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    to integrate travellers, iCROSS components and border guards in the field. Finally, it reviews
    relates surveys and recent research in the field.
   Section 4 firstly outlines the methodology adopted for requirements capture and analysis to
    complement the state of the art review with the user perspective. This elicits both the
    functional and non-functional requirements. It explains how the perspective is informed by
    questionnaires and a site survey with a practical workshop                                    .
    The questionnaires use categorical answers, Likert scale answers and projective questions
    to verify or move beyond the current knowledge of consortium members. It contains a
    delivery strategy to optimise useful responses and methods to enhance the speed of analysis
    - and so provide timely information to shape the iCROSS approach. It concludes with a set of
    scenarios to inform experimental design and evaluation and information of candidate pilot
    sites.
   Section 5 describes the general user requirements which have been estracted from the
    traveller’s survey results, Border Guard survey results, Border Guard Officers and Managers
    interview results and the expertise of the participating end users. The extracted general user
    requirements for the system, will be the input for the deliverable D2.2 – Reference
    Architecture and Components specifications.




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2 Concepts of Border Management
                Introduction History of Borders
 A border is like skin. It has two ambivalent purposes: to
separate and to connect. It separates the territory as an
area controlled by a given group of people from areas
controlled by other groups or by no one. Such a behaviour
may arise for reasons of protection, securing resources etc.
and may spark aggression against trespassers (Stout,
1975). On the other hand, it keeps members of the group
together, enhances task distribution (sentinels arise) and
serves as identity basis for the socio-geographical group
(Tatalovic, 2010). In the early period of human civilization,
tribes were living in the wildernesses and the only place
where they could feel themselves relatively safe, was within
their borders, serving as frontiers. Becoming an outcast or
being expelled even for a short time was almost equal to the
death sentence. For example, before 130 BC, to spend one
night without weapons, armor and fire outside of the camp
was one of the most serious punishments in a Roman
legion, second only to decimation (Goldberg, 2016).
Trespassers were automatically treated as enemies, chased
down, killed (sacrificed) and in several cases, eaten (Erman,
Grapow, & Erichsen, 1950). Later when ancient trade was
invented, hospitality emerged. First, in form of sacred
rituals protecting the guest (O'Gorman, 2010) (Sabloff,

1975).
As technology evolved and humanity took control over most
regions, borders usually became a place for trade and of
course, place of taxation. Before the birth of national states,
borders were everywhere, between cities, tenures and so on
(Tilly & Ardant, 1975). Instead of passports, travellers used
tokens of friendship of someone protecting them in the
foreign land (proxinoi) or “laissez-passer” type papers. The
first of such papers found is from 450 BC (“Letter to the
lords across the river [in Judea]” by Artaxarxes, ruler of
Persia) (Blenkinsopp, 1987). Also acting for the purpose of
protection, some border sections were reinforced and used            Figure 1 Old border types
as frontiers, like the Roman limes (guarded by military
troops: limitanei or ripenses) or the Chinese Great Wall (Treadgold & Treadgold, 1998). Reverting
into the “original” or “first” purpose of the borders, to keep anything else out. None of the walls built
were able to protect the territory permanently, both the Roman limes and the Great Wall were
breached, as more recently was the Iron Curtain and the Wall of Berlin. Territory cannot be
protected solely at the borderline. Protection of Territory is a complex activity called Integrated
Border Management, performed by many actors inland, at the border and in foreign territory




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(Varga, 2015). Nowadays, as we live in the age of nation-states, the key actors are the sovereign
entities of nation states and for them, territory is an essential element of existence (Habermas &
Ciaran, 1998).

