Icao Mrtd Report Vol.6 No.1, 2011

8/6/2019 Icao Mrtd Report Vol.6 No.1, 2011

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Vol. 6, No. 1

In this iss :2010 Ass mbl R sol tion and S c rit D clarationSixth MRTD S mposi m R vi w - High-L v l Addr ss s and S mmari sOSCE Interview: Raphael Perl China becomes newest ICAO PKD MemberMRTD and -Passport Capacit -B ilding: Mont vid o and Map to

Th 2010 ICAO Ass mbl and Sixth MRTDS mposi m stablish npr c d nt d globalcons ns s on aviation s c rit , prop lling an w ra of Stat -tailor d id ntit manag m nt

and bord r control advanc s

CollaborativMom nt m

InternatIonal CIvIl avIatIon organIzatIon

ICaoMrtD rePort


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ICAO MRTD RePORTVOLuMe 6, NuMBeR 1, 2011

editorialMRTD ProgrammeAviation Securityand Facilitation Policy SectionEditor-in-Chief: Mauricio Siciliano

Tel: +1 (514) 954-8219 ext. 7068E-mail : [email protected]

Cont nt D v lopm ntAnthony Philbin CommunicationsSenior Editor: Anthony Philbin

Tel: +01 (514) 886-7746E-mail: [email protected] Site: www.philbin.ca

Prod ction and D signBang MarketingStphanie Kennan

Tel: +01 (514) 849-2264E-mail: [email protected] Site: www.bang-marketing.com

Adv rtisingKeith Miller, Advertising Representative

Tel: +01 (514) 954 8219, ext. 6293Fax: +01 (514) 954 6769E-mail: [email protected]

S bmissionsThe MRTD Report encourages submissions from interested

individuals, organizations and States wishing to shareupdates, perspectives or analysis related to global civilaviation. For further information on submission deadlinesand planned issue topics for future editions of theMRTD Report , please contact Mauricio Siciliano, managingeditor at: [email protected]

Opinions expressed in signed articles or in advertisementsappearing in the ICAO MRTD Report represent the authorsor advertisers opinion and do not necessarily reflectthe views of ICAO. The mention of specific companies orproducts in articles or advertisements does not imply thatthey are endorsed or recommended by ICAO in preferenceto others of a similar nature which are not mentionedor advertised.

The publishers extend their thanks to the companies,organizations and photographers who graciously suppliedphotographs for this issue.

P blish d bInternational Civil Aviation Organization (ICAO)999 University StreetMontral, QubecCanada H3C 5H7

The objective of the ICAO MRTD Report is to provide acomprehensive account of new developments, trends,innovations and applications in the field of MRTDs tothe Contracting States of ICAO and the internationalaeronautical and security communities.

Copyright 2011International Civil Aviation Organization

Printed by ICAO

Cont nts

COVeR STORyL v raging a y ar of Not worth Cons ns s and Accomplishm nts

M ssag From Th editor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

37 th Ass mbl : establishing Cl ar Cons ns sReviewing the decisions taken at the 37 th Assembly establishing stronginternational consensus on broadening MRTD compliance and strengtheningrelated systems of identity management and border control. . . . . . . . . . . . . . . . . . . 6

37 th Ass mbl : D claration on Aviation S c ritAs a testament to their commitment to prioritize security-related issues movingforward, ICAO Member States unanimously adopted a new Declaration on AviationSecurity at the 37 th Session of the ICAO Assembly, in recognition of the continuingthreats to civil aviation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Sp cial Highlight:2011 D lhi S c rit Conf r nc Adopts D claration-bas d RoadmapAt the first in a series of security conferences on implementing the ICAODeclaration on Aviation Security, 14 States have adopted a new roadmapthat will guide their progress toward more effective border screening, aircargo security and Capacity-Building ini tiatives. . . . . . . . . . . . . . . . . . . . . . . . . 13

Sixth MRTD S mposi m: Affirming th Importanc of th Global MRTD R gim In his opening remarks to the Sixth MRTD Symposium, ICAO Secretary GeneralRaymond Benjamin strongly reaffirms the importance of, and his personalcommitment to, the MRTD Programme, stressing his appreciation to the

TAG/MRTD Working Group and highlighting the need for increased MRTDCapacity-Building efforts and stakeholder cooperation moving forward. . . . . . . . . . 10

Sixth MRTD S mposi m: S mmar and Concl sionsBarry J. Kefauver, in his closing remarks to the MRTD Sixth Symposium, stressesthe need for travel document progress to be led by and tailored to specific needs of States, and highlights how todays border and identity environment is characterizedby an unprecedented critical mass of expertise and technology . . . . . . . . . . . . . . . 14

Sta ing Foc s d on Stat N ds and Capaciti sReviewing MRTD Capacity-Building events held in Montevideo and Maputoin 2010 and highlighting ICAOs strong prioritization of further cooperativeefforts in this regard moving forward. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Th OSCes Collaborativ VisionAn interview with Raphael F. Perl, OSCE Head on Anti-Terrorism Issues,concerning his Organizations ongoing and very fruitful cooperation with ICAOand its current priorities in the areas of travel documents, border securityand facilitation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

China PKD Update . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

MRTD Glossar of T rms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32


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Ms. M. Pujau-Bosq

Mr. A. ManickamMr. J. Nugent IrelandMr. N. Kawamura

Organization of American States (OAS) - Inter-American Committee on Terrorism (CICTE)

Mrs. K. Mitchinson

Mr. J. Verschuren


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MESSAGE FROM THE EDITOR

As of the deadline set by ICAO in Annex 9, more than180 States had issued Machine Readable Passports(MRPs) in conformity with ICAO specifications as of 1 April 2010. According to the Implementation andCapacity-Building Working Group (ICBWG) of the TechnicalAdvisory Group on Machine Readable Travel Documents(TAG/MRTD), some five States had not introduced MRPsby the end of 2010. The MRTD programme has beenworking closely with the ICBWG in identifying related

assistance needs and outlining capacity-buildingsupport activities in this regard.

New Technology Working Group

The New Technology Working Group (NT WG) of the(TAG/MRTD) continued assisting the Secretariat indeveloping and maintaining the relevance of thespecifications contained in Machine ReadableTravel Documents (Doc 9303), developing new MRTDspecifications and issuing related guidance material.Regular updates were provided through Supplements

(Release 8, formally approved in June 2010), whichis to serve as basis for the update of all partsof Document 9303.

Following the Resolution adopted at the ICAO 37 th Assembly,the NTWG work has expanded significantly to includedeveloping specifications and guidelines for the evidenceof identity. Another key area of work, as reconfirmed bythe Assembly Resolution, is updating the specificationsof e-MRPs and other MRTDs to keep them up to date inthe light of technological advances.

Enhanced Cooperation and Capacity-Building

The Secretariat, together with the Implementation andCapacity- Building Working Group (ICBWG) of the TAG/MRTD,provided assistance to numerous States and internationalorganizations on matters related to MRTDs. The main focusof capacity-building efforts continued to be assistanceprojects for States unable to meet the 1 April 2010deadline for the introduction of ICAO-compliant MRPs.Additional focus was on security vulnerabilities related tothe evidence of identity (birth certificates, national ID cards,etc.) required to apply for travel documents, and the

introduction of automated migrant processing systemsequipped with passport readers.

