Report from the Commission to the European Parliament and the Council on the development of the second generation Schengen Information System (SIS II) - Progress Report July 2009 - December 2009
Date: 2010-05-06
Institutions: European Commission
Subjects: EU Member State, Schengen Information System, border control, exchange of information, information system, report

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EUROPEAN COMMISSION 

Brussels, 6.5.2010 
COM(2010)221 final 

REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

ON THE DEVELOPMENT OF THE SECOND GENERATION SCHENGEN 
INFORMATION SYSTEM (SIS II)  

Progress Report 

July 2009 - December 2009 

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TABLE OF CONTENTS 

1. 

2. 

Introduction .................................................................................................................. 3 

Project Status................................................................................................................ 3 

2.1. 

Progress during the period under review ..................................................................... 3 

2.1.1.  Overview ...................................................................................................................... 3 

2.2. 

2.3. 

2.4. 

2.5. 

Preparations for milestone testing................................................................................ 4 

Preparations for an alternative technical solution ........................................................ 4 

Preparations for entry into operation............................................................................ 4 

Preparations for migration ........................................................................................... 5 

2.5.1.  Migration legal instruments ......................................................................................... 5 

2.6. 

2.7. 

2.8. 

3. 

3.1. 

3.2. 

SIS II network .............................................................................................................. 6 

Operational management ............................................................................................. 6 

Security and data protection......................................................................................... 6 

Management................................................................................................................. 7 

Financial implications .................................................................................................. 7 

Project management ..................................................................................................... 8 

3.2.1.  Global Programme Management Board (GPMB)........................................................ 8 

3.2.2.  SISVIS Committee (SIS II).......................................................................................... 8 

3.2.3.  National planning and coordination ............................................................................. 8 

3.2.4.  Council ......................................................................................................................... 8 

3.2.5.  European Parliament .................................................................................................... 9 

4. 

5. 

Priorities for the next reporting period......................................................................... 9 

Conclusions .................................................................................................................. 9

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1. 

INTRODUCTION  

This  progress  report  describes  the  work  carried  out  in  the  second  semester  of  2009, 
concerning the development of the second generation Schengen Information System (SIS II) 
and  the  migration  from  SIS  1+  to  SIS  II.  It  is  presented  to  the  Council  and  the  European 
Parliament in accordance with  Article  18 of Council Regulation (EC) No 1104/2008 and of 
Council  Decision  2008/839/JHA  on  migration  from  the  Schengen  Information  System  (SIS 
1+) to the SIS II. This report also constitutes a test status report.  

2. 

PROJECT STATUS  

2.1. Progress during the period under review 

2.1.1.  Overview 

This period was dominated by implementing the orientations provided in the Conclusions of 
the Justice and Home Affairs Council of 4-5 June and 30 November 2009 respectively.  

The  Council  concluded,  on  4-5  June,  that  the  development  of  SIS  II  would  continue  on  the 
basis of the current SIS II project by the main development contractor, and that an alternative 
technical  solution  to  achieve  SIS  II  (named  "SIS  1+RE")  would  be  retained  as  the 
contingency plan for a period necessary to back the project. The Council also agreed to two 
project milestones specifying the technical aspects of conditions and exit criteria which would 
have  to  be  met  in  order  to  continue  with  the  current  SIS  II  project.  The  aim  of  these 
milestones  would  be  to  prove  the  stability,  reliability  and  performance  of  the  central  SIS  II 
and the proper functioning of vital core functionalities, such as data consistency and reliable 
message  transfer,  after  significant  and  important  development  phases  of  the  SIS  II  project. 
The related tests would start as soon as the Commission and the Member States had declared 
their  readiness  and  the  technical  support  function  in  Strasbourg  (C.SIS)  had  confirmed  that 
the SIS 1+ test tools were qualified and ready.  

The first milestone was scheduled to occur after the performance tests of the system, foreseen 
for the fourth quarter of 2009. However, the Council of 30 November concluded that the final 
deadline  with  regard  to  the  accomplishment  of  the  first  milestone  test  would  be  29  January 
2010 at the latest. Subject to the  outcome  of  the  first  milestone  test,  a  two  month  period  of 
reflection for the Council would commence on 30 January 2010, to assess the implications of 
the test. 

