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Boubacar DjiboDirector, Air Transport Bureau, International Civil Aviation Organization (ICAO)

Session III (b): Working Group on International Law Enforcement Cooperation

CTED, “Enhancing International Cooperation in Countering Terrorism”

20 June 2017

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Air route network 2015

Source: ICAO

4 3.5 billion passengers4 51 million tonnes of freight4 Over 1 400 scheduled airlines 4 More than 27 000 aircraft 4 More than 4 130 airports4 173 air navigation centres4 40 millions flights 

The size of the industry 2015 

…and in 20306.6 billion passengers

• The Strategic Objective: Security and Facilitation reflects the need for ICAO’s leadership in aviation security, facilitation and related border security matters

ICAO mandate for the 3 Facilitation programmes

A : Development and implementation of facilitation provisions

B : National and international action in ensuring the security and integrity of traveller identification and border controls

C : National and international action and cooperation on facilitation matters

D : Passenger data exchange

Resolution A39‐20 Appendices:

� Annex 9 – Facilitation

� ICAO TravellerIdentification Programme (TRIP) Strategy

� ICAO Public Key Directory (PKD)

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Benefits of TRIP• Worldwide confidence in 

authentic identity documents

• Protection from identity theft

• Use of machine‐assisted systems

• Shorter lines

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Traveller identification (TRIP) strategy

• Holistic approach to identification management and travel documents

• Applicable to all mode of transports and borders

• Integrates MRTDs, PKD and other elements of travelleridentification management

• Approved by the 38th

Session of the ICAO Assembly

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Security and Facilitation

Holistic approach to identification management

ICAO8

Interoperable applications

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• MTRD• API• PNR• PKD• “Watch lists” Bilateral and

multilateral exchanges• “Trusted” or “expedited”

travellers• INTERPOL Data Bases

ICAO TRIP Strategy: elements and actors

Travelleridentification management

Evidence of identity

MRTDs

Document issuance

and control

Inspection systems and tools

Interoperable applications

TD Industry(ICAO Doc 9303)Connectivity

• TD issuance authorities

Traveller identification management

Border Control Authorities

Airlines &InternationalOrganizations

Civil Registries

10http://www.icao.int/Security/FAL/TRIP/Pages/Publications.aspx

What is Facilitation? 

11Immigration, Customs, Health, Quarantine

Five Phases of the Air Passenger Travel Cycle*

*An Initiative of the CTITF Working Group on Border Management Relating to Counter‐Terrorism

http://www.icao.int/Security/mrtd/Pages/Document9303.aspx

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Standards and Specifications

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Doc 9303

Part 1 – PassportePassport

Part 2 ‐ Visa

Part 3 ‐ Official Travel Document

ISO : SC17 WG3

ISO/IEC 7501

Contactless Chip

Passports Data page layout

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MRZ

VIZ

photo

125mm

88mm

Zone I

Zone IIZone V

Zone III Zone IV

Machine Readable Zone

Machine Readable Passports (MRPs)

3.11

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Machine Readable Zone

documenttype

country code

primary & secondaryidentifiers (names) filler characters

passportnumber

nationality

date ofbirth

sex

date of expiry

optional data check digits

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Annex 9: 24 November 2015 deadline• D. Travel documents• 3.11 All passports issued by Contracting States shall be machine readable in accordance with the

specifications of• Doc 9303, Part 4.• Note.—This provision does not intend to preclude the issuance of non-machine readable

passports or temporary travel• documents of limited validity in cases of emergency.• 3.11.1 For passports issued after 24 November 2005 and which are not machine readable,

Contracting States shall• ensure the expiration date falls before 24 November 2015.• 3.12 Contracting States shall ensure that travel documents for refugees and stateless persons

(“Convention Travel• Documents”) are machine readable, in accordance with the specifications of Doc 9303.1) As of today a total of 156 Member States had responded to the questionnaire of SL EC6/3‐12/70

2006• Identity Fraud= 31%• Documents Fraud= 54%• Others = 15%*

*Intergraph Study, 2010

2009• Identity Fraud = 71%• Documents Fraud = 29%

Documents Fraud

Identity Fraud

Documents Fraud

Identity Fraud

Current threat: Identity fraud

From MRTDs to ICAO TRIP Strategy:Changes in Fraudulent methods          

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Identification Management• Criminal focus shifting to lesser developed

areas:– Evidence of Identity– Issuance process– Travel document fraud– Identity fraud at the border

• Unless addressed, weakens the core MRTD programme and global trust!

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Tools for traveller identification• INTERPOL Stolen and Lost Travel Document (SLTD) Database• Advanced Passenger Information (API)• Passenger Name Record (PNR)• Public Key Directory (PKD)• “Watch lists” Bilateral and multilateral exchanges (e.g.  Al‐Qaeda, 

Taliban, etc…)• ABC: “Trusted” or “expedited” travellers (e.g. Nexus – USA / Canada, 

“Paraphe” in France)

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API system overviewAn electronic communications system whereby required data elements are collected and transmitted to border control 

agencies at the arrival prior to flight departure or arrival and made available on the primary line at the airport of entry.