Ongoing close cooperation and consultations were maintainedwith other UN and non-UN bodies, including the UN Counter-Terrorism Committee Executive Direc torate (UN CTED),the United Nat ions Counter-Terrorism Implementation TaskForce (CTITF), INTERPOL, the International Organization forStandardization (ISO), Airport s Council International (ACI), the

International Air Transport Association (IATA), the Organizat ionof American States Secretariat of the Inter-AmericanCommittee Against Terrorism (OAS CICTE), the Organizationfor Security and Co-operation in Europe (OSCE) and theInternational Organization for Migration (IOM).

Numerous States were assisted in 2010, ranging fromclarifying MRTD specifications and interpreting theirrequirements, to full-scale assessments, consultationsor training sessions. Capacity-Building activities included:

Technical consultations and workshop on e-Passport

issuance in Uzbekistan (jointly with the OSCE). Workshop on travel document security for the South of Latin

America in Uruguay (jointly with OAS CICTE please also seethe Regional Progress article in this issue on page 20).

Technical consultations with Interpol on enhancing jointtravel document security activities.

Workshop on Promoting the ICAO Public Key Directory (PKD)in Vienna for 53 OSCE States ( jointly with OSCE and ICAOPKD Board for more on ongoing ICAO/OSCE cooperationplease see the Raphael Perl interview on page 26).

ICAO Regional Seminar on MRTDs and Biometrics in SouthAmerica (Montevideo, Uruguay, July 2010).

OSCE/ICAO/IOM Assessment Mission for e-Passport Issuance,Integrity and Identity Management (Tajikistan, July 2010).

Regional Seminar on Machine Readable Travel Documents(MRTDs), Biometrics and Security Standards for Africa andthe Middle East (Maputo, Mozambique, November 2010).

The MRTD programme has been expanding its capacity-building work through the Implementation and Capacity-Building Working Group (ICBWG), which held 2010 meetingsin Warsaw and Dublin. Ongoing work includes intensifyingdonor liaison, project development and seeking externalfunding for MRTD capacity-building projects.

2010:A y ar of Not worthAccomplishm nts


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M R T D R e p o r t N u m b e r 1 2 0 1 1

the importance of travel documentsecurity, identity management and datasharing as part of an enhancedcomprehensive aviation security regimefor the 21 st century.

In particular, the Declaration called forintensified and expanded use of theICAO Public Key Directory and

INTERPOLs Stolen and Lost TravelDocument Database, two keyinstruments in preventing and combatingidentity fraud. Also, it placed particularemphasis on information collection,analysis and timely sharing, and urgesStates to share best practices inconsolidating travel document securityand fraud detection. All these issuesare directly related to MRTDs andidentity management.

Other Priorities

The MRTD programme will continuewith the implementation of Doc 9303specifications and best practicesworldwide as a key instrument toenhance aviation security, as well ascounter terrorism and trans-border crime.In particular, it will continue its work onupdating and enhancing Doc 9303specifications or related technical reports,as required, in response to the emergingneeds of States. The Programme willalso be working on new challenges andtechnological developments, includingthe development of best practices forevidence of identity. Lastly it will continueto respond to requests for informationand guidance from States and industryon various MRTD-related matters,providing pertinent expertise and adviceon MRTD-related matters to the Counciland its committees, as well as any otherexternal entities.

material and powerful new networkingtools. The Secretariat also developedan on-line directory of service andproduct vendors (http://mrtd.icao.int).The MRTD Community web siteprovides easy reference to Statesabout private sector vendorsproducing passports, other traveldocuments and related security

materials and equipment.

MRTD Report

The MRTD Report magazine continuesto be published three times per yearand, along with the MRTD symposia andregional seminars, serves to effectivelypromote and educate ContractingStates on MRTD developmentsand biometric specifications.

Public Key Directory (PKD)

Since its establishment in March 2007,the number of participants in ICAOsPublic Key Directory (PKD) has increasedto 26 Member States, with more expectedto join. The PKD Board reached itsmaximum number of fifteen Members Australia, Canada, China, France,Germany, India, Japan, Czech Republic,Korea (Republic of), New Zealand, Nigeria,Singapore, Switzerland, United Kingdomand United States.

ICAO Declaration on Aviation Security

The ICAO Declaration on Aviation Security,which was unanimously approved at theICAO 37 th Assembly, provided guidancefor the future of the MRTD programme.In addition to traditional aviationsecurity measures such as use of newtechnologies in passenger and cargoscreening, the Declaration also stressed

Additionally the ICBWG has beendeveloping an MRTD ICAO-compliancecertification mechanism, developing PRand information dissemination materialson MRTD specifications and availabletechnical assistance, and developingspecific assistance activities to States.

Training

The MRTD programme has alsodeveloped a strategy to launch an MRTDtraining initiative, and specific trainingmodules are now being developed withinthe framework of the ICBWG and in closecooperation with Frontex the EuropeanUnions border control agency. The ICAOGuide for Assessing Security of Handling

and Issuance of Travel Documents hasbeen completed in English and Frenchand posted on the MRTD Web site.It can be used as a resource for ICAOassessments and workshops.

Sixth MRTD Symposium

The MRTD Symposium was held inMontreal from 1 to 4 November 2010and was attended by 574 participantsfrom 73 Contracting States and

10 international organizations. Themeeting benefited from presentationsby the Secretary General of Interpol,the Chairman of the Counter-TerrorismImplementation Task Force of the UnitedNations, the Director of StrategicPlanning Directorate of INTERPOL, andother senior representatives from Statesand various international and regionalorganizations. It also served as aplatform to confirm ICAOs leadershipin the development of the MRTDProgramme as an essential tool incombating terrorism and trans-bordercrime, and to update the internationalcommunity on new developments to beimplemented by ICAO as instructed bythe 37 th Assembly.

To improve access to information, theMRTD web site was comprehensivelyupdated, providing Member States andusers, including TAG/MRTD workinggroups, with extended reference


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37 TH ASSEMBLY - CALL TO ACTION

nationality and assess entitlement of the passportapplicant (i.e. breeder documentation);

Whereas Member States of the United Nations haveresolved, under the Global Counter-Terrorism Strategyadopted on 8 September 2006, to step up effor ts andcooperation at every level, as appropriate, to improve thesecurity of manufacturing and issuing identity and traveldocuments and to prevent and detect their alteration orfraudulent use;

Whereas Resolution 1373 adopted by the United NationsSecurity Council on 28 September 2001, decided that allStates shall prevent the movement of terrorists or terroristgroups by effective border controls and controls onissuance of identity papers and travel documents, and

Section II. International cooperation in protecting the security and integrity of passports

Whereas the passport is the basic official documentthat denotes a persons identity and cit izenship andis intended to inform the State of transit or destinationthat the bearer can return to the State which issuedthe passport;

Whereas international confidence in the integrity of thepassport is essential to the functioning of theinternational travel system;

Whereas the veracity and validity of machine readabletravel documents (MRTDs) depends on the documentationused to establish identity, confirm citizenship or

Th following is th final t xt of App ndix D Facilitation, S ction II, to th R sol tionsadopt d b th D l gat s to th 37 th ICAOG n ral Ass mbl h ld in th fall of 2010.

ICAO M mb r Stat s stablish d a cl arand strong cons ns s on this occasionr garding th n d for all Stat s to advancth ir national trav l doc m nts to conformto th n w st ICAO Int rnational Standardsin this ar a.