The  Commission,  in  close  cooperation  with  the  Member  States,  put  in  place  the  necessary 
elements  to  follow  the  direction  set  in  the  Council  Conclusions.  Accordingly  work  was 
directed along three major tracks: 

•  Preparations for milestone testing; 

•  Preparations for an alternative technical scenario; 

•  Preparations for entry into operation. 

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2.2. Preparations for milestone testing 

Technical preparations were initiated for the  first  of the  two  milestone tests,  with a view to 
verifying whether the system is based on solid foundations. The technical preparations aimed, 
in  particular,  to  ensure  that  all  prior  conditions  for  carrying  out  this  test  had  been  met 
(conformity  of  national  systems  that  would  participate  in  the  test,  generation  of  test  data, 
validation  of  test  tools,  adjustments  to  the  settings  of  the  central  system  and  setting  up  the 
detailed test descriptions). By the end of 2009 eleven Member States had achieved a state of 
compliance and the SIS 1+ test tools were qualified and ready. 

The Council in June also invited the Commission to ensure that the milestones would be part 
of  the  deliverables  under  the  contract  for  the  current  SIS  II  project  and  to  reach  an 
understanding with its contractors that non-compliance with these milestones would constitute 
resolutive conditions with regard to the existing contracts. The respective contract amendment 
for the first milestone was signed between the parties on 13 October. This amendment notably 
incorporated  a  provision  stating  that  the  Commission  would  be  entitled  to  terminate  the 
contract, as of right, with immediate effect if the first milestone test for SIS II were deemed 
by the Council not to have been passed.  

2.3. Preparations for an alternative technical solution 

In  order  to  prepare  the  ground  for  a  possible  switch  to  an  alternative  technical  scenario  for 
implementing the SIS II functionalities, should one of the milestones be judged to have failed, 
exploratory negotiations with the French authorities were commenced.  

A  key  element  of  any  delegation  to  France  would  concern  the  adoption  of  the  legislative 
proposals to amend the migration instruments (proposal for a Regulation1 and a forthcoming 
proposal  to  incorporate  aspects  previously  covered  by  the  third  pillar  decision  -  see  section 
2.5.1.).  

2.4. Preparations for entry into operation 

The  comprehensive  architecture  review  performed  by  a  specialist  IT  consultant  between 
March  and  April  2009  led  to  a  broad  consensus  amongst  SIS  II  experts  on  the  absence  of 
major  flaws  in  the  SIS  II  architecture.  However,  in  terms  of  design  and  implementation,  a 
number  of  recommendations  were  made  to  improve  certain  aspects  of  the  system,  such  as 
performance, software scalability and ease of maintenance. The business message architecture 
was identified as being over-engineered and capable of simplification. The analysis and repair 
period, highlighted in the previous report, identified a number of areas for improvement in the 
system.  

In  parallel  to  the  preparations  for  the  first  milestone  test,  the  Commission,  Member  States' 
experts and contractors worked together on assessing the technical requirements for ultimately 
delivering  the  software  version  which  would  be  used  in  a  "live"  system.  This  work  was 
undertaken through studies, workshops, prototypes ("proofs of concept") and discussion in the 
Global Programme Management Board (GPMB) 2. The latter structure was established by the 
Commission  to  ensure  enhanced  management  and  coordination  of  the  SIS  II  project  and 

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Proposal  for  a  Council  Regulation  amending  Regulation  (EC)  No  1104/2008  on  migration  from  the 
Schengen information System (SIS 1+) to the second generation Schengen Information System (SIS II, 
1st pillar, COM/2009/508 final).  
See section 3.2.1 

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related  activities,  including  ensuring  consistency  between  the  development  of  central  and 
national systems.  
The  Commission,  working  with  Member  States  and  the  main  development  contractor, 
commenced  several  initiatives,  with  a  view  to  producing  enhanced  specifications  for  the 
system. Particular areas investigated in-depth were: 

•  Simplification of the way in which large volumes of data are "dumped" (for example when 
a Member State might need to recreate a copy of the central database at national level) 

•  Simplification of the data-consistency processes; 

•  Re-structuring of the message format; 

•  Rationalisation of the functions for creation, updating and deletion of records at the point 
where  they  would  be  entered  into  the  central  system  so  that  the  processes  take  place  in 
parallel and therefore in a more time-effective manner; 

•  Harmonisation  of  the  processes  and  procedures  for  handling  different  versions  of  the 

system.  

