Attachment_H_-_UKVISA_Software_Requirements.pdf

ATTACHMENT H

UKvisas Software Requirements

1 Background

UKvisas has embarked on a global rollout of biometric capabilities to record fingerprints and photographs for all UK visa applicants (with limited exceptions and exemptions) since December 2008. This element of the application process requires visa applicants to physically present themselves so their biometrics can be recorded. UKvisas has been aware of the network of Department of Homeland Security (DHS) Application Support Centers (ASCs) in place for similar biometric recording for US immigration purposes.

In September 2006, Tony Mercer, Director UKvisas Network Operations, formally wrote to Stewart Baker, DHS Assistant Secretary for Policy, requesting formal exploration and analysis for UKvisas use of the ASCs for UK visa applicants to appear for fingerprinting and photograph recording.

In November 2006, Stewart Baker responded positively with agreement to conduct a joint feasibility or viability report considering the legal, policy, cost, technical, and operational factors as a determination and basis for future agreements for UKvisas use of the ASCs.

A joint viability report has been concluded between UKvisas and DHS as agreed to in above referenced letters. The viability report analysis has identified significant benefits for DHS and UKvisas through the use of ASCs and the data sharing opportunities this presents. Both UKvisas and DHS have committed to the implementation of Phase 1a identified in the viability report by November 30, 2007. Phase 1a includes the joint enrolment capabilities for UK visa applicants to appear at ASCs for biometric enrolment and the data being transmitted by DHS to UKvisas.

2 UKvisas Software Requirements

2.1 Introduction

The Live-Scan software is to: 1) include a screen to be used for processing UKvisas applicants, 2) include required data fields necessary for submitting UKvisas applicant information, 3) capture digital photographs, and 4) be capable of recording and enrolling all the data necessary for submission to the UK Immigration and Asylum Fingerprint System (IAFS).

The ASC enrolment software must be capable of enrolling the following data for UK visa applicants age five (5) and older:

- UKvisas Global Web Form (GWF) number stjenkin Sticky Note Accepted set by stjenkin stjenkin Sticky Note Accepted set by stjenkin

- Minimum enrolment set (family name, other names, date of birth, sex, passport number, and nationality)

- Exemption/Exception details

- Fingerprints

- Digital photo

- Audit data

The following requirements will need to be satisfied in the development of the ASC software for processing UK visa applicants.

2.2 General Requirements

R1 Biometric recording shall be record-centric. For each applicant the operator shall be able to create a new biometric submission file to be populated with biometrics and biographic data.

R2 The operator shall have capability to cancel or void a record at any stage prior to confirmation and submission of the record.

R3 Only one record shall be open at one time per ASC workstation.

R4 When the enrolment set is complete the software shall prompt the operator to confirm that they are content for the data set to be submitted. Once the operator has confirmed the software shall lock the record and begin the process for transmitting data to UKvisas.

R5 The software shall not allow the biometric or biographic details to be edited or accessed once confirmed by the operator.

R6 Each record shall be date/time stamped on creation. Standard format and time zone for date/time stamp to be agreed between UKvisas and DHS.

R7 The software shall allow for the creation of metadata relating to each enrolment set. Examples include the enrolment post, the enrolment workstation, the operator’s log on ID, time stamp etc. This data will be used for Management Information (MI) purposes as well as for IAFIS and is identified in detail in later sections.

R8 In the event that a network connection is not available, the software shall be capable of locally storing records in a secure manner.

R9 The software shall submit all locally stored records immediately following a network connection being re-established.

R10 The software shall allow operators to re-take fingerprints where necessary prior to submission, but only up until the point the operator confirms the record to lock and submit the data.

R11 The software shall have capability to identify and flag the record as an UK visa applicant for appropriate processing different than DHS applicants.

2.3 Login Requirements

UKvisas accepts that the current requirements for the ASC personnel to login and authenticate their use of the software are more than likely adequate, however UKvisas desires the following minimal requirements are met:

R12 The software shall restrict access to its function to operators that successfully authenticate themselves by username and password.

R13 All actions by system administrators regarding UKvisas records shall be logged for auditing purposes.

2.4 Minimum Data Set Entry Requirements

R14 The software shall accept the minimum data set for biometric enrolment including GWF, Family name, Other Names, Date of Birth, Sex, Travel Document Number, and Nationality.

R15 The software shall allow for manual data entry of the minimum data set.

R16 The software shall allow for entry of the minimum data set via a 2D bar code reader using PDF417 standard.