→ Collected: Available in Departure Control Systems: flight “open” for check‐in (48hrs)

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Why do States want API?►Improve clearance at border controls►Combat illegal migration►Identify passengers who are a known immigration or security threat

►More effective allocation of border control and law enforcement resources

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• ICAO has recognized the facilitation benefits of Advance Passenger Information (API) as a tool for effective and efficient border control, consistent with the scope and intent of Security Council resolution 2178 (2014).

• Together with the World Customs Organization (WCO) and the International Air Transport Association (IATA), we have published related guidelines to help ensure harmonized global implementation, and in April of this year our Facilitation Panel recommended that API systems should be mandated in ICAO’s Annex 9.

• This recommendation will be considered by the ICAO Council in early 2017, and otherwise we are also participating at present in the CTC-led API workshops being conducted in various world regions.

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iAPI provides the best answer

UNSC Resolutions 2178 (2014) and 2309 (2016)• “Reaffirms that all States shall prevent the movement of terrorists or terrorist groups by effective border

controls and controls on issuance of identity papers and travel documents, and through measures forpreventing counterfeiting, forgery or fraudulent use of identity papers and travel documents…’’

• “9. Calls upon Member States to require that airlines operating in their territories provide advancepassenger information (API) to the appropriate national authorities in order to detect the departure fromtheir territories, or attempted entry into or transit through their territories, by means of civil aircraft, ofindividuals designated by the Committee established pursuant to resolutions 1267 (1999) and 1989(2011)…’’

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• “Noting that Annex 9 —Facilitation to the Convention on International Civil Aviation, done atChicago on December 7, 1944 (the “Chicago Convention”) contains standards and recommendedpractices relevant to the detection and prevention of terrorist threats involving civil aviation ‘’

• “Further calls upon all States to require that airlines operating in their territories provideadvance passenger information to the appropriate national authorities in order to detect thedeparture from their territories, or attempted entry into or transit through their territories, by means ofcivil aircraft, of individuals designated by the Committee pursuant to resolutions 1267 (1999), 1989(2011) and 2253 (2015);’’

API – TRANSMISSION

Paragraph 9:“…Calls 

upon...API…”

UN Council Presidential Statement:“…strongly 

encourages…urges”

IATA

AIRLINES

State API System

INTERPOL

WCO/IATA/ICAOguidelines

IOM

ICAO Annex 9 

Facilitation

Std 3.48API 

requirements

Passenger Name Record (PNR): standardization and support

→ 3.47.1: States & Operators: provide 24/7 support→ 3.47.2: When requiring PNR data, States should consider the adoption and implementation of the PNRGOV message as a method of transferral of PNR data.Note: The PNRGOV message is a standard electronic message endorsed jointly by WCO/ICAO/IATA . . .

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� A central storage location, highly secure where States and other entities can input and retrieve the security information to validate the electronic information on the passport.

� It allows Border control authorities to confirm that the ePassport:� Was issued by the right authority� Has not been altered � Is not a copy or cloned document

What is  the PKD  &  What does it do?

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� Minimizing the volume of certificate exchange: � Document Signer Certificates (DSCs) � Certificate Revocation Lists (CRLs)� Country Signing Certificate Authority (CSCA) Master List

� Ensuring timely uploads� Managing adherence to technical standards� Facilitating the validation process

The Role of The PKD

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ICAO PKD acts as a Central Broker

This example shows 8 States/non‐States requiring 56 bilateral exchanges (left ) or 2 exchanges with the PKD (right) to be up to date with DSCs and CRLs. In case of 191 ICAO States 36,290bilateral exchanges would be necessary while there are still 2 exchanges with the PKD.

Conformityvalidatedcertificates

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Public Key Infrastructure (PKI): major role in eMRTD securityOperational View

ePassport Inspection (Manual or Automated)ePassport Issuance

Document SignerDigital Signature (each State)

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Inspector / Inspection System‐ Verify digital signature of State‐ Validate data integrity and 

authenticity (Photo, etc…)‐ Physical inspection

SOD

SOD

Personalization

Importance of being compliant with Doc 9303 - Machine Readable Travel Document

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� A central, secure storage location, where States and other entities can input and retrieve the security information to validate the electronic information on the passport

� Minimize the volume of certificate exchange� Manage adherence to technical standards (Doc 9303)� Facilitate the validation process� Allow Border control authorities to confirm that the ePassport:

• was issued by the appropriate authority• has not been altered • is not a copy or cloned document

The role of the ICAO PKD

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• PKI plays major role in eMRTD security– Technology supporting political trust decisions

• National PKI deployment – Must be reliable, secure, ICAO 9303 compliant

• International Trust– Initial trust establishment out‐of‐band– Compliant electronic processing extends trust– Certificates of States must be accessible (PKD/websites)