In December 2009, the main development contractor delivered four draft whitepapers on the 
final  four  items  in  the  above-mentioned  list.  Further  discussions  with  Member  States  on 
certain non-functional requirements would be needed before this work could be finalised.  

Additionally,  developments  in  the  use  of  the  SIS  by  Member  States  have  led  to  a  situation 
where the number of alerts within the system has increased significantly. From the 22 million 
alerts  originally  foreseen,  the  latest  estimates  predict  73  million  alerts  in  the  foreseeable 
future. Having carried out an additional survey on volumetrics between June and September 
there would be a need for the Commission to continue to work with Member States' experts 
on  this  important  evolution  of  requirements  which  must  be  accommodated  in  any  technical 
solution. 

2.5. 

Preparations for migration 

2.5.1.  Migration legal instruments  

The Council Regulation3 and Council Decision4 governing migration to from SIS 1+ to SIS II 
(the migration instruments) lay down the tasks and responsibilities of the Commission and the 
Member States for preparing this migration, including further development and testing of SIS 
II. As the legal instruments currently in force contain an expiry date set for 30 June 2010, the 
Commission  has  tabled  proposals  to  amend  them,  chiefly  with  a  view  to  extending  the 
deadline for transferring data from SIS 1+ to SIS II.  

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Council  Regulation  (EC)  No  1104/2008  of  24  October  2008  on  migration  from  the  Schengen 
Information System (SIS 1+) to the second generation Schengen Information System (SIS II), OJ L 299, 
8.11.2008, p. 1. 
Council  Decision  2008/839/JHA  of  24 October  2008  on  migration  from  the  Schengen  Information 
System (SIS 1+) to the second generation Schengen Information System (SIS II), OJ L 299, 8.11.2008, 
p. 43.  

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Whilst  negotiations  continued  on  a  legislative  proposal  for  a  Regulation5,  the  proposal  to 
amend the Council Decision under the former third pillar became obsolete upon the entry into 
force of the Lisbon Treaty. The Commission intends to introduce a proposal in the appropriate 
procedural form during 2010.  

Together, these proposals also aim to formally set up a coordinating body of technical experts 
for  further  management  of  the  overall  development  of  SIS  II,  as  requested  by  the  JHA 
Council of 4-5 June 2009, and to provide legal flexibility for an alternative technical scenario, 
in line with the Council's approach of retaining a contingency plan for the project.  

2.6. SIS II network  

The SIS II project includes the provision of a wide area communications network, meeting the 
requirements  of  availability,  security,  geographical  coverage  and  level  of  service,  to  enable 
the national and central systems to communicate.  

The staff of the European Data Protection Supervisor (EDPS) conducted an inspection at the 
SOC  (network  operation  centre)  in  Bratislava.  The  inspection  showed  that  from  an  overall 
perspective the situation is satisfactory. EDPS is likely to present some recommendations to 
further  improve  security  at  the  SOC  as  well  as  to  ensure  better  compliance  with  data 
protection provisions, for instance by declaring the use of video monitoring systems. 

A  workshop  has  been  held  with  Member  States  on  additional  security  safeguards  to  the 
system. Member States will be  further consulted on  this  matter by  questionnaire in order to 
identify any key actions that need to be considered. 

2.7. 

Operational management 

The  training  of  the  staff  recruited  in  Strasbourg  to  operate  the  system  has  almost  been 
completed. The Biometric Matching System "transition to operation" plan has started and the 
staff in Strasbourg are now practically ready to operate the Biometric Matching System.  

