NEWS AND FEATURES ON THE ICAO TRAVELLER IDENTIFICATION PROGRAMME - VOL. 13 - NO. 1

ALSO IN MAKINGTHIS ISSUE BORDERS EMPOWERING THE FUTURE WITH LEGAL IDENTITY PARTNERING TO INTENSIFYMORE TRIP STRATEGY SECURE IMPLEMENTATIONCAN BIOMETRIC DIGITAL TRAVEL IMPROVING GLOBAL BORDERS THE EVOLUTIONSYSTEMS OFBE CHEAP THE ePASSPORTCREDENTIALS: FRONTLINE WITH A KNOWN AND SIMPLE? LOOKING BEYOND DOCUMENT TRAVELLER

RISK ANALYSIS ISSUE THIS IN FOR AIRPORT SECURITYTHE BOOK CHECKS CONCEPT THE UNODC AIRPORT COMMUNICATION PROJECT SECURITY & FACILITATION TRIP2019

ICAO TRIP Regional Seminar Cotonou

Benin, 12 to 14 February 2019

ICAO Traveller Identification Programme (TRIP) Regional be accomplished by promoting the global framework Seminar will take place from 12 to 14 February 2019 in established by Annex 9 – Facilitation to the Convention on Cotonou, Benin. International Civil Aviation. Accordingly, a special focus of the Seminar will highlight border integrity and border The Seminar, hosted by the Government of Benin, control management challenges, such as Advanced will address the five elements of the ICAO Traveller Passenger Information (API) system implementation. Identification Programme (ICAO TRIP) Strategy, including: machine readable travel document (MRTD) standards; This ICAO TRIP Regional Seminar provides a unique specifications and best practices; secure travel document opportunity to exchange information and enhance issuance; robust evidence of identity processes; and expertise and would be of benefit to passport issuing information sharing technologies. The event will offices, aviation security authorities, civil registries, provide an opportunity for enhancing international and border control and law enforcement authorities, as well regional cooperation and collaboration that addresses as to airline companies, airport authorities, and other the threats faced by international civil aviation. This will interested parties.

Information for online registration is available on the Seminar website at: www.icao.int/Meetings/TRIP-Benin-2019 Participants are invited to register online before 11 January 2019. ICAO TRIP MAGAZINE CONTENTS VOLUME 13, NUMBER 1, 2018

EDITORIAL TRIP Programme—Aviation Security 03 Message from the Editor and Facilitation Policy Section Narjess Abdennebi addresses border security integrity Editor-in-Chief: Narjess Abdennebi Tel: +1 (514) 954-8219 ext. 8374 Digital Travel Credentials: Looking beyond the Book E-mail: [email protected] 04 How can border authorities and the airline industry adapt to Coordinators: meet travellers’ expectations and changing digital needs without Anthony Frederick compromising security? Garleen McGann Tel: +1 (514) 954-8219 ext. 6991 INTERPOL and Frontex Collaborate to Improve Frontline E-mail: [email protected] 08 Document Checks Content Development New document security features are being developed as quickly as Senior Editor: Allisun Dalzell Tel: +1 (514) 954-8219 ext. 8108 ways for getting around them are evolving; this project enhances the E-mail: [email protected] ability of police and border officers to authenticate travel and identity documents at national borders. Production and Design Biometric Systems: Can They Be Cheap and Simple? Graphic Designer: June Kim 12 Tel: +1 (514) 954-8219 ext. 7168 Australia’s Department of Foreign Affairs and Trade shares their E-mail: [email protected] experience in developing a traveler identification system, with effective biographic and biometric controls, by taking an inexpensive approach. ADVERTISING Global Borders With A Known Traveller Concept Advertising Representative: Caroline Casabon 15 Tel: +1 (514) 954-8219, ext. 6466 The World Economic Forum introduces an initiative that addresses Fax: +1 (514) 954 6769 the changing behaviours and increasing volumes and expectations of E-mail: [email protected] travelers, and the rise of geopolitical insecurity. 18 Who’s Afraid of the Big Bad Wolf? The role of the OSCE in implementing the four key border security SUBMISSIONS elements in United Nations Security Council Resolution 2396. The ICAO TRIP Magazine encourages submissions from interested individuals, organizations and States 20 Biometric Identification of Children for Immigration Control wishing to share updates, perspectives or analysis After developers of automatic fingerprint recognition systems related to global civil aviation. For further information on submission deadlines and planned issue topics for highlight potential problems with child fingerprint recognition, the future editions of the TRIP Magazine, please contact Joint Research Centre of the European Union researches whether [email protected]. there are limitations and constraints. Opinions expressed in signed articles or in Border Control Management advertisements appearing in the ICAO TRIP Magazine 23 represent the author’s or advertiser’s opinion and The Technical Guide that allows States to optimize the use of do not necessarily reflect the views of ICAO. The technologies available to enhance their border control. mention of specific companies or products in articles or advertisements does not imply that they are endorsed The Document Security Features Electronic Learning Course or recommended by ICAO in preference to others of a 26 similar nature which are not mentioned or advertised. Providing in-depth training on document security features and counterfeit detection; transitioning from classroom to electronic learning. The publishers extend their thanks to the companies, organizations and photographers who graciously THE TRIP Strategy in Brazil supplied photographs for this issue. 30 The role of the Federal Police of Brazil in implementing ICAO’s TRIP Strategy 34 ICAO Training Package: Controlling, Authenticating and Validating Travel Documents PUBLISHED BY Training front-line border control officers to perform screenings of all International Civil Aviation Organization (ICAO) passengers crossing borders. 999 Robert-Bourassa Boulevard Montréal, Québec ICAO TRIP Seminar in Brazil Canada H3C 5H7 39 A summary of the Regional that was held in Brasília, Brazil from 5 to 7 Copyright © 2018 June 2018. International Civil Aviation Organization The Traveller’s Identification Programme - Perspectives in Printed by ICAO 42 the African Region TRIP, and it’s components, represent a framework for robust security measures, a spotlight on how it is being implemented in one region. www.icao.int

TECHNICAL ADVISORY GROUP ON THE TRAVELLER IDENTIFICATION PROGRAMME (TAG/TRIP)

Member States

Argentina India Netherlands Sudan Australia Indonesia New Zealand Sweden Canada Iraq Nigeria Switzerland Chile Ireland Portugal The former Yugoslav China Italy Qatar Republic of Macedonia Colombia Japan Republic of Moldova Ukraine Egypt Kenya Russian Federation United Arab Emirates France Kyrgyzstan South Africa United Kingdom Germany Luxembourg Spain United States Uruguay

OBSERVER INTERNATIONAL ORGANIZATIONS

Airports Council International (ACI) International Organization for Migration (IOM) Banjul Accord Group Aviation Safety Oversight Organisation International Organization for Standardization (ISO) (BAGASOO) Organization for Security and Co-operation in Europe (OSCE) Civil Aviation Safety and Security Oversight Agency (CASSOA) Organization of American States (OAS)/Inter-American Committee European Civil Aviation Conference (ECAC) on Terrorism (CICTE) European Union (EU) United Nations Counter Terrorism Executive Directorate (UNCTED) International Air Transport Association (IATA) United Nations (Department of Management) International Coordinating Council of Aerospace Industries United Nations High Commissioner for Refugees (UNHCR) Associations (ICCAIA) United Nations Office on Drugs and Crime (UNODC) International Criminal Police Organization (INTERPOL) World Economic Forum (WEF) International Labour Organization (ILO) World Tourism Organization (UNWTO) MESSAGE FROM THE EDITOR-IN-CHIEF

SECURING BORDER INTEGRITY

Dr. Narjess Abdennebi Chef, Facilitation Section Air Transport Bureau International Civil Aviation Organization

ICAO’s Traveller Identification Programme (ICAO TRIP) Rapid changes in technology present opportunities for Strategy has been a key pillar in ICAO’s Security and leveraging new technologies that enhance both travel Facilitation Strategic Objective since it was first endorsed by facilitation and security at border control points. In this context, the 38th Session of the ICAO Assembly in 2013. Three years ICAO’s New Technology Working Group is assessing inter alia, later, during the 39th Session of the ICAO Assembly, ICAO TRIP the feasibility and benefits of using digital representation of the Strategy priorities were further endorsed when the Assembly ePassport in travel through a Digital Travel Credential (DTC). identified the need for national coordination and international DTCs are meant to temporarily, or even permanently, substitute cooperation to ensure the security and integrity of traveller a conventional passport with a digital representation of the identification and border control programmes. Under the ICAO traveller’s identity. TRIP Strategy programme, ICAO continues to focus on ensuring traveller identification follows a holistic and coordinated Biometrics technologies have considerable potential to further approach, from document issuance to border control systems. facilitation and security objectives, but effectively using them in the implementation of the ICAO TRIP Strategy around the The ICAO TRIP Strategy-related legal framework was enhanced world has its challenges. After empirical evidence, based on through Amendment 26 to Annex 9 – Facilitation to the ICAO’s Implementation and Capacity Building Working Group Convention on International Civil Aviation. Sixty-four Standards (ICBWG) consultations with State agencies, pointed to some and Recommended Practices (SARPs) relate to the ICAO misconceptions on the strengths and weaknesses of biometric TRIP Strategy in the 15th edition of Annex 9, as compared to applications, the ICBWG began working on the development of forty-eight in the previous edition. The new SARPs became high-level guidance material related to the scope of the ICAO applicable in February 2018. Notably, a Standard obliging TRIP Strategy. Member States to establish an Advance Passenger Information (API) System, pursuant to United Nations (UN) Security Council As this publication went to print, we were in final preparations resolution 2178 (2014). With the increasing use of API for border for the 14th ICAO Symposium and Exhibition on the Traveller security and counter terrorism, ICAO has intensified its efforts to Identification Programme that will take place at ICAO provide assistance to States in implementing API and interactive Headquarters from 23 to 25 October 2018. The Symposium API (iAPI) systems and related Annex 9 SARPs. This supports the provides opportunities for enhancing international cooperation wider UN action plan to achieve important milestones on border and collaboration to address the threats faced by international control management improvements. civil aviation. The theme of this year’s event will highlight How to Use Traveller ID for Streamlined Border Controls, and will Through the project “Strengthening Border Control include an interactive session on API systems. We hope we will Management in the Caribbean Region”, which was funded see you there! by Canada, ICAO developed the ICAO TRIP Guide on Border Control Management (BCM). The Guide serves as a reference We always welcome feedback and suggestions for articles and for States so that they can optimize the use of inspection themes for future issues of the ICAO TRIP Magazine. Send your systems and tools and interoperable applications that are contributions and comments to [email protected]. available, to enhance their national BCM. This guide is available for download: https://www.icao.int/Security/FAL/TRIP/Pages/ Publications.aspx

www.ICAO.int 3 DIGITAL TRAVEL CREDENTIALS

DIGITAL TRAVEL CREDENTIALS: LOOKING BEYOND THE BOOK

Travellers’ behaviours and expectations are without compromising security, all while maintaining changing. In our ever-increasing world of digital interoperability? transactions, it is hard to imagine a future where we will still need to present a traditional, physical Taking these challenges into consideration, passport in order to cross a border. Increasing ICAO’s New Technologies Working Group (NTWG) international traffic volumes are placing pressure on established a specialized sub group to begin work airport passenger facilitation, and the need for secure on standardizing a digital travel credential (DTC). and trusted traveller identification remains ever In developing these technical specifications and present in the face of global turmoil. How can border policies, the ePassport is used as the benchmark authorities and the airline industry adapt to meet the given that it offers a secure, portable, verifiable and changing needs, and manage traveller facilitation unclonable token.

