18 May 2007



Notes / references

Information requests

1. Information on projected number of applicants? (ref recent details of large

increase in demand for visa applications not related to asylum – i.e. migrants applying for visas to work in the UK, visit relatives or study).

Additional information UKvisas issue visas but when extensions are requested Managed Migration will be able to use Passenger Movement Records to determine compliance with initial conditions




49 of 108

D.9 13 - Ensuring flows of data needed by Border and Immigration Agency and ONS

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 13 Ensuring flows of data to support Government policy and operations


The requirement is to ensure that data flows on arrivals and departures at ports are at least maintained at current levels and, if possible, enhanced with the implementation of e-Borders. This has the following benefits. Policy formulation - access to better quality and more comprehensive information on passenger numbers and movements will help inform policy formulation for immigration and asylum, including social and economic, issues. Data linked in the form of personal travel histories will be of much more value than unlinked bulk entry and exit data. e-Government strategy - e-Borders will also support the e-Government strategy. It will specifically interact electronically with the travel industry and automate large areas of information and intelligence gathering, decision-making, decision support and record keeping. Risk assessment and control tests - checking migrants‟ previous immigration and compliance history (useful as a control test on the migrant and for sponsorship assessment) will help with policy decisions on defining high-risk applicants/countries and sponsors, and could be used to help the verification process. Exit data (linked to the individual’s arrival data) will provide data on length of stay for migrants, broken down by nationality, etc. This will permit better analysis of the characteristics of those who stay for shorter/longer periods. We may also, via data linkage, be able to get better estimates of the costs/benefits associated with each migrant‟s stay in terms of public service usage and taxes paid. Enforcement activity - given linked arrival and departure information, we should be able to analyse overstaying, especially if the database flags up when a migrant has overstayed, which would lead back into the risk assessment process. Analysis - economists/analysts will have access to better datasets from which to make better, more informed and/or more confident decisions (where we currently rely on sample data). E-Borders should provide reliable data on certain characteristics of migrants. Migration statistics - the Office for National Statistics (ONS) will be able to greatly improve its international migration estimates if it has access to arrival and departure information (from individual travel histories) from e-Borders (ONS has already provided a statement of the requirement).


Home Office and OGD policy makers, analysts and intelligence operations. Therefore, UK plc (and Local Authorities in particular).

PSA Impact PSA5: Reduce unfounded asylum claims as part of a wider strategy to tackle abuse of the immigration laws and promote controlled legal migration.


Strengthen our borders, use

tougher checks abroad so that only

those with permission can travel to

the UK, and ensure we know who

leaves so that we can take action

against those who break the rules.


Fast track asylum

decisions, remove those

whose claims fail and

integrate those who need our

protection.

Ensure and enforce

compliance with our

immigration laws, removing

the most harmful people first

and denying the privileges of

Britain to those here illegally.

Boost Britain's economy by

bringing the right skills here

from around the world, and

ensuring this country is easy

to visit legally.


Quantification would be a complex exercise.


n/a




50 of 108

Benefit Category Effectiveness (Other) Change Type n/a

En

ab

lers


Functionality MI from e-Borders, in particular travel histories including arrival/departure information, will, in conjunction with linked data from other sources, enable a more complete analysis of the activities of people arriving in the UK for any purpose (e.g. work, visits or settlement). Study of their characteristics will enable policymakers to observe the flows of migrants under different conditions, and assess the outcome of policy changes in entry and settlement permissions. If it is not possible to link incoming and outgoing records for individual travellers, much of the analytical benefit to policymakers and intelligence will be lost (e.g. information on net migration, length of stay and overstaying).

Process step MI collection and reporting; the recording of individual travel histories. Supply of data extracts to ONS. Resources will be needed to analyse the data within IRS and DART.

Bu

sin

ess A

cti

on


Refer to the Business Change Impact and Investigations template. Analysis teams will need to be set up within DART and IRS to process, report on, analyse and publish the full range of information that will become available from e-Borders as it is rolled out. This will eventually replace and enhance current information collected from landing cards although landing cards should continue to be collected at individual ports and processed until the data reporting aspects of e-Borders are fully operational using the new technology.

Acco

un

tab

ilit

y

Unit / Name (if applicable)

Function / Dept


Home Office and OGD policy makers, analysts and intelligence operations. Therefore, UK plc (and Local Authorities in particular).


BIA

Measures Baseline (as per PID)


Start Date End Date



1

Full range of MI available to analysts for small number of ports from 2008

Full range of MI available to analysts for all ports from 2014

Starts to phase in from 2007 at Initial Operating Capability

Fully realisable from full e-Borders operating capability in 2014

The benefit profile will match that of the e-Borders rollout from 2007 to 2014

As e-Borders main programme



Key review dates

All


If arrival and departure data cannot be analysed it will not be possible to plan future migration and enforcement policy or monitor the effects of existing migration and enforcement policies. If arrival data cannot be linked to exit data in the form of a personal travel history, much of the enforcement activity and analysis referred to above will not be possible. If Landing Cards cease to be collected, before the equivalent e-Borders data are reliably available, port by port, there will no longer be full coverage of arrivals to the UK. If migration data are not supplied to the ONS, the UK will not have accurate and informative estimates of international migration, which has serious implications for national and local delivery of services.


Name : REDACTED Signature: Date:19/06/07



Notes / references




51 of 108

D.10 15 - Efficient and effective processing of passengers at UK ports

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 15 - Efficient and effective processing of passengers at UK ports


1) e-Borders systems will provide risk assessment of passengers and additional information to officers at the primary line leading to more efficient and effective processing of passengers at UK ports. In particular:

Improved integrity of the visa issuing process will lead to fewer visa holders being required to submit to further examination at ports;

Availability of Other Passenger Information (OPI), data mining and data analysis for profiling will identify those who may merit further examination which will lead to better focused interviews and more robust decision making

Automatic Number Plate Recognition (ANPR) will facilitate more efficient processing of passengers and vehicles by using the Vehicle Registration Mark (VRM) as the key to extracting passenger information provided in advance as part of the booking process

Enriched alerts from the e-BOC/PAUs will lead to a reduction in time spent by officers at the primary line verifying matches and obtaining reasons for a hit ; and

Access to a wider range of databases (e.g. CID, CRS, Omnibase) at the primary line will minimise overall time spent on interventions and lead to more efficient decision making.

Availability of inbound TDI/SI for all arriving passengers will increase the number of inadequately documented arrivals evidentially linked to their point of origin.

Streamlining of existing manual processes will facilitate faster processing of Non EU arriving passengers

Airline Liaison Officers (ALOs) will have access to additional information enabling them to provide carriers with more informed guidance regarding potential passengers.

2) The ability to conduct watchlist checks prior to arrival will enable the majority of EEA/EU passengers (over 85% of travellers to the UK) to use biometrically enabled travel documents to gain admission through an Automated Clearance System (ACS) at those ports where they are implemented. Increases in passenger numbers will be processed without a commensurate increase in staff resource. The advent of ACS is expected to allow the primary line to accommodate more entry points than are currently available under the present traditional manual configuration. Non EEA/EU passengers who have biometrically enabled documents and an existing entitlement to leave to enter (including holders of valid UK visas and biometric residence permits), once risk assessed, will also be able to use automated control systems, further reducing numbers to be manually processed. An automated clearance system will provide a consistent process for admitting passengers and will be immediately available without the need to deploy staff resources

3 All arrival details will be recorded directly onto e-Borders negating the requirement for landing cards saving the resources at port used in processing them





52 of 108

PSA Impact



Effective controls Support to legal migration Community cohesion Public confidence Productivity

Technology Base


UKVisas – expedited clearance for customers


TBC



See change impact assessment

En

ab

lers


Functionality Capturing TDI, access to ,CID, CRS, and Omnibase, PMR, Watchlisting, ATC, ACS, ANPR, OPI, data mining, data analysis Process step Primary line – International Arrivals

Bu

sin

ess

Acti

on

Required Business Changes Process,/Technology/ Information


The introduction of the e-Borders solution will lead to new ways of working on the primary line. Officers will have access to additional information and be required to capture passenger data.

Acco

un

tab

ilit

y



Border Control General Public


Border Control



Start Date

End Date



1 Average queuing time for non-EU and travel time through the arrivals hall for EU



FOC + March 2014

Moderate percentage leakage as passenger numbers increase


2 Number of passengers processed through ACS

0 2019 Quarterly/Border Control

3 Ratio of IS81s issued to refusals

IRS/BSU 12 months to 31/3/09

AOC April 2009

FOC + March 2014


4 Percentage of Visa holders required to submit to further examination

BSU 12 months to 31/3/09 (numbers of visa nationals required to submit to further examination – see note)


FOC + March 2014






53 of 108

5 Number of passengers passing through an immigration control per FTE



2019 Quarterly/Border Control

6 Percentage of staff resources spent processing landing cards

DCG/LCU. Resources in place at 31/03/09

Zero AOC April 2009

FOC March 2014




Border Control BTB


Key review dates


All


Dependencies:

Take up of biometric travel documents

e-Borders solution leading to improved UK visa issuing process Risks:

Passenger volume increase may not be consistent across ports

Officers may spend longer dealing with passengers due to the additional data available

If more individuals of interest are identified this could increase operational resource requirements

Initial technology implementation may require additional operational staff to assist passengers

Certain categories of passengers may be unable to use ACS eg young children

There may be initial resistance to ACS by the travelling public

e-Boc processes for verifying matches and issuing alerts may not be perceived to be robust by front-line staff





Notes / references

Biometric Resident Permit Holders are not currently included in the calculations for ACS

A number of the measures are already counted and collated by BCBSU

(Measure 4) Due to DQ issues the measure will have to be of visa nationals rather than holders




54 of 108

D.11 16 - Improved cross-agency working

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 16 - Improved cross-agency working


e-Borders is a multi-agency programme which will have a joint operations centre. This will support improved cross agency working resulting in joined up decision making. This will also lead to a reduction in the duplication of investigations by different agencies on the same subject.

