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[Carriers] SOP draft version PDF & Survey Link, DDL for feedback 27 January 2023

Majandus- ja Kommunikatsiooniministeerium · 22. detsember 2022
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24.1-6/2022/7798-1
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22. detsember 2022
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Sissetulev kiri
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EULISA CARRIERS
Saabumis/saatmisviis
e-post
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24.1 EL ja rahvusvahelise koostöö korraldamine
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24.1-6/S Rahvusvahelise koostöö korraldamisega seotud kirjavahetus (Arhiiviväärtuslik)
Toimik
24.1-6/2022
Vastutaja
Silver Tammik (Majandus- ja Kommunikatsiooniministeerium, Kantsleri valdkond, EL ja rahvusvahelise koostöö osakond)

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Standard Operating Procedures for Carrier Assistance Guidelines for the assistance of carriers Legal Disclaimer This is the first draft version of the Standard Operating Procedures (SOP) for carriers, aiming to inform them about the procedures to be followed for the implemention of EES/ETIAS Information Systems. Carriers should be aware that key components of some of the mentioned concepts and tools (e.g. the Carrier Onboarding and Support Tool) are not available yet, and therefore the procedures described below may be subject to modifications and amendments. Frontex - European Border and Coast Guard Agency www.frontex.europa.eu | Pl. Europejski 6, 00-844 Warsaw, Poland | Tel. +48 22 205 95 00 | Fax +48 22 205 95 01 Version Date Created by Short description of changes V0.1 20.10.2021 ETIAS TF Revision V0.2 17.11.2021 ETIAS TF Update after internal consultation V0.3 04.02.2021 ETIAS TF Update following eu-LISA’s input V0.4 29.03.2022 ETIAS Central Unit Update after internal revision V0.5 22.11.2022 ETIAS Central Unit Update following eu-LISA’s input V0.6 16.12.2022 ETIAS Central Unit Update prior distribution to carriers Frontex - European Border and Coast Guard Agency www.frontex.europa.eu | Pl. Europejski 6, 00-844 Warsaw, Poland | Tel. +48 22 205 95 00 | Fax +48 22 205 95 01 List of abbreviations ACU Assistance Centre Unit CI Carrier Interface EC European Commission ECU ETIAS Central Unit EES Entry/Exit System ETIAS European Travel Information and Authorisation System EU European Union Eu-LISA European Union Agency for the Operational Management of Large-Scale IT Systems FAQ Frequently Asked Questions FRONTEX European Border and Coast Guard Agency ROBD Read Only Database S2S System to System SIS Schengen Information System SOP Standard Operating Procedures SPoC Single Point of Contact VIS Visa Information System 3 1. Table of contents 2. Introduction 6 2.1. General considerations 6 2.2. Specific considerations 7 3. Purpose 7 4. Legal framework 7 5. Carriers’ responsibilities 8 5.1. Requests from carriers 8 5.1.1. In scope requests 8 5.1.2. Out of scope requests 8 6. Assistance to carriers 9 6.1. The nature of assistance 9 6.2. Assistance mechanism 10 6.3. ETIAS, Entry/Exit System and Visa Information System components 10 6.3.1. Carrier Interface 10 6.3.2. Carrier Onboarding and Support Tool 10 6.3.3. Carrier Onboarding and Support Tool best practices 10 6.4. Types of support 11 6.4.1. Registration of carriers 11 6.4.2. Connectivity requests 11 6.4.3. User management requests 11 6.4.4. Deregistration of carriers 12 6.4.5. Security incident 12 6.4.6. Operational requests 12 6.4.7. Technical requests 13 6.4.8. Technical impossibility notifications 13 6.5. Roles and responsibilities 13 6.5.1. Actors for the operational support of carriers 13 6.5.2. Actors for the technical support of carriers 13 6.5.3. Actors for carriers 13 7. Registration of carriers 14 7.1. Sign up to Carrier Onboarding and Support Tool 14 7.2. Submit/manage registration request 15 7.3. Accounts and access data creation to the Carrier Onboarding and Support Tool 16 8. Connectivity requests 17 8.1. Submit / manage System to System connectivity request 17 8.2. Submit /manage Web/Mobile application connectivity request 19 9. User management requests 20 4 10. Deregistration of carriers 21 10.1. Submit / manage deregistration request 21 11. Security incident 22 11.1. Security incident from eu-LISA 22 11.2. Security incident from carriers 23 12. Requesting assistance 24 12.1. Operational requests 25 12.1.1. Operational request 25 12.1.2. Operational request without a reply in the FAQ 26 12.1.3. Operational request and failure of the Carrier Onboarding and Support Tool before the resolution of the ticket 27 12.2. Technical requests 28 12.2.1. Technical request 28 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 29 13. Technical impossibility notifications 30 13.1. Technical impossibility detected by eu-LISA 30 13.2. Technical impossibility detected by carrier and confirmed by eu-LISA 31 13.3. Technical impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems 32 14. Emergency Phone Line 33 14.1. Emergency Phone Line best practices 33 14.2. In and out of scope calls 33 14.3. Assistance to carriers through the Emergency Phone Line 34 14.3.1. Failure of the Carrier Onboarding and Support Tool 34 14.3.2. Operational request 35 14.3.3. Carrier Onboarding and Support Tool failure after submission of a request 36 14.3.4. Operational request without a reply in the FAQ 37 14.3.5. Technical Impossibility detected by carrier and confirmed by eu-LISA 38 14.3.6. Technical impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems 40 5 2. Introduction 2.1. General considerations The European Border and Coast Guard Agency (Frontex) based on the European Border and Coast Guard Regulation1 (EBCG 2.0 Regulation), ensures, together with the national authorities responsible for border management, including coast guards to the extent that they carry out border control tasks, the effective implementation of European integrated border management with a view to managing the crossing of external borders efficiently. The objectives, tasks and responsibilities of Frontex that are laid down in the EBCG 2.0 Regulation include the additional tasks previously entrusted to Frontex by Regulation (EU) 2018/12402 on the European Travel Information and Authorisation System (ETIAS). The latter tasks include the establishment and operation of an ETIAS Central Unit (ECU) within Frontex. ETIAS supports the competent authorities of the European countries requiring ETIAS, who will receive information from the visa-exempted third-country nationals prior to their arrival at the external border crossing points, in order to determine whether they pose a security, an illegal immigration, or a high epidemic risk. ETIAS enhances the effectiveness of border checks, supports the objectives of Schengen Information System (SIS), contributes to the prevention, detection, and investigation of terrorist offences or of other serious criminal offences, as well as to the correct identification of persons.3 Prior to ETIAS, in order to further improve the management of the external borders and to verify compliance with the provisions on the authorised period of stay on the territory of the Member States, an Entry/Exit System (EES) is established. EES registers electronically the time and place of entry and exit of third-country nationals admitted for a short stay to the territory of the European countries using EES and calculates the duration of their authorised stay.4 In this endeavour, Frontex is cooperating closely with eu-LISA, the European Union Agency which manages the operations of large-scale information systems, administering to matters regarding freedom, justice, and security. The European Union Agency for the Operational Management of Large-Scale IT Systems (eu-LISA) manages the operations of the EU information system SIS II, Visa Information System (VIS) and European Dactyloscopy System (EURODAC), ensuring they remain functional 24 hours a day. As per the relevant European Commission Regulations, eu-LISA will also manage the new EES, ETIAS and Interoperability Programs for travel to European countries using EES or/and requiring ETIAS. Additionally, the data provided by travellers, will be checked by eu-LISA, against security databases and shared with other information systems, in order to pre- screen and maintain information on travellers to the EU. eu-LISA is also responsible for the development of a system for the carriers, including the establishment of the technical guidelines and the relevant registration process and authentication scheme in order to enable them to use it. eu-LISA provides carriers requesting to connect with a System to System (S2S), with a dedicated test environment with a set of scenarios to get compliant and to verify their ability to consult the Carrier Interface (CI), and carriers requesting to connect with a web portal or a mobile application with a dedicated environment to allow carriers the possibility to train their staff. 1 Regulation (EU) 2019/1896 of the European Border and Coast Guard (OJ L 295, 14.11.2019). 2 Regulation (EU) 2018/1240 of the European Parliament and of the Council of 12 September 2018 establishing a European Travel Information and Authorisation System (ETIAS) (OJ L 236, 19.9.2018) 3 C.f Article 4 of the ETIAS Regulation. 4 Regulation (EU) 2017/2226 of the European Parliament and of the Council of 30 November 2017 establishing an Entry/Exit System (EES) to register entry and exit data and refusal of entry data of third-country nationals crossing the external borders of the Member States and determining the conditions for access to the EES for law enforcement purposes, and amending the Convention implementing the Schengen Agreement and Regulations (EC) No 767/2008 and (EU) No 1077/2011 (OJ L 327, 9.12.2017). 