Th Ass mbl also confirm d th importantn d for all ICAO M mb rs to b gin coop ratingmor ff ctiv l with oth r Stat s andint rnational law nforc m nt ag nci s, andto work toward nhancing th s c rit andint grit of th ir br d r doc m nt and thr lat d id ntit manag m nt s st ms whichso f ndam ntall s pport toda s int rnationalid ntit , bord r control and mobilit r gim s.

establishing Cl arInt rnationalCons ns s


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through measures for preventingcounterfeiting, forgery or fraudu-lent use of identity papers andtravel documents;

Whereas high-level cooperation amongStates is required in order to strengthenresistance to passport fraud, includingthe forgery or counterfeiting of passports, the use of forged orcounterfeit passports, the use of validpassports by impostors, the use of expired or revoked passports, and theuse of fraudulently obtained passports;

Whereas the use of stolen blankpassports, by those attempting toenter a country under a false ident ity,is increasing worldwide; and

Whereas ICAO provides assistanceto States in all matters related toMRTDs including project planning,implementation, education, trainingand system evaluation services,and has set up the Public Key

Directory (PKD) to strengthen thesecurity of biometrically-enhancedMRPs (ePassports):

The Assembly:1. Urges Contracting States to

intensify their efforts to safeguardthe security and integrity of thebreeder documentation;

2. Urges Contracting States to intensifytheir efforts to safeguard the securityand integrity of their passports,to protect their passports againstpassport fraud, and to assist oneanother in these matters;

3. Urges those Contracting States thathave not already done so, to issuemachine readable passports inaccordance with the specifications

of Doc 9303, Part 1;4. Urges Contracting States to ensure

that the expiration date of non-machine readable passports fallsbefore 24 November 2015;

5. Urges those Contracting Statesrequiring assistance in implementing

MRTD standards and specificationsto contact ICAO without delay;

6. Requests the Council to takeappropriate measures to establishguidance on breeder documentation;

7. Requests the Council to continue thework on enhancing the effectivenessof controls on passport fraud byimplementing the related SARPsof Annex 9 and developing guidancematerial to assist Contracting Statesin maintaining the integrity andsecurity of their passports andother travel documents;

8. Urges those States issuinge-Passports to join the ICAO PKD;and all receiving States to verify thedigital signatures associated withthe passports; and

9. Urges those Contracting Statesthat are not already doing so,to provide routine and timelysubmissions of lost and stolenpassport data to Interpols AutomatedSearch Facility/Stolen and Lost TravelDocument Database.


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Under ICAOs leadership, aviation security around the world hasimproved markedly in recent years. Despite this progress, civilaviation is likely to remain a target of terrorism, considering its nature

as an essential mode of transport that contributes significantly toworldwide economic and social development.

As a testament to their commitment to prioritize security-relatedissues moving forward, ICAO Member States unanimously adoptedthe following Declaration on Aviation Security at the 37 th Sessionof the ICAO Assembly in recognition of the continuing threats to civilaviation. It represents a clear and high-level commitment by Statesto strengthen aviation security worldwide through enhancedinternational cooperation.

Its noteworthy that the Declaration was the product of acomprehensive consensus-building exercise, reflecting the outcomeof a series of Ministerial-level regional conferences on aviationsecurity, held with ICAOs participation, during the first half of 2010.

While convened in several locationsspecifically Mexico City, Tokyo,Abuja and Abu Dhabiparticipants in these conferences expressedcommon concerns. In brief, they underscored the need to enhance

information collection and sharing, including the sharing of sensitivethreat information, among Member States and between concernedentities within States. They also stressed the need for effectivesecurity technology and strong international Standards, as well as theimportance of Capacity-Building assistance for States that experiencedifficulty in addressing security shortcomings. The Declaration ismore than a statement of political will in the sense that it enumeratesthe key activities considered necessary to address the evolving threatin a proactive way.

Security threats, and in particular acts of terrorism, transcendnational boundaries. An effective global response requirescommitment as well as action. The Declaration on Aviation Securityserves this purpose by emphasizing the collective responsibility fortaking appropriate action to address a worldwide problem.

Cl ar R solv and Strong Commitm nt

37 th Ass mbl : D claration on Aviation S c ritThe Assembly, recognizing the need to strengthen aviation security worldwide, in light of the continuing threat to civil aviation,including the attempted sabotage of Northwest Airlines flight 253 on 25 December 2009; and acknowledging the value of the jointdeclarations on civil aviation security emanating from regional conferences held with a view to enhancing international cooperation,hereby urges Member States to take the following actions to enhance international cooperation to counter threats to civil aviation:

1. Strengthen and promote the effective application of ICAO Standards and Recommended Practices, with particular focus onAnnex 17 Security, and develop strategies to address current and emerging threats.

2. Strengthen security screening procedures, enhance human factors and utilize modern technologies to detect prohibited articles

and support research and development of technology for the detection of explosives, weapons and prohibited articles in order toprevent acts of unlawful interference.

3. Develop enhanced security measures to protect airport facilities and improve in-flight security, with appropriate enhancements intechnology and training.

4. Develop and implement strengthened and harmonized measures and best practices for air cargo security, taking into account theneed to protect the entire air cargo supply chain.

5. Promote enhanced travel document security and the validation thereof using the ICAO Public Key Directory (PKD) in conjunction withbiometric information, and the commitment to report on a regular basis, lost and stolen passports to the INTERPOL Lost and StolenTravel Documents Database to prevent the use of such travel documents for acts of unlawful interference against civil aviation.

6. Improve Member States ability to correct deficiencies identified under the Universal Security Audit Programme (USAP) by ensuringthe appropriate availability of audit results among Member States, which would enable better targeting of Capacity-Building andtechnical assistance efforts.

7. Provide technical assistance to States in need, including funding, Capacity-Building and technology transfer to effectively addresssecurity threats to civil aviation, in cooperation with other States, international organizations and industry partners.

8. Promote the increased use of cooperation mechanisms among Member States and with the civil aviation industry, for informationexchange on security measures in order to avoid redundancy, where appropriate, and for early detection and dissemination of information on security threats to civil aviation, including through the collection and transmission of advance passengerinformation (API) and passenger name record (PNR) data, as an aid to security, whilst ensuring the protection of passengersprivacy and civil liberties.

9. Share best practices and information in a range of key areas, such as: screening and inspection techniques, includingassessments of advanced screening technology for the detection of weapons and explosives; document security and frauddetection; behaviour detection and threat-based risk analysis; screening of airport employees; the privacy and dignity of persons;and aircraft security.

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37 TH ASSEMBLY - DECLARATION ON AVIATION SECURITY


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I commend the International Civil Aviation Organization for adopting yesterdaysDeclaration on Aviation Security, which forges a historic new foundation for aviationsecurity that will better protect our world from evolving terrorist threats. Following theattempted December 25 th terrorist attack, at my direction, the Department of Homeland Security has worked with ICAO, our international partners, and representatives ranging from airline CEOs to aviation industry trade associations in an unprecedented effort to strengthen international aviation security. The extraordinary global collaboration

demonstrated by the nearly 190 ICAO countries during the ICAO General Assembly in Montreal has helped to bring about a truly 21 st century international aviationsecurity framework that will make air travel safer and more secure than ever before.

