AdemolaOladele,ROAVSEC/FALICAOWACAFRegionalOffice,Dakar,Senegal

IMPLEMENTINGBIOMETRICSANDADVANCEDPASSENGERINFORMATION(API)

ICAOTRIP:BuildingTrustinTravelDocumentSecurity

ThreeinterrelatedpillarsofFacilitation

Annex9 ICAOTRIPStrategy ICAOPKD64Annex9SARPsarerelatedtotheTRIP

2

Objective:AllMemberStatescanuniquelyidentifyindividuals

Annex9-FacilitationImplementationoftheAnnex9StandardsandRecommendedPratices(SARPs)areessential:•  Tofacilitatetheclearanceof

ü  aircraftü  passengersandtheirbaggageü  cargoandmail,and

•  TomanagechallengesinbordercontrolsandairportprocessessoastomaintainboththeSecurityandtheefficiencyofairtransportoperations•  Integratesfunctionofagenciesrelatedtobordercontrol:

Traveldocuments,immigration,customs,quarantine,lawenforcement,transportoperators

•  Requiresinter-agencyandcross-bordercooperationtoimplementAnnex9obligations 3

Biometrics

NodefinitioninAnnex9eMRTD-AnMRTD(passport,visaorcard)thathasacontactless

integratedcircuitembeddedinitandthecapabilityofbeingusedforbiometricidentificationoftheMRTDholderinaccordancewiththestandardsspecifiedintherelevantPartofDoc9303—MachineReadableTravelDocuments

4

CHAPTER3.ENTRYANDDEPARTUREOFPERSONSANDTHEIRBAGGAGEI.   Inspectionoftraveldocuments

3.3Standard:ContractingStatesthatuseintegratedcircuit(IC)chipsorotheroptionalmachinereadabletechnologiesfortherepresentationofpersonaldata,includingbiometricdata,intheirtraveldocumentsshallmakeprovisionwherebytheencodeddatamayberevealedtotheholderofthedocumentuponrequest

Biometrics

5

Biometrics:CHAPTER3.ENTRYANDDEPARTUREOFPERSONSANDTHEIRBAGGAGEC.   Securityoftraveldocuments

3.9RecommendedPractice—ContractingStatesshouldincorporatebiometricdataintheirmachinereadabletraveldocumentsinacontactlessintegratedcircuitchip,asspecifiedinDoc9303,MachineReadableTravelDocuments

Note.—Doc9303doesnotsupporttheincorporationofbiometricdatainvisas

6

Biometrics

CHAPTER3.ENTRYANDDEPARTUREOFPERSONSANDTHEIRBAGGAGEI.   Inspectionoftraveldocuments

3.34.5 RecommendedPractice—ContractingStatesutilizingABCsystemsshould,pursuantto3.9.2and3.10.1,usetheinformationavailablefromthePKDtovalidateeMRTDs,performbiometricmatchingtoestablishthatthepassengeristherightfulholderofthedocument,andqueryINTERPOL’sStolenandLostTravelDocuments(SLTD)database,aswellasotherbordercontrolrecords,todetermineeligibilityforbordercrossing 7

Doc9303-MachineReadableTravelDocumentsspecificationsPart1:Introduction

Part2:SecurityoftheDesignPart3:AllMRTDsPart4,5,6:TD3,TD1,TD2SizePart7:MachineReadableVisaPart9:DeploymentofBiometricIdentificationandElectronicStorageofDataineMRTDsPart10:LogicalDataStructureforStorageBiometricsPart11:SecurityMechanismsforMRTDsPart12:PublicKeyInfrastructureforMRTDs

8

Doc.9303,Part9/ICAOVisiononBiometrics(1)TheICAOvisionfortheapplicationofbiometricstechnologyencompasses:§  Specificationofaprimaryinteroperableformofbiometricstechnologyforuseat

bordercontrol(verification,watchlists)aswellasbycarriersanddocumentissuers,andspecificationofagreedsupplementarytechnologies