Beneficiary UK plc

PSA Impact



n/a


n/a


n/a

Benefit Category Efficiency Change Type n/a

En

ab

lers


Functionality Process step

Bu

sin

ess A

cti

on


Acco

un

tab

ilit

y



UK plc


UK plc



Start Date End Date



1

2

3



Key review dates

All



Name : n/a UK plc Signature: Date:



Notes / references




55 of 108

D.12 REDACTED

Table REDACTED




56 of 108

D.13 22 - Reduced benefits overpayment or incorrect payments

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 22 - Reduced benefits overpayment or incorrect payments


Ability to access comprehensive Passenger Movement Records will enable DWP to identify those who have left the UK and are still claiming benefits that are conditional upon continued residence in the UK.

Beneficiary DWP

PSA Impact

PSA 10A to reduce loses from fraud and error for people of working age in IS &JSA with a 33% reduction by March 2004 and 50% by March 2006. PSA10B to reduce the level of fraud and error in Housing Benefit paid to working age claimants by 25% by 2006 from a baseline year of 2002/03.




Based upon the Regional Benefit review it is estimated that abroad fraud relating to income support, job seekers allowance and pension credit is currently (2004/05 between £20m and £47m per annum. This figure is expected to increase to between £28m and £65m pa by 2010/11. It is currently felt that 70% of data could be matched accurately. Is this likely to increase with travel no‟s or not? No-The increase in our figures was based upon the forecast of increased benefit expenditure as opposed to being based on travel numbers, although of course the abroad fraud trend could continue as travel numbers rise. When should they be phased inline with passenger no‟s going through e-B or will we only get benefit when system fully operational? DWP should receive benefits from the moment we start to receive data, although full benefits will only be achieved once the system is fully operational. DWP also needs to know whether we will receive data in real time or at regular intervals. If the latter, then the fraud may already have been committed although loses will be reduced.


DWP document dated 22/09/05, title “Abroad fraud and error projections for e-borders savings”

Benefit Category Change Type

En

ab

lers


Functionality TDI/SI creating a passenger movement record Process step

Bu

sin

ess A

cti

on



Acco

un

tab

ilit

y



DWP


DWP



Start Date End Date



1

2

3




57 of 108



Key review dates

A

ll


Realisation of the benefits stated relies on the fact that e-Borders information can be lawfully shared with, and will be easily accessible to DWP investigators, and implies a level of integration between e-Borders and the DWP‟s IT and processes

Estimates are based on IS/JSA/PC claims and do not cover other Benefits.

Need to be careful on the proportionate nature of the data obtained. Getting information on millions of passengers in detail to catch a handful of fraudsters may be seen as disproportionate from a legal perspectice. DWP are a care agency not a border control agency.

Should we add confidence levels in here - +/- 40% per original case? These confidence levels were supplied by DWP analysts and related to the potential benefits to DWP.

Should we add estimate of integration costs – is this possible in timescales? What information would you be looking for in respect of this question?


Name : REDACTED Signature: e-Mail Date: 24/5/07


Name : REDACTED Signature: e-mail Date: 21/6/07

Notes / references

The benefit profiles are indicative, unrefined estimates of the scale of recovery of social security benefits as a result of using e-borders data to combat social security benefit fraud abroad. They do not therefore represent quantifiable savings that can necessarily be realised. Realisation of any savings in this area are dependent upon the establishment of legally compliant data sharing gateways, the quality and integrity of the e-borders data and DWPs ability to provide resources to exploit any e-borders matched data given other competing fraud priorities . This will be tested using a pilot data match to objectively assess quantifiable benefit recoveries that might flow from e-borders data.




58 of 108

D.14 24 – Improved public confidence in border and security controls

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 24 – Improved public confidence in border and security controls


e-Borders will lead to the improvement in public confidence of border and security controls, demonstrating more proportional responses and better social cohesion, through:

Increased interventions and arrests at the border and elsewhere

The deterrence effect that the system will have on people contemplating unlawful entry into the UK – this will lead to a reduction in the UK „pull factor‟ for potential asylum seekers and illegal entrants and the UK will therefore be seen as less of a soft touch

A reduction in the number of prohibited items likely to cause harm to society entering the country (e.g. weapons, Class A drugs)

More targeted tracking of individuals of interest through more accurate profiling. Passengers will be les likely to be subject to un-necessary interventions which will reduce the tendency for certain groups to feel unduly targeted by the borer agencies. There could be a potential economic benefit to both carriers and UK plc as more people travel to the UK as a result of public confidence

Beneficiary UK plc

PSA Impact Harm Reduction


Harm Reduction Other objectives contributed to


n/a


n/a

Benefit Category Effectiveness (Security) Change Type

En

ab

lers


Functionality TDI, Replacement HOWI, eBOC, Profiling, ATC, PMR, ACS Process step

Bu

sin

ess A

cti

on


Acco

un

tab

ilit

y



UK plc


UK plc



Start Date End Date



1

2

3




59 of 108



Key review dates

A

ll



Name : n/a UK plc Signature: Date:



Notes / references




60 of 108

D.15 25 - Improved intelligence and risk analysis

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 25 - Improved intelligence and risk analysis


e-Borders will bring much improved intelligence and capacity for enhanced risk analysis for Intelligence Directorate. Data mining of TDI, Profiling, OPI and ATC refusal records will show which routes are employed by high risk travellers and this data will be used as a tool to refine intelligence and to identify patterns and trends of abusive behaviour. The end benefit is one of harm reduction through increased disruption and dismantling of organised crime groups, facilitators and individuals through better strategic intelligence analysis.

Beneficiary Intelligence Directorate

PSA Impact

UKIS Business Plan 05/06 – Strategic Objectives: Assisting (IND) to become a fully effective intelligence led organisation through the continued development and support of intelligence capabilities in partnership within and outside (IND).


Intelligence Directorate Delivery Plan 06/07 – 09/10 Provide monthly quality-assured risk assessments to senior managers Tasking and Co-ordinating Groups, with the provision of intelligence briefing and threat assessments to enable the prioritisation of resources across (the) business, with regular evaluation of the impact of our products on the business.


IND Review 2006 • Strengthen our borders, use tougher checks abroad so that only those with permission can travel to the UK, and ensure we know who leaves so that we can take action against those who break the rules • Ensure and enforce compliance with our immigration laws, removing the most harmful people first and denying the privileges of Britain to those here illegally.


An enhanced intelligence picture for analysis by Intelligence Directorate which enables new premises identifying high risk groups and trends of abuse to the immigration control.


Intelligence Directorate assessments command to observe a qualitative improvement in the intelligence picture as a result of e-borders programme.

Benefit Category Effectiveness (Other) Change Type

En

ab

lers


Functionality 1) – Travel Document Information (TDI) / Advanced Passenger Information (API) 2) – Other Passenger Information (OPI) / Passenger Name Record (PNR) Process step Method of exchanging relevant data and reporting from e-Borders systems to Intelligence Directorate systems required.

Bu

sin

ess A

cti

on


Organisation More integrated data sharing and collaboration will all relevant agencies and stakeholders. Human resource with skills to enable complex data mining from E-borders to be delivered combined with relevant business knowledge, and understanding of intelligence needs. Human resource at Intelligence Directorate with analytical skills to incorporate the fresh intelligence into the fuller intelligence picture. Technology Data mining software which effectively mines e-Borders data alongside databases to enable end-to-end analysis of case profiles.

Acco

un

tab

ilit

y



Intelligence Directorate Assessments Command


Intelligence Directorate Assessments Command




61 of 108



Start Date End Date



None % of total data available for data mining

TBC TBC TBC Measured by E-borders

None

Number of identified trends/profiles identified via data mining tool per month

TBC TBC TBC Measured by body responsible for data mining

None

Number of identified trends/profiles identified via data mining tool that are reported via intelligence assessments

TBC TBC TBC

Measured via Intelligence Directorate Assessments Command



N/K Key review dates

Annual

All


Risks 1. Data Mining doesn‟t provide distinguishable and useful trends and profiles 2. Technical solutions not found for profiling issues 3. Legal issues – information access and data sharing constraints 4. Availability of resources 5. Feedback process not fully in place or followed properly





Notes / references




62 of 108

D.16 26 - Improved tactical intelligence

Ma

nag

em

en

t C

om

mit

men

t

No. and short title

26 - Improved tactical intelligence


Tactical intelligence is improved through inference building based on richer data sets and passenger movement records - REDACTED Ability to access TDI/SI (inbound/outbound) and OPI builds a rich data history of Passenger Movement Records. This can be used by Intelligence Directorate to add value to tactical intelligence developments. The end benefit is one of harm reduction through increased disruption and dismantling of organised crime groups, facilitators and individuals.