President Barack Obama


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2010 SIXTH MRTD SY MPOSIUM

This years Sixth MRTD Symposium takes on particularsignificance given the very positive results of the 37 th ICAOAssembly, held in this very room just over three weeks ago.

A record number of Assembly participants, from175 Member St ates, unanimously adopted a specialDeclaration on Aviation Security which urges them toreaffirm their commitment to security and to engagein greater international cooperation when addressingcomplex and evolving threats to aircraft and airtransport systems.

What I find particularly relevant to this MRTD Symposiumis the emphasis placed by the Assembly Aviation SecurityDeclaration on travel document security, identitymanagement and data sharing as vital componentsof an effective and over-arching security strategy.

For example, the Declaration calls for intensified andexpanded use of the ICAO Public Key Directory and

INTERPOLs Stolen and Lost Travel Document Database incombating identity fraud. It also calls for more intelligentaviation security processesin terms of informationcollection, analysis and timely data sharing among andbetween agencies and States. States are encouraged toshare expertise and apply best practices to consolidatetravel document security and fraud detection.

Overall, I see the Declaration being perfectly in line with two majortrends in the ongoing evolution of the ICAO MRTD programme.

The first is a widening scope for the programme. The latestmeeting of the Technical Advisory Group on MRTDs, orTAG/MRTD, and the recent Assembly both recognized thatthe original objectives of the programme have largely beenachieved. MRTD norms have been established and thereexists a sustainable mechanism for updating specificationsto meet evolving needs. The MRTD Programmes focus onpreventing transborder crime and terrorism is graduallyshifting to document pre- and post-issuance phases.

Th Sixth S mposi m on ICAO Machin R adabl Trav lDoc m nts (MRTDs), Biom trics and S c rit Standards,was h ld in Montr al from 1 to 4 Nov mb r 2010.It b n fitt d from th tr m ndo s mom nt m ons c rit -r lat d matt rs g n rat d b th 37 th Ass mbl s

nanimo s adoption of a n w D claration on AviationS c rit . Th highl -s cc ssf l Sixth MRTD S mposi m wasatt nd d b 579 participants from 91 Contracting Stat sand s v n int rnational organizations.

Th m ting b n fitt d from pr s ntations b th D p t Dir ctor of uS-Visit Program, th Chairmanof th unit d Nations Co nt r T rrorism Impl m ntation Task Forc , th Dir ctor of th Strat gicPlanning Dir ctorat of INTeRPOL and oth r s nior r pr s ntativ s from Stat s and vario sint rnational and r gional organizations. It also s rv d as a platform to confirm ICAOs l ad rshipin th d v lopm nt of th MRTD Programm as an ss ntial tool in combating t rrorism andtransbord r crim , and to pdat th int rnational comm nit on n w d v lopm nts to bimpl m nt d b ICAO as instr ct d b th 37th S ssion of th ICAO Ass mbl .

In th s op ning r marks to th S mposi ms participants, ICAO S cr tar G n ral Ra mondB njamin strongl r affirm d th impor tanc of, and his p rsonal commitm nt to, th MRTDProgramm , str ssing his appr ciation to th TAG/MRTD Working Gro p for its tr m ndo s fforts

in th s cc ssf l progr ssing of d v lopm nts in this ar a and highlighting th n d for incr as dMRTD capacit -b ilding fforts and stak hold r coop ration.

Trav l Doc m ntsand Id ntit Manag m nt:Toward a Mor eff ctiv S c rit R gim


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has become an effective internationalintermediary that increasingly matchesthe needs of States with availabletechnical expertise and donor funding.

I would like to take this opportunity tothank the TAG/MRTD working groupparticipants for all their efforts. Yourongoing contribution to ICAOs work isessential to the future success of theMRTD Programme.

Before I conclude, I would also liketo mention that this year marks thethirtieth anniversary of the distributionof ICAO Machine Readable TravelDocuments, also known as Doc 9303.It has become the authoritativepublication containing specifications for

machine-readable passports, visas andID cards, including biometric traveldocuments. No longer limited to ruleson how to produce and personalizeMRTDs, Doc 9303 now addressesthe integrity of the issuance process,identity fraud prevention and theincorporation of robust securityfeatures. It will continue to evolvethrough the years to reflect the dynamicreality in which we must operate.

Again, I sincerely want to thank you forhaving taken the time to join us here thisweek, and I wish you all a very engagingand successful Symposium.

need assistance, intensify liaison withdonor agencies and thereby significantlyexpand Capacity-Building measures.

ICAO is currently exploring ways tobetter help States in building theirMRTD implementation capacity.

In this process, the MRTD Programmereceives invaluable support from theTAG/MRTD and its working groups.The New Technologies Working Groupcontinues to develop and maintainMRTD and e-MRTD specifications inlight of emerging technologies. TheImplementation and Capacity-Building

Working Group established two yearsago has been gaining momentum, andis expanding its activities in projectdevelopment and implementation. It

This is where serious vulnerabi-lities remain.

In the pre-issuance stage, civil registrydocuments used to establish identity,as well as the document issuanceprocess itself, reveal weaknesses thatcan be exploited for criminal purposes.A fraudulent birth cer tificate, forexample, can easily be used whenapplying for a passport in another name.

In the post-issuance phase, significantsecurity challenges remain with regard toborder controls, travel document fraud,

forensic examination and detection, andcross-border intelligence sharing.

Unless all of these concerns areaddressed in a proactive manner an initiative that requires politicalwill, effort and resourcestheywill seriously undermine the coreMRTD Programme.

The second trend is an increasingrequirement for MRTD capacity-buildingefforts worldwide. Current MRTDspecifications can be readily implementedby most developed States yet a numberof less developed States experiencedifficulty in achieving compliance. Thisis due mainly to the lack of technicalexpertise, funds, or both.

Such capacity short falls compromisethe universal implementation andeffectiveness of MRTDs. The answer isto instil closer dialogue with States that

What I find partic larl r l vant tothis MRTD S mposi m is th mphasisplac d b th Ass mbl Aviation S c rit

D claration on trav l doc m nt s c rit ,id ntit manag m nt and data sharingas vital compon nts of an ff ctivand ov r-arching s c rit strat g .

Th r is an incr asing r q ir m nt forMRTD capacit -b ilding fforts worldwid Th answ r is to instil clos r dialog with

Stat s that n d assistanc , int nsifliaison with donor ag nci s and th r bsignificantl xpand capacit -b ildingm as r s. ICAO is c rr ntl xploringwa s to b tt r h lp Stat s in b ildingth ir MRTD impl m ntation capacit .

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GLOBAL SECURITY FRAMEWORKS

The adoption of a roadmap by 14 ICAO Member States tofurther protect global air transport from terrorist and othersecurity threats was praised recently by ICAO Secretary GeneralRaymond Benjamin at the conclusion of a two-day regionalaviation security conference in New Delhi.

Among the measures included in the roadmap are actions thatStates will take to strengthen security screening procedures byensuring that professionals are appropriately trained andequipped. Air cargo security will be enhanced through workingwith Customs authorities on common goals. Capacity-Buildingassistance to States in need in cooperation with ICAO, otherStates and the aviation industry is emphasized in the roadmap.

The conference was the first in a series on implementing theICAO Declaration on Aviation Security, unanimously adopted bythe Organizations Assembly last October to deal with known,new and emerging threats to civil aviation.