R17 All fields of the minimum enrolment set listed in R14 shall be mandatory with the exception of “Other Names,” which is optional.

The following chart provides an overview of the biographic data entry requirements as detailed in the next sub sections.

Field Name Condition Size Permissible Values GWF Number Mandatory 12 “GWF” followed by 9 unique numeric characters Family Name Mandatory 1-35 Alphabetical and special characters Other Names Optional 0-35 Alphabetical and special characters Date of Birth Mandatory 8 MMDDCCYY format Sex Mandatory 1 M, F, or U only Nationality Mandatory 3 List of country codes provided by

UKvisas Travel Document Number

Mandatory 1-15 Any alphabetical, numeric, or special characters.

Exemption/ Exception

Optional 1 Available values: 1 – Amputee (less than two fingers available) 2 - Medically Incapable

Table 1: Summary of Biographic Data Requirements

2.4.1 GWF Entry Requirements

R18 The software shall accept by reading from bar code or by manual entry the

GWF number generated by visa4uk in the format of 12 alphabetical and numeric characters.

R19 The GWF shall always be in format of the GWF followed by 9 numeric characters (e.g., GWF123456789).

R20 Operators shall have capability to edit GWFs in case of incorrect data or misreads from bar code until the record is confirmed.

R21 The GWF field shall be a mandatory field.

R22 Intelligence shall be placed on the field to verify the length and format of any GWF entered into the software as stated in R19.

2.4.2 Family Names

The software shall accept by reading from bar code or by manual entry the Family Names as shown on the UK visa applicant’s valid travel document (Note: last names in U.S. terms or Surnames usually shown on most passports).

R23 The length and format of the Family Names field shall be any alphabetical or special characters with minimum of 1 character and maximum of 35 characters.

R24 Operators shall have capability to edit Family Names in case of incorrect data or misreads from bar code until the record is confirmed.

R25 The Family Names field shall be a mandatory field.

R26 Intelligence shall be placed on the field to verify the length and format of any Family Names entered into the software as stated in R24.

2.4.3 Other Names

The software shall accept by reading from bar code or by manual entry the Other Names as shown on the UK visa applicant’s valid travel document (Note:

combination of first and middle names in U.S. terms or given names usually shown on most passports).

R27 The length and format of the Other Names field shall be any alphabetical or special characters with minimum of 0 characters and maximum of 35 characters.

R28 Operators shall have capability to edit Other Names in case of incorrect data or misreads from bar code until the record is confirmed.

R29 The Other Names field shall be an optional field.

R30 Intelligence shall be placed on the field to verify the length and format of any Other Names entered into the software as stated in R29.

2.4.4 Date of Birth

The software shall accept by reading from bar code or by manual entry the Date of Birth as shown on the UK visa applicant’s valid travel document.

R31 The length and format of the Date of Birth field shall be any numeric character 8 characters in format of MMDDCCYY (e.g., 12201976).

R32 Operators shall have capability to edit Date of Birth field in case of incorrect data or misreads from bar code until the record is confirmed.

R33 The Date of Birth field shall be a mandatory field.

R34 Intelligence shall be placed on the field to verify the length and format of any Date of Birth entered into the software as stated in R31.

R35 Intelligence shall be available on the date of birth field to identify those applicants who are below the age of 5 years.

R36 Where a child under the age of 5 years has been identified, the software shall provide a message to the operator informing that the child is not required to be enrolled and not allow operator to continue with the enrolment.

2.4.5 Sex

R37 The software shall accept by reading from bar code or by manual entry the

Sex as shown on the UK visa applicant’s valid travel document.

R38 The length and format of the Sex field shall be 1 character with “M,” “F,” or “U” as the only allowable characters.

R39 Operators shall have capability to edit Sex field in case of incorrect data or misreads from bar code until the record is confirmed.

R40 The Sex field shall be a mandatory field.

R41 Intelligence shall be placed on the field to verify the length and format of any Sex entered into the software as stated in R38.

2.4.6 Nationality

The software shall accept by reading from bar code or by manual entry the Nationality as shown on the UK visa applicant’s valid travel document.

R42 The length and format of the Nationality field shall be 3 alphabetical characters and allowable Nationality codes are available in Appendix A.

R43 Operators shall have capability to edit Nationality field in case of incorrect data or misreads from bar code until the record is confirmed.

R44 The Nationality field shall be a mandatory field.