4 ICAO TRIP MAGAZINE | NO. 1 | 2018 DIGITAL TRAVEL CREDENTIALS

OPPORTUNITY FOR CHANGE IN THE A DTC essentially serves the same 2. Capable of being provided unaltered TRAVEL CONTINUUM functions as an ePassport in reliably to verifying entities in advance of the An estimated 139 States have issued more confirming the identity of the traveller. traveller’s journey or arrival. than one billion ePassports to date. The Additional benefits to those in the travel 3. Globally interoperable to ensure that it growing number of ePassports improve continuum include: could be used in different environments. the travel network by enhancing facilitation 4. Adopted by travellers. This requires for travellers. They also improve security ƒƒ An improvement to passenger flows creating trust that: for border management. One particular by allowing travellers to provide their ›› The DTC is as, or more secure, than advantage of the ePassport that has data in advance and engage in more an ePassport, and the potential to revolutionize the way self-service; ›› Biographic and biometric data will travellers are processed, is the digitization ƒƒ The ability for airports and airlines to be handled in a manner ensuring the of the traveller’s biographic and biometric link additional data, such as a boarding protection of the traveller’s personal data that is stored in an integrated circuit pass, to the DTC; and data and privacy. (IC or chip) embedded in the book. ƒƒ Advance provision of passenger data to aviation stakeholders to support Each form factor considered had a This chip data has already generated biometric matching through controlled number of positives, but each also many benefits. Not only does it verify checkpoints, to facilitate biometric presented limitations that would result in of the passport bearer’s identity boarding and assist in improving pre- a solution less secure than an ePassport. through facial recognition, it has arrival security and/or risk assessment. While these different form factors would provided authorities with the tools to mostly work well for facilitation, few authenticate the travel document. While In order for these benefits to be realized, would be globally interoperable, and all these processes have made significant wide acceptability of globally-interoperable would present security concerns that contributions to the security and facilitation features, and an issuers ability to control would be unacceptable for most, if not of traveller movements, the ePassport the credential, are paramount. all, border authorities. has yet to be fully leveraged to provide all of the possible benefits to change the THE CHALLENGE OF BALANCE However all is not lost! By combining way travellers clear checkpoints during Creating a secure and reliable form of one or more of the form factors with the departure and arrival. electronic identification that can be used to existing technology already available in enhance facilitation is perhaps the simpler the ePassport, there is an opportunity to The DTC envisioned by the NTWG uses part of this work. Not only are there a create a hybrid credential that would meet the technology available in the ePassport number of established and emerging all the basic criteria and key attributes, to create a credential that can bring these e-Identity schemes around the world, but and bring the additional benefits without additional benefits, while maintaining a airports and airlines have an increasing losing the balance between security, balance between security and facilitation. number of stand-alone traveller facilitation facilitation, and interoperability. schemes. These solutions all leverage off LEVERAGING THE KEY ATTRIBUTES a range of differing technologies and use a THE PREFERRED SOLUTION For a DTC to be effective and practical it variety of form factors. What is important for – A HYBRID DTC needs to maintain the key attributes already travel is that there is a balance in security, A hybrid credential is a combination of a contained in the ePassport, namely: facilitation, and interoperability. virtual token (credential) that is linked to one or more physical tokens (authenticators). ƒƒ verifying entities must be able to While considering this, the sub group The credential could be stored in a remote authenticate the credentials supplied; examined and considered a range of system, such as a database or webserver, ƒƒ inclusion of a means to protect technologies, or ‘form factors’, such as and the authenticator could be an ePassport, against cloning; smart devices, closed servers, remote smart card, or mobile phone. This combines ƒƒ capable to accept and store pertinent servers, and distributed ledgers. The the virtual and the physical in a way that holder and/or travel data; form factors were evaluated against merges the advantages of both approaches, ƒƒ protection of the privacy of the user; these four basic criteria to ensure the while minimizing the disadvantages. and credential could be: ƒƒ verification processes must be at least When defining options for the issuance as secure as for ePassports. 1. Produced from a Travel Document of these tokens, the sub-group determined Issuing Authority. that the virtual credentials would have

www.ICAO.int 5 DIGITAL TRAVEL CREDENTIALS

to include many of the same security the data from the remote system by advance to the border authority, in an elements of the current ePassport, authenticating the holder of the virtual electronic system for travel authorization including authentication, when required by credential to that system. (ESTA) process or using API/PNR etc. inspection authorities. When they arrive at the airport, they This model is preferred by the ICAO could use their token, whether it is a Authentication currently takes place when NTWG because the credential is already physical token such as their phone, or the chip in the ePassport is electronically securely linked to the Issuing Authority. purely virtual token, such as their facial validated by the border authority – a The physical token allows the verifier to biometric, to pass through the different simple electronic check that ensures the select the correct virtual credential which check points in the airport journey. ePassport is authentic. This check verifies was potentially provided in advance. the digital signature in the chip and that the It also provides the verifying entity the If not sent in advance, then the virtual digital certificate was used by a bonafide flexibility to decide whether the virtual component must be able to be read authority when the data in the chip was credential is sufficient, or the physical in a standardized method using sealed. It confirms that the biographic and token, the authenticator, is additionally passive authentication. biometric data endorsed in the document required. Or, put simply, whether the when it was issued has not been altered. traveller can pass through controlled ON TRACK FOR 2020 The authority can then confidently rely checkpoints without having to physically Development of technical specifications, on the information in the chip to compare present their passport. proof of concept and testing methodologies against the information printed in the for the Hybrid DTC are underway. The physical passport book, and if need be, One of the advantages in the DTC is that Working Group continues to work against the traveller themselves. it provides several options for creation towards resolving policy issues, such and form, without losing the benefits as issuance, revocation and inclusion So how can a hybrid credential match of interoperability. The DTC itself could of additional travel data. Their aim is to this level of confidence? be derived from an existing ePassport have the DTC technical specifications by the holder of that ePassport. Or the presented for endorsement by the ICAO By linking the virtual travel credential to issuing authority could create the DTC TAG/TRIP in 2020. one or more physical tokens, it enables and has the option to store the virtual the verifying entity, such as a border component on a remote system or LOUISE COLE agent, to perform additional active securely on a smart device. authentication of the credential when Manager Information Partnerships, required for increased security. The When booking or checking in, travellers Department of Internal Affairs, physical token can be used to retrieve could send their virtual component in New Zealand Department of Internal Affairs (DIA)

6 ICAO TRIP MAGAZINE | NO. 1 | 2018 Modern Border Security Built on Trusted Identity

The perfect integration of physical and digital

See our digital travel credential demonstration at the ICAO TRIP Symposium and Exhibition in Montreal, or visit entrustdatacard.com/ICAO to learn more.

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Now, we’re bringing our expertise to the world of digital travel credentials. Building on our unique mobile smart credentialing framework — augmented with intelligent data capture and our adaptive authentication capabilities for secure and easy identity verification — our solutions enable partners and governments to bring even greater ease of use and security to both the physical and the digital realms.

DCC5074 ICAO_ad_v11.indd 1 9/14/18 3:12 PM INTERPOL-FRONTEX COLLABORATION

INTERPOL AND FRONTEX COLLABORATE TO IMPROVE FRONTLINE DOCUMENT CHECKS

THE CHALLENGE to operate under tight time constraints Around the world, the number of (rapid passenger control) and to be travel documents issued by different familiar with a growing number of new States grows every day. New types of types of travel and identity documents. travel documents are continuously issued as States react to the pressures to make Criminals are aware of these constraints these documents even more secure, and exploit weaknesses in the system incorporating the latest developments to cross borders with the purpose of of the document security industry. But committing further illegal activities. even as new security features are being developed and used, there are new THE VISION trends and modus operandi of document Frontex, the European Border and fraud that are evolving quickly. Coast Guard Agency, and INTERPOL are committed to fighting document Verifying travel documents is one of the fraud. The mission of both organizations main challenges for border guards and includes supporting police and border police officers and it is pivotal during guards in effective border control. first-line border control inspections. This underlines the importance of frontline The FIELDS (Frontex INTERPOL Electronic document and database checks at Library Document System) project aims to international borders. support border guards and police officers in authenticating travel and identity It is worth noting that frontline border documents by giving them access to control activities are conducted in visual information on the key detection extremely complex environments. Police points of inspected documents, in the officers and border guards are required framework of their national systems.

8 ICAO TRIP MAGAZINE | NO. 1 | 2018 INTERPOL-FRONTEX COLLABORATION

Officers conducting first-line border AN EFFICIENT TOOL FOR BORDER first-line border guards to quickly identify checks have only seconds to verify the GUARDS AND POLICE OFFICERS key document features that indicate authenticity of a document and assess Expanding upon their respective Dial- potential fraud. It helps ensure that whether it is genuine or potentially fake. Doc (Digital INTERPOL Alert Library suspect documents are spotted and Knowing which key markers to check – Documents) and Quick Check Cards referred to secondary processing for on a travel or identity document can initiatives, INTERPOL and Frontex closer examination, while rightful holders ultimately help improve border and are partnering to further enhance the of authentic documents are not exposed international security. ability of police and border officers to unnecessarily thorough inspections. to authenticate travel and identity The project is intended to complement documents at national borders. The QCCs are a decision-aid for law existing national examination enforcement officers during travel document processes and systems, including Frontex recently developed a new authenticity verification ‘at first encounter’, those equipped with automated product called Quick Check Cards concisely presenting the most relevant document scanning technologies. (QCCs). The aim of this tool is to assist information on the inspected document. The tool specifically focuses on key detection points that are selected on the

QCC2017_V.00 basis of the specific security features of the Reference Manual inspected document, as well as the known, Quick Check Card recent and most relevant forgery trends. May_2018 / Ref.2012_XPO_ePO_SP LIMITED - FOR CONTROL AUTHORITY USE ONLY

Interpol, Passport ePO. Validity 10 years 1. Biodata page visible light and under UV Light (365 nm) 2. Personalization with laser engraving 3. Secondary image protected by embossed security feature 4. Frontex has also recently established its Background/security printing in offset 5.Left side holder image with embossed security feature 6.OVD Expert Group on Document Control (EXP- DOC). The working group is composed 1 of nominated technical specialists and 3 operational document experts from 2 Schengen Member States. To ensure the highest quality of the product, Frontex 5 8 relies on the working group when 6 4 developing and creating QCCs. This unique initiative takes the knowledge of several highly professional document experts from numerous Member States, 2 3 4 to build one, simple-to-use product that is designed for frontline officers.

INTERPOL’s Dial-Doc is a tool containing ‘alerts’ and information on recently detected counterfeit documents. It is designed to assist border guards and 5 6 other law enforcement officers during second-line document checks in the 8 identification of document fraud.

7 Project FIELDS will bring together and enhance the existing Dial-Doc platform to make the Frontex Quick Check Cards available to frontline border control officers via INTERPOL’s I-24/7 secure global police communications system.