§  Specificationofthebiometricstechnologiesforusebydocumentissuers(identification,verificationandwatchlists)

§  Capabilityofdataretrievalfor10years,themaximumrecommendedvalidityforatraveldocument

§  HavingnoproprietaryelementthusensuringthatanyStatesinvestinginbiometricsareprotectedagainstchanginginfrastructureorchangingsuppliers

9

Doc.9303,Part9/ICAOVisiononBiometrics(2)Doc9303considersonlythreetypesofbiometricidentificationsystemsWithrespecttothestorageofthesethreebiometricfeaturesinthecontactlessICofaneMRTD,theissuingStateororganizationSHALLconformtotherelevantinternationalstandard

Thethreetypesofbiometrics:

§  Facialrecognition–MANDATORY.MUSTcomplytoISO/IEC§  Fingerprintrecognition–OPTIONAL.Ifused.MUSTcomplytoISO/IEC§  Irisrecognition–OPTIONAL.Ifused.MUSTcomplytoISO/IEC

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Annex9-FacilitationTravelFacilitation

•  Efficientmanagementofbordercontrolprocessestoexpediteclearance(ofaircraft,passengers/crew,baggage,cargo)

•  PreventunnecessarydelayssoastomaintainboththeSecurityandtheefficiencyofairtransportoperations.

•  RequirescoordinationbetweendifferentagenciesrelatedtoBorderControlManagement,e.g.traveldocuments,immigration,customs,lawenforcement,transportoperators

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Morethan3,6Billionsinternationalpassengersarecontrolledatthebordersin2017Inthenext15yearsthisnumberwilldouble

Aminimumof10secondsareneededforthebordercontrolofeachpassengerImportantlackofresourcestoexpediteclearanceattheborders

MainFacilitationChallenge

100,000DailyFlights

12

Morethan50%ofinternationaltouristsaretravellingbyair

13

InboundInternationalTouristsbytransportmode

Leadership of ICAO in the development of Standards and specifications for Travel documents

Source:UNWTO

RoleofvisafacilitationinAirTransportgrowth

14 Source:UNWTOVisaopennessreport2018

Objective:ModernizationoftraditionalvisasandlinktheeVisatoiAPI

53%oftheworldpopulationneedavisabeforetravellingandonly10%canobtainanelectronicvisa

PasdevisaeVisa

eVisa:30ETA:5On-lineApplication:11

ElectronicVisasStatus

46States

Canada

États-Unis

Australie

RoyaumeUni

SriLanka

6States2011

ETA:ElectronicTravelAuthorization 201815

16

EvidenceofIdentity MRTDs

DocumentIssuanceand

Control

InspectionSystemsand

Tools

InteroperableApplications

The5thelementoftheICAOTRIPStrategy:AllitemsareBorderSecuritytools

•  MachineReadableTravelDocuments(MRTDs)•  AdvancePassengerInformation(API)•  PassengerNameRecord(PNR)•  INTERPOLStolenandLostTravelDocuments

(SLTD)database•  ICAOPublicKeyDirectory(PKD)•  Watchlists•  eVisas•  ‘’Trusted’’or‘’expedited’’travellers

ePassportorBiometricPassport•  ePassportsareMachineReadablePassports(MRPs)withachip(IC)•  ThechipisanadditionalsecurityfeatureanddoesnotreplacetheMRZ•  Enhancessecurityofthedocument•  Biometricstoconfirmidentity

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ePassportstatusbyregionRegion Numberof

MemberStates NumberofMember

StatesissuingePassports AsiaandPacific(APAC) 39 21

EasternandSouthernAfricanOffice(ESAF)

24 15

EuropeanandNorthAtlantic(EUR/NAT)