The challenge, OUR challenge, is to turn commitment intoaction. Terrorism is a global problem that requires global

solutions, Benjamin emphasized when urging participants todevelop the roadmap during the opening of the conference.

This roadmap is a key step in addressing the security challengeand can serve as a model for other regional aviation securityconferences, culminating in a global security conferenceplanned for next year at ICAO Headquarters in Montral,Benjamin indicated.

In support of the roadmaps initiatives, Benjamin pointed toICAOs ongoing collaboration with the air transport industryon a security checkpoint of the future concept to improvethe effectiveness of passenger and carry-on baggage

screening at airports. ICAO is also working with the WorldCustoms Organization to establish best prac tices for aircargo security.

The Government of India, through the Minister of CivilAviation, is to play a leading role in the implementa tion of the roadmap in the region through technical cooperationand other initiatives.

Adoption of N w S c rit RoadmapSignals Key Step in Countering Terrorism


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border controls and, more specifically, the issuance of passportsand other travel documents. The TAG/MRTD had an initialmandate of taking over the activities of the Panel on PassportCards and, subsequently, the groups mandate was expanded toinclude machine-readable visas and cards.

For this Symposium we have the honour of having among theparticipants two very important players in the establishment anddevelopment of the MRTD Programme: Rod Heitmeyer, former

Chief of the ICAO Joint Financing and Facilities ManagementBranch; and Ren Pouliot, Former Chief of the OrganizationsFacilitation Section and first Secretary of the TAG/MRTD. I wouldlike to take this opportunity to thank these key players for theiressential and important work in support of the MRTD Programme.The efforts and vision of these and other early TAG/MRTDcontributors from ICAO, State governments and the ISO providedthe firm foundation for this very successful programme as weknow it today.

As an example of the work achieved in the early days, I hold inmy hands the very first copy of Doc 9303. This working copycontains hand written notes from Ren Pouliot and we understandit was the same copy that was sent to the ISO for the purposesof homologating the standards and specifications establishedtherein. We will continue to keep this precious document inour archives.

But enough of history. Let us focus on the current agenda, andtodays realities.

Past accomplishments raise a funda-mental question: How dowe maximize the benefits of the MRTD Programme and ensureits continued relevance?

I am delighted to have this opportunity to address thisdistinguished audience and provide some reflections on the pastand the future of the ICAO MRTD Programme.

As mentioned just a moment ago by the Secretary General, thisyear marks the thirtieth anniversary of the publication of ICAO Doc9303, the body of knowledge that outlines specifications formachine-readable passports, visas and ID cards, includingbiometric travel documents. The first edition, issued in 1980,

described the basic principles of a machine-readable passport.Todays Doc 9303 is comprised of three comprehensive parts thatelaborate on state-of-the-art technical specifications for machine-readable and biometric travel documents and, as we shall see, willcontinue to expand and evolve in response to future needs.

Its worthy to note that ICAOs work on machine-readable traveldocuments actually began long before the appearance of Doc9303with the establishment of the ICAO Panel on PassportCards in 1968. The Panel was tasked with developingrecommendations for a standardized passport book or card thatwould be machine readable, thus facilitating the clearance of passengers through passport controls. Its recommen-dations tookinto account the cost effectiveness and reliability of differenttechnologies, and culminated in the first edition of Doc 9303,then titled A Passport with Machine-Readable Capability. In thoseearly days, Doc 9303 served as the guideline for issuing machine-readable passports in Australia, Canada and the United States.

Today, of course, it guides all of the worlds States.

In 1984, ICAO established the Technical Advisory Group onMachine-Readable Travel Documents, or TAG/MRTD for short.This group is comprised of government officials who specialize in

ICAOs L ad rship Rol in S ttingGlobal MRTD SARPs and Sp cifications

ICAOs work in th ar a of machin -r adabl trav l doc m nts b gan asfar back as 1968, c lminating in th first dition of th worlds nowg iding work in this domain: ICAO Doc 9303. Sinc 1984, fforts in thisar a hav f rth r volv d bas d on th r s arch and g idanc of thOrganizations TAG/MRTD Working Gro p and th k individ als whohav d monstrat d xtraordinar commitm nt thro gh th ir work for thisbod ov r r c nt d cad s.

On th occasion of th Sixth MRTD S mposi m and th 30 th anniv rsarof th p blishing of th first dition of Doc 9303, Folasad Od tola,Dir ctor of th ICAO Air Transport B r a , xt nds th gratit d of th

Organization to th individ als who hav h lp d ICAO r aliz this tr m ndo s global achi v m nt and lookstoward a f t r wh r id ntit manag m nt and oth r advanc s promis to improv v n f rth r th s c ritand conv ni nc of th trav lling p blic.



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Very often we are asked whether theMRTD Programme is part of ICAOsfacilitation work. At the dawn of theMRTD programme, the emphasis wasindeed on passenger facilitation.Air passenger traffic was surging andthe immediate concern was how to carryout border formalities more quickly andeconomically, in order to not hinder civilaviation operations. It was only logicalon this basis that the early MRTD-relatedStandards and Recommended Practices(SARPs) were incorporated in Annex 9 Facilitation , as is still the case.

Things changed fundamentally after9/11, however. The facilitation agendaremains relevant and important, but intodays global security environment, the

main focus of the MRTD Programmeincludes combating terrorism andtransborder crimes by enhancingborder security.

This brings us to another fundamentalquestion. How did the MRTD Programme,which started as a set of technicalspecifications for globally interoperablepassports and other travel documents,become a centre point in the contem-porary global security agenda?

The events of 11 September 2001highlighted the need for States to adoptinnovative and proactive approaches forcombating terrorism and related trans-border crime. Many new approacheswere tried, with some working better thanothers. But true global consensus wasevident in the recognition that effectivecounter-terrorism measures have to bebased on intelligence. Security threatsare posed by individuals and groups.Knowledge about those persons andtheir intentions helps to predict thelevel of threat and empowers lawenforcement agencies.

But unfortunately, intelligenceapplications can be circumvented by falseidentity. Even if a database indicates, say,

that John Smith is a suspected terrorist,no alert will be generated when thisperson crosses the border usingsomeone elses name. This is why reliableidentity management is the cornerstoneof global intelligence-based counter-terrorism measures. And robust MRTDand identity management can beachieved only by complying with therelevant standards developed so suc-cessfully by ICAO. To prevent securityincidents, we require passenger screening

measures combined with effective use of intelligence and reliable identity man-agement. While passenger screeningcertainly has a role to play, it remains justone layer of defence which, on occasion,can prove insufficient to ensure security.

As a result of incidents such as the NWAflight 253 bombing attempt, the securityof the future is likely to be morecomprehensive, with numerous securitylayers reinforcing each other. However,there is no need to reinvent the wheel.Border security and law enforcementhave been intelligence-led for decades,relying heavily on information collection,analysis and timely dissemination tofront-line officers. It may be feasible tointegrate border security best practices

with the aviation security process,enhancing both.

This, certainly, is food for thoughtandI trust this Symposium will serve as animportant forum for eliciting various viewson where the MRTD Programme shouldmove in the future. The programmesroadmap is our common concern, andthe views of industry and governmentstakeholders will assist immenselywith our policy review.


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Governments in the travel document and border control andsecurity arenas. I think the speakers have not disappointed usin meeting these goals.

At this point, nearing the conclusion of our time together,

I would like to draw some of these pieces into a something of acoherent whole, with that emphasis coming full circle to lookingout over the coming decade to assess the roles and functionsand purposes of travel documents, the next generation.