Ref. iFado: May 2018 / Validated by : CED The colors of the reproduction may not correspond exactly to that of the original

www.ICAO.int 9 INTERPOL-FRONTEX COLLABORATION

National authorities will be able to benefit HOW WILL THE NEW SYSTEM WORK? The real-time availability of the Frontex from this new system using their existing Based on the specific identifier of the Quick Check Cards at frontline border infrastructure and connectivity to INTERPOL. inspected document, a request will checks will increase effectiveness in automatically be sent to INTERPOL to verifying the authenticity of travel and PROJECT IMPLEMENTATION ascertain if a QCC corresponding to the identity documents at border checks, INTERPOL and Frontex are currently inspected document, is available in the contributing to the security of EU and working to determine the requirements and Dial-Doc database. partner countries. the technical and functional specifications of the proposed system. An interagency Border guards and police officers using INTERPOL, through its global I-24/7 network, steering committee is leading the project mobile equipment will also be able to already provides real-time information on to ensure it is technically feasible and will connect to Dial-Doc directly from their the validity of travel documents through add value to the participating States and national applications, and to consult its Stolen and Lost Travel Documents their citizens by contributing to border and QCCs when checking the authenticity (SLTD) database that contains records on international security. of inspected travel and/or ID documents lost, revoked, invalid, and stolen blank during frontline policing. The envisaged documents. Once the envisaged system Technical and operational experts from a Dial-Doc system will be made available is implemented, the enhanced Dial-Doc small pilot group of States are assisting in to any national law enforcement authority will become an additional tool to enhance the development of the project, to make upon a national decision. document border control, covering sure the system can be integrated with other elements of document fraud, such national IT infrastructures and will meet BENEFITS FOR PUBLIC SECURITY as counterfeits and forgeries not currently the daily needs of officers on the ground. Having effective control of travel and recorded in SLTD. The 18-month planning and analysis identity documents is an important phase is expected to conclude in cornerstone of border security and Member States will be able to take early 2019, after which the technical successful migration management. It is advantage of the opportunities for upgrades to the Dial-Doc system will be also an inevitable tool in the fight against streamlining first-line border control implemented based on the approved terrorism and organized crime, significantly systems through the integration of the design within one year. contributing to global security. new INTERPOL-Frontex solution within

10 ICAO TRIP MAGAZINE | NO. 1 | 2018 INTERPOL-FRONTEX COLLABORATION

“...effective control of travel and identity system will be implemented to allow each State using the system to decide documents is an important cornerstone of border with whom it will share any information uploaded to the system. security and successful migration management. Finally, through this project, INTERPOL It is also an inevitable tool in the fight against and Frontex together aim to leverage terrorism and organized crime... and expand international cooperation ” between border control and law enforcement authorities to raise existing national border management awareness of and tackle the global and police systems. The use of ad-hoc challenges posed by document fraud. technologies will ensure maximum flexibility and customization. FABRIZIO di CARLO The envisaged system may be made Specialized Officer, Forensic and Police available to any law enforcement officer in Data Management, sub-Directorate, any INTERPOL Member State, but access INTERPOL and implementation will remain under SZABOLES HORVATH the sovereignty of the individual States Team leader, Centre of Excellence for after the project has been finalized. At the Combating Document Fraud, same time, in line with national information Frontex sharing policies, a thorough restriction

ENABLING TRUST

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Our team will welcome you during the 14th ICAO TRIP Symposium 2018, on Booth #1 Lean more on www.sicpa.com BIOMETRIC SYSTEMS

BIOMETRIC SYSTEMS: CAN THEY BE CHEAP AND SIMPLE?

INTRODUCTION anywhere, to integrate biometrics into Bundling can leave organizations with Thinking about installing or our identity management. That was in opaque ‘black box’ systems they do not improving a biometric system for traveller 2004. Back then, it wasn’t possible to fully understand, that foster excessive identification? You may feel pressured to purchase whole biometric systems, so we dependence on the vendor, and that buy something that’s expensive, complex developed our own system in-house. are more likely than simple systems and large in scope. to fail. While black boxes are good for We built our biometric system into our vendors, they add complexity, cost and Based on Australia’s experience with issuing passport processing software (called maintenance overheads that organizations passports, you may not need a system like Delta), and coupled it to Delta’s workflow don’t generally need. Often, black boxes that. We’re sharing what we’ve learned in engine. It functioned very well. But don’t optimize the business value of the recent years about putting together simple, because it was so deeply embedded in personal information the organizations effective biometric controls that don’t break Delta, it was not adaptable. have collected. the national treasury. When we recently developed completely HOW WE AVOIDED THIS Every identity authority’s circumstances are new processing software (Atlas), we We made decisions about our new different. Nobody would want, or would be were unable to simply take Delta’s biometric system with a hard-headed able to replicate our solution in full. But the biometric system and transplant it. understanding of what we would not principles behind our approach, and many need it to do. specific elements, may give you something We needed a new biometric system. to think about. Though we deal with facial And we needed it to not just process ƒƒ It would not need to include an identity biometrics, the concepts apply equally to new passports, but to also verify existing repository. Sitting behind our processing iris and fingerprints. passports for other agencies. This way software, we already had a robust non- we could participate in the nationwide biometric database that linked identity OUR STARTING POINT biometric identity-matching arrangements elements (names, addresses and so on) Every year, Australia’s Department of that Australia’s federal, state and territory to application form numbers and the Foreign Affairs and Trade processes two governments launched in 2017. passport numbers of completed travel million travel document applications. documents. This ensured that every Slightly more than half come from the WHAT WE DIDN’T DO client only had a single identity record. 14 million Australians who need to renew Hype about biometrics, and the fear of ƒƒ Our new biometric system would not the passport they already have. We archive missing out on the benefits, can tempt need a business rules engine. Through the biometric facial image from every senior managers into seeing biometric Delta and Atlas, we already had, like application. Our image repository has 27 systems as a solution to all kinds of identity most passport issuers around the million biometric images, a figure that grows risks. This opens the door for vendors to world, an IT workflow that followed by more than 8,000 every business day. oversell the capability of their biometric defined business rules for handling products, or to bundle them with business applications logically. We were one of the first passport authorities, rules engines, identity repositories, ƒƒ Our Atlas software was going to have and one of the first government agencies middleware layers and other add-ons. a thin-client interface that presented

12 ICAO TRIP MAGAZINE | NO. 1 | 2018 BIOMETRIC SYSTEMS

biographic and biometric information ƒƒ QA (Image Quality Assurance) – The Verification service takes two facial to passport processing officers on determining whether a facial image images as an input and returns a match a single screen. Our new biometric is good enough to be used for score, a figure between 0 and 1 indicates system would need to service this Identification or Verification. the likelihood of a match between the interface but not integrate with it. two images. The workflow engine in the We did not build a single big application software that calls the service, decides We boiled down what we would need to to perform these three functions. Instead, whether the score constitutes a match, three core functions. for simplicity and flexibility, we developed and what to do with it next. a set of three separate services. ƒƒ 1:n (Identification) – comparing a The Identification service takes a single supplied image to multiple images in our HOW IT WORKS facial image and returns a list of the top records to detect identity fraud and The Image Quality Assurance (QA) 200 possible matches. The list includes identify unknown persons for identity- service accepts a single facial image only the identity record number and matching purposes. Identification and returns a list of quality attributes. match score, for each result. The workflow answers the questions, ‘do we know Which internal system calls the service engine in the software that calls the service this applicant under another identity’ and isn’t important, it could be our Delta or decides what to do with the information. ‘do we know this person at all’? Atlas passport processing software, an ƒƒ 1:1 (Verification) – comparing a single identity-matching software or a future This approach has a number of benefits. image in our records to the supplied software not yet conceived. The service image of someone who purports to will return the same list regardless. The ƒƒ The services proved relatively simple be that person. Verification confirms workflow engine in the software that and quick to build. that a renewal client is using the same calls the service decides whether the ƒƒ Keeping them discrete from other identity as in previous applications attributes in the list signify an image software means we can make them or that a person interacting with quality high enough to attempt a match highly available at a lower cost than government in other contexts is who using the other two services. what would otherwise be the case. they claim to be.

WORLD CLASS BORDER SECURITY FOR A WORLD THAT’S ON THE MOVE. BIOMETRIC SYSTEMS

ƒƒ The services can be called by any of our ƒƒ 1:n Identification engines are expensive, THE BOTTOM LINE business processes, not just passport and licencing is based on the number The project took 12 months to complete application processing software. of templates enrolled. at a cost of just AUD 2 million (USD1.477 ƒƒ Each service can be upgraded or ƒƒ Extensive research has shown that as million). This kind of inexpensive replaced separately, with no impact the size of the database increases, the outcome is not typical, but then neither on the other two services, and with no matching effectiveness decreases. was our approach. effect on business processes as long as the new service returns outputs We have therefore decided to rationalize In deciding on a biometric system, the within the same range. the number of templates we enrol. most important factor is a clear-eyed ƒƒ The outputs are simple and known, so Because facial images of young children understanding of what you do and developing new business processes and outdated images of adults are of don’t need. Every biometric system that use them, is straight forward. little value for identification, in the future uses commercial components, such as ƒƒ New approaches to facial comparison, we will only enrol the images of children algorithms and service interfaces. The such as using multiple matching above a certain age, and the most recent key is to buy only what you require, to engines, can easily be implemented image of other clients. make the technology work for you rather behind the service interface. than the other way around, and to deal These policies will reduce the size of with vendors from a position where you, BIGGER IS NOT ALWAYS BETTER the database from 27 million to around not they, are setting the agenda. With the new system came a new line of 13 million. This will bring a significant thinking about the identification service. saving in licence and maintenance Until recently, our policy had been to fees, and a corresponding increase STEPHEN GEE enrol every facial image in our archive in matching effectiveness. Images not Australia’s TAG-TRIP Member and into the database of our biometric enrolled in the database will be retained Assistant Secretary in system. This posed two challenges. in the archive, from where we will be able Department of Foreign Affairs and Trade to access them manually if we need to. of Australia KNOWN TRAVELLER

GLOBAL BORDERS WITH A KNOWN TRAVELLER CONCEPT

In January 2018 the World Economic Forum introduced its Known more travellers. These impediments limit Traveller Digital Identity (KTDI) concept, an initiative co-designed the potential to pre-screen and pre-clear by public and private sector partners that seeks to anticipate the larger numbers of low-risk travellers. challenges, and take advantage of the immense opportunities that Among the challenges identified were the emerging technologies will present, in the cross-border movement of expensive and human resource-intensive people. The KTDI concept seeks to address the changing behaviours nature of trusted-traveller programme and expectations of travellers, the growing global traveller volumes, implementation, the lack of trust between and the rise in geopolitical insecurity. As a traveller-centric system, participating countries – which results in the the KTDI concept would provide authorities and security officials with duplication of vetting processes – and the early, reliable and verified information prior to individuals arriving at the low rates of adoption due to the cost and onerous nature of the application process. border. In doing so, the KTDI concept would better enable risk-based As such, governments have a limited ability traveller differentiation and facilitation, providing authorities with added to reduce bottlenecks in screening and time and resources to detect and address risks and threats. border management. Where registered traveller programmes, rather than trusted- The World Economic Forum (the to effectively combine expertise and traveller programmes, have been adopted “Forum”) is an independent international resources to deliver positive change in to improve uptake and implementation, organization committed to improving the safe, clean and inclusive movement initial vetting remains dependent on legacy the state of the world by engaging of goods and people. The Forum is systems whereby risk-levels are based on business, political, academic and other fortunate that ICAO’s Secretary General, the country of origin. leaders of society to shape global, Dr. Fang Liu, serves as a member of the regional and industry agendas. The Board of Stewards on this System Initiative, Undertaking risk assessment based purely Forum is organized into fourteen System which has enabled increasing collaboration on biographic data, such as nationality, Initiatives, each of which is designed to between the two organizations. can be ineffective since high-risk travellers stimulate a more effective public-private from countries deemed ‘safe’ may be response to a complex global issue, in LEARNING FROM TRUSTED overlooked. Furthermore, this approach order to improve the state of the world. -TRAVELLER PROGRAMMES could risk being discriminatory, in that Systems leadership works by cultivating Research undertaken in 2016 and 2017 trustworthy travellers may be subjected a shared vision for change, empowering by the Forum in collaboration with the to excessive screening if they come from widespread innovation and action, and International Criminal Police Organization countries deemed ‘high-risk’. enabling mutual accountability. (INTERPOL), and interviews with leaders of the most advanced trusted-traveller THE KNOWN TRAVELLER DIGITAL The Forum’s System Initiative on the and registered-traveller programmes, IDENTITY CONCEPT Future of Mobility connects stakeholders revealed the impediments to scaling such At its core, the KTDI concept promotes a within and across industries and regions programmes geographically, and reaching risk-based, data-driven approach to traveller