6 2.2. Specific considerations In accordance with Regulation (EU) 2017/22265 establishing the Entry/Exit System (EES Regulation) and the Regulation (EU) 2018/1240 on ETIAS (ETIAS regulation), international carriers transporting groups overland by coach as well as air and sea carriers who transport third-country nationals to the external borders of the European countries using EES or requiring ETIAS will be required prior to boarding to query the EES/ETIAS Information Systems in order to verify that the passengers are in possession of a valid short stay visa (single or double entry) or an ETIAS travel authorisation, where applicable. When verifying the passengers, the carriers may face operational or technical issues, which they should be able to address to a competent entity for the implementation of the EES and ETIAS Regulations. Through the ETIAS and EES Regulations and the relevant implementing regulations, the European Commission has assigned the responsibility of supporting the carriers to the ECU and eu-LISA. The ECU, responsible for the support of carriers, is operational 24 hours a day, 7 days a week, 365 days a year, with the tasks and responsibilities to provide carriers with the necessary support in English for operational assistance and facilitate the technical requests by registering and sending them to eu-LISA. Additionally, the ECU will notify the carriers and Member States, where applicable, in case a failure is detected or confirmed by eu-LISA. Carriers will also be able to inform the ECU when they detect a failure in one of the components of the EES/ETIAS Information Systems, or in case of a technical impossibility of various reasons. 3. Purpose The target audience of the guidelines included in this document are the duly authorised staff of carriers, who will submit the registration, operational and technical assistance requests to the ECU and eu-LISA. The purpose of the SOP is to provide guidance through defining the workflow of the various business cases (registration, operational and technical) and explaining working arrangements that support the procedures. Furthermore, this document specifies the roles and responsibilities of the actors involved in the procedures and establishes practical cooperation requirements. 4. Legal framework The main legal frameworks for these SOP are the Regulation (EU) 2018/1240 for the European Travel Information and Authorisation System (ETIAS) and its Consequential Amendments, the Regulation (EU) 2017/2226 establishing an Entry/Exit system, the Implementing Regulation (EU) 2022/1380 (ETIAS Operation for CI, carriers assistance and fall back procedures) and the Implementing Regulation (EU) 2022/1409 (EES Operation for Web service, carriers assistance and fall back procedures). Other secondary legal frameworks concerned are the Regulation (EU) 2016/399 on the rules governing the movement of persons across borders (Schengen Border Code), the Convention Implementing the Schengen Agreement and the Directive 2001/51/EC supplementing the provisions of Article 26, of the Convention Implementing the Schengen Agreement (Liability of carriers). 5 Regulation (EU) 2017/2226 of the European Parliament and of the Council of 30 November 2017 establishing an Entry/Exit System (EES) to register entry and exit data and refusal of entry data of third-country nationals crossing the external borders of the Member States and determining the conditions for access to the EES for law enforcement purposes, and amending the Convention implementing the Schengen Agreement and Regulations (EC) No 767/2008 and (EU) No 1077/2011 (OJ L 327, 9.12.2017, p. 20). 7 5. Carriers’ responsibilities According to the EES and ETIAS Regulations, air and sea carriers and international carriers transporting groups overland by coach, considered as a natural or legal person whose profession is to provide transport to persons6, have the obligation to verify, prior to boarding, whether third-country nationals holding a short-stay visa, issued for one or two entries, have already used the number of entries authorised.7 When ETIAS enters into operation, the carriers will also have the obligation to verify that third-country nationals who are in the scope of the ETIAS Regulation are in possession of a valid travel authorisation.8 The carriers are required to use the CI to send both the EES and ETIAS queries. The carriers can proceed with queries through a secured access to the CI to a Read-only Data Base (RODB) synchronised with the ETIAS and EES Central System, also containing information from the Visa Information System, which allows them to consult it by using travel document data. In order to perform the queries, the carriers should provide the data contained in the machine-readable zone of the travel document, indicate the European country using EES or requiring ETIAS that is the first country of entry and other itinerary data per travellerin the 48-hour period prior to departure. By way of derogation, in the case of airport transit, the carriers are not obliged to query whether the third-country national is in possession of a valid ETIAS travel authorisation or a single/double entry visa. The carriers can be subject to penalties9 when they transport third-country nationals, who are in the scope of EES or ETIAS, and are not in possession of a valid visa or travel authorisation. 5.1. Requests from carriers 5.1.1. In scope requests The carriers will be able to receive assistance with:  requests submitted via the Carrier Onboarding and Support Tool by duly authorised staff;  requests submitted via the Emergency Phone Line by duly authorised staff when the Carrier Onboarding and Support Tool is unavailable;  requests of a new carrier registration;  requests of carrier registration information updates;  requests of user management access;  requests of deregistration;  requests of an operational nature;  request of a technical nature;  notifications from carriers due to technical impossibility;  notifications from eu-LISA due to technical impossibility;  notifications of security incidents. 5.1.2. Out of scope requests The carriers will not be able to receive assistance with:  requests related to the support of travellers;  requests submitted by other means than the Carrier Onboarding and Support Tool or the Emergency Phone Line;  requests containing travellers’ personal data. 6 Art 2(15) of the Regulation (EU) 2016/39 (Schengen Borders Code) 7 Article 13 of Regulation (EU) 2017/2226 8Article 45(1) of Regulation (EU) 2018/1240 9 in accordance with Article 26(2) of the Convention Implementing the Schengen Agreement of 14 June 1985 between the Governments of the States of the Benelux Economic Union, the Federal Republic of Germany and the French Republic on the gradual abolition of checks at their common borders (‘the Convention Implementing the Schengen Agreement’) and Article 4 of Council Directive 2001/51/EC 8 6. Assistance to carriers 6.1. The nature of assistance As mentioned previously, the Implementing Regulation (EU) 2022/1380 of 8 August 2022 and Implementing Regulation (EU) 2022/1409 of 18 August 2022 lay down the rules and conditions of the assistance provided to carriers by the ECU. The experience with travel authorisation systems similar to ETIAS shows the importance of close cooperation between the carriers and the support mechanism, in this case the ETIAS Central Unit. The role of the ECU is to provide within the limits of its legal mandate and in a timely manner the most efficient possible support on operational and technical issues that carriers can face when fulfilling their obligations in relation to the implementation of the EES and ETIAS Regulations. An operational request consists of non-technical information or support needed which prevents carriers’ business processes. A technical request, considered as an incident, is any interruption or reduction in the quality of the service available for carriers to comply with their obligations under EES and ETIAS Implementing Regulations. eu-LISA will make available a registration form on a public website to be completed online for the carriers to gain access to the services provided and described below. A dedicated unit, Assistance Centre Unit (ACU), within ECU will provide assistance to carriers in collaboration with eu-LISA. All the registered carriers will be able to request operational and technical support via the Carrier Onboarding and Support Tool or the Emergency Phone Line, the latter only when the tool is not available. However, the first line of assistance for carriers will be a list of frequent questions and answers (FAQ) relevant for carriers, available on the official web portal of carriers. The ECU, according to ETIAS Regulation (EU) 2018/1240, is the SPoC for the carriers, therefore it will be the recipient of operational and technical requests. Depending on the nature of the request, the operational ones will be resolved by the ECU, while the technical ones will be forwarded to eu-LISA for resolution through the Carrier Onboarding and Support Tool. The ECU will have a response time to solve the operational requests and a reaction time to forward the technical requests to eu-LISA, who will have a separate response time for resolution. The services that will be delivered in order to support carriers are the following:  Registration of carriers (carrier must follow specified steps, in order to complete the registration process):  Sign up to carrier web portal;  Submit/manage registration request;  Accounts and access data creation to the Carrier Onboarding and Support Tool;  Connectivity requests:  Submit/manage System to System (S2S) connectivity request;  Submit/manage Web/Mobile application connectivity request;  User management requests:  Submit/manage user management request;  Carrier contact list procedure;  Deregistration of carriers:  Submit/manage deregistration request;  Security incident:  Security incident from eu-LISA;  Security incident from carrier;  Operational requests;  Technical requests;  Technical impossibility notifications. 9 6.2. Assistance mechanism In the context of the assistance provided to carriers, a list of frequent questions and answers (FAQ), relevant for carriers, are available in the official web portal of carriers. The FAQ will be the first line of assistance to carriers as soon as they encounter operational or technical issues, which will be complemented by the Carrier Onboarding and Support Tool. 6.3. ETIAS, Entry/Exit System and Visa Information System components 6.3.1. Carrier Interface The CI gives the possibility to carriers to send verifications queries in order to check if a traveller is “OK” or “Not OK” to travel to the European countries using the EES or requiring ETIAS. The carriers can access the CI interface through: a) S2S interface; b) Web interface available to carriers on a public website; c) Mobile application. Connection to the CI will be done either through a dedicated connection network or/and internet connection. Carriers should ensure that only duly authorised staff will have access to it and that a verification query is performed at the earliest 48 hours prior to the scheduled time of departure. Carriers should put in the following mechanism to log in to the interface in order to perform verification queries: a) physical and logical access control mechanisms to prevent unauthorised access to the infrastructure or the systems used by the carriers; b) authentication; c) logging to ensure access traceability; d) a regular review of the access rights. 