S mmar of th S mposi m

There is no doubt that Santayanas time-worn saying thosewho do not learn from history are doomed to repeat it hasgreat relevance on where we stand today with respect tolooking out over the time horizon toward the next generationof travel documents.

There have been so many significant issues and food forthought raised over the past several days. I will single outseven specific themes, but there are far too many to do justiceto what we have learned at this Symposium. However, I will citevery briefly what I feel are those seven recurring themes.

First , what I will characterize as Trav l A thorizations, withinthe generic frame of visas whether of an electronic context ornot. Yesterday afternoons very spirited discussion of theseissues brought the substance of these areas home graphically.While not a new area of work focus for the ICAO Working


Th following ar th closing r marksof Barry J. Kefauver as presented toth att nd s of th fall 2010 SixthS mposi m on ICAO MRTDs, Biom tricsand Security Standards. Kefauver stressedth n d for progr ss in this domainto b l d b and tailor d to sp cificgov rnm nt n ds, noting that th hardwork of ICAO and oth r stak hold rs ov rth past d cad has ng nd r d a trav l

doc m nt and id ntit nvironm nt that ischaract riz d b an npr c d nt d criticalmass of xp rtis and t chnolog to h lpm t all Stat prioriti s moving forward.

ConfrontingRisks andMaximizingAbiliti s

Those of you who have attended any or all of the precedingfive Symposia will have seen by now that the nature andcontent of this years Symposium has been different fromany of those. The fundamental goal of this years format wasto look out over the next decade or so and develop a senseof purpose and direction and especially the needs of


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Groups, yesterdays discussion underscores anew the interestin the travel document community for attention to theseconcerns. Controversial and somewhat alien to the usualposture of shying away from the ways in which sovereignentities manage their borders, I heard a call yesterday askingto seek something of a middle ground that will assess the useof electronic and other means to accomplish travelauthorizations that might lend more efficiency andeffectiveness to what we now generically call the visa function.

Second , Insp ction, examination and th us of Tools S chas PKI and PKD , was cited by several speakers as importantconcerns that demand more and broader focus and attentionby all of us. The time, effort, resources and emotion that wehave all expended in the current generation of passports hasresulted in over 250 million e-Passports in circulation andeach day that number grows. The message from thisSymposium is that now is the time for all to begin using

the e in the e-Passport and reap the benefits of enhancedsecurity and facilitation.

Third , the subject of evid nc of Id ntit was a thread that ranthrough a number of presentations, graphically conveying theneed to address the foundations on which our traveldocuments are issued. I suggest that this important area of focus falls into both the passport as well as the visa spheres.The vulnerabilities that abound in the ways in which wedetermine eligibility and entitlement are many and varied andthe pressures on these foundations are growing. Ranging fromthe civil registry systems that record births on through those

that document death, and all of life that lies in between, all of these sources of identity data need shoring up with processimprovements, best practices and where we can, the useof standards.

Fourth , capacit -b ilding resonates in this Symposium hall asan area in which strides have been made and yet so much moreyet to be done. The fact that almost all of the worlds passportvolume is now being issued as machine readable is a quantifiableand huge success. The concerted efforts of ICAO and its manypartnerships in reaching this goal deserve commendation.However, those were yesterday and this is today, with a worldfilled with the needs of capacity enhancement. The success thusfar merely whets the appetite for more. The scarcity of resourcesis a fact of life that must be acknowledged, but once having doneso, all the more need to redouble the efforts and define carefullychosen priorities to insure that those scarce resources aretargeted to the greatest areas of genuine need.

Fifth , the concept of Int grit was woven throughout the fabricof this Symposium by a number of speakers in a number of settings. While integrity is an umbrella factor that includesother considerations such as evidence of identity, I chose tosingle this as a conceptual and conscious theme unto itself.


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Now, usually we hear those kinds of pronouncements at gatherings such asthe Symposium. However, this yearamong others I heard ICAO SecretaryGeneral Raymond Benjamin pledge hispersonal and institutional commitmentto getting this job done. The speakerswho followed over the next few days allhave said that we will not let him down incarrying out that commitment.

Th F t r

As shaped by this Sixth Symposium,in my view we are poised on a verydelicate and important point in thehistory of travel document standards,issuance and inspection. At last yearsSymposium, it was observed that ICAOtook a risk in entering the unchartedseas of biometrics, but that risk haspaid off. I think we are going toencounter yet more areas of risk inthe coming years. We need to prepareourselves to be able to confront theserisks and maximize our abilities to dealwith them. The stakes have neverbeen higher.

Throughout the Symposium I have triedto be attentive to threads and themes of continuity that might help shape a bit of what the future holds and give ussomething of an edge in dealing with

accomplishment, particularly in thearena of capacity-building in its largestsense. I sense that we will be calledupon even more over the coming monthsand only through that bond of singularityof purpose can we hope to meet thedemands. Also, in the same sense thatthe foregoing are institutionalpartnerships, the Sixth Symposium,especially the speakers on the first day,

called upon all of us, the multilateraldimensions of these partnerships towork harder and better to share criticaldata and information to make ourborders stronger and the traveling publicsafer and sounder in their journeys.These are partnerships that weourselves can forge and nurture.

Finally, seventh , and perhaps mostloudly and most clearly was the cryof Chall ng that m st b m t withCommitm nt . Several speakers usedthese exact words, while others byimplication raised the same specter:That we face many challenges; togetherwe must commit ourselves in order tomeet them. To me, the first day wasespecially significant for thisSymposium. On that day we heardfrom very senior people that whatICAO has done is important to theworld and that which has yet to bedone is even more important.

Ranging from the ways in which wehandle the raw materials that eventuallycomprise a passport book, through tothe methods by which we deal withhuman resources, storage andprocessing facilities, and lastly how westructure the required legal frameworksfor breaches such as passport andidentity fraud, the issue of integrity isfundamental and absolute. The shifting

face of threats such as document fraud,now segueing into identity fraud, hasfacilitated new and perhaps unknownmethods of making mischief. Just as wehave rallied ourselves to develop theworlds most secure passport, so mustwe now gird to make certain that thesystems on which those documents relyfor their credibility are equally sound.

Sixth , the Partn rships that have beenthe building blocks of our pastaccomplishments must be reinforced,strengthened and expanded. We heardthis from the UN CTITF, INTERPOL, OAS,CARICOM, ICMPD, OSCE, ISO and otherswho have not been able to attend thisSymposium. The mortar that bondsthese relationships must be continuallyrenewed as we are facing up to dwindlingresources and never ending traveldocument community needs. We heardabout some success stories of meaningful and significant

Ranging from th wa s in which w handl th raw

mat rials that v nt all compris a passport book,

thro gh to th m thods b which w d al with h manr so rc s, storag and proc ssing faciliti s, and lastl

how w str ct r th r q ir d l gal fram works for

br ach s s ch as passport and id ntit fra d, th

iss of int grit is f ndam ntal and absol t .


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the unknowns. I have covered those in very skeletal fashion,but I think that is the role of a summary. However, there isone important and crucial thread that holds all of the resttogether: ICAO is the fulcrum around which the implementationof travel document and border management programs revolves.The Annex 9 and other related provisions acceded to byall 192 Member States clearly look to ICAO as the centerof the travel document universe.