www.ICAO.int 15 KNOWN TRAVELLER

screening and border security. The concept her identity is authenticated through concept offers the advantage of knowing is founded on the principle that individual biometric verification, and profile in advance those they will be interacting travellers have control over the use of information is protected by distributed with. By having this information provided in their own identities and their components. ledger technology and cryptography. advance, organization-specific processes It empowers travellers to become active By self-selecting the sharing of their can be executed more efficiently and partners in the security process by choosing digital identities, not only will travellers effectively. Also, both public and private to share their data with security and border be integral in the security process, but entities will be able to offer more custom- screening officials, as well as private sector they will experience the reward of more made services with more direct benefits for entities, in advance of travel. Through the personalized and seamless journeys. the traveller. advance sharing of identity information, the KTDI concept equips government ADVANCED PASSENGER SCREENING PROOF OF IDENTITY AND and private sector entities with traveller When travellers push proof of their identity ATTESTATIONS information that would improve decision- information to governmental authorities To build a verified “Known Traveller” making and risk assessment related to throughout their journey, they will build status, the traveller needs attestations. authorizing travel and border crossing. trust in their digital profile, which will, over Authenticated claims as declared by time, create facilitation opportunities. a trusted entity, attestations, would be USER-CENTRICITY The access by authorities to verified added to a traveller’s KTDI wallet each The KTDI concept puts the individual personal biometric, biographic and travel time a trusted entity (e.g. a government traveller in control of the specific history data enables entities to undertake border official) verifies an identity claim. identity information (such as biometric, advanced risk assessment of the traveller Currently the opportunity to collect these biographic and travel history data) based on verified identity information attestations in a distributed ledger- provided to governmental and private- and provide seamless access through enabled KTDI wallet is being explored. sector players along the journey, biometric recognition technology, which for the purpose of risk-assessment, will also further ease traveller facilitation. Eventually, the distributed ledger- verification and access. The traveller For travellers who are deemed low risk, enabled KTDI wallet will have the ability can select which information is shared this could result in a more efficient and to include verified attestations such as and for how long, in accordance with seamless pre-boarding screening process. proof of citizenship in country X, proof the requirements of the authority of an educational degree from college Y or private entity from which he/she For receiving organizations and entities, and proof of vaccination for viral disease is seeking access to services. His/ the validated identity proof of the KTDI Z. In the future, country A might authorize

16 ICAO TRIP MAGAZINE | NO. 1 | 2018

KNOWN TRAVELLER

a traveller to enter country A based on authority’s record would remain stored in dedicated to achieving the TRIP strategy, attestations, which do not contain any a secure government solution. Access to particularly work that relates to the personal information, by country B (e.g. the authority’s record of the attestation exploration of digital travel credentials, visa, entry and exit attestations). would only be granted by the issuing/ the promotion of interactive API systems, attesting authority upon request of and the collaboration with international Attestations are verified ‘proofs’ of another trusted entity. organizations like INTERPOL and the granular identity components, provided International Organization for Migration by governments or other entities. In the application for an attestation, the (IOM). The Forum will continue to interact Together these attestations generate identity of the traveller is authenticated with all valued partners to explore what the basis of the traveller’s reputation and through biometric facial verification the changing technology, security and ultimately can influence the determination and any personal identity information traveller behaviour landscapes may of future security decisions related to remains protected by distributed mean for the evolution of these activities, immigration, border clearing, customs ledger technology and cryptography. and the integrated responses to them. and pre-departure screening. The more As travellers consolidate attestations attestations a traveller receives, the more into their Known Traveller wallet, they For a more detailed overview of this confidence authorities may have in the increasingly strengthen their claim to work, please refer to 2018 report, The traveller’s status as “known”, and the more compliance, trust and legitimacy as a Known Traveller, by visiting http://www3. data points authorities have upon which “known traveller”. weforum.org/docs/WEF_The_Known_ to make risk assessments. Traveller_Digital_Identity_Concept.pdf. NEXT STEPS An attestation is recorded in the form of Today’s aviation security and border a digital stamp in a traveller’s KTDI wallet crossing reality is not the reality that we LAUREN UPPINK CALDERWOOD and can be shared as part of identity will come to know in the next decade. Head of Aviation, Travel and Tourism validation history with other entities. The The Forum supports the ongoing efforts Industries, World Economic Forum attestations linked to an issuing/attesting of ICAO and its Member States that are

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Verifai Ad half letter.indd 1 27-8-2018 12:24:11 OSCE IMPLEMENTATION OF UN SEC

WHO’S AFRAID OF THE BIG BAD WOLF? THE ROLE OF THE OSCE IN IMPLEMENTING UNITED NATIONS SECURITY COUNCIL RESOLUTION 2396 (2017)

If you’ve ever heard the fairy tale With the adoption of Resolution 2396 in could have taken place had these of Little Red Riding Hood, you December last year, the United Nations documents fallen into the wrong hands. know that the Big Bad Wolf races ahead (UN) Security Council identified a series of the young girl who is going to visit of measures that will help States deal with It is imperative that States set up her grandmother, and gets into bed the challenge of returning and relocating effective measures at their borders disguised as the grandmother, after he FTFs. Resolution 2396 has four key border to assess whether travelers are using has eaten her. Though Little Red Riding security elements: (i) improving screening fraudulent identities and travel documents. Hood notices her grandmother looks procedures at the border; (ii) cross-checking This is particularly relevant at the border strange, she fails to discover the ruse, so passenger data against watch lists and crossings of OSCE participating States she is also eaten by the Big Bad Wolf. databases; (iii), collecting biometrics; and (iv), where they do not have passport readers enhancing information exchange. or even electricity! In these areas, border Hiding our identities is easier than we security is completely reliant on the border think. While the Big Bad Wolf’s simple The aim of this article is twofold. After guard’s ability to analyze the traveller and disguise fooled Little Red Riding Hood, looking at these four elements separately, the travel document to recognize a fake. with advanced forgery techniques and the we’ll consider the ways the OSCE is lack of intelligence sharing among States, supporting the implementation of Resolution Resolution 2396 obliges States to disguising one’s identity today is more 2396 in each of these four areas. strengthen border security through more elaborate. Terrorists take advantage and thorough checks of forged documents travel unnoticed so we are often unable to BORDER SCREENING and enhanced identification management. detect their movements. The implications In January 2017, 14 people were convicted At the OSCE, we are supporting States by to society can be devastating, as we have by a Belgian court of producing fraudulent training front-line officers on the detection seen in attacks over recent years. identity documents. Some of these of imposters and fraudulent documents. documents had been sold to individuals We also have a dedicated Mobile Training Foreign terrorist fighters (FTFs) in their who were involved in the November 2015 Team that delivers on-site training to countries of origin, or those travelling Paris attacks and in the 2016 Brussels border officials to be able to better to other regions, pose a serious threat bombings. When considering that the identify and interview potential FTFs at to States, given the risk that they may group managed to forge more than border controls. carry out attacks at home, or engage in 2,000 passports and IDs, it is terrifying recruitment efforts. to imagine what other terrorist incidents

18 ICAO TRIP MAGAZINE | NO. 1 | 2018 OSCE IMPLEMENTATION OF UN SEC

PASSENGER DATA criminals will try to mask their identities adopting integrated border management On 24 May 2014, four people were in a number of ways, whether by using strategies and establishing Police- killed in Brussels by a man armed with fraudulent passports or taking on new Customs Co-operation Centres. Likewise, a Kalashnikov rifle. Despite being on identities, but it is a lot harder to fake in our work on passenger data, we help several terrorist watch-lists, the man was their fingerprints. States to establish a single window able to fly back to Europe to carry out the or passenger information unit where attack because his data was not checked Because fingerprints and facial scans national agencies can share information against the watch-lists before he travelled. can be used to validate the identity of with one another. travellers and their travel documents, With the adoption of Resolution 2396, all Resolution 2396 mandates that all States Inter-State information sharing usually States are required to collect passenger begin collecting biometric information. takes place through the use of data in advance and cross-check this Given how massive this undertaking is, it international or regional databases, such information against watch-lists and will take many years for all States to be as those of INTERPOL or Europol. The databases. This obligation includes able to securely and safely collect and challenge is that not all border control two different types of data: Advance store biometric data. points have access to these databases, Passenger Information (API) and and not all States are populating the Passenger Name Record (PNR). The OSCE is ready to provide capacity- databases with the relevant data. The building assistance in this regard. We are OSCE and INTERPOL have recently API and PNR are not quite the same. API assisting States to improve the security adopted a Joint Action Plan with a view to data is the biographic data contained in of their ePassports by helping them join closing these information exchange gaps. a passenger’s travel document that is the ICAO Public Key Directory (PKD), a submitted to the airlines during check- repository which allows them to verify CONCLUSION in. PNR data is the information provided the biometric and biographic data in the This article focussed on the significance when booking a flight, including contact chip of the passport. of UN Security Council resolution 2396 details and payment information. While in four key areas: border screening, API is useful for matching against watch- We have also been partnering with passenger data, biometrics, and lists and risk profiles, PNR can help to INTERPOL to promote States’ access information exchange. While important identify suspicious travel patterns and to their databases, including those steps have already been taken, there is hidden connections between known of fingerprints, DNA profiles, and of still a lot to be done. threats and their unknown associates by suspected FTFs. Additionally, we are examining specific data elements, like communicating with independent bodies Looking back at the tale of Little Red Riding credit card numbers. to identify potential gaps in the use of Hood, my favourite ending has a group biometrics for counterterrorism purposes. of young girls, who help her escape from The OSCE has been offering support An OSCE-wide seminar on best practices the Big Bad Wolf, washing bed sheets to States for establishing API and PNR in the collection of biometric data will by the river. While Little Red Riding Hood systems. We have been working directly be organized jointly with the Biometrics manages to cross the river by walking over with national authorities to prepare Institute in the first half of 2019. the sheets, the girls let go of them when tailored action plans for implementation. the wolf tries to do the same, leaving him We further help them to implement these INFORMATION SHARING to be carried away by the waters. plans by providing legislative advice as In the aftermath of the November 2015 well as technical and operational support. Paris attacks, we learned that information This ending shows the importance of on the backgrounds of some of those working together. Resolution 2396 calls BIOMETRICS involved was available months before for States and International Organizations In November 2017, US authorities arrested the attack, but that it was not shared to collaborate in preventing the a Saudi citizen residing in Oklahoma who between European intelligence services. movement of terrorists and that is what trained with Al Qaeda in late 2000. The Dealing effectively with transnational the OSCE is striving to achieve. FBI was able to identify the man when threats requires continuous co-operation they matched his fingerprints against and intelligence sharing between law those taken from an application form for enforcement authorities. This is why the terrorist group’s training camp when it Resolution 2396 stresses the need for ADRIÁN CARBAJO was seized in Afghanistan. increasing information exchanges both Adviser on Passenger Data Exchange, within, and among, States. OSCE Border Security and Biometrics can be a valuable tool for Management Unit verifying that individuals are who they With regards to internal information say they are. Terrorist and organized sharing, the OSCE supports States in

www.ICAO.int 19 BIOMETRIC IDENTIFICATION

BIOMETRIC IDENTIFICATION OF CHILDREN FOR IMMIGRATION CONTROL

In line with other regions around THE CHALLENGE The European Commission is the the world, the EU began integrating The proper use of a technology requires executive arm of the European Union biometrics in a number of identity precise knowledge of its limits and (EU) that implements the Union’s documents as a means for increasing constraints. With automated fingerprint political and strategic direction. As the border security for immigration control. New recognition technology, well-known limits science and knowledge service of the generation passports are equipped with related to processing performance (i.e. European Commission, the mission of electronically readable fingerprints and face how fast it can be done), to accuracy (i.e. the Joint Research Centre (JRC) is to images, the EU Visa Information System how reliable the result of a recognition is) support European Union policies with uses face and fingerprint verification for and to handling (i.e. the level of expertise independent evidence throughout the checking the validity of visas. necessary for its use), exist. However, policy cycle. there is also a limit with respect to ageing. The proposed new EURODAC system (fingerprint database of asylum seekers) One thing biometric identifiers, including involves the enrolment of children from fingerprints, have in common is that they the age of six years. In this context, the are based on physiological properties JRC carried out research to determine that may change over time. In particular, whether or not automated fingerprint with fingerprints, it is assumed that the recognition works as well for children characteristic pattern obtained from each as it does for adults. In fact, it does – finger is unique and remains unchanged provided fingerprints can be acquired for a lifetime, but at minimum, the size of with sufficient quality. the pattern grows during adolescence.