• Benefits of PKI realized ONLY if issuing and receiving ICAO member states participate 

Public Key Infrastructure (PKI)

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ePassport• Enhance Security of the document• Biometrics to confirm identity

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ePassport: The trust imperative• ePassport must be ICAO compliant• ePassports are Machine Readable Passports (MRPs) with

a chip. The chip is an additional security feature for passports; does not replace it

• ePassports are issued by entities that assert trust –Identification supply chain

• Achieve global exchange of certificates and otherinformation

• Improper validation of ePassports leads to a “false” sense of security

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58 ICAO PKD Participants

New 2017 Participants TurkmenistanPeruBarbados

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‐ Enhances the security of the ePassport validation process‐ Facilitates fast and secure cross‐border movement by the ‘’front‐line’’ entities

‐ PKD can be used with Automated Border Controls (ABC) or with a manual e‐reader

‐ Maintains compliance with ICAO specifications‐ Assures smooth and continuous ePassport validation at control points‐ Fees for PKD membership are low compared to investment requiredfor a multiple bilateral infrastructure

Value of PKD for ePassports

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‐ Over 120 States indicate that they are currently issuing ePassports (nearlyhalf a billion ePassports in circulation world‐wide)

‐ States are required to undertake a complex process to ensure that the data chip in ePassports is fully compliant with ICAO Doc 9303 specifications

‐ ICAO and the International Organization for Standardization (ISO) are in the process of implementing a mechanism to make error codes available at eachborder to detect security issues when reading a non‐compliant ePassportdata chip

Value of PKD for ePassports (cont’d)

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ePassports share by region

Source: IATA

Total Canadian passports in circulation  (regular, diplomatic and special) = 23,134,186  Out of these, 12,892,352 are ePassports in circulation.  By 2018 all Canadian Passports in circulation will be ePassports (Passport Canada)

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Regional Initiatives

ECOWAS ‐CEDEAO

European Union

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S1

Diapositive 42

S1 why two slides on regional initiatives???Susan, 14/05/2014

Regional Initiatives

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Andean Community

Mercosur

• The new UN e-LP• Joint TC project between

UN and ICAO• Specs designed by

ICAO MRTD experts• State-of-the-art

technology• Fully ICAO-compliant• Takes full advantage of

ICAO PKD security benefits

Technical assistance projects

Canada was the first Member State to fund technical projectsto assist States in implementing the ICAO TRIP Strategy:

• Strengthening Travel Document Security and Border Control in Central America (2011-2014)

• Strengthening Travel Document Security and Identification Management in the Sahel and neighboring States (2014-2016)

• Strengthening border controls in the Caribbean Region (2016-2018)

ICAO Training packageControl of the authenticity and validity of travel documents at 

airport borders – Level I

Available in Arabic by the end of 2016

For more information: www.icao.int/Training/Pages/TDexam

Purpose of this four‐day course:Examine travel documents effectively, allowing border officers to expedite the movement of legitimate travellers while identifying high‐risk individuals.

Forthcoming Event13th TRIP (ex-MRTD) Symposium 2017 (24 – 26 October 2017)

The Symposium is a world‐class forum for the exchange of information on all aspects of traveller identification management, and the ICAO Traveller Identification Programme(TRIP) Strategy providing decision makers and technical experts with valuable insight on key current and emerging issues. 

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API and iAPI data elements are listed in the WCO-IATA-ICAO

Guidelines on API

PNR data elements are listed in the ICAO

Guidelines on PNR Data (Doc. 9944)

Standards and Recommended Practices for API, iAPI and PNR

Where to find the list of data elements?

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ICAO Publications of interest (Annex 9 related)

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ICAO Publications of interest (TRIP related)

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ICAO Training PackageControl of the Authenticity and Validity of Travel documents at 

Airport Borders – Level IPurpose of this four‐day course:Examine travel documents effectively, allowing border officers to expedite the movement of legitimate travellers while identifying high‐risk individuals.

For more information: http://www.icao.int/Training/Pages/TDexam.aspx

2016: Available in English and FrenchAvailable in other ICAO Languages in 2017

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Canada-funded project Strengthen border controls in the Caribbean Region Objective: Assist Member States in the Caribbean Region in implementing the ICAO TRIP Strategy and in complying with their international obligations contained in the resolutions of the UN Security Council.Deliverables: development of a guide (building on the existing CTITF air travel cycle)• A Risk-Based Model of Air Traveller Border Controls (Part – 1) and • An Assessment Methodology ( Part – 2) Expected outcome:• The model would guide Member States in applying those different tools including

API, PNR, Electronic Travel Systems (ETS) and cross-border intelligence sharing• The assessment methodology, based on the model, will guide self-assessment to

formulate recommendations for corrective action and further capacity building.”

ICAO Guide for assessing air traveller border controls

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International cooperation: key for successful implementation