56 55

MiddleEast(MID) 15 12 NorthAmerican,CentralAmerican

andCaribbean(NACC) 21 6

SouthAmerican(SAM) 13 8 WesternandCentralAfrican

(WACAF) 24 19

Total

192 136

However despite

the past deadline of 24 November

2015, there are still Non Machine

Readable Passports in circulation

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The ICAO PKD is an inspection tool enabling to verify and authenticate

ePassports

TheePassportandtheICAOPKD

UNSCResolutions2178(2014)and2309(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 for preventing 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 advance passenger information (API) to the appropriate national authorities in order to detect the departure from their territories, or attempted entry into or transit through their territories, by means of civil aircraft, of individuals 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 at Chicago on December 7, 1944 (the “Chicago Convention”) contains standards and recommended practices 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 provide advance passenger information to the appropriate national authorities in order to detect the departure from their territories, or attempted entry into or transit through their territories, by means of civil aircraft, of individuals designated by the Committee pursuant to resolutions 1267 (1999), 1989 (2011) and 2253 (2015);’’

MaximumpersonaldataElementsinAPIforMRPs

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AllareintheMachineReadableZone(MRZ)exceptPlaceofbirthintheVisualInspectionZone(VIZ) MachineReadableZone

VIZ

PlusElementsofFlightdetails:AllinformationrequiredshallconformtospecificationsforUN/EDIFACTPAXLSTmessagesfoundintheWCO/IATA/ICAOAPIGuidelines.

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1.WhyyourstateshouldestablishanAPIsystem?

UnitedNationsSecurityCouncilResolutions2178and2309

ICAO’snewStandard9.5(includedinAmendment26toAnnex9oftheChicagoConventionandadoptedon23October2017)

AsaContractingStatetotheChicagoConvention,observanceofICAOstandardsismandatory.

StatusofAPI/iAPIprogrammes:65MemberStatesNewAnnex9Standard:APImandatorysince23February2018

Legend

iAPIinforce(total:16)

APIinforce(total:49)

Source:IATA

UNSCResolutions2178(2014),2309(2016),2368&2396(2017)iAPI:InteractiveAPI

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ICAOAnnex9StandardsandRecommendedPractices(SARPs)forAPI(9.7,9.9,9.10,9.11,9.12,9.13)

EstablishingAPISystems9.5 Each Contracting State shall establish an Advance Passenger Information (API) system. 9.6 The API system . . . shall be supported by appropriate legal authority . . . and be consistent with internationally recognized standards for API. Areas to be addressed in legislation (examples):

1.  UN/EDIFACT Paxlst for API transmission 2.  Purposes for which API required 3.  Data elements required 4.  “Passenger Data Single Window” 5.  General legal issues 6.  Operational issues addressed in Annex 9 & . . . Etc.

APIBenefits

APIdatacanprovidedifferentbenefitstobordermanagementandaviationsecurity:•  Ithelpstoimprovebordercontrolandtocombatirregularimmigrationmoreeffectively.•  ItfacilitatesIntegratedBorderManagementthroughtheuseofaSingleWindowfacility.•  Itallowsforthereductionoftheworkloadofbordermanagementofficersthroughtheuseof

technologyandautomatedmeans.•  Itimprovescitizens’perceptionofsecurityandcontributestoafasterprocessingofbonafidetravellers.•  Itcancomplementexistingdatavettingprocesses,suchascheckingthepassportsofindividuals

travellinginternationallyagainstwatchlistsanddatabases(e.g.INTERPOLStolenandLostTravelDocumentsdatabase).

•  AninteractiveAPIsystem(iAPI)•  Enhancesaviationsecurity.•  Allowsforreal-timedocumentvalidationagainstandallowsnationalauthoritiestomakeboard/no-

boarddecisionsinrealtime.•  Reducescarriers’exposuretopenaltiesforundocumentedpassengersorpassengerswhoseofficial

traveldocumentsarenotvalid.