R45 Intelligence shall be placed on the field to verify the length and format of any Nationality entered into the software as stated in R42.

2.4.7 Travel Document Number

The software shall accept by reading from bar code or by manual entry the Travel Document Number as shown on the UK visa applicant’s valid travel document.

R46 The length and format of the Travel Document Number field shall be any alphabetical, numeric, or special characters with minimum of 1 character and maximum of 15.

R47 Operators shall have capability to edit Travel Document Number field in case of incorrect data or misreads from bar code until the record is confirmed.

R48 The Travel Document Number field shall be a mandatory field.

R49 Intelligence shall be placed on the field to verify the length and format of any Travel Document Number entered into the software as stated in R46.

2.4.8 Exemptions/Exceptions

The operator shall have capability to select an exemption/exception for two cases: 1) Amputee with less than two fingers of the middle 8 fingers available (middle 8 fingers are defined as all fingers and thumbs excluding the little fingers); or 2) Physically unable to provide fingerprints (e.g., severe arthritis).

R50 The supervisor approval capability shall have ability to disallow exemption/exception returning the use to the normal workflow.

2.5 Fingerprint Enrolment Requirements

The software shall be capable of recording up to 10 individual rolled fingerprint images.

R51 The software shall be capable of recording up to 4 slap fingerprint images consisting of up to 4 left fingers, up to 4 right hand fingers, right thumb, and left thumb.

R52 The software shall have capability to measure quality of fingerprints images recorded.

R53 The software shall have capability to inform operator when desired quality measurement has not been achieved to re-take images to improve quality.

R54 The software shall have capability to allow operator to re-take fingerprints images until an acceptable quality threshold is met or operator determines the best quality possible has been recorded.

R55 The software shall have capability to record a date/time stamp at the point when all fingerprints have been successfully recorded. Standard format and time zone for date/time stamp to be agreed between UKvisas and DHS.

R56 The system shall display the fingerprint images to the operator for visual review.

R57 The software shall have capability to perform a sequence check to ensure rolled images are in proper order.

R58 The software shall have capability to allow operators to identify missing fingers (e.g., amputees), bandaged, or permanently damaged (e.g., scars/deformity).

R59 All fingerprints images shall be compressed using Wavelet Scalar Quantisation (WSQ) 15:1 ratio.

2.6 Digital Photograph Enrolment Requirements

R60 The system shall record a digital facial image of the UK visas applicant with goal of meeting International Civil Aviation Organisation (ICAO) compliance standards; however the measurement of ICAO compliance is NOT required. Best practices for photograph capture shall be implemented from ICAO such as no hats, no smiling, full frontal with minimal horizontal or vertical misalignment, etc.

R61 The system shall record a date/time stamp at the point when photo is taken.

Standard format and time zone for date/time stamp to be agreed between UKvisas and DHS.

R62 The system shall record a true rendition of the image collected free from image enhancement or resolution mapping.

R63 The software shall display the image to the operator to perform a visual check of the image.

R64 The operator shall be allowed to cancel or re-take an image capture without cancelling or deleting the entire record.

3 Transmission of Data from ASCs to UKvisas Requirements

The following requirements are for the transmission of the data from DHS ASCs to UKvisas in the Phase 1a of the project.

R65 The biometric and biographic data for each UK visa applicant shall be provided in the FBI Electronic Fingerprint Transmission Specification (EFTS) by DHS to UKvisas.

R66 The EFTS file shall contain for each visa applicant (1) Type-1 record (message header), one (1) Type-2 record (biographical, demographic, etc.

data), up to 14 Type-4 records (10 individual rolled images and 4 slap images), and one (1) Type-10 record (digital photograph).

R67 The EFTS file shall be transmitted as e-mail attachments using Simple Mail Transfer Protocol (SMTP) over a secure Internet connection between DHS and UKvisas.

R68 The EFTS file shall be delivered to UKvisas within 12 hours of the completion of the biometric enrolment process at the ASCs.

R69 DHS shall retain the EFTS file until USCIS confirms successful delivery of the file using native SMTP capabilities.

R70 After successful delivery of EFTS file, UKvisas shall return a receipt notification to DHS for deletion of the files.

R71 Upon successful receipt, UKvisas will translate the EFTS records to Extensible Markup Language (XML) based records required for submittal to

IAFS.

R72 The EFTS files shall include the following fields with mandatory and optional fields marked appropriately. Additional fields may be added at later date based on discussions between DHS and UKvisas.