               Borders in the present
                                   Borders are directly related to the existence of a nation-state. As
                                   by the definition of “nation-state”, demarcated territory and
                                   exclusive power over the territory are two key pillars in
                                   sovereignty (permanent population, one government and the
                                   capacity to enter into relations with other sovereign states are the
                                   other pillars) (Péter, 1997) (N. Shaw, 2003). If the borders are not
                                   able to fulfill either of their purposes, to separate (defined
                                   territory and exclusive power over the territory) and to connect
                                   (help to keep together permanent population and be allowed to
                                   enter into relations with other sovereign states), the existence of
                                   the nation-state itself becomes endangered. The same danger
                                   arises when the border is shifted radically to just one of the two
                                   purposes: open borders which create security deficit, closed
                                   borders which create illegal migration and at the end, physical
                                   aggression (Mária, 2007)., There are three types of borders,
                                   delimited by international treaties and demarcated by border
                                   signs: open borders, which can be crossed at almost any time
                                   and place (e.g. from Germany to Austria), controlled borders
                                   (e.g. from Hungary to Romania), where a traveller can cross at
                                   border gates but otherwise, it is prohibited, and closed borders
                                   which are more like frontiers (e.g. from North Korea to South
                                   Korea). By type, borders can be air borders, sea borders and land
                                   borders (including borders across inland water) (Sallai, 2004).
                                   The procedure of protecting the borders against unauthorized
                                   border crossing is called border surveillance in most countries
                                   Border surveillance is a considerable challenge, especially at sea
                                   borders, but it is out of the scope of this project and only covered
                                   as much as necessary. In case of sea and air borders, the actual
                                   border crossing and the border control is separated in time and
                                   space, as those vessels are under the “loi du pavillon”: the
                                   traveller can cross the Hungarian-Slovakian border when he/she
   Figure 2 Contemporary           is sitting on a plane flying from Bratislava to Budapest, but will
            borders                only be controlled after the plane lands in Budapest. Additionaly,
                                   it may be that meanwhile the passenger will have a seat in
Germany, as if his/her plane - for example - is registered in Germany (e.g. Lufthansa plane), legally,
the traveller can be locted in German territory from engine power set for departure until opening
cabin doors at destination
 (Bonassies, 1969). On the other hand, land borders are crossed at border gates, at the (or very near
to) the demarcation line and in most of cases, passengers are checked while sitting in their vehicles.
This is the border check, which is only one, but the most important part of the Integrated Border
Management and its Four-Tier Access Model (Lanfermann, 2014).




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               Border Management
Border management means regulating, controlling and facilitating the cross-border flow of persons,
goods and services, through border policing, immigration control, asylum, customs check, nature
protection, sanitary control and cross-border crime prevention measures. The first documented
border management system operated in 1287 BC at the Egyptian-Nubian border, established by I.
Seth, with base in the Fortress of Semna, consisting of stationary and mobile Medjay, units enforcing
border policy (Erman, Grapow, & Erichsen, 1950). Border management is split between military
border protection and administrative borders. There are different border management models
around the world (Figure 3), built around same basic approach but following different principles
(Varga, 2015). This basic approach is cooperation and coordination between stakeholders.




                             Figure 3 Border Management Models
For this project, based on the text of the call, the focus will be on EU’s Integrated Border
Management, the connecting European Security Model and the border policy of individual Member
States (MS) (on the example of Hungary). However, for future exploitation purposes of the solution,
other border management solutions will be taken into account, to maintain compatibility with
potential future non-EU customers.

               Integrated Border Management
The Integrated Border Management (IBM) approach aims to create the balance between facilitation
of the flow of persons and goods across borders and providing security measures in order to achieve
sustainable border management. Originally developed by the Schengen MSs, Integrated Border
Management was integrated into the EU acquis with the Treaty of Amsterdam, 1999 (Moravcsik &
Nicolaïdis, 1999). Later it was implemented by many other countries especially along main
migration routes. It recognizes that maintaining border security and controlling immigration is a
complex challenge and is not solely the task of border control agencies.
It is part of the European Security Model established (Figure 4) by the Stockholm Programme and
described by European Security Strategy renewed in every five years, starting with 2003 (Varga,
2015).