Negotiations are under way in the preparatory bodies of the Council and in the Parliament on 
the  legal  proposals  for  setting  up  an  agency  for  the  long-term  operational  management  of 
large-scale IT systems in the area of justice, freedom and security, including SIS II.  

2.8. 

Security and data protection 

In  addition  to  the  network  security  issue  mentioned  in  section  2.6  above,  bilateral  meetings 
between EDPS staff and the Commission services continued to take place on a regular basis 
to discuss security and data protection issues related to SIS II. On 1 December 2009, EDPS 
staff  made  a  fact-finding  visit to the central SIS II site in Strasbourg. The visit focussed on 
physical security.  

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Proposal  for  a  Council  Regulation  amending  Regulation  (EC)  No  1104/2008  on  migration  from  the 
Schengen information System (SIS 1+) to the second generation Schengen Information System (SIS II, 
1st pillar, COM/2009/508 final).  

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3. 

MANAGEMENT  

3.1. 

Financial implications  

By the end of the reporting period the total budgetary commitments made by the Commission 
on the SIS II project amounted to approximately € 81.6 million. The corresponding contracts 
include  feasibility  studies,  the  development  of  the  central  SIS  II  itself,  support  and  quality 
assurance,  the  SIS  II  network,  preparation  for  operational  management  in  Strasbourg, 
security, biometrics preparations and communication. 

Of this amount, around € 50.2 million had actua lly been paid at the end of December 2009. 
The main expenditure items were development (€ 24.3 million), the network (€ 14.6 million) 
and support and quality assurance (€ 6.3 million). 

Budget execution 

From 2002 to December 2009 

From July to December 2009 

Commitments 

Payments 

Commitments 

Payments 

37,458,059

24,260,603

1,530,908 

1,812,342

quality 

8,500,034

6,291,933

839,586 

1,636,532

26,954,673

14,599,264

5,652,772 

4,230,655

Development 

Support  & 
assurance 

Network 

Operational 
management preparation 

6,083,613

3,818,929

1,136,768 

1,336,466

Security 

Studies 

Others 

869,275

919,831

834,483

143,909

895,095

160,778

0 

0 

0 

24,889

0

64,253

TOTAL:

81,619,969

50,170,511

9,160,034 

9,105,137

During the period covered by the present report: 

•  Approximately  €  9.1  million  was  paid,  primarily  for  the  network  (€  4.2  million)  and 

monthly recurring costs; 

•  About  €  9.2  million  had  been  committed  (i.e.  34%   of  the  total  appropriations  for  SIS II 
activities provided in the 2009 General Budget had been committed at the end of the year). 
This  lower-than-forecast  figure  represents  the  fact  that  the  ordering  of  new  services  and 
products  was  postponed  pending  the  resolution  of  technical  problems  encountered  in  the 
development and new Council orientations for the project; 

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•  Penalties amounting to 390,000 Euro have been applied in connection with the failure of 

the "OST" tests in December 2008. 

3.2. 

Project management  

3.2.1.  Global Programme Management Board (GPMB) 

In order to ensure optimal involvement of the Member States, as the project moved into a new 
phase, a global SIS II programme management approach was introduced in January 2009, as 
recognised  by  the  Council  on  26-27  February.  The  Council  of  4-5  June  invited  the 
Commission to build upon the experience and lessons learned from this management structure 
and develop it further. These management changes have been consolidated in the legislative 
proposal for a Regulation to amend the migration instruments. 

The GPMB met 22 times during the period covered by this report. This board has contributed 
in  a  positive  way  to  programme  management  and  has  ensured  increased  Member  States' 
involvement. 

3.2.2.  SISVIS Committee (SIS II) 

The  Commission  is  assisted  in  the  development  of  SIS  II  by  the  SISVIS  Committee.  There 
were five meetings of the SISVIS Committee on SIS II matters in the period July – December 
2009. 