6.3.2. Carrier Onboarding and Support Tool The Carrier Onboarding and Support Tool, accessible through a webform, is an automated tool consisting of a self-service web portal with ticketing functionalities. It is the main communication channel between the carriers, ECU and eu-LISA when it comes to assistance requests. The tool is to be used by registered carriers to submit operational or technical requests and notifications to the ECU. Through the tool, the carriers can also monitor the status of their tickets. In addition to providing assistance, the tool is used for keeping record of all the steps taken in the resolution of the tickets. 6.3.3. Carrier Onboarding and Support Tool best practices In order for ECU to provide proper assistance, carriers should avoid: a) submitting requests and/or attach files with travellers’ personal data; b) using the Emergency Phone Line if the Carrier Onboarding and Support Tool is available; c) submitting follow-up requests regarding the status of a submitted, ticketed request, either of operational or technical nature; d) submitting requests regarding technical failures, which have already been communicated; e) including operational and technical requests in the same ticket; f) using the Carrier Onboarding and Support Tool to submit complaints. The misuse of the Carrier Onboarding and Support Tool can harm the operability of the support provided, which will have negative repercussions for all parties involved. For this reason, it can be considered as an abuse and measures will be taken accordingly. 10 6.4. Types of support 6.4.1. Registration of carriers Carriers have to check that the travelers meet the conditions to entry the territory of the countries using EES and requiring ETIAS, by sending a query to the CI. In order to perform the verification queries, carriers need to be registered. The registration process consists of three parts:  Sign up to the Carrier Onboarding and Support Tool: Process of initial registration of the carrier to the Carrier Onboarding and Support Tool that will allow the carrier to proceed with the submission of the registration request;  Submit/manage registration request: Pre-requisite to query the CI and receive assistance;  Accounts and access data creation to the Carrier Onboarding and Support Tool: Upon successful registration of a carrier, the Carrier Onboarding and Support Tool sends a request to eu-LISA for the creation of the accounts specified by the carrier in the registration request. All carriers are required to inform eu-LISA via the Carrier Onboarding and Support Tool of any changes regarding the information provided during the registration or in case of technical changes, affecting their S2S connection to the CI that may require additional testing or configurations updates. 6.4.2. Connectivity requests Carriers will have the possibility to query the CI through one or more of the following channels: 1. S2S: the carriers connect through a secure channel directly to the CI hosted by eu-LISA to query the EES/ETIAS systems. 2. Web portal: the CI includes a carrier web portal which allows the carriers to query the CI and obtain the relevant response. 3. Mobile application: the CI includes a mobile application which allows the carriers to query the CI and obtain the relevant response. 6.4.3. User management requests  Submit/manage user management request After the completion of the carrier registration, eu-LISA requests the Carrier Single Point of Contact (SPoC) and/or the Backup Carrier SPoC the number of accounts requested during the implementation and after the activation in production. The Carrier SPoC, with his or her backup, is responsible to maintain all the users as duly authorised staff, disabling specific user if required and resetting password on behalf of the users. The following type of users need to be maintained: 1. Carrier SPoC; 2. Carrier authorised user, having the access to the S2S, Web portal and the Mobile application; 3. Carrier support authorized user, having the access to the Carrier Onboarding and Support Tool to open a ticket before and after the activation in production. 11  Carrier contact list procedure Eu-LISA will be maintaining and updating a carrier authorised contact list with the information provided by the carriers during the registration process. This list will be shared between eu-LISA and ECU so that smooth communication among all stakeholders is ensured. 6.4.4. Deregistration of carriers The Deregistration of a carrier is a process that could be initiated by both eu-LISA and the carrier when at least one of the conditions under the Article 11 of the Commission Implementing Regulations (EU) 2022/1409 and 2022/1380 is not fulfilled. The carrier can request eu-LISA for the deregistration if the carrier is no longer operating or transporting passengers into the territory of the European countries using EES or requiring ETIAS authorisation. eu-LISA can request the deregistration of a carrier if the carrier has not used the CI during a period of one year or if the carrier does not follow the security convention or the carrier technical guidelines. To the extent appropriate, eu-LISA will assist carriers that have received a notice of deregistration or to remedy the deficiencies that gave rise to the notice. A deregistered carrier has no access to the Carrier Onboarding and Support Tool and the CI. In order to restore the access, the carrier must submit a new request for registration and go through the whole registration and testing process. 6.4.5. Security incident A carrier, when facing a security incident, shall communicate it immediately to ECU, via carrier Onboarding and Support Tool, or the Emergency Phone Line if the tool is not available. In case of urgent IT security concerns, including where the carrier is not complying with the security requirements, or with the technical guidelines, eu-LISA, as a consequence, may immediately disconnect a carrier. eu-LISA shall inform the carrier of the disconnection, together with the reason for the disconnection. A disconnected carrier will lose access to the CI but will continue having access to the Carrier Onboarding and Support Tool. A disconnected carrier may again be connected to the CI following successful removal of the security concerns that gave rise to the disconnection. 6.4.6. Operational requests The ECU acts as a single point of contact to carriers and provides continuous support to the registered carriers for operational and technical requests. Concerning the operational requests, according to Article 14 of the Commission Implementing Regulations (EU) 2022/1380 and 2022/1409, once the ECU receives a request for assistance of operational nature, via the Carrier Onboarding and Support Tool, it shall direct the carrier to the available relevant information. Request can be also submitted by the Emergency Phone Line, only when the tool is not available to carriers due to technical issues. The ECU will act as a facilitator when receiving a technical request. All technical requests will be forwarded to eu-LISA for resolution. 12 6.4.7. Technical requests 1. When eu-LISA receives a technical ticket which has been submitted to ECU by a carrier, eu-LISA will:  assess/investigate the ticket;  request additional information from the carrier, directly (if needed);  identify the root cause;  provide the solution; 2. Once the issue is resolved eu-LISA will close the ticket; 3. ECU and the carrier will receive a notification that the ticket has been closed. 6.4.8. Technical impossibility notifications Where it is technically impossible to send a verification query because a component of the ETIAS/EES Information Systems failed, carriers shall notify the ECU as soon as they become aware of it. Where the failure is detected or confirmed by eu-LISA and once the issue has been solved, the ECU shall inform concerned carriers and concerned Member States. Carriers shall be exempt from querying the CI when the failure of ETIAS Information Systems is detected or confirmed by eu-LISA. Where it is technically impossible to query for other reasons than a failure on EES/ETIAS Information Systems for a prolonged period of time, carriers shall notify ECU of this failure and of the concerned Member States. 6.5. Roles and responsibilities Before proceeding to the analysis of use cases for the support of carriers, it is important to highlight the actors behind the different business procedures and their distinct roles. 6.5.1. Actors for the operational support of carriers The operational support and the technical facilitation of carriers falls under the responsibility of the ETIAS Central Unit (ECU) of Frontex and specifically the Assistance Centre Unit (ACU) within the ETIAS Central Unit Division. 6.5.2. Actors for the technical support of carriers The technical assistance to carriers falls under the responsibility of eu-LISA, according to article 14 (3) of Commission Implementing Regulation (EU) 2022/1380. 6.5.3. Actors for carriers According to the EES/ETIAS Regulations and its Implementing Act on carriers, any registered carrier can send a support request to the ECU. However, the carriers on their side they need to have duly authorised staff for accessing the Carrier Onboarding and Support Tool and the CI. The authorised staff consist of: Carrier Single Point of Contact (SPoC) The Carrier SPoC manages the account records for the authorized staff members. The Carrier SPoC is authorised to create a new entry, by submitting a request to eu-LISA, for duly authorised staff to grant them access to the CI, throughout S2S/Web/Mobile channels and to allow the duly authorised staff to submit the support requests via the Carrier Onboarding and Support Tool. The Carrier SPoC specifies, and when needed modifies, for each duly authorised staff, the required contact information (name, surname, phone, e-mail) and specific location of the carrier. He/she can also deactivate a duly authorised staff. Backup Carrier Single Point of Contact (SPoC) The Backup Carrier SPoC has the same responsibilities with the Carrier SPoC and takes over when the SPoC is not available. 