20 ICAO TRIP MAGAZINE | NO. 1 | 2018 BIOMETRIC IDENTIFICATION

FINGERPRINT DATA OF PORTUGUESE CHILDREN: ƒƒ Some 1600 children, scanned twice within 2–4.5 years, using 500-dpi fingerprint scanners ƒƒ left and right index finger ƒƒ age coverage: 0–11 years ƒƒ three “black box” algorithms, issuing a matching percentage

Does the pattern evolvement significantly hamper the automated fingerprint verification of children? While human fingerprint experts do not encounter a problem when they review fingerprints algorithms, targeted to analyse obtained at different ages of the same good person, automated systems were dependencies with respect to age not originally designed to cover such groups and time differences between cases. Before the JRC began its study the acquired fingerprints. (requested by the European Parliament 2. Analyse the growth effect by in 2008), there was no evidence that estimating the feature displacement automatic fingerprint recognition in two corresponding fingerprints, and systems would be able to correctly create a model to describe the feature match samples of the same (juvenile) displacement. user acquired with several years’ 3. Quantify issues related to the image difference. On the contrary, developers acquisition through experiments with poor of these systems already highlighted the traditional and alternative acquisition existence of potential problems with the devices (fingerprint scanners). recognition of child fingerprints. MAIN FINDINGS JRC APPROACH Surprisingly, it was found that the growth Though access to child fingerprint data of the fingerprint pattern had much less became integral to the study, very few, and influence on recognition accuracy than in most cases inappropriate, resources predicted. All tested algorithms showed existed. In particular, there was no data the same recognition rate regardless of poor available where the data subjects were the time between the fingerprints (of up followed over a sufficiently long period of to 4½ years). time to address the feasibility question. Another important uncertainty concerned Fortunately, the Portuguese authorities the image resolution. Is the usual offered by courtesy, anonymized image resolution of 500 dpi (of state- fingerprint data of children obtained in of-the-art fingerprint scanners – see Figure 1 the context of issuing passports (see image) sufficient to identify the relevant Figure 1). One public domain and two fingerprint features of young children? commercial algorithms for automated The answer is yes, despite the fact that In fact, image quality remains the only fingerprint recognition systems were the distance between ridges (fingerprint limiting factor. Though this is a well- used to study their behavior under the lines) of children can be up to one third known constraint for adults (Figure 2), particular age constraints. of those of adults. Within the available with the smaller structure sizes of child time window of up to 4½ years between fingerprints, the constraints get worse, The feasibility question of the study was the acquired fingerprints, there was no and the probability for these constraints broken down according to three lines of principle barrier observed for proper increases. Therefore, proper enrolment is investigation: automated recognition by existing the key factor for successful recognition. 1. Perform recognition experiments matching algorithms – provided the In short: smaller dimension + poor quality with current and prototype matching images were of sufficient quality. = reduction in recognition.

www.ICAO.int 21 BIOMETRIC IDENTIFICATION

In summary, the study confirmed that mainly occur when using the state-of- “Surprisingly, it was under proper acquisition conditions, the-art optical fingerprint systems that fingerprint recognition of children aged are currently, widely used in border found that the growth between 6 and 12 years is achievable and immigration controls. Alternative with a satisfactory level of accuracy. technologies, such as touchless devices of the fingerprint or multispectral devices, showed in a RECOMMENDATIONS number of experiments, better resilience pattern had much A minimum level of training of operators with respect to the quality degrading and (child) clients is necessary for acquiring issues of the optical fingerprint sensors. less influence on high quality images. This concerns mainly the proper monitoring of the condition of In any case, larger field trials on the recognition accuracy the particular finger skin part that needs enrolment of children need to be conducted to be enrolled. Poor quality usually occurs in order to quantify a practical age limit, given than predicted.” when the skin is either too dry or too the best available technology. These trials humid. It is recommended to conduct should further investigate and quantify the relevant best practice studies to find impact of certain enrolment devices optimal operation conditions. and procedures.

Matching algorithms can be further improved by taking into account the The full JRC report can be age of the child and the time between downloaded from: http:// individual fingerprint enrolments. The publications.jrc.ec.europa.eu/ study confirmed the validity of an isotropic repository/bitstream/JRC85145/ growth model that can help to predict the fingerprint%20recognition%20 change of fingerprint patterns over time. for%20children%20final%20 report%20%28pdf%29.pdf Relevant quality metrics for fingerprints or https://tinyurl.com/yauto7q5 need revision with children. As quality metrics for fingerprint images assume feature dimensions for adults, adaption to child fingerprints will be required. GUNTER SCHUMACHER Otherwise, the reported quality scores Program Manager, Joint Research Centre might mislead the acquisition process. of the European Commission JAN LÖSCHNER Finally, more emphasis should be put Scientific Officer, Joint Research Centre on the selection of acquisition devices. of the European Commission The image quality constraints mentioned BORDER CONTROL MANAGEMENT

COMPLETING THE TRIP CONTINUUM BODY OF TECHNICAL GUIDANCE MATERIAL: BORDER CONTROL MANAGEMENT

SUMMARY The project Strengthening Travel related to Border Control Management ICAO’s Facilitation Section Document Security and Identification (BCM) because it focussed on two TRIP has been delivering direct technical Management in the Sahel Region was elements: Inspection Systems and Tools assistance to States since 2014. This the Facilitation Section’s first project that and Interoperable Applications. engagement seeks to enhance the delivered direct assistance to States. This implementation of the five elements pilot project, completed in 2016, set the The project complemented the on-going of the ICAO Traveller Identification stage for a second project, Strengthening efforts of the Facilitation Section to extend Programme (TRIP) Strategy by States, Border Control Management in the the dialogue beyond the traditional in partnership with a broad range Caribbean Region (“Caribbean Project”), interlocutors of the Machine Readable of stakeholders, including the ICAO undertaken between 2016 and 2018. Travel Document (MRTD) Programme, to Technical Advisory Group (TAG) and Both projects were funded by the the full array of parties concerned with the international and regional organizations. Government of Canada. TRIP Strategy, expanding the focus from The most recent such initiative, focussing the travel document issuance community on border control management, was The Caribbean Project provided an to all stakeholders concerned with implemented in the Caribbean region. opportunity for further advancing work authentication of MRTDs at borders.

The ICAO TRIP Guide on BCM (“the Guide”) was the key outcome of the Caribbean Project. The Guide is intended as reference for Member States to optimize the use of technologies available that enhance their national BCM. Being a product of the TRIP Strategy, the Guide focuses on the border controls applied to travellers. The regulatory framework of the Guide is found more prominently in the Standards and Recommended Practices (SARPs) of Annex 9 – Facilitation and in the technical specifications of Doc 9303, Machine Readable Travel Documents.

By providing a framework of 13 technical topics that describe and categorize Inspection Systems and Tools and Interoperable Applications, the Guide completes the body of technical guidance material available to States covering the full continuum of traveller identification.

With their traveller border control arrangements, States seek to maximize

www.ICAO.int 23 BORDER CONTROL MANAGEMENT

TRIP technical guidance material is available for download at: https://www. icao.int/Security/FAL/TRIP/ Pages/Publications.aspx

the economic, social and political benefits border controls are applied, strategic and by States contain standardized traveller of travel while at the same time identifying legal frameworks, BCM agencies and identity information in a standardized and mitigating risks and threats. The stakeholders, the examination of travellers, machine readable format that can central concept of the Guide is that the inspection of travel documents, and be communicated and shared in a BCM is most effective when the iterative human resource considerations. standardized, interoperable way. process is repeated when new information becomes available at each phase of the Though States can be expected to The Guide discusses contributions journey: pre-departure, pre-arrival, entry, have extensive knowledge of their own made by other United Nations agencies stay and exit. citizens and residents, they rely on and international organizations to BCM. foreign data and information about the The Consolidated UN Security Council While technology is central to the identity and nationality of the citizens Sanctions List and INTERPOL Red TRIP Strategy, the Guide addresses and residents of other States. Therefore, Notices identify potential travellers of other aspects that are critical to the the SARPs and technical specifications security and law enforcement concern to management of border controls, published by ICAO play a critical role in States. Checks against INTERPOL’s Stolen including the environment in which ensuring that travel documents issued and Lost Travel Documents database

Traveller identification and risk assessment is repeated throughout the traveller journey as additional information becomes available to the receiving/destination State

24 ICAO TRIP MAGAZINE | NO. 1 | 2018 ICAO TRIP Workshop on BCM in the Caribbean Region, Jamaica, The ICAO TRIP Guide on BCM is available Police Organization (INTERPOL), IOM, November 2017 at: https://www.icao.int/Security/FAL/TRIP/ Joint Regional Communication Centre Pages/Publications.aspx (JRCC) of the CARICOM Implementing Agency for Crime and Security (IMPACS), For questions or to communicate with the OECS, United Nations CTED, United Facilitation Section, States are invited to Nations High Commissioner for Refugees write to: [email protected]. (UNHCR) and United Nations Office on Drugs and Crime (UNODC). are essential prior to relying on travel ICAO extends its appreciation to the subject- documents as evidence of identity. matter experts who have developed the content of the ICAO TRIP Guide on BCM and The two parts of the Guide are to organizations that have contributed to its KARINE BOULET GAUDREAULT complementary and intended to be used review: European Border and Coast Guard Manager, Aviation Facilitation, together. The Part 1: Guidance Material Agency (FRONTEX), ICAO Implementation International Air Transport Association (IATA) and Part 2: Assessment Tool can assist and Capacity Building Working Group ROSS GREENWOOD States to achieve better security and (ICBWG), ICAO New Technologies Working Expert, Border Control Management facilitation outcomes in BCM. Group (NTWG), International Criminal

THE CARIBBEAN PROJECT AT A GLANCE

STATES PARTICIPATING Antigua and Barbuda, Bahamas, Barbados, Belize, Cuba, Dominican Republic, Grenada, IN THE PROJECT Haiti, Jamaica, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, and Trinidad and Tobago

IMPLEMENTING PARTNERS United Nations Counter-Terrorism Committee Executive Directorate (CTED) with the support of two regional organizations – the Caribbean Community (CARICOM) and the Organisation of Eastern Caribbean States (OECS)

IMPLEMENTATION PERIOD 2016-2018

ACTIVITIES 1. Development of the ICAO TRIP Guide on Border Control Management; 2. Four Technical Assistance Missions: Barbados; Dominican Republic; Jamaica, jointly with the Counter-Terrorism Executive Directorate (CTED); and Saint Lucia jointly with the International Organization for Migration (IOM); and 3. Two ICAO TRIP Workshops on BCM: Antigua and Barbuda and Jamaica.