1. Unique ID (Mandatory)

2. Family Name (Mandatory)

3. Other Names (Optional)

4. Date of Birth (Mandatory)

5. Sex (Mandatory)

6. Nationality (Mandatory)

7. Travel Document Number (Mandatory)

8. Exemption/Exception Code (Optional – default could be null)

9. ASC Location (Mandatory)

10. Workstation ID (Mandatory)

11. Operator ID (Mandatory)

12. Fingerprint Scanner ID (Optional)

13. Camera ID (Optional)

14. Fingerprint Recording Completion Date/Time Stamp (Mandatory)

15. Photograph Recording Completion Date/Time Stamp (Mandatory)

16. Fingerprint Presence for Each Finger (Mandatory)

17. WSQ Compressed Fingerprint Images (Mandatory for all available fingers)

18. Fingerprint Image Horizontal Line Length (Mandatory)

19. Fingerprint Image Vertical Line Length (Mandatory)

20. Photograph (Mandatory)

21. Photograph Width (Mandatory)

22. Photograph Length (Mandatory)

23. Quality Control (QC) ID (Optional)

Appendix A: Nationality Codes

CODE NATIONALITY

AFG AFGHANISTAN

ALB ALBANIA

DZA ALGERIA

ASM AMERICAN SAMOA

AND ANDORRA

AGO ANGOLA

ATG ANTIGUA AND BARBUDA

ARG ARGENTINA

ARM ARMENIA

ABW ARUBA

AUS AUSTRALIA

AUT AUSTRIA

AZE AZERBAIJAN

BHS BAHAMAS

BHR BAHRAIN

BGD BANGLADESH

BRB BARBADOS

BLR BELARUS

BEL BELGIUM

BLZ BELIZE

BEN BENIN

BTN BHUTAN

BOL BOLIVIA

BIH BOSNIA AND HERZEGOVINA

BWA BOTSWANA

BVT BOUVET ISLAND

BRA BRAZIL

GBR GREAT BRITAIN

VGB BRITISH VIRGIN ISLANDS

BRN BRUNEI DARUSSALEM

BGR BULGARIA

BFA BURKINA FASO

BDI BURUNDI

CMR CAMEROON

CAN CANADA

CPV CAPE VERDE

CAF CENTRAL AFRICAN REPUBLIC

TCD CHAD

CHL CHILE

CHN CHINA

CXR CHRISTMAS ISLAND

CCK COCOS (KEELING) ISLANDS

COL COLOMBIA

COM COMOROS

COG CONGO

COD CONGO (DEMOCRATIC REP OF )

COK COOK ISLANDS

CRI COSTA RICA

CIV COTE D'IVOIRE (IVORY COAST)

HRV CROATIA

CUB CUBA

CYP CYPRUS

CZE CZECH REPUBLIC

DNK DENMARK

DJI DJIBOUTI

DMA DOMINICA

DOM DOMINICAN REPUBLIC

ECU ECUADOR

EGY EGYPT

SLV EL SALVADOR

GNQ EQUATORAL GUINEA

ERI ERITREA

EST ESTONIA

ETH ETHIOPIA

FJI FIJI

FIN FINLAND

FRA FRANCE

GUF FRENCH GUIANA

FXX FRENCH METROPOLITAN

PYF FRENCH POLYNESIA

ATF FRENCH SOUTHERN TERRITORIES

GAB GABON

GMB GAMBIA

GEO GEORGIA

D GERMANY

GHA GHANA

GRC GREECE

GRL GREENLAND

GRD GRENADA

GLP GUADELOUPE

GUM GUAM

GTM GUATEMALA

GIN GUINEA

GNB GUINEA-BISSAU

GUY GUYANA

HTI HAITI

HMD HEARD AND MCDONALD ISLANDS

VAT HOLY SEE (VATICAN CITY STATE)

HND HONDURAS

HKG HONG KONG SPECIAL ADMINISTRATIVE REGION OF CHINA

HUN HUNGARY

ISL ICELAND

IND INDIA

IDN INDONESIA

IRN IRAN

IRQ IRAQ

IRL IRELAND

ISR ISRAEL

ITA ITALY

JAM JAMAICA

JPN JAPAN

JOR JORDAN

KHM KAMPUCHEA

KAZ KAZAKHSTAN

KEN KENYA

KIR KIRIBATI

UNK KOSOVO RESIDENT - UN ISSUED TRAVEL DOCUMENT

KWT KUWAIT

KGZ KYRGYZSTAN

LAO LAOS

LVA LATVIA

LBN LEBANON

LSO LESOTHO

LBR LIBERIA

LBY LIBYA

LIE LIECHTENSTEIN

LTU LITHUANIA

LUX LUXEMBOURG

MAC MACAO SPECIAL ADMINISTRATIVE REGION OF CHINA

MKD MACEDONIA (FORMER YUGOSLAV REP OF)