Beneficiary Intelligence Directorate

PSA Impact

UKIS Business Plan 05/06 – Strategic Objectives: Assisting BIA to become a fully effective intelligence led organisation through the continued development and support of intelligence capabilities in partnership within and outside BIA


Intelligence Directorate Operations Command Delivery Plan 07/08 Produce high quality actionable intelligence referrals targeting organised immigration crime, which meet relevant time and quality requirements and lead to a demonstrable outcome in 85% of cases.


IND Review 2006 • Strengthen our borders, use tougher checks abroad so that only those with permission can travel to the UK, and ensure we know who leaves so that we can take action against those who break the rules • Ensure and enforce compliance with our immigration laws, removing the most harmful people first and denying the privileges of Britain to those here illegally.


Tactical intelligence referrals that have demonstrable outcomes in 85% of cases, developed by Intelligence Directorate where an aspect of the intelligence referral development was related to the provision of information directly obtained from e-Borders systems.


Yearly audit of Intelligence Directorate referrals to indicate where e-Borders data was a factor.


En

ab

lers


Functionality 1 – Travel Document Information (TDI) / Advanced Passenger Information (API) 11 – Other Passenger Information (OPI) / Passenger Name Record (PNR) Process step Method of interrogating e-Borders systems by Intelligence Directorate staff required Method of adding flexible time limited profiles for covert alerts of passenger movement required.

Bu

sin

ess A

cti

on


Organisation More integrated data sharing and collaboration will all relevant agencies and stakeholders. Human resource with skills to deal with and monitor and administrate profiles entered on e-Borders systems by interested agencies. Resource should have sufficient multi-agency business knowledge and technical knowledge to manage the system. Human resource to analyse the potential increase in intelligence material received from e-Borders at Intelligence Directorate as a result of profiles and analysis of existing datasets. Technology Profiling system needs to be implemented to a point where multiple profiles can simultaneously be entered based on varied criteria

Acco

un

tab

ilit

y



Intelligence Directorate Operational Command


Intelligence Directorate Operational Command




63 of 108



Start Date

End Date



1 None

Intel product developments based on e-Borders sourced intel/information

TBC TBC TBC

Measured by INTELLIGENCE DIRECTORATE ODU

2 None

Intel referrals disseminated where e-Borders sourced intel/information was significantly present

TBC TBC TBC


3 None

Number of profiles placed on e-Borders systems based on Intelligence Directorate tactical intelligence

TBC TBC TBC




N/K Key review dates

Annual

All


Risks 6. Profiling doesn‟t work 7. Technical solutions not found for profiling issues 8. Legal issues – information access and data sharing constraints 9. Availability of resources 10. Feedback process not fully in place or followed properly





Notes / references




64 of 108

D.17 27 - Reduction in processing certain categories of leave to remain cases

Ma

nagem

ent

Com

mitm

ent

No. and short title 27 - Reduction in processing certain categories of leave to remain cases


The availability of comprehensive Passenger Movement Records (PMR) will allow caseworkers to access an applicant‟s travel records and calculate time spent in the UK electronically, instead of having to work through documents and several, often inaccurate resources such as Warehouse. This is important for instance, in dealing with applications for indefinite leave to remain.

Beneficiary Managed Migration

PSA Impact ***Improve capability to deliver a decision on 70% of cases within 20 working days and 90% within 70 working days.***


1. To maximise GGN‟s contribution in liaison with General Group South, to delivering the SLA targets for charged work of completing 70 per cent of cases within 20 working days and 90 per cent in 70 working days.


5. To continue to streamline processes utilising a range of quality and continuous improvement tools. To contribute to the delivery of efficiency savings across the business and the reduction of unit costs and greater utilisation of assets through the continuation (and potential expansion) of the evening working pilot.


Discussions with LTR caseworkers indicate that it can take up to one hour to search through electronic Landing Cards records in such cases searches return multiple possibilities. This would also cut down on the need for extended inquiries, which currently occur when BIA believe that someone was out of the country but cannot prove it and therefore ask for the applicant for evidence of their whereabouts. From the 100 test cases examined a saving of up to £0.19 m per annum when fully implemented was calculated. This has a NPV of up to £0.95 m over the life of this business case.


We completed a test of 100 cases to establish the current time to complete a travel movement record. This averaged 17 minutes per case compared to an estimated e-Borders timing of 5 minutes. When compared to case volumes and estimated volumes moving forward the above benefit was calculated.


Enable

rs Enablers –

Features and How Delivered

Functionality Capture of inbound & outbound passenger data from Carriers. Confirmation of passengers‟ arrival into the UK. Maintenance of passengers‟ Travel History. Process step

Busin

ess A

ctio

n


Need to establish how caseworkers will access e-Borders data. Will there be a real time link between CID and e-Borders systems or will caseworkers have access from a desktop icon which allows access into movement history.

Accounta

bili

ty



Managed Migration General Casework


Managed Migration e-Borders

General Casework



Start Date End Date






65 of 108

1- Average e-Borders Response time

17 minutes 5 minutes 2011 n/a 100% for each case

Quarterly

2 – Numbers of relevant cases considered

82,082 (2005/06)

Per MM forecasts

2011 n/a In line with e-Borders coverage

Quarterly

3 - ?


MM/e-Borders


Key review Dates

5 years after 95% e-Borders coverage.

All


Access to e-Borders data





Notes / references




66 of 108

D.18 31 - More robust decision making for Managed Migration cases

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 31 More robust decision making for managed migration cases


Comprehensive Passenger Movement Records (PMR) will provide Managed Migration caseworkers with up to date and historical travel records. This accurate and comprehensive information will improve the quality of decision making for PBS and non-PBS cases. PBS awards points for previous travel compliance, so PMR will be a key enabler in terms of checking whether migrants have entered/exited the UK in line with their terms and conditions.


PSA Impact ***Improve capability to deliver a decision on 70% of cases within 20 working days and 90% within 70 working days.***


Home Office Aim 6 – migration is managed to benefit the UK, while preventing abuse of the immigration laws, and the asylum system.

(1) To maximise GGN‟s contribution in liaison with General Group South, to delivering the SLA targets for charged work of completing 70 per cent of cases within 20 working days and 90 per cent in 70 working days.

(2) To ensure decisions are made to the requisite consistency and quality and that quality of decision is embedded throughout operational processes as a driver for increased productivity and better and more consistent decision making, utilising a range of robust quality assessment tools.


Controlling our Borders: Making Migration work for Britain. Five year Strategy for asylum and immigration. Section 3, para 39.

(5) 5. To continue to streamline processes utilising a range of quality and continuous improvement tools. To contribute to the delivery of efficiency savings across the business and the reduction of unit costs and greater utilisation of assets through the continuation (and potential expansion) of the evening working pilot.


Rather than relying on manually checking passport stamps and declarations made on application forms, PMR will provide more robust data on which to base decisions, reinforcing the reasons for refusal when relevant. There will also be a time saving in this. See Benefit 27.


n/a Qualitative (for time benefit, see Benefit 27 impact assessment)


En

ab

lers


Functionality TDI + Movement Record Process step International inbound and outbound

Bu

sin

ess A

cti

on


Process change from a manual check of travel documents to an electronic check of records held by e-Borders. Technology change also. Please see relevant Business Change Impact Template for further detail.




67 of 108

Acco

un

tab

ilit

y



Managed Migration All case working units


Managed Migration All case working units



Start Date End Date



1

2

3


Costs of Measurement

Key review Dates

All



Name : REDACTED Signature: Date: 12/02/07 Name : REDACTED Signature: Date:



Notes / references




68 of 108

D.19 33 - Ability to check status of PBS visa

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 33 - Ability to check status of PBS visa holders will assist with sponsor management


A key feature of the Points Based System is an increased role for sponsors. BIA-registered sponsors will have an obligation to report the arrival and/or departure of sponsored visa holders. Significant new resource is being targeted at ensuring that sponsors comply with their obligations. Access to comprehensive passenger movement records will provide improved management information on movements of visa holders who fail to comply with the time restrictions on their visas. This information will be of direct assistance to staff assessing sponsors‟ compliance with their obligation. Compliance Officers and Account Managers working directly with sponsors will be able to use passenger movement records to form a more detailed and accurate overall picture of the visa compliance of sponsored migrants. Improved management information will also be used to support the work of Managed Migration Intelligence Units, to enable risk profiling of sponsors and migrants, targeting of resource towards areas of non-compliance, and over time will lead to more effective and efficient processes.


PSA Impact Unknown. The sponsor Account Management is a new function and PSAs have not been agreed yet.


Home Office Aim 6 securing our borders, preventing abuse of our immigration laws and managing migration to benefit the UK


This is not a pure economic benefit and will only be realised downstream, but there are wider benefits to society and the economy from a reduction in the costs of non-compliance.


PBS Strategic Driver : Improve efficiency and control PBS Benefit V2.4 Better Compliance with the Immigration Rules through increased sponsor role (NB stated benefit in PBS FBC)


We expect the quantified benefits of MM‟s new expanded sponsor management process to become available over time.