www.ICAO.int 25 DOCUMENT SECURITY FEATURES

THE DOCUMENT SECURITY FEATURES ELECTRONIC LEARNING COURSE

INTRODUCTION variable devices and color shifting them to wear or damage. The result is Biometric travel documents, features must be tilted; printing process that although many countries possess including ePassports, can provide powerful characteristics and microtext must collections of exemplar documents, the facilitation and security advantages in be viewed through a magnifier; and only exemplars most document trainers environments where the capabilities of the ultraviolet-reactive features require an can access in quantities sufficient for chip can be utilized. The challenge is that ultraviolet light. These technologies are classroom training are the exemplar many countries do not issue ePassports, used to deter counterfeiting because documents from their own countries. and passports examined in environments they don’t photograph or photocopy This limitation can prevent trainers without the appropriate reader and well. At the same time, this means that from providing document inspection supporting infrastructure cannot utilize their dynamic visual effects can be hard classroom training that features a ePassport functionality. Additionally, to convey using only still images in slides diverse set of international documents many identity documents (for example, or handouts, so physical document obtained from a variety of issuers. This birth records) do not contain machine- exemplars are used in the classroom. problem is shared by many trainers and readable technologies. Accordingly, many document issuers, and it can be physical inspection of documents remains However, the effectiveness of classroom addressed through electronic learning. relevant and will continue in border counterfeit detection training suffers from a control, consular, vital records, and similar number of limitations related to resources. THE TRANSITION TO environments. This article introduces Classrooms can only accommodate finite ELECTRONIC LEARNING the U.S. Department of State’s electronic numbers of students at a time, so training Electronic learning cannot fully substitute learning course, Document Security for large numbers of staff requires the for examining real physical documents. Features, which the Department intends same classroom course to be hosted However, electronic learning offers several to make available to a wide audience repeatedly. Classroom training requires the compelling advantages that overcome because visual counterfeit detection training total attention of both the students and the many of the resource constraints of remains an ongoing need in many countries. instructor, who cannot perform other work classroom training. Electronic learning duties while the course is in session. Travel modules require significant up-front COUNTERFEIT DETECTION TRAINING and logistical complications may further development costs, but once an IN THE CLASSROOM increase costs or the time required to host electronic learning module is created, In-depth training on document security the training. The availability of exemplar it can be delivered globally to unlimited features and counterfeit detection documents can also present a problem. If a numbers of students – over months or has traditionally been delivered in the particular national passport is to be studied years – without the ongoing expenses of classroom, with reliance on hands-on by a group of 24 students, then ideally classrooms, instructors, or travel. Logistics exercises with physical documents. 24 physical exemplar passports would be are simplified, as trainees are able to This is equally a product of the subject available, but this is frequently not possible. complete electronic learning modules matter of security document training during incremental periods of down- and a historical deficit of alternative When a country issues a new security time in their usual work environments, instructional technologies. document, one (or a few) exemplars may instead of traveling to another location. be provided to other States, but usually Course planning is also reduced because Many security features require in very limited quantities. Even then, each student completes the training manipulation of a document to visualize the exemplars may be used primarily independently, on their own schedule. the security feature effect. For example, for forensic comparison purposes, watermarks and see-through register preventing them from being used for Most importantly, electronic learning icons must be held up to a light; optically routine training that would expose helps to overcome the availability of

26 ICAO TRIP MAGAZINE | NO. 1 | 2018 DOCUMENT SECURITY FEATURES

Figure 1. Scrolling menu of document examples from the “Color Shifting Ink” topic in Document Security Features. This menu features thirteen examples of color shifting ink implementations in passports, identity cards and banknotes.

Figure 2. Transmitted light view of a passport visa page from the “Watermarks” topic in Document Security Features. The buttons at the left allow the user to view this watermark in several different lighting conditions.

Figure 3. Instruction screen describing how ultraviolet-reactive inks are typically integrated with personalization in a passport data page, from the “UV Inks and Personalization” topic of Document Security Features.

www.ICAO.int 27 DOCUMENT SECURITY FEATURES

PAPER SUBSTRATE SECURITY FEATURES SPECIALTY INKS Table 1 • Security Fibers/Planchettes • Metallic Ink and Hot Foil Stamps • Security Threads • Iridescent Ink • Watermarks • Color Shifting Ink • Die Cuts and Shatter Cuts • UV Inks and Artwork • Solvent-Sensitive Components • UV Inks and Personalization • Other Specialty Inks PLASTIC SUBSTRATE SECURITY FEATURES • Types of Plastic Cards OPTICALLY VARIABLE DEVICES • Laser Engraving • Metallized OVDs • Tactility • Demetallized OVDs • Windows • Multiple OVDs

SECURITY FEATURES IN PRINT LENS SECURITY FEATURES • Microprinting • Lenticular • Split Fountains • Lenticular Decoder • See-through Register • Micro Optic • Latent Images • Retroreflective limited physical document exemplars same limited pool of physical security examples. The example documents because interactive animation features that are used by all security change between different security feature technologies can simulate the effects of document issuers. For example, a topics, which ensures that the most even very complex security features on module on how to inspect watermarks appropriate examples of each particular a screen, with no physical documents could include watermark features in technology are showcased, and that required. This creates an economy several international passports, birth each example contains new information. of scale because a single document records, and banknotes to illustrate that The goal is for learners to gain the exemplar is difficult to share between watermarks are used in similar ways ability to self-train on new and unfamiliar many students in a classroom, but across documents of different types. documents by quickly recognizing that one exemplar can be used to create This prepares learners to locate and they probably contain many of the same interactive virtual exercises, animations, evaluate a watermark when presented security feature technologies they have or security feature effect simulations with an unfamiliar document, even observed previously in other documents. that can be shared with unlimited without reference materials, because the numbers of students worldwide. This learner already understands watermarks Document Security Features is composed approach allows training to migrate from as a technology. The training concept of a series of modules that cover a variety a document-centric paradigm (focusing is similar for other classes of common of anti-counterfeiting and anti-alteration on only one issuer’s documents, security features. technologies used in documents, which examined physically in a classroom) to a have been classified according to the technology-centric paradigm (focusing DOCUMENT SECURITY menu structure shown in Table 1. To closely on virtual examination of the most FEATURES eLEARNING replicate the visual effects of each security common security technologies used in all In alignment with the goals described feature technology across a range of security documents, from all issuers). above, the Bureau of Consular Affairs and diverse document examples (see Figure the Diplomatic Security Training Center 1), the development of Document Security The goal of the technology-centric (components of the U.S. Department of Features required extensive photography paradigm is to provide trainees with a State) have jointly developed Document and animations of document manipulation thorough understanding of common Security Features, an electronic for user interactivity. For example, many security feature technologies as they are learning primer on the most common of the security feature technologies implemented across document types, counterfeit- and alteration-resistant require transmitted lighting (see Figure 2), without a focus on a single national security technologies used in documents ultraviolet light (see Figure 3), tilt actions issuer. It is impossible to memorize such as passports, identity cards, visas, (see Figure 4) or other specialized viewing which security features are present birth records, and banknotes. Instead conditions to be authenticated, so users of in the hundreds of national passports of exclusively training on documents Document Security Features can control and other documents in use globally, issued by the U.S. Department of State, lighting conditions and play animations but it is possible to recognize the most Document Security Features incorporates (see Figure 5) that simulate manipulation common technologies pulled from the a wide variety of international document of virtual documents. Typical users report

28 ICAO TRIP MAGAZINE | NO. 1 | 2018 DOCUMENT SECURITY FEATURES

Figure 4. Tilt view of an intaglio latent image in a passport endsheet, from the “Latent Image” topic of Document Security Features. The buttons at the left allow the user to see this feature in other lighting conditions.

Figure 5. Instruction screen featuring a playable animation of a lenticular image flip in an identity card, from the “Lenticular” topic of Document Security Features. Animations are used for effects that can’t be displayed with static images.

spending 8-10 hours to complete all of available at no charge. Requesting the content, making Document Security organizations will be responsible for JOEL ZLOTNICK Features one of the most comprehensive any IT support or infrastructure required Supervisory Physical Scientist low-cost training options available on the for course deployment. Government Counterfeit Deterrence Laboratory subject of counterfeit detection. agencies and multinational organizations Office of Fraud Prevention Programs interested in using Document Security Bureau of Consular Affairs REQUESTING THE COURSE Features for their own training purposes U.S. Department of State The U.S. Department of State intends are advised to contact the Counterfeit to make Document Security Features Deterrence Laboratory, Office of Fraud CORRECTION: ICAO incorrectly identified available to other organizations, subject Prevention Programs, Bureau of Consular article author Joel Zlotnick in a previous to Department approval. Document Affairs, U.S. Department of State at publication of this article. Mr. Zlotnick should Security Features is expected to be [email protected]. have been identified as written above.

www.ICAO.int 29 TRIP STRATEGY IN BRAZIL

At the 39th Assembly of the International Civil Aviation Organization (ICAO) held in 2016, the THE ICAO Traveller Identification Programme (TRIP) Strategy was adopted to provide the framework for bringing together the FEDERAL elements of identity management in order to maximize the benefits of document and POLICE OF border control. The ICAO TRIP Strategy serves as a stimulus to Member States to adopt, in BRAZIL a manner that is committed to the terms of the Chicago Convention (in particular, Articles 13, 22, 23, and 37, j), the issuance of documents in accordance with the provisions of Annex-9 to the Chicago Convention and in accordance with best practices set out in Doc 9303 - Machine Readable Travel Documents (MRTDs). AND Compliance with Doc 9303 for the issuance of MRTDs entails observing THE certain technical and legal formalities that result in Member State participation in the ICAO Public Key Directory (PKD), which ICAO TRIP enables all Member States participating in this directory to automatically verify the data pertinent to the travel document STRATEGY issued (MRTD) when carrying out migration control. This represents a major step forward from the point of view of both facilitation and the security of civil aviation, especially when combined with other tools such as Passenger Name Records (PNR) and Advanced Passenger Information (API) (also referred to in Annex-9).

Brazil enthusiastically supports the TRIP Strategy, having initiated the issuance of MRTD passports according to ICAO Standards and the implementation of the International Traffic System (STI), which is compatible with PKD in 2008. The State has hosted TRIP events in 2012 and, very recently, in 2018.

THE ROLE OF THE FEDERAL POLICE OF BRAZIL IN IMPLEMENTING THE TRIP STRATEGY Brazil, with all the public and private institutions that make up the Brazilian civil aviation system, is fully committed to the guidelines established by ICAO in all matters related to facilitation and aviation security.

30 ICAO TRIP MAGAZINE | NO. 1 | 2018 TRIP STRATEGY IN BRAZIL

In this regard, it is important to note Brazil’s National Programmes, namely: the National Civil Aviation Security Programme – NCASP (PNAVSEC, in Brazil) published by Decree No. 7168/2010; and the National Air Transport Facilitation Programme (PROFAL in Brazil), published by Resolution No. 01/2017 of the National Commission of Airport Authorities (CONAERO).