Always important, but now more than ever before, the work of ICAO and its partnerships will revolve around policy directions,the determinations of what the worlds governments need fromtravel document functionality and from that the kinds of technologies that will best make those goals into realities.To assist in this, this coming year will see the work begin forthe issuance of the next ICAO Request for Information, which isthe medium through which the travel document community asa whole can communicate with industry, spell out what needs

to be done and to seek the kinds of technologies to carry itout. The first RFI in 1995 specifically sought biometrics anddata carrying media and resulted directly in facial recognitionand contactless chips.

This was a direct result of the Governments collaboratingand deciding that the global priorities were to be focused on

biometrics and the kinds of ways in which that data could becarried in travel documents. It is now time to develop that visionof the future to be able to clearly ar ticulate those emerging andnew long term needs and the kinds of Government policyobjectives that need to be served by industry.

We have great travel document challenges ahead.As well, within the ICAO community we have a greaterand more cohesive critical mass than we have ever hadbefore to meet those challenges. I thank all of you foryour time and attention throughout t he Symposium andI look forward to the next steps of our next traveldocument generation.


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covering how to produce andpersonalize MRTDs but ratherincreasingly addresses the integrity of issuance processes, identity fraudprevention, robust security features,etc., all in a much more proactivemanner than had been the case w henit was first conceived.

Doc 9303 covers not just MRTDs but also

e-MRTDs, i.e. travel documents enhancedwith biometric data stored on a chip. Thisintroduction of biometric data was a greatleap forward in MRTD evolution and hassignificantly enhanced passengerfacilitation while simultaneously

buttressing security benefits bydramatically reducing identity fraud.

Th Cas for Incr as d Capacit -B ilding Globall

An urgent need has developed inrecent years for MRTD and e-MRTDcapacity-building efforts worldwide.The current MRTD specifications, as

reflected in the latest version of Doc9303, are elaborate and effective andin line with the practices of the mostdeveloped States. Given the complexityof the related technologies andprocesses required, however,numerous States in less-developedareas of the world have been strugglingwith implementing them due mainly toa lack of local technical expertise,funding or both.

Border control and identity managementconcerns also illustrate a strong need forimproved State outreach by ICAO,notably in close collaboration with States

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STATE OUTREACH AND ASSISTANCE

The ICAO Machine-Readable TravelDocument (MRTD) programme hasgained considerable momentumsince its inception four decades ago.It continues today to provide globalleadership in setting and maintainingstandards and specifications onMRTDs as contained in Document9303 (Doc 9303), which remains itscore function.

Doc 9303 currently consists of fivesolid and comprehensive volumes,covering machine-readablepassports, visas and ID cards. It isno longer limited to specifications

C rr nt MRTD sp cifications, as r fl ct d in th lat st v rsion of Doc 9303, ar laborat andff ctiv and in lin with th practic s now stablish d in th worlds most d v lop d Stat s.

Giv n th compl xit of th r lat d t chnologi s and proc ss s n d d to impl m nt th m, how v r,n m ro s Stat s in l ss-d v lop d ar as of th world ar still str ggling to compl with th m dto a lack of local t chnical xp rtis , f nding or both.

In this r vi w of two important Capacit -B ilding v nts h ld d ring 2010 in Mont vid o, ur g a andMap to, Mozambiq , th MRTD Report r vi ws th n d for incr as d fforts b ICAO, Stat s andpartn ring sp cializ d ag nci s to improv th q alit and l v l of assistanc availabl to l ss-advanc d nations as all stak hold rs in this important global s c rit and mobilit r gim s k to

b tt r fortif toda s worldwid trav l doc m nt and bord r s c rit fram work.

Placing R n w d Priorit on MRTDand R lat d Capacit -B ilding efforts

Participants at the Maputo Regional Seminar onMachine Readable Travel Documents (MRTDs),Biometrics and Security Standards, held inNovember 2010. Advocacy of MRTD standardsand technical consultations to assist States withtheir related implementations are a vital par t of ICAOs MRTD Capacity-Building efforts.


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Th Am ricas and Caribb an hav a

long histor of cross-bord r migration

and, in man instanc s, w akn ss sin bord r control and id ntit

manag m nt. For th past d cad ,

pop lation mobilit and ff ctiv

bord r controls hav b com a

matt r of v n gr at r conc rnfor gov rnm nts in th r gion,

d larg l to th ris of irr g lar

migration and trans-bord r crim .

and partner security and lawenforcement organizations. While

the more effective border and identitycontrols that result from these effortsmay not eliminate terrorism and relatedtrans-border crime, they do reducerelated risks dramatically and offer apowerful tool to mitigate and countersuch threats.

The 9/11 and Bali terrorist attacksand the failed terror plot of 25 th December 2009, among others, haveclearly highlighted the importance of effective travel document security,identity management and intelligence-led passenger processing forpreventing and combatting suchcrime. The use of false identities andfraudulent travel documents remainsan important modus operandi thattends to be exploited by trans-bordercriminal networks, with deficienciesin these areas in any State havingdirect implications on todays globalsecurity agenda.

All of these factors, taken together, havebeen compromising the benefits of

universal MRTD implementation andweakening global security and lawenforcement efforts. This situation hasled to a call for a closer and morecomprehensive technical dialogue withStates in need, intensified liaison withdonor agencies and expanded capacity-building programmes in general.

Foc s on th Am ricas and Caribb an

The Americas and Caribbean have a longhistory of cross-border migration and, inmany instances, weaknesses in bordercontrol and identity management. Forthe past decade, population mobility andeffective border controls have becomea matter of even greater concern forgovernments in the region, due largelyto the rise of irregular migration andtrans-border crime.

In addition, the linkages betweennational (and regional) security and


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matters. Lastly, ICAO worked with theOAS/CICTE to help identify remainingcapacity gaps in the region and toexplore the prospects of developingfurther joint ICAO-OAS/CICTE activitiesin the future.

The main messages that emerged fromMontevideo Workshop discussions andworking group recommendationsincluded:

That the main MRTD-related andborder security challenges in theregion are:

border controls have promptedgovernments to factor internationalorganized crime and terrorism threatsinto the measures being taken tostrengthen their migration and identitymanagement systems. The resultingneed for enhanced border and identitycapacity-building strategies has emergedas a priority for both individualgovernments and regional bodies.

As a direct result of these needs, ICAOhas been working closely with regionalagencies in the Americas, particularlythose with a direct mandate to combatterrorism and trans-border crime. In June2010, ICAO therefore undertook a jointeffort with the Organization of AmericanStates (OAS) Secretariat of the Inter-American Committee against Terrorism(CICTE) in organizing a Sub-regionalWorkshop for the South Cone on BestPractices in Document Security and FraudPrevention in Montevideo, Uruguay.

The objective of ICAOs participation inthe Montevideo Workshop was toprovide the Sub-regional AmericanSouth Cone States with practical andhands-on MRTD technical expertise.The Organization provided support tothe OAS/CICTE by jointly organizing theWorkshop and through the provision of detailed technical consultations onMRTD and identity management

Attendees to the Montevideo Capacity-Building event in the Americas. The main MRTD-related andborder security challenges in the region were identified as breeder documents and civil registries, in addi-tion to insufficient inter-agency and cross-border data sharing to prevent and combat identity fraud.

Participants at the Montevideo Seminar were also provided with a technical exhibition by industrysuppliers featuring some of the latest travel document and border security developments.