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InitialStepsforaStatetoimplementanAPISystem

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DeterminewhichagencieswillmakeuseofAPIdata,suchasBorderPolice,Customs,Intelligence,INTERPOLNationalCentralBureau(NCB).

EstablishaNationalAirTransportFacilitationCommittee(Annex9Std8.17)toensurecoordinationwithallactorsinvolved.

SetastronglegalbasisforrequestingAPI,definingdataelementsandallowingforinter-agencyandinternationalpolicecooperation.AnAPIsystemcannotbeintroducedwithoutaproperlegalframeworkinplace.

SettingaNationalLegalFrameworkforAPISomeelementstobeincludedintheregulatoryframework

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ThedataelementsrequiredforAPItransmissionandprocessing.

ThetransmissiontimingofAPIdatabyairlines.

Thepurposesfordatauseandtransfer.

Thepurposeofdataretentionandthemaximumperiodfordataretentionthatissufficienttoachievetheobjectivessetoutinthelaw.

AdequateredressmechanismsforpassengersthathavebeenunjustlyaffectedbyadecisiontakenbynationalauthoritiesonthebasisoftheprocessingofAPIdata.

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DetermineprecisecostsandbudgetfortheimplementationofanAPIsystem.

CreateaPassengerDataSingleWindow(aninter-agencytargetingbureau)tofacilitatedatasharingInstitutesystematiccheckingofAPIdataagainstbothnationalandinternationalwatchlists,suchasInterpoldatabases.

DecidehowAPIdatawillbetransmittedtothegovernment'sITsystem-willconnectivitytoairlinesystemsbedevelopedinternallybythegovernmentorbyanITserviceprovider(dependingonbudgetconstraintsandStatesITcapability)?

BuildtheBusinessCaseandtheimplementationprocess

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ComplyingwithGlobalStandards

Annex9totheChicagoConvention–Facilitation-StandardsonAPIare9.5,9.6,9.8,9.9,9.11and9.13.-Amendment26toAnnex9wasadoptedon23October2017,makingtheestablishmentofAPIsystemsalegalobligation.ThisprovisionhasbeenapplicableforContractingStatesfrom23February2018on.ICAO/IATA/WCOGuidelinesonAPI-TheGuidelinesarereferencedbytheICAOstandardsandprovideguidancetoStatesseekingtoimplementAPIsystemsshouldadhere.-Theyaddressimportantissues,suchasthelistofdataelementsthatbordercontrolauthoritiesmayrequireinrespectofaninboundoroutboundflight.-MessageImplementationGuideprovidesthePAXLSTmessagestructureandindicateswhichdataelementsaremandatoryandwhichareconditional.

MessageStructureandTechnicalSpecifications-UsingthestandardmessagestructureUN/EDIFACTPAXLSTwillhastenimplementationanddecreasecostssignificantly.-Industrycananddoessupportsuchprogrammes.

ProtectionofPersonalData

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Collection,storageandprocessingofpassengerdatacanhaveimplicationsonhumanrights,includingtherighttoprivacyandtheprotectionofpersonaldata.Article17oftheInternationalCovenantonCivilandPoliticalRightssaysthat“nooneshallbesubjectedtoarbitraryorunlawfulinterferencewithhisprivacy”.Therefore,eachStatehastoensurethatAPIdatais:•  obtainedandprocessedfairlyandlawfully.•  storedforlegitimatepurposesandnotusedinawayincompatiblewiththosepurposes.•  adequate,relevantandnotexcessiveinrelationtothepurposesforwhichtheyarestored.•  accurateand,wherenecessary,keptuptodate.•  preservedinaformwhichpermitsidentificationofthedatasubjectsfornolongerthanis

requiredforthepurposesforwhichdataisstored.

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IncludeStakeholdersEarly ThebestAPIimplementationprogrammesaredevelopedbycountrieswhoinvolvestakeholdersearlyintheprocess.Communicationbetweengovernmentauthoritiesandstakeholders,particularlyairlines,leadstobetterinitialstructuraldecisionsandtoabetterfinalsystemdesign.