The Federal Police of Brazil (PF) have a number of responsibilities. They play a prominent role in both executing the programmes, and in promoting the balance and coordination that must exist between the areas of operation. The PF is an institution that exercises the functions of maritime, airport and border police, as environment, are directly related to the to obtain data on international passengers provided in article 144, item I, paragraph four activities mentioned above. as far in advance as possible. 1, III of the Federal Constitution. Given its constitutional mandate, the PF is the MIGRATION CONTROL The API has been a reality in Brazil for agency responsible for: (OR BORDER CONTROL) international flights since 2013. The PF 1. Migration control (or border control) - The PF is historically the Brazilian works with the PNAVSEC, the institution an activity that it executes exclusively, institution responsible for carrying out responsible for receiving such data in accordance with Law 13445/2017 migration control in Brazil and since from air operators and sharing it with and Decree No. 9199/2017; 2008, has fulfilled this mission through other public institutions with “barrier” 2. Issuance of travel documents – an the International Traffic System (STI), activities, so to speak. activity carried out in coordination which is able to automatically recognize with the Ministry of Foreign Affairs issued travel documents (MRTDs) within Through the API, the PF has been very (MRE), where the PF is responsible for the ICAO PKD. proficient in identifying passengers whose the issuance of a common passport, names are in the INTERPOL databases, foreign passport and laissez-passer in Brazil’s use of the PKD system has enabled which has generated significant positive national territory, according to Decree the PF to carry out much safer and faster results for migration control, as well as for No. 5.978/2006. migration control for Brazilian and foreign airport security and the airport police. 3. Airport security – an activity carried passengers entering and leaving the out in coordination with the National country. This has been a determining factor In addition, by sharing the API data with Civil Aviation Agency – CAA (ANAC for the increase in international aviation the other national border agencies namely: in Brazil), where it has responsibility traffic in Brazil in recent years. Customs (Receita Federal - RF); Phyto- for the supervision of the national civil Sanitary Border Control (VIGIAGRO) and aviation security system, according to Additionally, STI has made it possible to Health Border Control (ANVISA), PF has Decree No. 7.168/2010; efficiently manage the human resources contributed in a decisive way to their 4. Airport police – extensive police and materials available to carry out results as well. activity carried out in coordination migration control activities, as well as with all public security institutions to establish relevant public policies - in In this sense, it is worth mentioning the regarding the maintenance of order particular, the ongoing search for ways to customs control of passengers that has and prevention of crimes committed in reduce waiting times for passengers. been carried out by the RF since 2014, an airport environment and/or against which has been mentioned previously in the national airport system; and ADVANCED PASSENGER this magazine (Vol. 12, No. I, pp. 16-19), as 5. International police cooperation INFORMATION (API) AND well as the measures taken by the PF in - the PF is the Brazilian institution PASSENGER NAME RECORDS (PNR) conjunction with ANVISA during the last responsible for carrying out the In order to develop the safest and fastest Ebola epidemic in West Africa in mid-2014. operations of the International Criminal migration control system possible, the Police Organization - INTERPOL PF sought to take full advantage of the For the PF, PNR offers great operational in Brazil, which, when in an airport possibilities offered by Annex-9 in order potential in coming years. It should be in

www.ICAO.int 31 TRIP STRATEGY IN BRAZIL

place, in accordance with Doc 9904 once Another recent initiative by the PF (and Information (PLACI), still under study) national and international regulatory and also by the MRE) which conforms with for international and domestic flights. technical obstacles have been overcome. Doc 9303, following the transitional These actions will significantly increase period required for the expiry of previously the effectiveness of random inspections THE BRAZILIAN ELECTRONIC issued documents, is the recent change (based on risk analysis) or directed at PASSPORT in the validity of passports, from five to persons, baggage, cargo, vehicles and The Brazilian passports issued by the ten years, starting in 2014. This has been aircraft (for suspicious situations) without PF have been in compliance with the a major advance for the facilitation of significantly interrupting efficient traffic standards of ICAO, in accordance with Brazilian passengers on international flows in the airport environment. Annex-9 (MRTD) and Doc 9303 (PKD) flights. since 2008, including by obtaining and CONCLUSION automatically comparing biometric data AIRPORT SECURITY, AIRPORT POLICE Brazil’s modern and dynamic civil aviation through the Automated Impression AND INTERPOL system conforms to ICAO’s international Identification System (AFIS). The PF has maintained its commitment Standards and Recommended Practices to facilitation and has undertaken its (SARPs), with facilitation and security being After a transition period related to the activities related to AVSEC, the Airport the country’s foremost strategic objectives. expiration of previously issued documents, Police and INTERPOL at airports in the Brazil began issuing only electronic most efficient manner possible. The PF shares these objectives as it passports, which profoundly altered the carries out its various duties in the airport perception of international security agencies Although not purely “barrier” or border environment. It follows the ICAO TRIP in relation to Brazilian travel documents. activities (related to persons, baggage, Strategy and makes every effort to guide cargo or aircraft and their international its activities based on the responsible In fact, in the past, the great ethnic destinations) the inspections, searches use of passenger data made available diversity that existed in Brazil made the and/or interviews related to the activities to it, as well to deal with Brazilian citizen/ Brazilian passport a target for international for security purposes can cause delays passenger identification in accordance criminal organizations, which prejudiced in international and domestic flights, with best practices. the facilitation of Brazilian passengers on directly or indirectly. international flights. This is why the PF has sought to make With Brazil’s participation in the ICAO the most of the API tools already available FILIPPI PECORARO PKD, Brazilian passports (MRTDs) are to it, as well as to pursue effective Commissioner of Brazilian Federal Police, now recognized in e-gates - electronic implementation of the API for domestic Alternate Representative of gates for immigration control at airports in flights, in addition to the PNR (and the Brazilian Delegation to ICAO countries linked to this directory. possibly the Pre-Loading Advance Cargo

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ICAO TRAINING PACKAGE: CONTROL OF THE AUTHENTICITY AND VALIDITY OF TRAVEL DOCUMENTS AT AIRPORT BORDERS-LEVEL 1

INTRODUCTION The target audience for the training senior ICAO instructor and the other, an In July 2016, the International Civil includes front-line border control officers ICAO regional instructor, who served as a Aviation Organization (ICAO) launched a (mainly immigration officers) and their commissioner at the International Airport new ICAO Training Package (ITP) entitled supervisors. Front-line border control of Bamako, Mali (for further information, “Control of the Authenticity and Validity officers play a critical role in national refer to ICAO TRIP Magazine Vol.11 – N°2, of Travel Documents at Airport Border security by performing screenings of all page 34 to 36). – Level 1”. The initiative was undertaken passengers crossing borders; facilitating through the Canada-funded project the movement of legitimate travellers; CAPACITY BUILDING “Strengthening Travel Document Security and identifying persons of interest. This training course is intended to and Identification Management in the consolidate the competencies of front- Sahel and neighbouring States”. BACKGROUND AND OBJECTIVES line officers so that they can effectively In keeping with the TRAINAIR PLUS examine travel documents and assess The ITP, a competency-based training methodology validation process, the the intent of the travellers. Front-line course that is based on ICAO’s TRAINAIR delivery of the ITP was validated. border control and immigration officers PLUS methodology, was developed by Fourteen actively engaged trainees play a critical role in screening all the Facilitation Section of the Air Transport participated in the first French language passengers who cross borders, and they Bureau, in partnership with the Global delivery that took place in Douala, expedite the movement of legitimate Aviation Training Office. Exams are used Cameroon in 2016. The course was travellers while identifying high-risk throughout the course to test trainees. taught by two instructors, one who was a individuals. The training aims to enhance

34 ICAO TRIP MAGAZINE | NO. 1 | 2018 AIRPORT BORDERS ITP

participants’ knowledge and skills in performing travel document examination and traveller risk assessment efficiently The two UN organizations’ joint efforts to promote and facilitate the (refer to Course Delivery Framework). safe and orderly development of international civil aviation in global air The ITP also provides an opportunity travel and border and identity management, included the adoption of to identity national experts who might become ICAO Qualified Instructors to international standards for customs and immigration procedures. They deliver future trainings. Training-the- assisted Member States in meeting the growing operational challenges trainers is critical for capacity building in of migration management, advancing the understanding of migration States and regions where the needs exist. issues, encouraging social and economic development through Since 2016, the objectives have been to migration and upholding the human dignity and well-being of migrants increase the deliveries by ensuring the ITP is available in all of ICAO’s official through efficient immigration and border management policies and languages, and to ensure there are structures in line with their respective mandates and stipulated in the qualified instructors for each. Memorandum of Understanding (MoU) on identity and integrated DELIVERIES border management programmes signed in November 2016. In 2017 and 2018, three training courses were held in the English language.

The first session, held in Moshi, Tanzania, from 31 July to 4 August 2017, brought trainees from Tanzania, Kenya and Uganda together for the first ICAO and International Organization for Migration (IOM) joint training event.

www.ICAO.int 35 AIRPORT BORDERS ITP

The training was composed of two with attendees from India, observers sessions: Part I – the ICAO Training from Canada, and upcoming qualified Package “Control of authenticity and instructors from France, Spain and Sudan. validity of travel documents at airport borders - Level 1” which was carried out In April 2018, the training course was by ICAO qualified instructors, and Part II provided in the French language in - on the African Capacity Building Centre Niamey, Niger. Trainees from Burkina (ACBC) Passport Examination Procedure Faso, Chad, Mali and Niger attended the Manual II (PEPMII) and biometrics was course. A representative from Burkina conducted by an IOM ACBC expert. Faso was targeted as a future instructor and is now in the process to become an Over and above this being the first joint ICAO qualified-instructor for this ITP. training with IOM, delivery of this session provided an opportunity to validate CURRENT STATUS the course in English, and it qualified At the time of writing, six ITP training instructors at different levels of their sessions were conducted with 96 process. trainees from 11 States in both English and French. The Spanish and Arabic The second session was held in Abuja, versions were translated in late 2017, and Nigeria, from 23 to 26 October 2017, with will be validated in 2018. A total of 10 trainees from Nigeria and Ghana. A third instructors have qualified or will finalize session was held in New Delhi, India, their qualification in 2018.

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THE WAY FORWARD AND NEEDS COURSE DELIVERY FRAMEWORK The purpose of this course is to consolidate the competencies of front-line border PLANNED TRAINING COURSES control officers from immigration (and if applicable, other airport border control AND TRANSLATIONS: agencies) to examine travel documents effectively, allowing them to expedite the In 2018, it is expected that validated movement of legitimate travellers while identifying high-risk individuals. Trainees delivery of the ITP will take place in are taught concepts and techniques for visual, manual and machine inspection of travel both the Spanish language (in the South documents and for inspecting security elements of a travel document. America region) and in Arabic (in the North Africa or Middle East regions). In LANGUAGE English, Arabic, French and Spanish parallel, the translation process in both Russian and Chinese will commence. MAXIMUN 10 for 1 instructor DURATION 4 days PARTICIPANTS 11 to 20 for 2 instructors TRAINING MATERIAL: To give trainees hands-on experience OBJECTIVES Upon successful completion of this course, participants will be in the course, the ICAO Secretariat is able to: soliciting support in obtaining specimens of ƒƒ describe the basic elements of a travel document; national passports. The material donated to ƒƒ identify the different types of fraud; ICAO is strictly used for training purposes ƒƒ examine a travel document manually and visually to detect and remains in the training kits that are whether it is fraudulent or not; and stored securely at the Secretariat. ƒƒ examine a travel document using an electronic document reader to detect whether it is fraudulent or not. The training needs in this field are high, TARGET Front-line border control officers from immigration (and if applicable, and in many parts of the world; hence the POPULATION other border control governmental agencies working at the primary importance of obtaining specimens from line) who in charge of border controls in the airport environment (“Na- different regions. tional Authority”), specifically: ƒƒ border officers who are currently performing the job but have The valuable contribution from States never received formal training on travel document examination; empowers trainees to identify real and ƒƒ border officers who are currently performing the job and need a fraudulent travel documents, and it further refresher; or supports ICAO initiatives to enhance ƒƒ border officers who are at the entry level, as part of their training aviation security, facilitation and related curriculum; and border security aspects. ƒƒ direct supervisors (secondary line) of front line officers States willing to provide ICAO with HOSTING TERMS AND CONDITIONS specimen travel documents for this purpose 1. Authorization and nomination of participants should submit their proposal to the attention This ICAO Training Package (ITP) should be delivered nationally to a cohort of front- of the Director of Air Transport Bureau at the line officers and their direct supervisors (secondary line officers). Given the size of following address: the target population within one State, it is recommended that the training be offered to more than one cohort consecutively, in order to optimize training costs (shipping, Director of Air Transport Bureau air fare, settlement of class room, etc.) Given that the training contains sensitive International Civil Aviation Organization information and materials, trainees must be nominated by their Government. 999 Robert-Bourassa Boulevard Montréal, Quebec H3C 5H7, Canada The National Authority interested in having the course delivered to its officers should write to the ICAO Global Aviation Training (GAT) Office to confirm: 1) the number of participants to For any questions on assistance the training; 2) the availability of a minimum of 20 seized fraudulent documents (please refer projects related to the ICAO TRIP to the next paragraph); and 3) the preferred dates for the training delivery. Strategy, please contact [email protected] or [email protected]. 2. Fraudulent travel documents In order to achieve the course’s objectives, this training includes hands-on exercises with fraudulent travel documents. These documents are to be provided by the National Authorities or relevant national agencies. The National Authority must confirm that a minimum of 20 seized fraudulent documents will be available to ICAO-qualified instructors for training purposes. The 20 documents will be rendered to the National Authority immediately after the end of the training by the instructors. An inventory list of the documents will be used for tracking purposes.