In  addition  to  regular  SISVIS  Committee  meetings,  working  groups  of  the  Committee  and 
workshops,  involving  Member  States'  experts,  are  organised  to  discuss  detailed  technical 
issues. These meetings generally focus on issues arising from specific project deliverables: 

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– 

The "Test Advisory Group" (TAG), provides the SISVIS Committee with an opinion 
on issues related to the organisation, implementation and interpretation of tests. This 
group held 23 meetings in this reporting period; 

The  "Change  Management  Board"  (CMB),  provides  advice  on  classification, 
qualification and the potential impact of correction of reported issues. This working 
group,  which  also  reports  to  the  SISVIS  Committee,  met  five  times  during  the 
reporting period;  

Three  SIS  II  Migration  Workshops  have  been  held  since  the  delivery  of  the 
conclusions  of  the  Migration  Group,  to  advise  the  SISVIS  Committee  and  pursue 
activities on this critical topic. 

3.2.3.  National planning and coordination 

A  working  group  composed  of  the  Member  States'  and  users'  national  project  managers 
(NPM)  is  organised  within  the  framework  of  the  SISVIS  Committee.  The  purpose  of  these 
NPM meetings is to deal with detailed planning issues, risks and activities both at the central 
and national project levels. During this reporting period four NPM meetings have taken place.  

3.2.4.  Council  

The  Commission  takes  part  in  the  meetings  of  the  preparatory  bodies  of  the  Council 
responsible  for  the  Schengen  Information  System  and  each  Council  of  Ministers  session 

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where SIS II is included on the agenda. On these occasions, the Commission presented oral 
reports on the state of play of the SIS II project, the associated risks and the envisaged next 
steps.  

3.2.5.  European Parliament 

All important developments in the SIS II file have been communicated by a letter from Vice-
President Barrot to the Chairman of the LIBE Committee and the key rapporteurs. During the 
period of this report four such letters were sent.  

Members of the European Parliament were debriefed by Vice-President Barrot in person each 
time deliberations on SIS II were held at the Council meetings. Two JHA Council meetings 
discussed SIS II during this period.  

Moreover,  the  Commission  appeared  at  all  Plenary  and  Committee  meetings,  to  directly 
address SIS II-related matters: a total of four meetings plus the meeting of the Vice President 
with the coordinators of the political groups of the LIBE Committee.  

The Commission also attended the Parliamentary session and took due note of the resolution 
of the European Parliament of 22 October 2009 on progress of Schengen Information System 
II  and  Visa  Information  System.  The  Vice-President  followed  this  up  with  a  letter  to  the 
chairman of the LIBE Committee. 

Finally, the Commission responded to four Parliamentary questions relating to SIS II. 

4. 

PRIORITIES FOR THE NEXT REPORTING PERIOD  

•  Milestone testing; 

•  Providing  the  Council  with  appropriate  input  to  feed  into  the  two  month  period  of 

reflection, should the milestone tests lead to unsatisfactory results; 

•  Preparations  for  an  alternative  technical  solution,  should  the  Council  invite  the 

Commission to stop the current SIS II project; 

•  Preparations for entry into operation. 

5. 

CONCLUSIONS 

During this period work was focussed on activities to follow up the orientations provided by 
the  Conclusions  of  the  Justice  and  Home  Affairs  Council  in  June  and  November  2009 
respectively.  

The  Commission  agreed  with  other  stakeholders  that  the  milestone  tests  requested  by  the 
Council in June would provide an indication as to the stability, reliability and performance of 
the  central  system.  The  outcome  of  these  tests  would  constitute  an  important  element  in 
discussions on the future direction of SIS II. 

The Commission has worked in close partnership with the Member States to implement the 
above-mentioned  conclusions  and  has  kept 
informed  of 
developments.  In  particular,  the  Commission  has  ensured  that  the  legal,  technical, 
organisational  and  contractual  elements  have  been  fully  put  in  place  to  allow  the  main 
development contractor to run the first milestone test under positive conditions. In line with 

the  European  Parliament 

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the orientations of the Council in June, the Commission integrated the first milestone into the 
main development contract.  

The  Council,  at  its  meeting  on  30  November,  set  29  January  2010  as  a  deadline  for  the 
accomplishment of the first milestone test. A sufficient number of Member States were able to 
demonstrate their compliance for taking part in this test. 