En

ab

lers


Functionality TDI (+ Movement Records) Process step International Departures

Bu

sin

ess A

cti

on


This is a part of a strategic change for MM, with cross-cutting impact on processes, organisation, technology and information. Please see relevant Business Change Impact Template for further detail.

Acco

un

tab

ilit

y



Managed Migration Sponsor Management & Compliance Function


Managed Migration PID Programme



Start Date End Date






69 of 108

1

2

3



Key review Dates

All


Issue – Benefit is dependent on the MI capability to run reports against individual sponsors, which requires a degree of connectivity between MM and e-borders MI systems.


Name : REDACTED Signature: Date: 12/02/07 Name : Signature: Date:



Notes / references




70 of 108

D.20 34 - Eliminate the cost of processing Landing Cards

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 34 – Eliminate the cost of processing Landing Cards


E-Borders will collect and consolidate a considerable amount of data that is currently not readily available via the Passenger Movement Record. This will make it possible to obtain detailed arrivals and departures data, by carrier, port, entry category and other passenger information, which will remove the need for manual Landing Cards, currently provided at cost by carriers and processed (manually) by BIA and RDS.

Beneficiary BIA Landing Cards Unit (LCU), and ports of entry (and indirectly BIA as a whole).

PSA Impact PSA5: Reduce unfounded asylum claims as part of a wider strategy to tackle abuse of the immigration laws and promote controlled legal migration.


Strengthen our borders, use tougher checks abroad so that only those with permission can travel to the UK, and ensure we know who leaves so that we can take action against those who break the rules.


Fast track asylum decisions, remove those whose claims fail and integrate those who need our protection. Ensure and enforce compliance with our immigration laws, removing the most harmful people first and denying the privileges of Britain to those here illegally. Boost Britain's economy by bringing the right skills here from around the world, and ensuring this country is easy to visit legally.

Target Value

The costs (economic and environmental) of producing, transporting and disposing of landing cards and of processing them within ports, LCU and DCG would be saved. Full details are currently taken from only a small number of landing cards with the remainder subjected to sampling for statistical purposes. This has an NPV of £10.3m over 10 years from contract award. (The cost of producing them is currently borne by the Carriers and, as a minor cost dispersed among many carriers, it has been excluded from this benefit calculation).

Benefit Category Direct financial Change Type

Technology

En

ab

lers


Functionality Travel Document Information (TDI) Movement records will provide the information that is currently provided from Landing Cards. A key point is that it will also do this for all passengers (including British and other EEA nationals) whereas the current system relies on sampling, and for non-EEA nationals only. It is also possible that additional data could be collected on each passenger. This could be achieved, for example, by a combination of adding defined fields in the e-Borders database and leaving undefined fields (including in the IS81 issue data) that could be used for different operational or research purposes from time to time. Process step International arrivals and departures.

Bu

sin

ess A

cti

on

Required Business Changes

There will need to be a reassessment of sampling/input requirements as landing cards are progressively replaced by e-Borders and the data reporting facilities are tested. For example, with significant coverage by e-Borders even from initial operating capability in 2009, there will be a need to understand what sampling is still required from the non-covered routes/carriers to ensure the continuing robustness of data used and statistics published by IRS and ONS. There will need to be a review of reporting requirements by stakeholder to ensure that e-Borders replaces the current arrangements in a seamless way to ensure no loss in service, and indeed to target improvements.

Acco

un

tab

ilit

y



BIA Landing Cards Unit (LCU), and ports of entry (and indirectly BIA as a whole).

Data entry.


The Senior Responsible Owner




71 of 108

Measures Baseline (as per PID)


Start Date End Date



1 DCG Headcount

Current headcount employed is 6 FTEs

Complete elimination when e-Borders is fully operational and the data reporting function has been tested.

Starts to phase in from 2009 at Initial Operating Capability on the assumption that work begins before this

Fully realisable from full operating capability in 2014

2009 to 2014 as e-Borders rolls out to ports

Quarterly check on headcount and landing card volumes by DCG

2 LCU Headcount and outsourcing cost

Current headcount employed is 8 FTEs plus £15K a month outsourcing

Complete elimination when e-Borders is fully operational and the data reporting function has been tested (but some LCU capacity will need to be retained in the short term to deal with enquiries about back data)

Starts to phase in from 2009 at Initial Operating Capability on the assumption that work begins before this




3 Port Headcount

Approximately 10 FTE spread across the ports

Complete elimination when e-Borders is fully operational (but see RH box)

Starts to phase in from 2009 at Initial Operating Capability (note that only 50% of headcount reduction can be achieved given spread across multiple ports)





To be advised.


Costs (probably negligible) of quarterly check on headcount and landing card volumes

Key review dates


All


Key assumption is that FTE and outsourcing costs are fully variable in line with the number of landing cards replaced by e-Borders. The risk is that this is not the case, given current sampling protocol, and the benefits are not realisable until later in the “go live” process. There is a risk that realisation of Port resource savings will be difficult to manage/obtain. Given the dispersed nature and the fact that in smaller ports landing cards are only part of an individual‟s duties, it has only been assumed that 50% of current headcount can be released until full operating capability. The assumption is that the outsourcing contract cost is fully variable and that there are no termination fees built into the contract. There is a risk to benefits realisation if this is not the case.




Name: Brodie Clark Signature: Date:

Notes / references




72 of 108

D.21 35 - Improved decision-making for repeat visa applications

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 35 – Improved decision-making for repeat visa applications


A) e-Borders will lead to improved decision-making for repeat visa applications, based on the record of Travel Document Information and Passenger Movements for each applicant, which may provide evidence of particular patterns and trends.

For UKvisas, the information will enable more accurate decisions to be made on visa applications based on objective evidence of the applicant‟s past behaviour. Currently, an ECO needs to rely on passport stamps (but without any record of embarkation from the UK) and on the integrity of the information provided by the applicant to make this judgement.

Visa compliance can cover such situations as follows:

1. Overstayers – situations where visa holders previously failed to comply with visa time restrictions

2. Students‟ significant absences from the UK in term-time

3. Multiple entry visit visa holders‟ significant periods spent in the UK suggesting residence by default

4. Long-term business visa holders who rarely use the visa and may be maintaining a visa for ”insurance” purposes (either legitimately or otherwise).

B) Recording of Travel Document Information will enable the identification of compliant travellers and as a result this will inform future strategy for processing low risk frequent travellers e.g. an automated system could result from the identification of regular low risk individuals.

Beneficiary Ukvisas / Managed Migration

PSA Impact Supports UKvisas PSA targets for processing non-settlement and settlement visa applications within target times.


FCO Objective II: Protection of the UK from illegal

immigration, drug trafficking and

other international crime.

Home Office Aim 6: Effective regulation of entry to, and the settlement in, the UK in the interests of sustainable growth and social inclusion.


UKvisas Mission Statement: “UKvisas is the overseas arm of the UK's integrated border management . Our goals are to bring communities together and improve the UK's competitiveness as a destination for travel, trade, migration and investment through programmes which prevent immigration abuse, deliver value for money and earn public confidence."


Please refer to the Benefit Quantification Model [v0.6 dated 03/16/07] on pages 3 and 4. It must be noted that the benefits for both No 35 and 36 have been combined.

See Benefit Impact Assessment Templates – there are 2 options for quantification either 1) an increased efficiency rate of 11.6% productivity per visa application process or 2) staff recruitment avoidance. The latter option is represented on the new benefit quantification model.


Annex H exercise, assumptions in workshop and new quantification model – see Benefit Impact Assessment Templates.

Benefit Category Effectiveness and efficiency Change Type




73 of 108

En

ab

lers


Functionality

TDI

Passenger Record Movements. Process step Feed into UK case-working system visa record

Bu

sin

ess A

cti

on


Refer to the Business Change Impact and Investigations template.

Acco

un

tab

ilit

y



UKvisas Decision Quality, Control Quality


UKvisas Overseas posts



Start Date End Date



1

2

3


Costs of Measurement

Key review dates

All


Issues:

The benefit only exists when people need to re-apply for visas and the TDI confirms previous non adherence. There is a risk that once people start to know about the risks of non-adherence whilst knowing they will need to re-apply in future, they will simply stay in the UK and not risk being “caught” therefore the benefit will decrease.

Dependencies:

The database must reach a critical mass in order to be effective

Data accuracy

Data matching

Ensuring the case-working system is up and running in time

Robust initial visa issuing process

Training Risks:

Potential for a disbenefit initially if the critical mass is not reached by the planned milestones.


Name : REDACTED Signature: REDACTED Date:18 May 2007



Notes / references

Information requests Additional information




74 of 108

D.22 36 - Improved watch-listing capability

M

an

ag

em

en

t C

om

mit

men

t

No. and short title 36 – Improved Watch-listing Capability


A) e-Borders will greatly improve the watch-list matching process that must currently be performed by an ECA or ECO against the Home Office Warnings Index (HOWI). The improvements are enabled by:

1. Running the visa data against a significantly broader and enhanced, multi-agency set of watch-lists. This will lead to improved detection and identification of individuals who do not qualify for UK entry clearance.