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       European Security Model as in 2003                Non-military components of theEuropean
                                                                    Security Strategy




                               Figure 4 European Security Model
IBM is a system operated by various actors for a common goal. Cooperation is the key to achieve it.
Within IBM, the three pillars of the cooperation are:
       Intra-service cooperation
       Interagency cooperation
       International cooperation
Cooperation has to be facilitated through:
       legal and regulatory framework
       Institutional framework
       Procedures (Standard Operational Procedures, SOPs)
       Human resources and training
       Communication and information exchange
       Infrastructure and equipment
The main cooperating actors are border guards (border police), police, customs, phytosanitary
services, veterinary services, foreign affairs, and national security agencies. Focusing on procedures,
a simplified model called the “Four-Tier Access Control Model” (sometimes referred to as the four-
filter model – see Figure 5) is used, which covers a set of complementary measures implemented at
different stages, which include:
   1. Activities in third countries (visa policy, liaison officers, assistance missions);
   2. International cooperation (readmission treaties, return and other joint operations,
FRONTEX, PCC SEE etc.);
   3. Border surveillance and inspections at border gates (border check, customs check etc.)
   4. Inland checks and other activities within territory.
In line with the ambition of the iCROSS, Section 2.2 focuses on border checks within border control
(Filter 3) at external borders of the Schengen Area, highlighting the following aspects:




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          (Partial) Automated Border Control (ABC) speeding up border checks with help of
           biometrics
          Voluntary version of Advanced Passenger Information (API)
          Entry-Exit System (EES)
          Voluntary Registered Traveller Program (RTP)




                         Figure 5 The Four Tier Access Control Model
Although the iCROSS solution is focusing on border checks at border gates, especially at land border
gates, it is borne in mind that the given procedure will likely be connected to other procedures in the
same tier or in other tiers. For example, a record serving as evidence for border crossing (“digital
stamp”) shall be consulted during an inland check to determine if the duration of the stay is
exceeded or not. Checks in one tier are the best place to optimize cost effectiveness, e.g. multiple
stakeholders conduct checks at the border, like customs, border guards, phytosanitarians etc. Such
checks can include (depending on the border section), means of transport, pets brought along,
declared belongings etc. Consequently, more checks can be carried out before, after or during the
border check itself. For a traveler passing between Hungary and Romania, there is border check but
no customs check, while a trip between Hungary and Serbia requires both and in third version,
when crossing from Germany to Switzerland, there is customs check but no border check. These
checks can be extended by veterinary and phytosanitary checks if necessary. Road Border Crossing
Points need a dual check: both vehicles and passengers have to be checked, it has to be verified that




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the vehicle is rightfully owned, able to safely participate in the traffic and there is nobody hiding in
the vehicle trying to slip across the border without being checked or there are no hidden drugs,
weapons, explosives or other illicit goods. Therefore, border checks at land border gates are not only
considering control of the passengers, but also inspection of the vehicle in compliance with the
Schengen Border Code. The Schengen Border Code applies for border control activities of the
Schengen Member States (MS), which is was originally an independent international cooperation
(Treaty of Schengen on Abolishing Border Control on Internal Borders, also known as Schengen
Agreement signed in 1985) on abolishing border control at the Parties’ internal (common) borders.
Subsequently, the EU took over this institution of the international law and integrated into the
acquis communautaire in 1999 with the Treaty of Amsterdam. However, the EU and Schengen
Membership did not totally overlap, some EU MS opted out, while some third countries joined the
Schengen Area. Figure 6 shows the current Schengen and EU overlap as of 2016.




                      Figure 6 Current Schengen and EU Overlap (2016)

               Border policing
Although IBM is a backbone of border management in the Schengen MSs, border policing is a wider
horizontal national institution in each MS, it does include IBM but has dimensions outside of it. They
are mostly regulated by bi- or multilateral international agreements between countries. There is a
long standing effort from the EU to get involved into – and later, take over – all aspects of border
policing from the MS. In some cases, for example in case of readmission treaties with third countries
or visa policy, under Cross-Border Relations, this is very much reasonable. On the other hand, a
border regime, which is a bilaterally agreed regime of the border area of two neighboring countries,
is more of a subsidiary and is less justifiably centralized.




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                    Figure 7 EU Intergrated Border Management Concept
However, it has to be respected, that border policing is a part of the flow control of persons, goods
and services (see Figure 8). It is a pillar of the National Security System of each MS, which has not
only law-enforcement or foreign affairs aspects, but other ones from sanitation through labour
market to national security, even if the filter itself is the Four-Tier Access Control Model (4-TAC) of
the IBM.