Whyisitimportanttoengagewithairlines?

Tocomplywithacountry’sAPIdatarequirements,airlineshavetogothroughacomplicatedprocess(e.g.configuringsystems,testingconnectivity,trainingstaff).Byengagingearlywiththem,yourcountrywillbeabletoknowwhatcanandcannotbeaccomplishedwithairlines’existingsystems.Forexample,intermsoftiming,itiseasierforairlinestocomplywithAPIsystemsthatareinalignmentwithinternationalstandards(3-6months)thanwiththosewhoarenot(24-36months).

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•  PublicauthoritiesshouldnotifyallstakeholdersoftheirintentiontoimplementanAPIsystem.

• Withregardstoairlines,thisinformationshouldnotonlybeprovidedthroughairport-basedAirlineOperatingCommittees(AOCs),butalsoviadirectcommunicationswiththeairlines'headquartersandwithIATA.

• WithregardstoITserviceproviders,companiescouldbeinvitedtosubmitarequestforinformation(RFI)toproposehowtheirsolutionscouldhelptheAPIprojectandwouldgiveanideaofcostandscopetoassistwithbudgeting.

Howtoengagewithstakeholders?

InformabouttheintentionofsettingupanAPIsystem

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•  NationalauthoritiesshouldconsiderthecreationofaNATFCthatwillincludealltheagenciesandMinistriesinterestedinhavingaccesstopassengerdata,aswellasnationalandforeignairlinesflyingintoandoutofthecountry.Thus,alistofallstakeholdersshouldbeformulatedandamendedasnecessaryastheprogrammedevelops.

•  TheNATFCshouldbeinformedofplansandprogresstowardsestablishinganAPIprogramme,andcanhelpdevelopthedetailedtechnicalspecificationsthatmeetthecountry'sneedswhilefittingwithairlines'capabilities.

Howtoengagewithstakeholders?

CreationofaNationalAirTransportFacilitationCommittee(NATFC)

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•  Oncetheprogramisagreed,authoritiesneedtodevelopaCIG.Thisisamanualthatprovidesairlineswiththenecessarylegal,technicalandoperationalinformationrequiredtocomplywiththeirobligationsonAPIdata.

•  Amongotherissues,theCIGshouldcoverallapplicablelegislation,themandatorystandardsfordatatransmission,thetimelineforcompliance,andalltechnicalinformationrelatedtodatatransmissionandformat,aswellasthesinglewindow.

Howtoengagewithstakeholders?

PreparationofaClientImplementationGuide(CIG)

35

•  TheCIGshouldbeissuedatleast3to6monthspriortothepassengerdatatransmissionrequirement'sentryintoforcetoallowairlinestoprogramtheirsystems,testconnectivityandtrainstaff.

•  Andremember...theclockonlystartstickingwhenthetechnicalspecificationsarereleasedandairlinesareabletostartprogramming!

Howtoengagewithstakeholders?

DistributetheCIGamongairlinestakeholders

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•  CommunicationwithairlinestakeholdersmustbepresentevenaftertheestablishmentofanAPIsystem.Forthispurpose,nationalauthoritiescouldusetheexistingBoardofAirlineRepresentatives(agroupwithalltheairlinesoperatingintoanairportorregion).

•  ThePIU/singlewindowwillneedtodevelopasystemscommissioningprocesstoensurethatairlines'systemsaredesigned,installedandtestedaccordingtotherequirementsestablishedbythenationalauthorities.Certificationtestingdetermineswhetherconnectivityissuccessfullyestablished,whileconfidencetestingaimsatverifyingthatmessagesmeettheconstructionandthecontentrequirements.

Howtoengagewithstakeholders?

Developmentofasystemscommissioning

37

• NotallairlinesmightbeabletocomplywithAPIrequirementsbyacertaindeadline.