2. REDACTED

3. REDACTED

4. Central resolution of inter-agency issues arising from hits on non immigration/visa watch-lists.

5. Time saved by the ECA/ECO not having to process a response from WICU and re-instigate the case. Verified hits received by the ECO will have been enriched with relevant additional data by the Visa Support Officer (VSO) in the e-BOC who will have ready access to a range of additional government and non government databases e.g. voter‟s register and CID. The VSO (who will have operational experience) will ensure that the information sent to the ECO then facilitates rather than complicates the decision making process. This will lead to a significant reduction in the number of deferrals and referrals.

B) The new process for watch-list checks will not require the technology that is currently used in overseas posts. Following implementation of the new process it is envisaged that this will lead to cost savings from the removal of the need to refresh, support and maintain the technology.

Beneficiary UKvisas

PSA Impact Supports UKvisas PSA targets for processing non-settlement and settlement visa applications within target times.


FCO Objective II: Protection of the UK from illegal immigration, drug trafficking and other international crimes. Home Office Aim 6: Effective regulation of entry to, and the settlement in, the UK in the interests of sustainable growth and social inclusion.


UK visas Mission Statement: “UKvisas is the overseas arm of the UK's integrated border management . Our goals are to bring communities together and improve the UK's competitiveness as a destination for travel, trade, migration and investment through programmes which prevent immigration abuse, deliver value for money and earn public confidence."


Please refer to the New Benefit Quantification Model [v0.6 dated 03/16/07] pages 3 and 4.

See Benefit Impact Assessment Template.


Annex H exercise, assumptions in workshop and new quantification model – See Benefit Impact Assessment Template.

Benefit Category Effectiveness and efficiency Change Type

En

ab

lers


Functionality

Visa data checked against watchlists Process step

UKvisas case-working interface with e-Borders




75 of 108

Bu

sin

ess A

cti

on


Refer to the Business Change and Impact Investigations template

Acco

un

tab

ilit

y



UKvisas Control Quality, Decision Quality, HR


UKvisas eBOC visas staff and overseas posts



Start Date End Date



1

2

3



Key review dates

All


Dependencies:

Link with UKvisas Biometrics programme where visa applicants‟ fingerprints will be checked against IAFS database. Hence information from e-Borders and Biometric check should strengthen identity verification.

ECOs knowing policy/process for watchlist hits

ECOs will need to have confidence in the process and data provided to them.

Data Accuracy

Data matching


Name : REDACTED Signature: REDACTED Date: 18 May 2007



Notes / references

Information requests Additional information




76 of 108

D.23 38 - Improved joint working provides efficiency savings for police operations

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 38 – Improved joint working provides efficiency savings for police operations


Currently when police request information from other Government departments and carriers they have to approach them individually. It can potentially take days to receive the response to the RFI. The e-BOC will provide police staff with access to numerous Government watchlists (e.g. Omnibase and PNC) enabling them to rapidly respond to RFIs. These RFIs can be generated either automatically (watchlist matches) or on an ad-hoc basis (call/emails from agencies). In addition it may:

enable some investigations to be concluded quicker; provide more robust evidence in investigations; and allow a more efficient deployment of resources.

Beneficiary Police

PSA Impact Supports the National Policing Plan 2005


Contributes to reduction of harm to the UK from serious and organised crime.

Contributes to reducing overall crime and combating serious and organised crime.

Supports the government‟s Counter Terrorist Strategy (CONTEST)


Supports ACPO(TAM) strategy

Supports NCPPs three year strategy


Time saved by police officers securing manifest and other travel related data.




77 of 108


Data collected by JBOC Police staff during June 2006 (more testing and sampling will be required in the future) A trial has been conducted by police staff in the JBOC to collect data on the processing of RFIs, specifically:

source of RFI (automated or manual); systems searched; outcome; and time taken to process each RFI

By comparing the time taken to process an RFI using the JBOC with traditional methods it is possible to calculate an average time saving for processing RFIs. This was done by:

adding the time taken to process each RFI in the JBOC over a two week period;

calculating the time these RFIs would have taken to process by traditional methods; and

dividing the total time saving by the number of the RFIs giving the efficiency saving figure.

The survey recorded the time that an enquiry was placed “on hold” pending the result of a request for further information rather than the tine expended on the enquiry itself. Further analysis of the results suggests that the process tine saving was of the order of 30 minutes per case. REDACTED It is estimated that e-Borders will handled 469 RFIs per day – the opportunity saving (based on a DC‟s hourly capitation rate of £36.25 (as at April 2007)) – amounts to £3,098,000 per annum. This benefit is not considered to be dependent on passenger growth.


En

ab

lers


Functionality Core e-BOC systems and other agency data systems Process step Searching of movement records to ascertain whether a subject has travelled

Bu

sin

ess

Acti

on

Required Business Changes

The ability to access the e-Borders data warehouse from within forces and at port will allow more efficient access to and use of such information. e-Borders will compliment existing business processes

Acco

un

tab

ilit

y



Police


Police

Measures Baseline

Target

Start Date End Date



1 Average time to complete an RFI

37.6 minutes

7.6 minutes AOC Ongoing In line with e-Borders rollout

Monthly

2 Number of RFIs handled

Nil 469 per day AOC Ongoing In line with e-Borders rollout

Monthly

3.


NCPP Costs of measurement

Key review Dates

All


Dependency – availability of historical movement records






78 of 108



Notes / references

The true value of this benefit is likely to have been understated. Once the existence of an easily searchable database of passenger movement is widely known it is likely to result ion more requests for information. Prompt receipt of such data will help focus police investigations better than at present.




79 of 108

D.24 42 - Reduction in the loss of direct taxes

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 42 Reduction in the loss of direct taxes


Comprehensive passenger movement records and improved watchlist matching will improve the identification of known abusers of domicile/residency tax status; The ability to significantly increase the level of automated checking against live data and movement records could increase effectiveness by:

informing the investigation of tax enquiries into Non Residential individuals

allowing the quick resolution of cases where Non Residential status is supported by the movement records

e-Borders system will improve HMRC‟s data analysis capability. This will become part of HMRC‟s data warehouse through which HMRC will:

enhance strategic and tactical intelligence through the ability to analyse a full range of historic data;

assist in producing evidential material;

Inform the development of new operational strategies, where the movement of people into and out of the UK is a relevant factor, for example evidencing abuse of overseas status.

Beneficiary HMRC

PSA Impact

SR 2004 – Departmental Investment Strategy 2005 – 06 to 2007-08 Objective I: Improve the extent to which individuals and businesses pay the amount of tax due and receive the credits and payments to which they are entitled.

Targets: By 2007-2008 reduce underpayment of direct tax and national insurance contributions by at least £3.5 billion a year.



HMRC undertakes and settles about 200 enquiries per annum into Non Resident (NR) individuals. Last year such enquiries brought in £9million. We are continuing to work with stakeholders across HMRC to determine if it is possible to quantify the amount by which information from e-Borders could increase this yield.



REDACTED

Benefit Category

Effectiveness. Reduction in the tax gap

Change Type

En

ab

lers


Functionality TDI, Replacement HOWI & Watch listing, Process step Centaur Interface




80 of 108

Bu

sin

ess A

cti

on


See business change impact templates

Acco

un

tab

ilit

y



HMRC


HMRC



Start Date End Date



1 TBC TBC TBC TBC

2 TBC TBC TBC TBC

3 TBC TBC TBC TBC



Key review dates

All



Name Signature: Date:



Notes / references




81 of 108

D.25 43 - Reduction in the loss of indirect taxes

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 43 Reduction in the loss of indirect taxes


Improved and automated watchlist matching against a known individual‟s travel movements and limited profiling against an unknown individual‟s travel history will lead to an increase in the rate of identifications in respect of excise duty avoidance, for example facilitating the identification of inveterate tobacco smugglers. Watch-list matching – Integration of a robust Centaur extract into the eBorders system will automate existing processes, make time savings and facilitate the identification of inveterate tobacco smugglers. Limited profiling – use of the Travel Document Information(TDI) in limited profiling activity may lead to identification of those displaying similar travel patterns as inveterate tobacco smugglers.

The ability to significantly increase the level of automated checking against live data and movement records could increase operational effectiveness by:

enabling increased flexibility around resource deployment, by informing “short-term” operational or tactical deployment

making it possible to increase the coverage of routes in real time and thereby spot, at a very early stage, emerging changes in patterns of travel that are of interest. This will then allow us to respond quickly, with the likely impact of enhancing the deterrent effect, as well as increasing success rates on seizure of product; and

focusing use of precious staff resource on adding value to an automated process, with the aim of maximising the likelihood of a successful intervention.

e-Borders system will improve HMRC‟s data analysis capability. This will become part of HMRC‟s data warehouse through which HMRC will :


inform strategic and tactical deployment, particularly to ports/airports not manned 24/7;

improve quality and relevance of future profiles;


Inform the development of new operational strategies where the movement of people into and out of the UK is a relevant factor.