MDG MADAGASCAR

MWI MALAWI

MYS MALAYSIA

MDV MALDIVES

MLI MALI

MLT MALTA

MHL MARSHALL ISLANDS

MTQ MARTINIQUE

MRT MAURITANIA

MUS MAURITIUS

MYT MAYOTTE

MEX MEXICO

FSM MICRONESIA (FEDERATED STATES OF)

MDA MOLDOVA (REP OF)

MCO MONACO

MNG MONGOLIA

MAR MOROCCO

MOZ MOZAMBIQUE

MNE REPUBLIC OF MONTENEGRO

MMR MYANMAR

NAM NAMIBIA

NRU NAURU

NPL NEPAL

NLD NETHERLANDS

ANT NETHERLANDS ANTILLES

NCL NEW CALEDONIA

NZL NEW ZEALAND

NIC NICARAGUA

NER NIGER

NGA NIGERIA

NIU NIUE

NFK NORFOLK ISLAND

PRK NORTH KOREA (DEMOCRACTIC PEOPLE'S REP OF)

MNP NORTHERN MARIANA ISLANDS

NOR NORWAY

OMN OMAN

PAK PAKISTAN

PLW PALAU

PSE PALESTINIAN AUTHORITY

PAN PANAMA

PNG PAPUA NEW GUINEA

PRY PARAGUAY

PER PERU

PHL PHILIPPINES

POL POLAND

PRT PORTUGAL

PRI PUERTO RICO

QAT QATAR

XXB REFUGEE - ARTICLE 1 OF THE 1951 CONVENTION

REU REUNION

ROU ROMANIA

RUS RUSSIAN FEDERATION

RWA RWANDA

WSM SAMOA

SMR SAN MARINO

STP SAO TORME AND PRINCIPE

SAU SAUDI ARABIA

SEN SENEGAL

SRB REPUBLIC OF SERBIA

SYC SEYCHELLES

SLE SIERRA LEONE

SGP SINGAPORE

SVK SLOVAKIA

SVN SLOVENIA

SLB SOLOMON ISLANDS

SOM SOMALIA

ZAF SOUTH AFRICA

KOR SOUTH KOREA (REP OF KOREA)

ESP SPAIN

LKA SRI LANKA

KNA ST KITTS AND NEVIS

LCA ST LUCIA

SPM ST PIERRE AND MIQUELON

VCT ST VINCENT AND THE GRENADINES

XXA STATELESS PERSON (ARTICLE 1 OF 1951 CONVENTION)

SDN SUDAN

SUR SURINAME

SJM SVALBARD AND JAN MAYEN ISLANDS

SWZ SWAZILAND

SWE SWEDEN

CHE SWITZERLAND

SYR SYRIA (ARAB REP)

TWN TAIWAN (REP OF CHINA)

TJK TAJIKISTAN

TZA TANZANIA (UNITED REP OF)

THA THAILAND

TLS TIMOR-LESTE

TGO TOGO

TKL TOKELAU

TON TONGA

TTO TRINIDAD AND TOBAGO

TUN TUNISIA

TUR TURKEY

XXT TURKISH REPUBLIC OF NORTHERN CYPRUS

TKM TURKMENISTAN

TUV TUVALU

UGA UGANDA

UKR UKRAINE

ARE UNITED ARAB EMIRATES

UNO UNITED NATIONS

UNA UNITED NATIONS AGENCY

UMI UNITED STATES MINOR OUTLYING ISLANDS

USA UNITED STATES OF AMERICA

VIR UNITED STATES VIRGIN ISLANDS

XXX UNSPECIFIED NATIONALITY

URY URUGUAY

UZB UZBEKISTAN

VUT VANUATU

VEN VENEZUELA

VNM VIETNAM

WLF WALLIS AND FUTUNA ISLANDS

ESH WESTERN SAHARA

YEM YEMEN

ZMB ZAMBIA

ZWE ZIMBABWE

3 Transmission of Data from ASCs to UKvisas Requirements