• ICAOdoesnotrecommendsanctionstobeimposedifanairlineiscooperatingorincaseofsystemfailure(arecommendedpracticeaccordingtoICAO'sAnnex9).

• Itisadvisabletohaveopencommunicationandflexibilityatthebeginning,aswellasdevelopingaselectiveenforcementofrequirementstoencouragecompliance.Oneofthepossibilitiesinthisregardistocarryouttheimplementationofyoursysteminphases/routesforspecificairlines.Implementationwouldthenbeexpandedascapacityisconfirmed.Anotherpossibilityistoissuewarningsincaseofnon-compliancethatcanresultinfinancialpenaltiesifairlinesdonotamendthesituationbeforeaspecificdeadlinedeterminedbytheauthorities.Sanctionsshouldalwaysbethelastresort.

Howtoengagewithstakeholders?

Beflexibleinapplyingthesanctioningschemefornoncompliance

38

LawEnforcement

ExternalCooperation

EnhanceinformationsharingwithotherStatesbilaterally.MakefulluseofINTERPOLdatabasesateveryStates’disposal.CooperationwiththeUnitedNationsandINTERPOLregardingwatchlistsanddatabases,butalsointermsofupdatesregardingnewintelligenceortargets.TheICAO,IATA,UNCCT,IOMandOSCEarealwaysavailabletoprovidetechnicalandpolicysupport.

39

Airlines

ExternalCooperation

ItisrecommendedtosignMemorandaofUnderstanding(MoU)withairlinestoagreeuponbasicprinciplesofcooperation,aswellasmessagetimingandprotocolsforsystemoutages.

40

BudgetConstraintsandInternationalCommitments BecausetheestablishmentofanAPIsystemisexpensive,identifyingpotentialbudgetconstraintsandopportunitiesisimportant.Fundingfromdonorstatesororganizationsmaybeavailabletohelpoffsetdevelopmentalcosts.

Statesshallseek,tothegreatestextentpossible,tolimittheoperationalandadministrativeburdensonaircraftoperators(ICAOStandard9.11).

Whiledonorfundingisimportant,theanalysisofthebudgetconstraintsandopportunitiesshouldtakeintoaccounttheissueofsustainability.ThisnotonlyreferstothecostofmaintenanceoftheAPIsystemafteritsimplementation,butalsotowhatwillhappenoncedonorsupportisover.

FundingforAPIimplementation

threemainalternativesforfunding:

41

1)PartnerwiththeWorldCustomsOrganization(WCO)forlaunchingaGlobalTravelAssessmentSystem(GTAS)GTASisareal-timepassengerscreeningsystemthatallowscustomsadministrationstouseAPIandPNRdataforriskassessmentpurposes.ItisavailablefreeofchargeaftercompletingaGTASIntakeQuestionnaire.Formoreinformation,pleasecontactWCOSecurityProgramme@wcoomd.orgorJatinder.Randhawa@wcoomd.org.

3)UseavailablefundsfromEUInstrumentforPre-AccessionAssistance(IPAII)2014-2020Strengtheningthematerialandhumancapacitytodetectandpreventirregularmigrationandimprovingthesurveillanceanddetectioncapacityoftheborderpoliceregardingallformsofcross-bordercrimearesomeoftheEUprioritiesIflinkedtoanyofthesepriorityareas,eachcountrycouldconsiderrequestingEUfundsundertheframeworkoftheIPAIIfordevelopinganAPIsystem.

2)DevelopanAutomatedTargetingSystem-Global(ATS-G)ProgrammeThiscost-freesoftwaresupportsAPIandPNRdatareceiptandprocessing,andisavailableaftersigninganMoUondataexchangewiththeUSCustomsandBorderProtection.Formoreinformation,pleasecontactdavid.dodson@cpb.dhs.gov.