Beneficiary HMRC

PSA Impact

SR 2004 – Public Service Agreements (PSA) Objective I: Improve the extent to which individuals and businesses pay the amount of tax due and receive the credits and payments to which they are entitled. Target 2 By 2007 – 2008

reduce the illicit market share for cigarettes to no more than 13%;


This will support::

Excise: The Tobacco Strategy


Figures from the 04/05 end of year review shows that HMRC seized 2 billion cigarettes, of which 8% were from air/maritime foot passengers. HMRC will use the information from carriers coming into all ports and airports to increase the amount of cigarettes and hand rolling tobacco seized from passengers. We are continuing to work with a number of stakeholders across HMRC to determine whether these anticipated outputs can be quantified





82 of 108


KAI (Knowledge, analysis and intelligence)

Benefit Category Effectiveness Reduction in the tax gap Change Type

En

ab

lers


Functionality TDI and SI (Service Information) capture, Watch-listing, Centaur interface, profiling. Process step Centaur interface

Bu

sin

ess A

cti

on



Acco

un

tab

ilit

y



HMRC


HMRC



Start Date End Date



1 TBC TBC TBC TBC

2 TBC TBC TBC TBC

3 TBC TBC TBC TBC



Key review dates

All






Notes / references




83 of 108

D.26 44 - Reduction in handling documents

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 44 - Reduction in handling documents


Verification that details provided by applicants match those found on the e-Borders system will reduce reliance on applicants providing travel documents, therefore reducing the need to handle large numbers of documents. This will also reduce the numbers of documents lost during the application process and provide savings related to sending documents back to applicants. Further benefit can be realised if NG caseworkers have information relating to the issue of visas and ECs. This will help combat/identify fraud.

Beneficiary Nationality, Managed Migration

PSA Impact MM achieves good value for money


Working in partnership with MMIU to combat fraud Improve efficiency of document handling.


MM delivers good value for money MM contributes to effective immigration control.

Improve efficiency of document handling.


Reduce compensation and write off payments by further 25% ( current target is 50%)( current average compensation payment over last 4 years = £22,230.78) Reduce time caseworkers spend checking through documentation produced to verify absence histories – currently on average 10 minutes per applicant

Ramp up benefits: annual savings. = 1 AO caseworker at cost of £19,716 – this will increase by 1.5% 07/08 to 20,011 then by 2% per year.

Calculated savings based on time saved by AO caseworker per day over year = 1 AO caseworker.


172,888 Nationality applications decided 2004/2005.


En

ab

lers


Functionality Capture of inbound & outbound passenger data from Carriers. Confirmation of passengers‟ arrival into the UK. Maintenance of passengers‟ Travel History. Process step

Bu

sin

ess A

cti

on


Need to establish how caseworkers will access e-Borders data. Will there be a real time link between CID and e-Borders systems or will caseworkers have access from a desktop icon which allows access into movement history. We will also nee to revise caseworker instructions in respect of how, when and why they should access this information

Acco

un

tab

ilit

y



Nationality/ MMIU Casework


Nationality e-Borders

Casework



Start Date End Date






84 of 108


Within 24 hours


118,711 Nationality decisions made in 2004/2005

60% of Nationality decisions to be determined within 3 months

3 - ?



Key review dates

All


Access to e-Border Access Accuracy of data is critical to success. Robust Resilient interface system required with back up as contingency measure.





Notes / references




85 of 108

D.27 45 - Reduction in processing times for nationality cases

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 45 - Reduction in processing times for nationality cases


The availability of comprehensive Passenger Movement Records (PMR) will allow caseworkers to access an applicant‟s travel records and calculate time spent in the UK electronically, instead of having to work through documents and several, often inaccurate resources such as Warehouse.


PSA Impact MM contributes to effective immigration control


MM contributes to effective immigration control.

To process 60% of applications within 3 months


MM Delivery Plan Achieves good value for money.

MM is a highly regarded public service organisation.


Savings in both caseworker time and overall processing time. Caseworker‟s currently spend an average of around 10 minutes per applicant checking absences in/out of UK.


If data was available via icon desk top immediate access would be available


En

ab

lers


Functionality Capture of inbound & outbound passenger data from Carriers. Confirmation of passengers‟ arrival into the UK. Maintenance of passengers‟ Travel History. Process step Comms Strategy would be required to roll out new system and ensure all stakeholders aware of new system .

Training requirements and roll out of training also required

Caseworker would have access to applicants complete Travel History.

Risk Assessment of information results could take place.

Clear Process would be required of action caseworkers needed to be take when a “Hit” identified.

Bu

sin

ess A

cti

on


This will require a change in Front End processes.

Need to consider how we will attach/include this information on either the CID record or paper file before it reached caseworker consideration stage.

IT Changes would also be necessary.

Acco

un

tab

ilit

y



Nationality, Managed Migration


Nationality, Managed Migration e-Borders




86 of 108



Start Date End Date




24 hours


118,711 Nationality cases

3 - ?


MM/e-Borders


Key review dates

All







Notes / references




87 of 108

D.28 46 – More robust decisions making for nationality cases.

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 46 – More robust decisions making for Nationality cases.


The availability of comprehensive Passenger Movement Records (PMR) will allow caseworkers to access an applicant‟s travel records and calculate time spent in the UK electronically, instead of having to work through documents and several, often inaccurate resources such as Warehouse.


PSA Impact Improve capability to deliver a decision on 60% of cases within 3 months, 80% of cases within 6 months and 95% within 12 months.


Home Office Aim 6 – migration is managed to benefit the UK, while preventing abuse of the immigration laws, and the asylum system.

To ensure decisions are made to the requisite consistency and quality and that quality of decision is embedded throughout operational processes as a driver for increased productivity and better and more consistent decision making, utilising a range of robust quality assessment tools.


MM Delivery Plan Achieves good value for money.

MM is a highly regarded public service organisation.

MM contributes to effective immigration control


Rather than rely on manually checking passport stamps and declarations made on application forms PMR will provide more robust data on which to base decisions, reinforcing the reasons for refusal when relevant.


n/a Qualiative


En

ab

lers


Functionality TDI and Movement Record

Process step

International inbound and outbound.

Bu

sin

ess A

cti

on


IT changes required.

Acco

un

tab

ilit

y



Nationality, Managed Migration


Nationality, Managed Migration e-Borders




88 of 108



Start Date End Date




24 hours


118,711 Nationality cases

Maintain accuracy of 95% on data quality quality reduce the number of re-opened applications by reduce the error rate on productions of certificates to less than 1%

3 - ?


MM/e-Borders


Key review dates

All







Notes / references




89 of 108

D.29 47 - Improved MI for monitoring visa compliance (overstayers) trends and patterns

Ma

nag

em

en

t C

om

mit

men

t

No. and short title 47 - Improved MI for monitoring visa compliance (overstayers) trends and patterns


Access to comprehensive passenger movement records will enable MM to produce improved management information on visa holders who fail to comply with the time limits on their visas as well as showing compliance trends and patterns. This information will be used by MM to generate referrals to Enforcement & Removals colleagues for further action and to curtail leave where appropriate. Improved management information will also be used to support the work of Managed Migration Intelligence Units, to enable risk profiling of visa holders, targeting of resource towards areas of non-compliance, and over time will lead to more effective and efficient processes.


PSA Impact N/A


Home Office Aim 6 securing our borders, preventing abuse of our immigration laws and managing migration to benefit the UK


This is not a pure economic benefit and will only be realised downstream, but there are wider benefits to society and the economy from a reduction in the costs of non-compliance.


PBS Strategic Driver : Improve efficiency and control PBS Benefit V2.11 Assist in ensuring people leave when they are no longer entitled to be here (NB stated benefit in PBS FBC)


N/A


En

ab

lers


Functionality TDI (+ Movement Records)

Process step International Departures

Bu

sin

ess A

cti

on


This is a part of a strategic change for MM, with cross-cutting impact on processes, organisation, technology and information. Please see relevant Business Change Impact Template for further detail.

Acco

un

tab

ilit

y



Managed Migration

New Compliance Function


Managed Migration

New Compliance Function



Start Date End Date



1

2

3




90 of 108



Key review Dates

A

ll





Name : REDACTED Signature: Date:

Notes / references




91 of 108

D.30 48 - Increase in the number of seizures of prohibited and restricted materials drugs, firearms etc.

Ma

nag

em

en

t C

om

mit

men

t

No. and short title

48 - Increase in the number of seizures of prohibited and restricted materials: drugs, firearms etc


Improved and automated watchlist matching against a known individual‟s travel movements and limited profiling against an unknown individual‟s travel history may lead to an increase in the identification rate of individuals smuggling prohibited and restricted materials: drugs, firearms etc. Watch-list matching – Integration of a robust Centaur extract into the eBorders system will automate existing processes, make time savings and facilitate the identification of smugglers of Class A drugs or other prohibitions and restrictions. Limited profiling – use of the Travel Document Information(TDI) in limited profiling activity may lead to identification of those displaying similar travel patterns as smugglers of Class A drugs or other prohibitions and restrictions.

The ability to significantly increase the level of automated checking against live data and movement records could increase operational effectiveness by:

enabling increased flexibility around resource deployment, by informing “short-term” operational or tactical deployment

making it possible to increase the coverage of routes in real time and thereby spot, at a very early stage, emerging changes in patterns of travel that are of interest. This will then allow us to respond quickly, with the likely impact of enhancing the deterrent effect, as well as increasing success rates on seizure of product; and

focusing use of precious staff resource on adding value to an automated process, with the aim of maximising the likelihood of a successful intervention.

e-Borders system will improve HMRC‟s data analysis capability. This will become part of HMRC‟s data warehouse through which HMRC will :


inform strategic and tactical deployment, particularly to ports/airports not manned 24/7;

improve quality and relevance of future profiles;


Inform the development of new operational strategies where the movement of people into and out of the UK is a relevant factor.