If the first milestone test proves unsuccessful, the Commission agreed that it would support 
the Council in its reflection process on the further direction of SIS II by providing, in written 
form, the necessary financial and budgetary information. 

Exploratory negotiations with the French authorities were commenced for a possible decision 
by the Commission to discontinue the current SIS II project and proceed  on the basis of  an 
alternative  technical  scenario  for  implementing  the  SIS  II  functionalities,  should  one  of  the 
milestones be judged by the Council to have failed. 

In addition, during the period covered by this report, the Commission organised the necessary 
work  to  allow  extensive  analysis,  together  with  the  experts  of  the  Member  States,  of  the 
technical specifications of SIS II, in order to be able to guide decisions for the future. 

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Annex I 

SISVIS Committee (SIS II) and Working Group Meetings 

a) Meetings held during the reporting period 

JULY 2009 

8, 13, 29  SIS II Global Programme Management Board 

15  Change Management Board / Migration Workshop 

14 

'National Project Managers' Meeting 

14  SISVIS Committee (SIS II technical) 

2, 9, 16, 31  Test Advisory Group 

AUGUST 2009 

12, 19, 26  SIS II Global Programme Management Board 

06, 20, 28  Test Advisory Group 

26  Change Management Board / Migration Workshop 

SEPTEMBER 2009 

2, 9, 16, 22  SIS II Global Programme Management Board 

15  SISVIS Committee (SIS II technical) 

3, 10, 17, 24  Test Advisory Group 

OCTOBER 2009 

1  Change Management Board 

20 

'National Project Managers' Meeting 

20  SISVIS Committee (SIS II technical) 

27  SIS VIS Committee (SIRENE) 

1, 8, 15, 22, 29  Test Advisory Group 

6, 13, 21, 28  SIS II Global Programme Management Board 

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NOVEMBER 2009 

3, 11, 18, 24   SIS II Global Programme Management Board 

25 

'National Project Managers' Meeting 

25  SISVIS Committee (SIS II technical) 

3  Change Management Board / Migration Workshop 

5, 12, 19, 26  Test Advisory Group 

DECEMBER 2009 

1, 9, 15,  SIS II Global Programme Management Board 

16 

'National Project Managers' Meeting 

16  SISVIS Committee (SIS II technical) 

10  Migration Workshop / Change Management Board 

3, 10, 17  Test Advisory Group 

b) Meetings scheduled for the forthcoming reporting period 

JANUARY 2010 

20 

'National Project Managers' Meeting 

20  SISVIS Committee (SIS II technical) 

14  Change Management Board/Migration Workshop 

6, 13, 20, 27  SIS II Global Programme Management Board 

7, 14, 21, 28  Test Advisory Group 

FEBRUARY 2010 

3, 10, 17, 24  SIS II Global Programme Management Board 

24 

'National Project Managers' Meeting  

18  Change Management Board / Migration Workshop 

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24  SISVIS Committee (SIS II technical) 

20  SISVIS Committee (SIRENE) 

4, 11, 18, 25  Test Advisory Group 

MARCH 2010 

3,  10,  17,  24, 
31  

SIS II Global Programme Management Board 

24 

'National Project Managers' Meeting 

24  SISVIS Committee (SIS II technical) 

18  Migration Workshop / Change Management Board 

4, 11, 18, 25  Test Advisory Group 

7, 14, 21, 28  SIS II Global Programme Management Board 

APRIL 2010  

'National  Project  Managers'  Meeting/  SISVIS  Committee  (SIS  II 
technical) 

24 

15  Change Management Board / Migration Workshop  

8, 15, 22, 29  Test Advisory Group 

5, 12, 19, 26  SIS II Global Programme Management Board 

MAY 2010 

26  SISVIS Committee (SIS II technical) 

26 

'National Project Managers' Meeting 

7, 21, 28  Test Advisory Group 

20  Migration Workshop / Change Management Board  

2, 9, 16, 30  SIS II Global Programme Management Board 

JUNE 2010 

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17  Change Management Board / Migration Workshop 

23 

'National Project Managers' Meeting  

4, 11, 18, 25  Test Advisory Group 

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