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Flexibility Cooperationwithothernationalagencies,withforeignStates,with

industriesandinternationalorganizationsshouldbemaintainedasmuchaspracticableduringthepreparationandimplementation

phases.

Authoritiesshouldalsoremainflexible,particularlyengagingwithairlines.Certaintechnicalaspects

mayrevealproblemspreventingfullcompliancebycarriers,inwhich

casetheyshouldnotbepenalizedasissuesarebeingresolved.Itis

recommendedthatthegovernmentresponsevariesbasedonthecarrier

effort.

Itisimportanttohaveinmindthat,despitealltheefforts,allmaynotgoaccordingtoplan.LimitedavailabilityofITresources,differentlevelsofITmaturityacrosstheindustryornon-realisticimplementationtimeframesmayhindertheprocess.Inthiscontext,itisnecessarytohaveafallbackplanprepared.

Thisroadmapshouldnotbereadinalinearway.MostofthestepsneededtoimplementanAPIsystemcomplementeachotherand,therefore,someactionscan(andshould)betakenatthesametime.

UNSCR2396(21December2017)andPNRdata

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DecidesthatMemberStatesshalldevelopthecapabilitytocollect,processandanalyse,infurtheranceofICAOstandardsandrecommendedpractices,passengernamerecord(PNR)dataandtoensurePNRdataisusedbyandsharedwithalltheircompetentnationalauthorities,withfullrespectforhumanrightsandfundamentalfreedomsforthepurposeofpreventing,detectingandinvestigatingterroristoffensesandrelatedtravel,furtherCallsuponMemberStates,theUN,andotherinternational,regional,andsubregionalentitiestoprovidetechnicalassistance,resourcesandcapacitybuildingtoMemberStatesinordertoimplementsuchcapabilities,and,whereappropriate,encouragesMemberStatestosharePNRdatawithrelevantorconcernedMemberStatestodetectforeignterroristfightersreturningtotheircountriesoforiginornationality,ortravelingorrelocatingtoathirdcountry,with….resolutions1267(1999),1989(2011),and2253(2015),andalsoUrgesICAOtoworkwithitsMemberStatestoestablishastandardforthecollection,use,processingandprotectionofPNRdata;

PassengerNameRecord(PNR)•  ICAOAnnex9StandardsandRecommendedPracticesforPNR(9.1,9.22,

9.23,9.24)•  SingleWindow(currentlyRP,Standardinthenextedition)•  PNRConditionalStandard,i.e.allPNRProgrammesmustalignwith

Standards•  PrimarilyEDIFACT-basedsyntax(XMLalsodeveloped)•  PNRGOVmessageformat•  DataelementsaccordingtoICAOGuidelinesonPNRData(ICAODoc

9944)•  PNRGOVMessageImplementationGuide(s)forEDIFACTandXML•  Privacyimpact

LegendPNRinforce

PNRStatus:24States

Source:IATA

PNRAuthorizednotinforce

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PNRandConflictofLaw•  UNSCR2396(2017)urgesICAOtoestablisha

standardforthecollection,use,processingandprotectionofPNRdata.

•  TheChicagoConventionisthecoherent,harmonizedlegalframeworktoregulate(API&)PNRtransfer(ICAOAnnex9SARPs,PNRGuidelinesandPNRGOVspecifications).

•  However,thereisnoharmonizedlegalframeworktoovercometheconflictoflawasitrelatestodataprivacyandthetransferofPNRdata.

NextSteps:TheICAOAirTransportCommittee(ATC)taskedtheFacilitationPanelwithpreparingproposalsforStandardsandRecommendedPractices(SARPS)onthecollection,use,processingandprotectionofpassengernamerecords(PNR)inlinewithUnitedNationsSecurityCouncilresolution2396(2017)andreporttotheCommitteeduringthe218thSessioninOctober2019.