Beneficiary HMRC

PSA Impact

SR 2004 – Public Service Agreements (PSA) Objective III: Strengthen frontier protection against the threats to the security, social and economic integrity and environment of the United Kingdom in a way that balances the need to maintain the UK as a competitive location in which to do business.


Target 8.1 To improve our capability to intervene at the frontier.




92 of 108


While automated watchlist matching will undoubtedly contribute to our drugs effort, the lack of correlation between inputs, outputs and outcomes applies to the CIDA drugs strategy. Our contribution to the Home Office Drugs Harm Index is related only indirectly to the amount of drugs we seize. Furthermore, a successful intervention under this strategy may not be a seizure at all, but may relate solely to the gathering of intelligence. Home Office experts on the calculation of this index were consulted with a view to quantifying the relationship between drug seizures and harm to society. However, their view is that this is not possible and as a result no methodology has been forthcoming.



KAI (Knowledge, analysis and intelligence)

Benefit Category Effectiveness Reduction in the tax gap Change Type

En

ab

lers


Functionality TDI and SI (Service Information) capture, Watch-listing, Centaur interface, profiling. Process step Centaur interface

Bu

sin

ess A

cti

on



co

un

tab

ilit

y



HMRC


HMRC



Start Date

End Date



1 TBC TBC TBC TBC

2 TBC TBC TBC TBC

3 TBC TBC TBC TBC



Key review dates

All






Notes / references




93 of 108





94 of 108

APPENDIX E Comparison of current and future operating models

This Appendix describes the high level current and future business processes and the associated Business Service Requirements and Additional Services, highlighting the operational benefits achievable through the introduction of e-Borders. It should be read in conjunction with the sections in the Strategic Case of the FBC covering the e-Borders concept and the operating model. It reflects the four key steps:

Step A: Visa issued overseas;

Step B: Departure from overseas;

Step C: Arrival at the UK border; and

Step D: Leaving the UK

In addition to the above, e-Borders will provide a data warehouse facility that will enable agencies to access passenger and crew data provided by carriers for intelligence and other operational purposes.

Further detail on the current and future operating models can be found in the following sections of the BAFO:

Schedule 2.1 Part A provides an overview of the Authority‟s requirements;

Schedule 2.1 Part B, which details the specific Business Service Requirements under the contract; and

Detailed descriptions and process maps of the business processes are contained in the BAFO, CRD07 (Process maps for the future environment form Attachments C-D, and process maps for the current environment form Attachments B).

The future business processes are summarised in Figures 1-3 below. In addition to the interactions detailed in the diagrams, it should be noted that HMRC and Police may intervene at any stage.




95 of 108

Figure 1 - REDACTED

Figure 2 - REDACTED

Figure 3 - REDACTED

Figure 4 - REDACTED




96 of 108

Process Agency As Is/Current Environment- Overview and Consequences

Functionality for Current Environment

To Be/ New Environment Functionality for Future Environment

Step A:

Visa Issued Overseas

UKvisas Overview

Visa Application is checked for completeness and that all fields have been completed correctly.

The application data is then entered on Proviso and the Central Reference System (CRS).

All applicant's fingerprints are collected.

The application details are then risk assessed, including checks against PROVISO, local alert lists and a locally held copy of the Warnings Index (WI). Details of any hits against WI are retrieved from the Watchlist Information Control Unit (WICU).

Consequences

Watchlist data is manually updated at differing frequencies depending on location. Therefore Watchlist data is immediately out of date.

Watchlist hits are referred back to the UK for enrichment.

Entry Clearance Officer (ECO) has no access to any information of the history of travel for the individual to assist them with the application assessment.

Proviso and the Central Reference System;

Warnings Index- WI Checks

Overview

Details of a Visa application will be sent from the UKvisas Caseworking system to the e-Borders System, which will immediately store the details in a Travel History.

Details are Watchlist checked, including Associated Individuals and/or Associated Establishments. The results are returned to the UKvisas Caseworking System along with the Travel History for the Entry Clearance Officer (ECO) to use to assist in their assessment.

A telephone contact point will be provided for the Entry Clearance Officer (ECO) to contact Visa Support Operators in the e-BOC.

The ECO will have the functionality to provide feedback on the data they receive from e-Borders.

Consequences

Improved quality of visa decisions including joint working where necessary.

Watchlist checks are undertaken against each applicant, and associated Individuals and/or establishments, at the earliest opportunity against a complete set of Watchlists

Hits are enriched by a Visa Support Operator before dispatch to the ECO

Travel History (where it exists) is provided to the Entry Clearance Officer to assist in processing the application.

UKvisas Caseworking system

e-Borders including:

- Visa Application Check Services

- Travel History Management Services




97 of 108




Step B:

Departure from Overseas

Border Control

Police

HMRC

Reservation and check-in data for a subset of carriers and routes is risk assessed before departure by police and HMRC, either manually, via Semaphore, or through other systems, to identify Passengers who may be of interest.

Where an intervention at a foreign port is considered necessary, the police and HMRC can liaise with counterpart agencies abroad and/or the network of overseas liaison officers.

Airline Liaison Officers work with carriers at overseas ports to assist and advise them in identifying passengers of immigration interest, for example those without valid Travel Documents.

Where a passenger is identified as being of interest but is permitted to travel, the authorities in the UK may be notified in advance of the passenger‟s arrival, for example via e-mail or fax.

Consequences

Visibility of prospective passengers only provided on a subset of routes;

Risk assessments completed against WI Watchlists which is a smaller subset than that required for e-Borders.

Passengers having to queue

Warnings Index.

CID.

PNC.

UKvisas Caseworking System.

Omnibase.

Carriers will be required to provide TDI and SI for all passengers prior to departure. For passengers travelling in vehicles, VRM will also be required.

The system will, where possible repair the TDI automatically and risk asses all the information against a set of watchlists

If a passenger‟s TDI generates any Matches against the ATC watchlist set, these Matches will be processed as a priority in the e-BOC to ensure that any ATC denial is dispatched as quickly as possible outside the system. This will maximise the carrier‟s chance of preventing the passenger from travelling.

The carrier will also send confirmation to the data warehouse as to which passengers and crew members have actually travelled. The system will update all relevant travel histories and therefore identify these passengers and crew as expected arrivals.

Passenger details are watchlist risk assessed and any alerts distributed to the appropriate agency. Passenger Analysis Units (PAUs) will also have visibility for pending Border Control Alerts.

Consequences

Clear visibility of all passengers travelling and of all those expected to arrive in the UK.

Automated TDI repair to improve the quality of TDI received from carriers.

Updates to and creation of travel histories from SI/TDI captured. This will store the journey status of the passenger i.e. intention to travel at check-in, actual departure upon receipt of departure confirmation from the carrier.

Means to link passenger TDI with their vehicles and watchlist check specifically against the vehicle.

CID.

PNC.


Omnibase.

e-Borders including:

- Passenger & Crew Data Capture Services

- Risk Assessment Services

- Alert Management & Distribution Services

- Watchlist Management Service

- Agency Services at PAUs and elsewhere





98 of 108




unnecessarily, with no expediting of low risk passengers.

Currently, there is no systematic process to deny carriage to passengers and a challenge for the authorities to identify the passengers when leaving a foreign port.

Multi agency involvement- Joint Working, through multiple agencies working together in the e-BOC.

The process will facilitate the ability for passengers, not of interest, to negotiate through border controls as quickly as possible.

Increased probability of detection through the use of ATC (Phase 1a), at the earliest opportunity, therefore proactive risk assessment, deterring high risk individuals from boarding a flight or vessel.

More effective interventions through more detailed, accurate data, and more expansive and flexible watchlists.

Primary agency receives alerts early and is able to deploy resources accordingly;

More efficient use of resources.

Step C:

Arrival at the UK Border

Border Control

Police

HMRC

Often, if the police or HMRC wish to identify a particular passenger, this is achieved through liaison with Border Control at the Immigration Point of Control.

The Immigration Officer (IO) at the immigration control will check the validity of a passenger‟s visa where one is required, swipe the passport to initiate a check against the Warnings Index (WI) and collect landing cards from passengers who are required to complete them, storing a hard copy.

The IO will verify the details of any hit against the WI in the back office. The IO

Warnings Index.

CID.

PNC.


Omnibase.

The Immigration Officer (IO) will capture information from each passenger‟s documents, automatically wherever possible e.g. from a passport, visa and/or a Biometric Residence Permit.

The IO will check the authenticity of the passenger‟s documents and verify that that passenger is the rightful holder of the documents, with the support of the system.

The IO will have access to a wide range of information in the system to inform the IO‟s judgement on the risk posed by the Passenger and the IO‟s decision whether to allow the passenger to enter the UK, including:

The passenger‟s port of departure;

Any Border Control alerts and some non-Border Control alerts for the passenger that were created and dispatched from the e-

CID.