13 Duly authorised staff The duly authorised staff is considered:  Carrier authorised users, who will be able to query the CI (through S2S, web and/or mobile interface);  Carrier support authorised users, who will have access to the Carrier Onboarding and Support Tool and the Emergency Phone Line to submit assistance requests. 7. Registration of carriers This chapter is intended to detail the procedures with the sequential activities required to successfully complete the registration. In this context, the aim is to provide the procedures required to register a carrier and meet the regulatory requirements described in the ETIAS and EES Regulations and the Implementing Acts for carriers. 7.1. Sign up to Carrier Onboarding and Support Tool Registration procedure ID SOP_EXT_001 Latest 16/12/2022 review Title Sign up to Carrier Onboarding and Support Tool References Processes Other references Provide assistance to carriers Article 10, Commission Implementing Regulation (EU) 2022/1380. Owner eu-LISA Response Not applicable (automatically time processed) Actors Carrier eu-LISA Scope Registration requests for carriers Purpose of the procedure Procedure to be followed when a carrier requests to sign up to the Carrier Onboarding and Support Tool. Triggers A carrier requests to sign up to Carrier Onboarding and Support Tool. Procedure steps Carrier steps: 1. The carrier logs in to the Carrier Onboarding and Support Tool. 2. The carrier selects ‘sign up’. 3. The carrier provides carrier contact e-mail address. The carrier completes captcha. A. eu-LISA creates the account and submits the activation link to the carrier. Carrier steps: 4. The carrier activates the account by clicking the link. 5. The carrier logs in to the Carrier Onboarding and Support Tool. Related/linked procedures* 14 7.2. Submit/manage registration request Registration procedure ID SOP_EXT_002 Latest 16/12/2022 review Title Submit/manage registration request References Processes Other references Provide assistance to carriers Article 10, Commission Implementing Regulation (EU) 2022/1380. Owner eu-LISA Response To be defined time Actors Carrier eu-LISA Scope Registration requests of carriers Purpose of the procedure Procedure to be followed when a carrier submits a registration request after logging in to the Carrier Onboarding and Support Tool. Triggers A carrier requests for registration. Procedure steps Carrier steps 1. The carrier opens the Carrier Onboarding and Support Tool. 2. The carrier selects the registration request. 3. The carrier fills in all the relevant identity information: legal name, contact details, Member State or third country for which the official company registration is submitted, a declaration that they operate and transport passengers into the territory of the European countries using EES or requiring ETIAS authorisation or intend to do so within the next six months and provides an electronic copy of their instruments, including statutes, as well as an electronic copy of an extract of their official company registration. 4. The carrier legal representative/the Carrier SPoC/Backup Carrier SPoC, each one of them, signs a separate eu-LISA security convention form, that establishes the security rules for the carrier to access the CI, and uploads it. 5. The carrier selects one or more of the following CI channels:  S2S interface;  web interface available on the carrier web portal;  application for mobile devices. 6. The carrier sends the request to eu-LISA via the Carrier Onboarding and Support Tool. 7. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgment of receipt of the ticket and the ticket number. A. eu-LISA receives a notification regarding new registration. B. eu-LISA confirms that all the necessary signed copies of the security convention are valid and changes registration status to ‘under validation’. Carrier steps 8. If eu-LISA confirms the registration, the status is changed to ‘registered’ and the Carrier SPoC and the Backup Carrier SPoC will receive:  a submission ID;  a welcome pack containing the following documents: welcome document, guide for carriers on how they can access the European Union pre-travel border security services, technical guidelines according to the channel selected, testing documents, Standard Operating Procedures, Implementing Regulations and FAQ. 15 C. eu-LISA closes the request. Carrier steps 9. The carrier is notified that the ticket has been closed. Related/linked procedures* 7.3. Accounts and access data creation to the Carrier Onboarding and Support Tool. Registration procedure ID SOP_EXT_003 Latest 16/12/2022 review Title Accounts and access data creation to the Carrier Onboarding and Support Tool References Processes Other references Provide assistance to carriers Article 10, Commission Implementing Regulation (EU) 2022/1380. Owner eu-LISA Response To be defined time Actors Carrier SPoC eu-LISA Scope Registration requests of carriers Purpose of the procedure Procedure to be followed for creating and managing the access to the Carrier Onboarding and Support Tool. Triggers A carrier needs to create or manage the accounts for the Carrier Onboarding and Support Tool. Procedure steps Carrier steps 1. During the registration process the Carrier SPoC declares the number of accounts required for the Carrier Onboarding and Support Tool. 2. The Carrier Onboarding and Support Tool sends information to eu-LISA about requested number of accounts and their types. 3. The Carrier SPoC receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. eu-LISA creates the requested number of accounts and distribute the carrier credentials to the carrier e-mail. B. eu-LISA distributes carrier access data to e-mail addresses specified in the request. C. eu-LISA closes the request. Carrier steps 4. The carrier receives access data to the carrier SPoC e-mail indicated. 5. The carrier is notified that the ticket has been closed. Related/linked procedures* 16 8. Connectivity requests This chapter describes the procedures with the sequential activities required to achieve the S2S, Web portal and Mobile application connectivity. If a registered carrier requests connectivity, the Carrier Onboarding and Support Tool guides the carrier in collecting all the relevant information by giving a possibility to show the status of the implementation at each step. 8.1. Submit / manage System to System connectivity request Connectivity request ID SOP_EXT_004 Latest 16/12/2022 review Title Submit / manage S2S connectivity request References Processes Other references Provide assistance to carriers Article 9,12, Commission Implementing Regulation (EU) 2022/138. Owner eu-LISA Response To be defined time Actors Carrier SPoC eu-LISA Scope Implementation requests of carriers Purpose of the procedure Procedure to be followed to submit/manage a S2S connectivity request. Triggers A carrier requests a S2S connectivity. Procedure steps Carrier steps 1. Carrier SPoC submits via the Carrier Onboarding and Support Tool a S2S connectivity request. 2. Carrier SPoC receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. eu-LISA receives request and changes status of the ticket to ‘requested’. If more information is required, eu-LISA communicates directly with the carrier. B. If the request is placed by a service provider already operating the system, then eu-LISA proceeds directly to step 8. C. If Pre-Compliance Test (Pre-CT) is requested by the carrier, eu-LISA changes status to ‘connectivity setup: Pre-CT’, manually exchanges the connectivity configurations for the Pre-CT environment, communicates details to carrier and ensures connection is established. D. After completing Pre-CT testing, eu-LISA changes status of the request to ‘connectivity setup: compliance testing’, manually exchanges the connectivity configurations for CT environment and communicates details to the carrier and ensures connection is established. E. When access is configured and communicated, eu-LISA changes status of the request to ‘compliance testing – in progress’. 17 Carrier steps 3. The carrier confirms testing has been completed by the successful execution of all compliance test scenarios. F. eu-LISA verifies the compliance testing logs for the carrier and confirms the end of the compliance phase. G. eu-LISA changes status of the request to ‘compliance testing – completed’. H. eu-LISA changes the status of the request to ‘connectivity setup – PROD’, configures access to the production environment and communicates its completion to the carrier. Carrier steps 4. The carrier receives a communication from eu-LISA via Carrier Onboarding and Support Tool that the production environment is ready. I. eu-LISA changes status of the carrier to ‘connected’. J. eu-LISA closes the request. Carrier steps 5. The carrier is notified that the ticket has been closed. Related/linked procedures* 18 8.2. Submit /manage Web/Mobile application connectivity request Connectivity request ID SOP_EXT_005 Latest 16/12/2022 review Title Submit/manage Web/Mobile application connectivity request References Processes Other references Provide assistance to carriers Article 9,12, Commission Implementing Regulation (EU) 2022/1380 Owner eu-LISA Response To be defined time Actors Carrier SPoC Carrier Backup SPoC eu-LISA Scope Submit/manage Web/Mobile application connectivity request Purpose of the procedure Procedure to be followed when a carrier submit/manage Web/Mobile application connectivity request. Triggers Web/Mobile application connectivity request. Procedure steps Carrier steps 1. Carrier SPoC or Backup Carrier SPoC opens the Carrier Onboarding and Support Tool and submits a Web portal and/or Mobile application connectivity request. 