APIandPNR:Overview

ADVANCEPASSENGERINFORMATION PASSENGERNAMERECORD(DATA)

SECURITYTOOL(importancetohaveTravelDocumentscompliantwith

ICAODoc9303)

SECURITYTOOL

Serveslegalrequirement Servesairlines’operations40possibledataelements 60possibledataelementsorfields

(includingAPIdata)Collectionbyairline:flightopenforcheck-in

Collectioninreservationsystems:months/weeks

Mandatory:ICAOAnnex9Standard Notmandatoryatpresent(Annex9)

● Convention on International Civil Aviation, 1944 http://www.icao.int/publications/Pages/doc7300.aspx● Annex 9 — Facilitation ● Doc 9944, Guidelines on PNR Data ● WCO/IATA/ICAO API Guidelines http://www.wcoomd.org/en/topics/facilitation/instrument-and-tools ● API-PNR Toolkit https://www.iata.org/publications/api-pnr-toolkit/Pages/index.aspx

ReferenceDocuments

PassengerDataSingleWindowDefinition•  A facility that allows parties involved in passenger transport by air to

lodge standardized passenger information (i.e. API, iAPI and/or PNR) through a single data entry point to fulfil all regulatory requirements relating to the entry and/or exit of passengers that may be imposed by various agencies of the Contracting State.

•  Note.― The Passenger Data Single Window facility to support API/iAPI transmissions does not necessarily need to be the same facility used to support PNR data exchange.

BenefitsoftheSingleWindow•  A facility that allows parties involved in passenger transport by air to lodge

standardized passenger information (i.e. API, iAPI and/or PNR) through a single data entry point to fulfil all regulatory requirements relating to the entry and/or exit of passengers that may be imposed by various agencies of the Contracting State.

•  Increase in government requests for passenger data (based on new ICAO Standard 9.5 and UN Security Council Resolution calling for PNR S/RES/2368 2017

•  A standard on a single window is necessary to limit costs and human resources for Contracting States implementing these requirements

•  Single window improves data quality/consistency

SingleWindowProposedAmendmenttoAnnex9•  9.1. Standard: States should shall create a Passenger Data Single

Window facility for each or all data categories combined that allows parties involved to lodge standardized information with a common data transmission entry point for each category to fulfil all related passenger and crew data requirements for that jurisdiction.

•  9.2 Recommended Pratice: Contracting States iAPI) and/or PNR data from aircraft operators should consider creating a Passenger Data Single Window facility for all data categories combined.

•  9.1.1. Recommended Practice.— Contracting States should take measures for cybersecurity into consideration, when establishing a Passenger Data Single Window facility for passenger information

ICAO Facilitation Panel D.E. Raadgers

https://www.icao.int/Security/FAL/TRIP/Pages

BorderControlManagementGuide

Developedwiththesupportofanadvisorygroupofexperts

52

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AutomatedBorderControl(ABC)gates3.34.4RecommendedPractice.—EachContractingStateshouldconsidertheintroductionofAutomatedBorderControl(ABC)systemsinordertofacilitateandexpeditetheclearanceofpersonsenteringordepartingbyair.3.34.5RecommendedPractice.—ContractingStatesutilizingABCsystemsshould,pursuantto3.9.2and3.10.1,usetheinformationavailablefromthePKDtovalidateeMRTDs,performbiometricmatchingtoestablishthatthepassengeristherightfulholderofthedocument,andqueryINTERPOL’sStolenandLostTravelDocuments(SLTD)database,aswellasotherbordercontrolrecords,todetermineeligibilityforbordercrossing.

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Internationalcooperation:keyforsuccessfulimplementation

UNOCT

15thTRIPSymposium Montreal, Canada, 25-28 June 2019 With a dedicated interactive API session

This event is a world-class forumfortheexchangeofinformationona l l a s p e c t s o f t r a v e l l e ridentification management, andthe ICAO TRIP Strategy providingdecision makers and technicalexperts with valuable insight onkeycurrentandemergingissues.

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THANKYOU!MERCI

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