PNC.


Omnibase.

E-Borders including:

- Alert Presentation and Immigration Point of Control Service

- IRIS Recognition




99 of 108




may point the passenger out to police or HMRC or detain the passenger by issuing them with an IS81 and entering the details on CID.

Further checks may be conducted against the Police National Computer (PNC), the UKvisas caseworking system (CRS), Omnibase (the IPS system for UK Passports) and the Border and Immigration Agency casework system (CID).

Police and HMRC will take appropriate action.

Consequences

This process can prove time consuming and difficult as there is no visibility as to who is arriving, with resource being inefficiently deployed.

Significant resources are required for manual tasks.

BOC;

Whether the passenger corresponds to a high priority addition made to a watchlist since the advance checks took place.

The IO will have access to CID to view and update the passenger‟s immigration record, or to create a new person record if necessary.

If the IO allows the passenger to enter the UK, this will be recorded in the passenger‟s Travel History.

Alternatively, the IO may at any stage in the process detain the passenger for further examination by issuing an IS81.

For passengers in a vehicle, the IO will be able to:

Require passengers to disembark from the vehicle and pass through a control on foot;

Conduct the clearance process while the passengers remain in the vehicle; or

Allow the vehicle to pass through the control without capturing TDI, checking passengers‟ travel documents by sight.

The system will support capture of the vehicle‟s VRM to run watchlist checks against.

Police can intercept passengers on an ad-hoc basis anywhere in the port under terrorism legislation and other powers, for example at check-in or at the boarding gate for outbound passengers.

Following an intervention or other action in response to an accepted alert, the officer responsible for the intervention will provide feedback in the system indicating the usefulness of the alert. If no action is taken for an alert, explanatory feedback may

Immigration System Support Services


- Variations to Business Service Requirements

- Police Watchlist

Additional Service

- Automated Clearance (Registered Traveller) Services

- Automatic Number Plate Recognition at Ports Services




100 of 108




also be provided.

Additional Services

The Iris Recognition Immigration System is running as a Pilot under the Semaphore programme. Should the additional service be procured, e-Borders will continue to support Iris, allowing any Passenger enrolled to enter the UK via Iris Recognition Immigration System gates.

As an Additional Service, registered travellers will be able to enter the UK through Automated Clearance Gates by presenting their fingerprints and their documents to ACS Points of Control.

As an additional service, the system will also support the capture of vehicles‟ VRM through automatic number plate recognition (ANPR).

Consequences

Reduced necessity for IO to leave the immigration control to access further information.

Full alert details (pre-processed) available to the IO to improve leave to enter decision making.

Access to passenger travel history to improve decision making.

Comprehensive travel records will remove the need for landing cards, eliminating the need for current manual processing.

ACS will increase the expedition of low risk passengers




101 of 108




Ability to link passengers and vehicles and run checks based on the VRM.

Step D:

Leaving the UK

Border Control

Police

HMRC

Reservation and check-in data for a subset of carriers and routes is risk assessed before departure by police and HMRC, either manually or via Semaphore or other systems, to identify passengers who may be of interest.

Both HMRC and police may work with the carrier and port security to identify Passengers of interest, typically at check-in or at the departure gate. If either agency prevents the passenger boarding, the carrier is notified.

Police and HMRC - may complete intelligence reports on any results of any intervention that they make.

Border Control occasionally conducts embarkation controls.

Consequences

Visibility of prospective passengers, only provided on a subset of carrier routes;

Risk assessments completed against WI watchlists which is a smaller subset than that required for e-Borders.

Warnings Index.

CID.

PNC.


Omnibase.

Carriers will be required to provide TDI and SI for all passengers prior to departure. For passengers travelling in vehicles, VRM will also be required.

The system will repair the TDI, and use the TDI and SI (and, where relevant, VRM) to update the passenger‟s Travel History to reflect the fact that the passenger has checked in on a service leaving the UK

The information will be watchlist checked and any Alerts distributed to the appropriate agency.

To assist agencies in identifying passengers of interest at a UK port before they depart, the agencies can set up embarkation controls

Consequences

Clear visibility of all passengers travelling.

Automated TDI repair to improve the quality of TDI received from carriers.

Updates to and creation of travel histories from SI/TDI captured.

More effective interventions through more detailed, accurate data, and more expansive and flexible watchlists.

Primary agency receives alert message in early course and is able to deploy resources accordingly i.e. set up embarkation controls where required.

More efficient use of resources.

CID.

PNC.


Omnibase.

E-Borders including:

- Passenger & Crew Data Capture Services

- Risk Assessment Services

- Alert Management & Distribution Services

- Agency Services at PAUs


- Embarkation Control System Services




102 of 108

How the agencies will use the data from e-Borders

The diagram below gives a high level overview of the data exchanges between carriers, the e-Borders system and the agencies.

Figure 5 - Data exchanges between e-Borders system & key stakeholders




103 of 108

APPENDIX F Reporting

F.1 Programme Reporting

The set of reports produced by the Programme is as follows:

Performance Reporting - Content and Frequency

Reports Audience Data Required Frequency

1 BIA Review Implementation- Reporting Requirements SO1.3, SO1.4, SO4.3 (Ministerial Pack). Includes BIA Transformation programme Risk Register.

BIA Review Team

Summary of progress linked to 7 capability programmes and 4 strategic objectives. 2 parts: 1. Summary of progress on projects IRIS, Semaphore and Procurement. 2. BIA strategic objectives (SO2 Strengthen our borders) - Milestones and Pie charts for Semaphore and IRIS Top 10 Risks plus RAG Rating

Weekly

2 The PSX(E) Cabinet Committee

Cabinet Office Deliverability, costs v benefits, capability

Monthly

3 PMAU BSC Monthly Report

Border Control Senior Management Team

PSO- Top 10 Programme Milestones Finance/HR- Staffing profile, sickness rates, finance Projects and Programme Performance Report

Monthly

4 Monthly Asylum & Immigration High Level performance Report (HLPR)

BIA Board IRIS update in text only Monthly

5 PRoMS Monthly Report

For the Permanent Secretary, Home Office Group Executive Board and Ministers.

1. Status of workstream areas, 2. SRO Statement (issues/problems etc.) 3. Issues for HOB 4. Top 5 Risks 5. Milestone Tracker 6. OGC Info.

Monthly

6 e-Borders Balanced Scorecard

e-Borders Balanced Scorecard Group

Each workstream reporting against key performance indicators (KPIs)

Monthly

7 e-Borders Steering Group (Governance)

Steering Group Director's Brief - PSO act as Secretariat.

Quarterly

8 e-Borders Programme Board (Governance)

Programme Board

Agenda, Papers (commissioned)- all aspects of e-Borders - Projects, Procurement and Corporate Services. SIU is secretariat, PSO commission and clear papers

Monthly

9 BTB Director's Progress Report (Governance)

Programme Board

Progress Report from Director. Monthly




104 of 108

10 e-Borders SRO Report

SRO Weekly updates on risks and issues (top 5) on Semaphore, IRIS, Procurement, Business Transformation. Very brief summary update and milestone update.

Weekly

11 Weekly Progress Report

Information feeds into PROMS report and e-Borders Balanced scorecard

High-level milestones planned and achieved, progress summary, issues.

Weekly

F.2 Service Provider Reporting

The Service Provider will formally report to the Programme in the following categories as specified in FITN Schedule 8.7 Reporting, which identifies the frequency and audience for each report.

Financial;

Testing and Implementation;

Service Management;

Governance and Contract Management;

Programme Management;

Technical and Security;

Disaster Recovery;

Operational;

Learning and Development;

Benefits; and

Facilities management

The Service Provider‟s Balanced Scorecard will be produced bi-monthly from 1st April 2008.




105 of 108

APPENDIX G Related documents

G.1 Introduction

This Appendix details the documents related to the e-Borders Full Business Case.

Document Publish Date

Description

Final Invitation To Negotiate (FITN)

08/05/07

This is the documentation issued to the two shortlisted bidders on 08/05/07. Contained in it are the Authority‟s requirements, the Commercial Model, details of the Procurement Process and Instructions to bidders.

DfT: The Future of Air Transport - Progress Report

16/12/06 Sets out a strategic framework for the development of airport capacity in the United Kingdom over the next 30 years, against the wider context of the air transport sector.

Control of Immigration: Statistics United Kingdom

23/08/06

Cover immigration, asylum and nationality statistics. Of particular interest to the OBC are details of passenger arrivals, admissions and refusals at air, sea and Channel Tunnel ports in the UK.

Approach to Police Benefits Quantification March – May 2006

May 06 Describes the approach taken to quantify the increased detections and intervention of the individuals of interest.

Regulatory Impact Assessment

01/08/07 RIA on the proposed data acquisition legislation, issued for further consultation

OGC Gateway Review Documents

Mar 06 May 06 May 07 July 07 Sep 07

OGC Gate 0 review, detailed report May 2006 Programme action plan against Gate 0 review

Semaphore OGC Gate 5 review, March 2006

IRIS OGC Gate 5 review, May 2007

OGC Gate 3 review, July 2007

OGC Gate 3A review, September 2007

Programme action plan against OGC review




106 of 108





107 of 108

Appendix H REDACTED




108 of 108