2. Carrier SPoC or Backup Carrier SPoC receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. eu-LISA receives notification about new Web portal and/or Mobile application connectivity request. B. eu-LISA manually creates access to test environment, allowing the carrier to train their staff, and communicates it via external annotation to the carrier. C. eu-LISA changes status of request to ‘Web portal/Mobile application training accounts provided. Carrier steps 3. The carrier uses test environment to train staff and then confirms completion of training. D. eu-LISA changes status to ‘staff trained’. E. eu-LISA creates production environment access for the carrier. F. eu-LISA changes status to ‘Web portal/Mobile application PROD accounts provided‘. G. eu-LISA closes the request. Carrier steps 4. Carrier SPoC or Backup Carrier SPoC receives a communication from eu-LISA via Carrier Onboarding and Support Tool that the production environment is ready. 5. Carrier SPoC or Backup Carrier SPoC is notified that the ticket has been closed. Related/linked procedures* 19 9. User management requests This section contains the procedure with the sequential activities required to achieve the requested number of accounts associated with the following groups:  Carrier Support Authorised Users (to request support)  Carrier Authorised Users (to query the CI)  Carrier SPoC User Management ID SOP_EXT_006 Latest 16/12/2022 review Title Submit/Manage User management request References Processes Reference Provide assistance to carriers Article 10, Commission Implementing Regulation (EU) 2022/1380. Owner eu-LISA Response To be defined time Actors Carrier SPoC eu-LISA Scope User management request Purpose of the procedure Process of requesting additional carrier authorised user and/or carrier support authorised user roles. Triggers A carrier submits a user management request. Procedure steps Carrier steps 1. Carrier SPoC, opens the Carrier Onboarding and Support Tool and submits user management request specifying the number of accounts requested and the type (carrier authorised user or carrier support authorised user). 2. Carrier SPoC receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. eu-LISA verifies if the request contains all necessary details to create accounts. B. eu-LISA rejects the request if the information provided by Carrier SPoC is invalid or incomplete. Carrier SPoC is notified about rejection. C. eu-LISA creates accounts as per request. D. eu-LISA closes the request. Carrier steps 3. Carrier SPoC receives the reply to the request. 4. Carrier SPoC is notified that the ticket has been closed. Related/linked procedures* 20 10. Deregistration of carriers The deregistration request is initiated by the Carrier SPoC or by eu-LISA through the Carrier Onboarding and Support Tool which provides the possibility to view the status and the information regarding the deregistration of the carrier. One year after the carrier deregistration, an automated process initiated by the Carrier Onboarding and Support Tool will remove the personal data (name, surname, personal e-mail address, telephone number) from the carrier dashboard. 10.1. Submit / manage deregistration request Submit / manage deregistration request ID SOP_EXT_007 Latest 16/12/2022 review Title Submit / manage deregistration request References Processes Other references Provide assistance to carriers Article 10, Commission Implementing Regulation (EU) 2022/1380 Owner eu-LISA Response To be defined time* Actors Carrier SPoC eu-LISA Scope Deregistration of carriers Purpose of the procedure Procedure to be followed to deregister a carrier. Triggers Deregistration of a carrier is required. Procedure steps Carrier steps 1. Carrier SPoC or eu-LISA submits the deregistration request. 2. If the initiator is the Carrier SPoC, he/she receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. 3. If the request is placed by eu-LISA, Carrier SPoC receives a notification of the reason for the suspension. A. During 30 days from placing the request, eu-LISA cooperates with the carrier to remove obstacles that caused the suspension. B. If the problem has been resolved, eu-LISA changes status to ‘rejected’ and closes the request summarising resolution of the problem. C. If the carrier fails to remove the reason for suspension within 30 days, eu-LISA approves the request for deregistration. D. The approval of deregistration request triggers change of the password of all carrier accounts without communicating it. E. Approval of deregistration request triggers deactivation of all user accounts. F. Carrier status is changed to ‘deregistered’. G. eu-LISA closes the request. Carrier steps 4. Carrier SPoC is notified about the deregistration. Related/linked procedures* 21 11. Security incident Security incident is considered an incident as soon as it has an impact on the confidentiality, integrity and availability (e.g., loss of continuity, intentional or unintentional data breach) of information security. The notification of the security incident shall be sent by the carrier or by eu-LISA, and the carrier can be disconnected due to urgent IT security concerns. 11.1. Security incident from eu-LISA Security incident from eu-LISA ID SOP_EXT_008 Latest 16/12/2022 review Title Security incident from eu-LISA References Processes Other references Provide assistance to carriers Article 11 (5,6,7) Commission Implementing Regulation (EU) 2022/1380 Owner eu-LISA Response To be defined time Actors Carrier eu-LISA Scope Security incident detected by eu-LISA Purpose of the procedure Procedure to be followed when eu-LISA detects a security incident. Triggers A security incident was detected by eu-LISA. Procedure steps A. eu-LISA submits a security incident via Carrier Onboarding and Support Tool. Carrier steps: 1. The carrier receives information about the incident and is requested to investigate further and provide root cause analysis and immediate resolution. B. eu-LISA may request additional information directly from the carrier at any moment. C. eu-LISA may proceed to temporarily disconnect the carrier until confirmation of root cause analysis and resolution. Carrier steps: The carrier discovers root cause analysis and implements resolution. D. eu-LISA confirms the resolution implemented by the carrier has actually resolved the security issue. E. eu-LISA reconnects the carrier if it was previously disconnected. F. eu-LISA closes the ticket. Carrier steps 3. The carrier is notified that the ticket has been closed. Related/linked procedures* 22 11.2. Security incident from carriers Security incident from carriers ID SOP_EXT_009 Latest 16/12/2022 review Title Security incident from carriers References Processes Other references Provide assistance to carriers Article 11 (5,6,7) Commission Implementing Regulation (EU) 2022/1380. Owner eu-LISA Response To be defined time Actors Carrier ECU operators eu-LISA Scope Carrier security incident Purpose of the procedure Procedure to be followed when a carrier has a security incident. Triggers A carrier detects a security incident. Procedure steps Carrier steps: 1. The carrier submits a security incident via the Carrier Onboarding and Support Tool. A. ECU operator forwards the request to eu-LISA. B. eu-LISA investigates further and may request additional information directly from the carrier at any moment. C. eu-LISA may proceed to temporarily disconnect the carrier until confirmation of root cause analysis and resolution. D. eu-LISA discovers root cause analysis and implements resolution. E. eu-LISA reconnects the carrier, if it was previously disconnected. F. eu-LISA closes the incident. Carrier steps: 2. The carrier is notified that the ticket has been closed. Related/linked procedures* 23 12. Requesting assistance This chapter is intended to detail the procedures with the sequential activities required to achieve the resolution of the assistance requests. In this context, the aim is to provide the procedures required to be implemented by the ECU operators in order to meet the regulatory requirements described in the ETIAS and EES Regulations and the implementing acts for carriers. In addition to that, the procedures in terms of support offered by ECU will be explained. The procedures present the business needs required by ECU operators in order to carry out the tasks assigned in the scope of the support for carriers. The procedures are, in essence, the second line of assistance, in cases where the carrier is unable to find the solution to an operational or technical question in the list of the FAQ, published on the Carrier Onboarding and Support Tool. 24 12.1. Operational requests 12.1.1. Operational request Operational request ID SOP_EXT_010 Latest 16/12/2022 review Title Operational request References Processes Other references Provide assistance to carriers Article 14, Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 3 hours from the moment the Centre Head of Unit time ticket is received in the ticketing tool If more information is needed, the time may vary depending on the reaction time of the carrier in providing the additional information Actors Carrier ECU Operators Scope Operational issue of carriers Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and contacts the ECU for support by submitting an assistance request via the Carrier Onboarding and Support Tool. Triggers An operational issue has arisen. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator analyses the request. B. If needed, the ECU operator requests additional information concerning the request. C. The ECU operator identifies the relevant solution in the FAQ. D. The ECU operator provides the relevant information or link and submits it. Carrier steps: 3. If additional information is needed, the carrier receives a notification to their submitted request and adds the information in the appropriate field and resubmits the request. 4. The carrier receives the reply to the reported issue via the Carrier Onboarding and Support Tool. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures 25 12.1.2.Operational request without a reply in the FAQ Operational request ID SOP_EXT_011 Latest 16/12/2022 review Title Operational request without a reply in the FAQ References Processes Other references Provide assistance to carriers Article 14, Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 72 hours from the moment the Centre Head of Unit time ticket is received in the ticketing tool Actors Carrier ECU Operators Scope Operational requests of carriers Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and contacts the ECU for support by submitting an assistance request via the Carrier Onboarding and Support Tool and further investigation is needed in order to provide a reply. The response to the request requires further investigation and will not be delivered on time before the boarding of the traveller. Triggers An operational issue has arisen. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator cannot find the reply in the FAQ and therefore, sends a message indicating that the reply will be delayed. Carrier steps: 3. The carrier receives a notification indicating that the reply will be delayed. B. Once the ECU operator identifies the reply, provides the relevant information or link and submits it. Carrier steps: 4. The carrier receives the reply via the Carrier Onboarding and Support Tool. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 26 12.1.3.Operational request and failure of the Carrier Onboarding and Support Tool before the resolution of the ticket Operational request ID SOP_EXT_012 Latest 16/12/2022 review Title Operational request and failure of the Carrier Onboarding and Support Too before the resolution of the ticket. References Processes Other references Provide assistance to carriers Articles 14 Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 3 hours from the moment the Centre Head of Unit time ticket is received in the ticketing tool Actors Carrier ECU Operators eu-LISA Scope Operational requests of carriers Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and contacts the ECU for support by submitting an assistance request via the Carrier Onboarding and Support Tool. Before the ECU reply, a failure of the Carrier Onboarding and Support Tool is notified by eu-LISA, and the reply cannot be submitted via the Carrier Onboarding and Support Tool. Triggers An operational issue has arisen. Procedure steps Carrier steps 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator analyses the request and identifies the relevant solution in the FAQ. B. The ECU operator receives a notification from eu-LISA that there is a failure in the Carrier Onboarding and Support Tool. C. The ECU operator sends to the Carrier’s SPoC the reply to the operational request. Carrier steps 3. The carrier receives a communication from its SPoC with the reply to the operational assistance request and the information that the Carrier Onboarding and Support Tool is unavailable, the exact time the issue has started, and which are the concerned carriers. 4. The carrier receives via the Carrier Onboarding and Support Tool, the reply previously forwarded by its SPoC, once the tool is available again. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 12Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 27 12.2. Technical requests 12.2.1.Technical request Technical request ID SOP_EXT_013 Latest 16/12/2022 review Title Technical issue References Processes Other references Provide Assistance to carriers article 14 (3), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical requests of carriers Purpose of the procedure Procedure to be followed when a carrier faces a technical issue and contacts the ECU for support by submitting an assistance request via the Carrier Onboarding and Support Tool. Triggers A technical issue has arisen. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator forwards the request to eu-LISA. B. If needed, eu-LISA requests additional information concerning the request. C. The ECU operator receives information from eu-LISA that the technical issue has been resolved. Carrier steps: 3. If additional information is needed, the carrier receives a notification to their submitted requests and adds the information in the appropriate field and resubmits the request. 4. The carrier receives a reply via the Carrier Onboarding and Support Tool that the technical issue has been resolved and the exact time it was resolved. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures 28 12.2.2.Failure of the Carrier Onboarding and Support Tool detected by eu-LISA Technical request ID SOP_EXT_014 Latest 16/12/2022 review Title Failure of the Carrier Onboarding and Support Tool detected by eu-LISA References Processes Other references Notification to carriers article 14, Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Carrier Onboarding and Carrier Onboarding and Support Tool failure Purpose of the procedure Procedure to be followed when the eu-LISA detects that the Carrier Onboarding and Support Tool is unavailable. Triggers Carrier Onboarding and Support Tool is unavailable. Procedure steps A. The ECU operator receives an incident notification from eu-LISA, informing that the Carrier Onboarding and Support Tool is temporarily unavailable and who the impacted carriers are. B. The ECU operator sends a notification to the Carrier’s SPoC of all registered carriers, specifying that the carriers will be able to request assistance only through the Emergency Phone Line. Carrier steps: 1. The carrier receives a communication from its SPoC indicating that the Carrier Onboarding and Support Tool is unavailable and the exact time the issue started. C. The ECU operator receives a notification from eu-LISA that the technical issue has been resolved and forwards it to all registered carriers. Carrier steps: 2. The carrier receives a notification indicating that the Carrier Onboarding and Support Tool is available and the exact time that the technical issue has been resolved. 3. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 29 13. Technical impossibility notifications Carriers shall notify the ECU when they cannot send the verification queries, whether due to a failure on EES/ETIAS Information Systems or due to other reasons than a failure on those systems. ECU will notify the concerned carriers and Member States when eu-LISA detects or confirms a failure on EES/ETIAS Information Systems, and when the systems are available again. According to Article 46 (1) of the Regulation (EU) 2018/1240, where it is technically impossible for the carriers to proceed with the queries, because of a failure of any part of the ETIAS Information Systems, they shall be exempted from the obligation to verify the possession of a valid travel authorisation. 13.1. Technical impossibility detected by eu-LISA Technical impossibility ID SOP_EXT_015 Latest 16/12/2022 review Title Technical impossibility detected by eu-LISA References Processes Other references Notification to carrier Article 13 (1b), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical impossibility to send a verification query via the CI Purpose of the procedure Procedure to be followed when the eu-LISA detects technical issues at central systems level which prevent the processing of the verification queries by the CI. Triggers Technical impossibility to send verification queries. Procedure steps Carrier steps: 1. The concerned carriers receive a notification, via the Carrier Onboarding and Support Tool, indicating that the CI is temporarily unavailable and the exact time the issue started. A. When the issue is solved, the ECU operator receives an incident notification from eu-LISA indicating that the technical issue has been resolved and forwards it to all concerned carriers. Carrier steps: 2. The concerned carriers receive a follow-up incident notification, via the Carrier Onboarding and Support Tool, indicating that the CI is available and the exact time that the technical issue has been resolved. 3. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 30 13.2. Technical impossibility detected by carrier and confirmed by eu-LISA Technical impossibility ID SOP_EXT_016 Latest 16/12/2022 review Title Technical impossibility detected by carrier and confirmed by eu-LISA References Processes Other references Notification to ECU article 13 (1a), (1b) Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical impossibility to send a verification query via the CI Purpose of the procedure Procedure to be followed when the carrier detects that it is technically impossible to send a verification query via the CI. Triggers Technical impossibility to send verification queries. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the technical impossibility and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator forwards the ticket to eu-LISA. B. The ECU operator receives an incident notification from eu-LISA, confirming that the CI is temporarily unavailable and forwards it to the concerned carriers. Carrier steps: 3. The concerned carriers receive an incident notification in the Carrier Onboarding and Support Tool indicating that the CI is temporarily unavailable and the exact time the issue has started. C. The ECU operator receives an incident notification from eu-LISA, that the technical issue has been resolved and forwards it to the concerned carriers. Carrier steps: 4. The carrier receives a follow-up incident notification from ECU via the Carrier Onboarding and Support Tool indicating that the CI is available and the exact time that the technical issue has been resolved. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 31 13.3. Technical impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems Technical impossibility ID SOP_EXT_017 Latest 16/12/2022 review Title Technical Impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems References Processes Other references Notification to ECU article 13 (2), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Response To be defined Assistance Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical impossibility to send a verification query for other reasons than a failure of any component of the ETIAS/EES Information Systems Purpose of the procedure Procedure to be followed when a carrier detects that it is technically impossible to send a verification query via the CI for other reasons than a failure of one of the ETIAS/EES components (e.g., electricity outage, no internet access etc), meaning that the ETIAS/EES Information Systems are functioning normally. The carrier should try to resolve the issue as soon as possible and within a timeframe that does not negatively affect the boarding process. If a prolonged period of time has passed and the issue remains unresolved, then they shall notify ECU. Triggers Technical impossibility to send verification queries detected by the carrier. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. A. The ECU operator forwards the ticket to eu-LISA. B. The ECU operator receives a notification from eu-LISA, informing that no technical issue, affecting the CI, has been detected and forwards it to the carrier. Carrier steps: 3. The carrier receives a notification in the Carrier Onboarding and Support Tool indicating that no technical issue affecting the CI has been detected. 4. The carrier keeps the ECU updated on the progress of the resolution of the failure. The carrier sends progress notifications, via the Carrier Onboarding and Support Tool, to ECU every 12 hours or as soon as the failure is solved. The carrier should also inform what are the Member States affected by the issue and the other concerned carriers. 5. The carrier sends a follow-up ticket, from the already existing one that is still open, that the issue has been resolved and the exact time of resolution. 6. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 32 14. Emergency Phone Line The Emergency Phone Line shall only be used in case the Carrier Onboarding and Support Tool is unavailable. Only in that case the carrier shall use the Emergency Phone Line connected to the ECU. If the request is of technical nature, ECU shall forward the request to eu-LISA on behalf of the carrier. When the Carrier Onboarding and Support Tool is not available and the failure lies with eu-LISA, a voice message will inform the carriers that there is a general technical failure of the Carrier Onboarding and Support Tool affecting all registered carriers. The carriers, when using the Emergency Phone Line, will need to authenticate through a PIN number. This PIN number is provided to carriers upon registration and, every six months from the creation of the last PIN, the Carrier Onboarding and Support Tool automatically schedules and re-generates a new PIN. 14.1. Emergency Phone Line best practices In order for ECU to provide proper assistance, carriers shall avoid: a) using the Emergency Phone Line when the Carrier Onboarding and Support Tool is available; b) using the Emergency Phone Line to request for updates on tickets submitted via the Carrier Onboarding and Support Tool. The misuse of the Emergency Phone Line can harm the operability of the support provided, which will have negative repercussions for all parties involved. For this reason, it can be considered as an abuse and measures will be taken accordingly. 14.2. In and out of scope calls Assistance will be provided, via phone, to:  requests of an operational nature;  requests of a technical nature;  notifications of technical impossibility. Assistance will not be provided, via phone, to:  requests performed while the Carrier Onboarding and Support Tool is available;  requests irrelevant to EES/ETIAS procedures;  requests containing traveller’s personal data. 33 14.3. Assistance to carriers through the Emergency Phone Line 14.3.1.Failure of the Carrier Onboarding and Support Tool Emergency Phone Line assistance ID SOP_EXT_018 Latest 16/12/2022 review Title Failure of the Carrier Onboarding and Support Tool References Processes Other references Provide assistance to carriers article 14 (5), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 45 minutes from the moment the Centre Head of Unit time ECU Assistant operator answers the phone call and provides the reply Actors Carrier ECU operators eu-LISA Scope Failure of the Carrier Onboarding and Support Tool on carrier’s side Purpose of the procedure Procedure to be followed when the carriers cannot access the Carrier Onboarding and Support Tool. There is a failure on the Carrier Onboarding and Support Tool affecting this carrier. For that reason, there is no voice message recorded informing of the failure. The technical issue lies with the carrier and not eu-LISA. Triggers Impossibility to access the Carrier Onboarding and Support Tool. Procedure steps Carrier steps: 1. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information regarding the issue. 2. The carrier receives an automatic reply, containing the acknowledgement of receipt of the ticket and the ticket number, once access to the Carrier Onboarding and Support Tool has been restored. A. The ECU operator informs the carrier via the Emergency Phone Line, that the Carrier Onboarding and Support Tool is working and that the failure lies on the side of that carrier. The carrier has to inform ECU every 12 hours via the Emergency Phone Line about the progress of the resolution of the failure or as soon as the problem is solved via the Carrier Onboarding and Support Tool. The ticket in the support tool will remain open until the technical failure has been resolved by the carrier. Carrier steps: 3. Once the failure is resolved by the carrier, the carrier sends a follow-up ticket, from the already existing one that is still open, that the issue has been resolved and the exact time of resolution. 4. The carrier is notified via the Carrier Onboarding and Support Tool that the ticket has been closed. Related/linked procedures* 34 14.3.2.Operational request Emergency Phone Line assistance ID SOP_EXT_019 Latest 16/12/2022 review Title Operational request References Processes Other references Provide assistance to carriers article 14 (5), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 45 minutes from the moment the Centre Head of Unit time ECU Assistant operator answers the phone call and provides the reply Actors Carrier ECU operators Scope Assistance to carriers through the Emergency Phone Line due to an operational request Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and the Carrier Onboarding and Support Tool is unavailable due to a technical issue. The carrier is using the Emergency Phone Line to request operational assistance. For the failure of the Carrier Onboarding and Support Tool there are two possible scenarios: a) When the technical issue regarding the Carrier Onboarding and Support Tool lies with eu-LISA, a voice message will inform the carriers that there is a general technical failure of the Carrier Onboarding and Support Tool affecting all registered carriers with the exact time the failure has been detected ( linked procedure 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA). b) When the technical issue lies with the carrier, no voice message will inform the carriers of a general technical failure. In this situation please follow 14.3.1. Failure of the Carrier Onboarding and Support Tool. Triggers An operational issue has arisen and the Carrier Onboarding and Support Tool is unavailable. Procedure steps Carrier steps: 1. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information regarding the issue. 2. The carrier is informed, via the phone, where the relevant information can be found. 3. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number, once access to the Carrier Onboarding and Support Tool has been restored. 4. The carrier receives the reply via the Carrier Onboarding and Support Tool, once the access to the Carrier Onboarding and Support Tool has been restored. 5. The carrier receives a notification, via the Carrier Onboarding and Support Tool, that the ticket has been closed, once the access to the Carrier Onboarding and Support Tool has been restored. Related/linked procedures* 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 14.3.1. Failure of the Carrier Onboarding and Support Tool 35 14.3.3.Carrier Onboarding and Support Tool failure after submission of a request Emergency Phone Line assistance ID SOP_EXT_020 Latest 16/12/2022 review Title Carrier Onboarding and Support Tool failure after submission of a request References Processes Other references Provide assistance to carriers Article 14 Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 30 minutes from the moment the Centre Head of Unit time ECU Assistant operator answers the phone call Actors Carrier ECU Operators Scope Assistance to carriers through the emergency phone line due to a request Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and the Carrier Onboarding and Support Tool is unavailable due to a technical issue. The ECU sends the reply, but the carrier does not receive it due to a technical failure of the Carrier Onboarding and Support Tool on the carrier’s side. The carrier is using the Emergency Phone Line to request operational assistance. Triggers An operational issue has arisen and the Carrier Onboarding and Support Tool is unavailable on carrier’s side. Procedure steps Carrier steps: 1. The carrier opens the Carrier Onboarding and Support Tool, provides the relevant information regarding the issue and submits a ticket. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number. 3. The carrier realises it is impossible to access the Carrier Onboarding and Support Tool and follows up with the assistance request. 4. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information to the ECU operator in order to identify the already submitted assistance request. 5. The carrier is informed on the telephone line about the status of the ticket and, if the ticket is operational, where the relevant information can be found. 6. The carrier receives the reply via the Carrier Onboarding and Support Tool, once the access to the Carrier Onboarding and Support Tool has been restored. 7. The carrier receives a notification, via the Carrier Onboarding and Support Tool, that the ticket has been closed, once the access to the Carrier Onboarding and Support Tool has been restored. Related/linked procedures* 14.3.1. Failure of the Carrier Onboarding and Support Tool 36 14.3.4.Operational request without a reply in the FAQ Emergency Phone Line assistance ID SOP_EXT_021 Latest 16/12/2022 review Title Operational request without a reply in the FAQ References Processes Other references Provide assistance to carriers Article 14 (4), (5) Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response Up to 72 hours from the moment the Centre Head of Unit time operator submits the request on behalf of the carrier Actors Carrier ECU Operators Eu-LISA Service Desk Scope Assistance to carriers through the emergency phone line due to an operational request Purpose of the procedure Procedure to be followed when a carrier faces an operational issue and the Carrier Onboarding and Support Tool is unavailable due to a technical issue. The carrier is using the Emergency Phone Line to request operational assistance. The operator after examining the request realises that the reply cannot be found in the FAQ and further investigation is needed. For the failure of the Carrier Onboarding and Support Tool there are two possible scenarios: a) When the technical issue regarding the Carrier Onboarding and Support Tool lies with eu-LISA, a voice message will inform the carriers that there is a general technical failure of the Carrier Onboarding and Support Tool affecting all registered carriers and the exact time the failure has been detected (linked procedure 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA). b) When the technical issue lies with the carrier, no voice message will inform the carriers of a general technical failure. In this situation please follow 14.3.1. Failure of the Carrier Onboarding and Support Tool. Triggers An operational issue has arisen and the Carrier Onboarding and Support Tool is unavailable on carrier’s side. Procedure steps Carrier steps: 1. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information regarding the issue. 2. The carrier is informed, via the phone, that the reply will be delayed for further investigation. 3. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number, once access to the Carrier Onboarding and Support Tool has been restored. 4. The carrier receives the reply via the Carrier Onboarding and Support Tool, once the access to it has been restored. In case the technical issue with the Carrier Onboarding and Support Tool has not been resolved, the reply will be sent via email to the Carrier SPoC. 5. The carrier receives a notification, via the Carrier Onboarding and Support Tool, that the ticket has been closed, once the access to the Carrier Onboarding and Support Tool has been restored. Related/linked procedures* 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 14.3.1. Failure of the Carrier Onboarding and Support Tool 37 14.3.5.Technical Impossibility detected by carrier and confirmed by eu-LISA Emergency Phone Line assistance ID SOP_EXT_022 Latest 16/12/2022 review Title Technical impossibility detected by carrier and confirmed by eu-LISA References Processes Other references Notification to ECU article 13,14 Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical impossibility to send a verification query via the CI and the Carrier Onboarding and Support Tool is unavailable Purpose of the procedure Procedure to be followed when the carrier detects that it is technically impossible to send a verification query via the CI and at the same time the Carrier Onboarding and Support Tool is unavailable. The carrier is using the Emergency Phone Line to notify the issues. For the failure of the Carrier Onboarding and Support Tool there are two possible scenarios: a) When the technical issue regarding the Carrier Onboarding and Support Tool lies with eu-LISA, a voice message will inform the carriers that there is a general technical failure of the Carrier Onboarding and Support Tool affecting all registered carriers and the exact time the failure has been detected (linked procedure 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA). b) When the technical issue lies with the carrier, no voice message will inform the carriers of a general technical failure. In this situation please follow 14.3.1. Failure of the Carrier Onboarding and Support Tool. Triggers Technically impossible to send verification queries and assistance requests. Procedure steps Carrier steps: 1. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information regarding the issue. 2. The carrier receives an automatic reply via the Carrier Onboarding and Support Tool, containing the acknowledgement of receipt of the ticket and the ticket number, once access to the Carrier Onboarding and Support Tool has been restored. A. The ECU operator forwards the ticket to eu-LISA. B. The ECU operator receives a notification from eu-LISA, confirming that the CI is temporarily unavailable and forwards it to the concerned carriers and concerned Member States. Carrier steps: 3. The concerned carriers receive a notification, via the Carrier Onboarding and Support Tool if available, or via email sent to the carrier SPoC, indicating that the CI is temporarily unavailable and the exact time the issue started, C. When the issue is solved, the ECU operator receives an incident notification from eu-LISA indicating that the technical issue has been resolved and will forward it to all concerned carriers and concerned Member States. 38 Carrier steps: 4. the concerned carriers receive a follow-up incident notification, via the Carrier Onboarding and Support Tool when available again, and/or via email sent to the Carrier SPoC, indicating that the CI is available and the exact time that the technical issue has been resolved. 5. the carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 14.3.1. Failure of the Carrier Onboarding and Support Tool 39 14.3.6.Technical impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems Emergency Phone Line assistance ID SOP_EXT_023 Latest 16/12/2022 review Title Technical Impossibility detected by carriers, for other reasons than a failure on the ETIAS/EES Information Systems References Processes Other references Notifications to ECU article 13 (2), Commission Implementing Regulation (EU) 2022/1380 Owner ETIAS Central Unit Division – Assistance Response To be defined Centre Head of Unit time Actors Carrier ECU operators eu-LISA Scope Technical impossibility to send a verification query for other reasons than a failure of any component of the ETIAS/EES Information Systems. Purpose of the procedure Procedure to be followed when the carrier detects that it is technically impossible to send a verification query via the CI for other reasons than a failure of one of the ETIAS/EES components (e.g., electricity outage, no internet access etc), this means the ETIAS/EES Information Systems are working. But at the same time the Carrier Onboarding and Support Tool is unavailable. For the failure of the Carrier Onboarding and Support Tool there are two possible scenarios: a) When the technical issue regarding the Carrier Onboarding and Support Tool lies with eu-LISA, a voice message will inform the carriers that there is a general technical failure of the Carrier Onboarding and Support Tool affecting all registered carriers and the exact time the failure has been detected; (linked use case 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA). b) When the technical issue lies with the carrier, no voice message will inform the carriers of a general technical failure. In this situation please follow 14.3.1. Failure of the Carrier Onboarding and Support Tool. Triggers Technical impossibility to send verification queries and assistance requests. Procedure steps 40 Carrier steps: 1. The carrier calls the Emergency Phone Line and is asked to provide the authentication PIN and the relevant information regarding the issue. 2. The carrier receives an automatic reply, containing the acknowledgement of receipt of the ticket and the ticket number, once access to the Carrier Onboarding and Support Tool has been restored. A. The ECU operator forwards the ticket to eu-LISA. B. The ECU operator receives a notification from eu-LISA, informing that no technical issue affecting the CI has been detected. C. The ECU operator informs the Carrier SPoC that the CI is working for all carriers and that the failure lies on the side of that carrier. Carrier steps: 3. The carrier keeps the ECU updated on the progress of the resolution of the failure. The carrier sends progress notifications to ECU every 12 hours or as soon as the failure is resolved via the Carrier Onboarding and Support Tool, if available, or via the Emergency Phone Line. The carrier should also inform which Member States are affected by the issue and the other concerned carriers. 4. The carrier sends a follow-up ticket, from the already existing one that is still open, that the issue has been resolved and the exact time of resolution. 5. The carrier is notified, via the Carrier Onboarding and Support Tool, that the ticket has been closed. Related/linked procedures* 12.2.2. Failure of the Carrier Onboarding and Support Tool detected by eu-LISA 14.3.1. Failure of the Carrier Onboarding and Support Tool 41 Saatja: "EULISA CARRIERS" <[email protected]> Saaja: "EULISA CARRIERS" <[email protected]> Teema: [Carriers] SOP draft version PDF & Survey Link, DDL for feedback 27 January 2023 Kuupäev: 2022-12-20 18:56 Dear Madam, Dear Sir, Having completed the first draft version of the Standard Operating Procedures for Carriers assistance in cooperation between ECU and eu-LISA, we would like to share it with you for familiarization and feedback. This is not a final version, and changes depending on the Carriers’ feedback are expected. Please find the file attached to this email. Additionally, in order for you to provide your comments and feedback on the above document, a questionnaire has been prepared. Carriers are kindly asked to read the Standard Operating Procedures for Carriers assistance document before completing the Survey, and we would like to encourage you to make any comments you deem necessary as your feedback will be taken into consideration for its improvement. LINK to EU Survey: https://ec.europa.eu/eusurvey/runner/Carriers_SOP The deadline for completing and submitting the questionnaire is the 27th of January 2023 EOB. Thank you very much for your participation. Please keep in mind that this information provided by eu-LISA, Frontex and the European Commission is considered sensitive, and can be distributed only on a need-to-know basis; it is not to be released outside of the information stakeholders. Kind regards, eu-LISA Carrier team [email protected] www.eulisa.europa.eu ----------------------------- Disclaimer: This message is sent in confidence and is only intended for the named recipient. If you received this message by mistake, you may not use, copy or distribute this message or any part of its contents or rely upon the information contained in it. Please kindly notify the sender immediately by e-mail and delete the relevant e-mails from any computer. This message does not constitute a commitment by eu-LISA unless otherwise indicated.
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