                                 Figure 8 Border Policing Flow

               Basic definitions and principles of border control
Border control consists of border surveillance and border checks at external borders. Border
surveillance means the surveillance of borders between border crossing points and the
surveillance of border crossing points outside the fixed opening hours, in order to prevent persons
from circumventing border checks. Border checks are the checks carried out at border crossing
points at the external border, to ensure that persons, including their means of transport and the
objects in their possession, may be authorized to enter the territory of the Member States or




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authorized to leave it. External borders means the Member States’ land borders, including river
and lake borders, sea borders and their airports, river ports, sea ports and lake ports, provided that
they are not internal borders. Internal borders means the common land borders, including river
and lake borders, of the Member States; the airports of the Member States for internal flights; sea,
river and lake ports of the Member States for regular internal ferry connections (Regulation (EU)
2016/399 on Schengen Borders Code, Art. 2.). External borders may be crossed only at border
crossing points and during the fixed opening hours. Internal borders may be crossed at any point
without a border check on persons, irrespective of their nationality, being carried out. A summary is
presented in Table 1.
                    Table 1 Border Types and Associated Border Checks




Cross-border movement at external borders shall be subject to checks by border guards. Checks
shall be carried out in accordance with the Schengen Borders Code, but the law of the Member State
concerned shall apply to any searches which are carried out. The border checks may also cover the
means of transport and objects in the possession of the persons crossing the border.
All persons shall undergo a minimum check in order to establish their identities on the basis of the
production or presentation of their travel documents. Such a minimum check shall consist of a
rapid and straightforward verification, where appropriate by using technical devices and by
consulting, in the relevant databases, information exclusively on stolen, misappropriated, lost and
invalidated documents, of the validity of the document authorizing the legitimate holder to cross the
border and of the presence of signs of falsification or counterfeiting. On a non-systematic basis,
when carrying out minimum checks on persons enjoying the right of free movement under Union
law, border guards may consult national and European databases in order to ensure that such
persons do not represent a genuine, present and sufficiently serious threat to the internal security,
public policy, international relations of the Member States or a threat to the public health.
On entry and exit, third-country nationals shall be subject to thorough checks (first line)
containing a minimum check plus verification of the conditions of entry and stay for third country
nationals.
Figure 9 Border Checks, shows a summary of the three levels of checks.




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                                      Figure 9 Border Checks
If a third country national stays less than 90 days in any 180 days period, the conditions for entry
and stay in the Schengen Code has to be applied. If a person stays more than 90 days in any 180 days
period, the immigration law of the Members State shall be applied.
During a thorough check, the following procedure is requested by the Schengen Border Code:
    1. verification that a third-country national is the rightful holder of a document which is valid
for crossing the border and which has not expired, and that the document is accompanied, where
applicable, by the requisite visa or residence permit;
   2. thorough scrutiny of the travel document for signs of falsification or counterfeiting;
    3. examination of the entry and exit stamps on the travel document of the third-country
national concerned, in order to verify, by comparing the dates of entry and exit, that the person has
not already exceeded the maximum duration of authorized stay in the territory of the Member
States;
    4. verification regarding the point of departure and the destination of the third-country
national concerned and the purpose of the intended stay, checking, if necessary, the corresponding
supporting documents;
    5. verification that the third-country national concerned has sufficient means of subsistence
for the duration and purpose of the intended stay, for his or her return to the country of origin or
transit to a third country into which he or she is certain to be admitted, or that he or she is in a
position to acquire such means lawfully;
    6. verification that a third-country national, his or her means of transport and the objects he or
she is transporting are not likely to jeopardize the public policy, internal security, public health or
international relations of any of the Member States. Such a verification shall include direct
consultation of the existing (if any) data and alerts on persons, included in the SIS and in national
data files as well as the corresponding action to be performed, as a result of an alert;
    7. if a third country national needs a visa, verification of the visa holder identity and visa
authenticity is done by consulting the Visa Information System (VIS), but this can be skipped under
certain special circumstances: e.g. disaster, person is part of a diplomatic delegation led by a Head of
State.




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