www.ICAO.int 37 THE NEW FORCE IN CITIZEN IDENTITY FUTURE PROOFING ID PROGRAMS AND HELPING GOVERNMENTS EMBRACE DIGITIZATION

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BRAZIL SEMINAR STRENGTHENS TRIP IMPLEMENTATION

When he opened the TRIP Regional of Brazil, the Seminar provided a Seminar that took place in Brasília, unique opportunity for encouraging full Brazil in June 2018, the Director of ICAO’s implementation of the Strategy among Air Transport Bureau, Mr. Boubacar Djibo, ICAO’s 192 Member States. Brazil’s addressed the work that States and ICAO Minister of Transport, Mr. Valter Casimiro still have ahead of them to implement the Silveira, and Representative on the coordinated activities needed to rectifying ICAO Council, Mrs. Mitzi Gurgel Valente aviation security and facilitation deficiencies. da Costa, were in attendance, as was He drew attention to the mutual agreement the Ministry of Foreign Affairs of Brazil’s and pursuit of common goals and noted, Undersecretary General for Economic “I am confident we will build an impressive and Financial Affairs, Ambassador record of progress in strengthening the Ronaldo Costa Filho. global travel document system, and thereby enhance the security and facilitation of The primary objectives of the ICAO international civil aviation.” TRIP Strategy involve strengthening interconnected State capacities that His remarks underscored the pivotal relate to establishing, protecting and importance of the ICAO TRIP Strategy managing citizen identity, and determining in protecting commercial flights and secure systems of travel document preventing illegitimate travel (including production and border control facilitation. by foreign terrorist fighters), and in These efforts also include ensuring the improving efficiencies with the civil deployment of Machine Readable Travel aviation travel system as a whole. documents (MRTDs) and modernizing Generously hosted by the Government border control management.

www.ICAO.int 39 TRIP BRAZIL SEMINAR

The Director of ICAO’s Air Transport Counter-Terrorism Committee has also Much progress remains to be Bureau went on to explain that the ICAO stressed the important role of airlines achieved in terms of implementing the TRIP Strategy helps to harmonize the in tracking the movement of high-risk Strategy, particularly with the global global line of defence in our shared passengers. More specifically, the implementation of API systems, but also battles: confronting international terrorist Committee recognized the importance in light of the fact that some non-MRTD movements, cross border crime, and of national authorities sharing advanced passports continue to circulate despite the many other threats to the safety and passenger information (API) to help the fact that their elimination became security of civil society and international mitigate associated risks. mandatory in 2015. aviation. The Strategy has been recognized for its contributions to United Advance Passenger Information (API) The TRIP Seminar in Brazil, contributed Nations Security Council Resolutions sharing, a key element of the TRIP to deploying the available tools, and 2178, 2309, 2368 and 2396 that were Strategy, became mandatory under Annex the Strategy as a whole. The Seminar adopted in 2014, 2016, and 2017. He 9 of the Convention on International Civil also provided an opportunity for better further noted that the Security Council’s Aviation on 23 October of 2017. understanding, and even undertaking,

40 ICAO TRIP MAGAZINE | NO. 1 | 2018 TRIP BRAZIL SEMINAR

the complex coordinated action between “…the ICAO TRIP Strategy helps the many government entities and other stakeholders that help to realize to harmonize the global line of progress on these issues.

defence in our shared battles: A great deal of progress has in fact already been achieved. As of today, confronting international terrorist most of ICAO’s 192 Member States are fully compliant with ICAO’s MRTD movements, cross border crime, requirements, and there are more than 800 million ePassports that have been and the many other threats to the issued by more than 120 Member States, that are currently in circulation. If State participation in the ICAO Public Key safety and security of civil society Directory (PKD) increased, they would verify and authenticate their ePassports and international aviation” and fully capitalize on the security and facilitation benefits that ePassports are meant to deliver.

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Securing identities everywhere. Morocco worked with Veridos to improve the efficiency of the country’s border control processes. Passengers security checks are now faster and more secure, whether using eGates or trained personnel. Learn how we improved Morocco’s border infrastructure with modern, fast, and secure processes and hardware at our SkyTalk at the ICAO TRIP Symposium on October 24, 9:40 a.m. www.veridos.com/ICAO TRIP IN AFRICA

THE TRAVELLER’S IDENTIFICATION PROGRAMME: PERSPECTIVES IN THE AFRICAN REGION

As long as the scope and impact of participants, and those States using PKD is immediately detected when checks terrorist activities varies in intensity in day-to-day border control operations. are made. The PKD is recognized as a in different regions of the world, and In Annex 9 to the Chicago Convention, valuable instrument for implementing the terrorists use legitimate travel documents Recommendation 3.9.1 states that specifications contained in Doc 9303, to migrate globally, there will be a need for “Contracting States issuing or intending to Machine Readable Travel Documents. robust measures to counter their actions. issue e-MRTDs should join the ICAO PKD”, These developments assist States in and Recommendation 3.9.2 states that meeting their international obligations ICAO’s Traveller’s Identification Programme “Contracting States implementing checks on issues that include the fight against (TRIP) provides a strategy for strengthening on e-MRTDs at border controls should join terrorism, trans-border crime, and other the security of travel documents the ICAO Public Key Directory (PKD) and threats against civil aviation. around the world. The roadmap for use the information available from the PKD the programme is based on the global to validate e-MRTDs at border controls”. Having a robust national identification analysis of the Universal Security Audit management system is a pre-condition for Programme Continuous Monitoring There is no doubt that any roadmap for security and facilitation benefits provided Approach USAP-CMA results for Annex 9, the implementation of ePassports at the by ICAO-compliant MRTDs, eMRTDs and and the associated technical manual national level must consider participation modern border control systems. Doc 9303. Though TRIP, and its components in the PKD, if security and facilitation (i.e. PKD), represent a framework for objectives are to be fully realized. In an effort to improve implementation of robust security measures, it has not been ICAO Traveller Identification Programme implemented in a homogenous manner An ePassport (eMRTD) is only as good (TRIP), in 2013 ICAO signed an MoU within and across regions. as the information contained on its with the Economic Community of Central chip. It requires an inspection tool, the African States (ECCAS) to focus on: In Africa about 21 States are issuing ICAO PKD, to act as a central broker ePassports, but only five of those States by managing the multilateral exchange ƒƒ Promoting regional air transport are participating in the ICAO Public Key of certificates and the certificate security and facilitation cooperation Directory (PKD). There is a significant gap revocation lists used to validate the between States; between the number of States issuing digital signature on the chip. Through the ƒƒ Cooperating to provide security ePassports and the number of PKD PKD, any attempt to alter the chip’s data assistance to States; and

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ƒƒ Promoting the Traveller Identification towards developing a roadmap for Executive Directorate (CTED), in Programme and other initiations facilitating travel in the ECCAS States. collaboration with the Economic related to MRTD ECCAS called on ICAO and other Community of West African States partners to assist its Member States (ECOWAS) and the International Criminal To sensitize the region to these issues, in a capacity building project for TRIP Police Organization (INTERPOL), among a series of meetings, workshops, and implementation that concentrated on others. It is an excellent example of seminars (including the TRIP Strategy the level of State services responsible joint efforts linking States’ needs, ICAO Regional Seminar which took place in for data management, security of travel expertise, and essential resources Nairobi, Kenya in November 2015), were documents and border control, as provided by the donor community. held in Africa. These events have given well as the fight against terrorism and rise to various sub-regional initiatives in transnational crime. During the Meetings of Experts and Africa. An ECCAS High Level meeting Ministers in charge of Civil Aviation in the was held in Brazzaville in May 2015 on In line with numerous activities aimed Region of the Economic Community of the implementation of the ICAO TRIP. at enhancing aviation Security and Central African States (ECCAS) that took The event, which was attended by senior Facilitation in Africa, assistance to States place in April 2018 in Brazzaville, the government officials from the eight under the ICAO TRIP Strategy began Ministers decided to endorse the ICAO ECCAS Member States, provided the in the Sahel Region. The Government TRIP Strategy and the implementation opportunity to brief participants about of Canada generously funded a of the Brazzaville Declaration that was the new developments on MRTDs and technical assistance project that includes adopted in May 2015. technical specifications. workshops, specialized training and technical assessment missions that There are various challenges facing the The outcome of this High Level address capacity gaps. implementation of TRIP within the African meeting included the signature of a region. While it is true that some States common Declaration that addressed ICAO is partnering on this project with are further advanced than others, they all the issues States face as a first step the UN Counter-Terrorism Committee share commonality in the difficulties and

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While it is true that hindrances that need to be overcome. In an attempt to address the broader “ There is an overriding challenge of picture at the continental level, as some States are mobilizing funding for the required opposed to the piecemeal sub-regional undertaking; be it from government steps, the African Union (AU) is nurturing further advanced sources or other alternatives. the idea of a common African passport. The initiative, which was introduced at than others, they all On one hand, there is a lack of the AU Summit in Kigali, would allow for documentation to support citizenships, every African to eligible for the same share commonality but there is also an ongoing complaint centralized passport that would affirm the that agencies within these countries continent of Africa as their point of origin. in the difficulties and take a “silo approach” that impacts the implementation of digital identity Having a common passport will make hindrances that need as a whole. There are also technical it easier: for Africans to travel within challenges in implementing the system the continent; to cross border traders to be overcome. for those under 16 years of age, as their to conduct business; for employers to ” biometrics change rapidly. Another hire across borders; and for Africans to problem is that there are no integrations migrate to different parts of the continent or links between current manual paper- for economic purposes. It will improve based registrations and other ID-based intra-African trade and will go a long way in systems (such as health management easing the movement of domestic goods and driving licences). and services between Member States.

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HAVING PROBLEMS READING PASSPORTS? Millions of passports are issued every year. On rare occasions, passport authorities have issued passports with data formatting issues that create problems for immigration officials, airlines and the passport holder. This creates delays and unnecessary scrutiny of both the document, and the traveller carrying it.

WHAT ARE DATA THE FORMATTING ISSUES? SOLUTION Data formatting issues might include the incorrect ICAO’s Implementation and Capacity Building format or printing of the machine readable zone, Working Group (ICBWG) monitors the conformance discrepancies in the visual inspection zone, or of machine readable travel documents (MRTDs) errors in the data formatting within an ePassport’s against the accepted international specifications electronic Document Security Object (SOD). contained in Doc 9303. Working with stakeholders These issues are not always obvious to those in the travel continuum, the ICBWG has a subgroup inspecting the document. dedicated to investigating suspected cases of If you have encountered a specific MRTD non-compliance and assisting the issuing State to with a readability issue, the ICBWG can help. correct the problem.

HOW TO REPORT AN ISSUE? The reporting process is simple:

STEP 1 STEP 2 Send an email to the [email protected] ICBWG will assess the reported issue along with a brief description of the and supporting information in context concern and an image of the data of the Doc 9303 standards. page. For issues related to ePassports, include the SOD.