1. Breeder documents and civil registries.2. Insufficient inter-agency and cross-

border data sharing to prevent andcombat identity fraud.

The importance of establishing greatercontinuity when organizing theseregional workshops, includingstrengthening inter-agency andcross-border cooperation and datasharing in the Southern part of LatinAmerica specifically.

It was suggested to focus on these twopriority fields when developing futureMRTD capacity-building activities in theMercosur region. All Contracting Statesin the region have ICAO-compliantPassports and do not require particular

assistance in this area.

As a compliment to the June MontevideoWorkshop, ICAO and the Latin AmericanCivil Aviation Commission (LACAC),with the support of the OAS/CICTE,also held the first ICAO/LACACRegional Seminar on Machine ReadableTravel Documents (MRTDs), Biometricsand Security Standards for the Americas,in Montevideo the following month.The event was attended by over

160 participants from 28 States,mainly those local to the region,but with additional participants inattendance from Africa and Asia.


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Participants to the July 2010 Seminar included senior officialsfrom appropriate departments in national administrations,including civil registry and identification card authorities,passport issuing offices, immigration, customs and otherborder control and security authorities. Officials from airlinesand airports involved in passenger service systems and the

handling of travel documents also benefited from the event.

The Seminar was designed to highlight the role of the ICAOMRTD Programme in ensuring MRTD interoperability, promotingenhanced facilitation, increasing confidence in the reliability of travel documents, and contributing to national and internationalsecurity. The event also promoted ICAO-compliant secure travel

documents and a robust identity management regime aspowerful tools in preventing and combating terrorism andtransnational crimes.

Seminar participants were briefed on the progress made withlocal Machine Readable Passport (MRP) issuance projects in

Paraguay and Colombia. INTERPOL additionally provided apresentation on its related programmes and global databaselaw enforcement support systems. An exhibition, as well aspresentations from eight par ticipating vendors, complementedthe Seminar, highlighting important products and servicesrelated to MRTDs, biometric identification, security applicationsand border inspection systems.

Th div rsit of th participants in att ndanc atth Map to S minar and Workshop highlight d thimportanc that both gov rnm nt ag nci s and thprivat s ctor plac on trav l doc m nts, bord rs c rit , combating t rrorism and trans-bord r crim .


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Geoffrey Moshabesha, former ICAO Regional Director in Nairobi, highlighted how the diversity of the participants at the Maputo Seminar and Workshop demonstrated the importance that bothgovernment agencies and the private sector place on the security and facilitation concerns thatwere under discussion.

In her opening remarks to the Maputo par ticipants, Folasade Odutola, Director of the ICAO AirTransport Bureau, stressed the emphasis placed by the 37 th Assembly Declaration on AviationSecurity on travel document security, identity management and data sharing as vital componentsof an effective security strategy.

Foc s on Map to

ICAO, with the support of the Governmentand Civil Aviation Authority of Mozambique,also held a Regional Seminar on MachineReadable Travel Documents (MRTDs),

Biometrics and Security Standards lastNovember in Maputo. Close to 100government officials from 35 States inAfrica and the Middle East took part in theSeminar and its complementary capacity-building workshop.

The main agencies represented at theMaputo Seminar were local State passportand immigration officials, law enforcementagencies and border control stakeholders,Ministries of the Interior, airport authoritiesand embassy staff. The Seminaraddressed ICAO MRTD specifications,identity management norms and relatedborder security issues with a particularfocus on issues and developments relatingto Africa and the Middle East.

The final day was devoted to capacity-building challenges, with particularreference to travel document and bordersecurity gaps in the region which could beassisted by the international community

through more robust and comprehensivetechnical cooperation projects.

In her opening remarks to the Maputoparticipants, Folasade Odutola, Directorof the ICAO Air Transport Bureau,

stressed the emphasis placed by the 37th

Assembly Security Declaration on traveldocument security, identity management

and data sharing as vital components of an effective security strategy.

She highlighted that the Declarationcalls for intensified and expanded use of the ICAO Public Key Directory andINTERPOLs Stolen and Lost TravelDocument Database in combatingidentity fraud, and that it also calls formore intelligent aviation securityprocesses in terms of informationcollection, analysis and timely datasharing among and between agenciesand States. Odutola encouraged Statesto share their expertise and apply bestpractices to strengthen travel documentsecurity and improve fraud detection.

Odutola also recognized that the eventwas particularly privileged to haveDavid Philp, Chair of the TAG/MRTDImplementation and Capacity-BuildingWorking Group (ICBWG), in attendanceto facilitate the Maputo capacity-building workshop.

In the events closing remarks,Geoffrey Moshabesha, former ICAORegional Director, Nairobi, noted thatthe Seminar and Workshop proceedings

had presented an opportunity forparticipants to discuss practical waysto collaborate on and strengthen MRTD


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implementation and border security capacities in the region,so that States and their societies could benefi t fromenhanced security and facilitation that the MRTDprogramme offers.

Moshabesha also stressed how the diversity of theparticipants in attendance at the Maputo Seminar andWorkshop highlighted the importance that both governmentagencies and the private sector place on travel documents,border security, combating terrorism and trans-border crime.He commented that although much had been achieved inMaputo, much more still remained to be done and that thegoal must remain universal implementation of the strongestspecifications and programmes available.

In closing Moshabesha thanked Antonio Pinto, Repre-sentative of Mozambique to ICAO, for his outstandingefforts in helping to coordinate and carry out the

Maputo Seminar.

A Key Asset in Present and Future Capacity-Buildingefforts: Th TAG/MRTD ICBWG

An important asset in supporting ICAO MRTD capacity-building work has been the TAG/MRTD ICBWG. Established

in May 2008, the ICBWG has become an internationalframework that helps developing States to address theircapacity gaps in travel document security, identity managementand border security through providing technical expertise anddeveloping capacity-building interventions. The ICBWG has beenproactive in engaging States in need of assistance, the donorcommunity and other partner international agencies in tacklingthe identity management and border control challenges in aconcerted and cooperative manner.

Advocacy of MRTD standards and technical consultations toassist States with their related implementa tions are also avital part of MRTD capacity-building efforts. Some capacitygaps require longer-term structural reforms and significantresources from the international community, which can bedelivered through technical cooperation projects.

The ICAO MRTD programme has been consolidating and

expanding MRTD capacity-building globally, including in Africaand the Americas, in order to be able to deliver technicalassistance to States in need. This includes strengthening theMRTD programmes project implementation capacity,intensifying project development and donor liaison, andcapitalizing on the ICBWGs ongoing support in identifyingcapacity gaps worldwide.


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Th OSCe:

Fost ring a uniqand Collaborativ Vision

REGIONAL SECURITY LEADERSHIP

papers and travel documents while preventing their

counterfeiting, forgery and fraudulent use.

The OSCE therefore has two primary objectives: facilitatingthe work of international organizations and major specializedagencies, such as ICAO and INTERPOL; and providing aplatform for raising awareness and establishing directassistance opportunities for OSCE States.

ICAO MRTD Report : What ar th main obj ctiv s

of th OSCe mandat conc rning Trav l Doc m ntS c rit (TDS)?

Rapha l F. P rl: The OSCE, as the worlds largest regionalsecurity organization, brings together 56 countries whotogether work on security from the perspective of political-military, economic, environmental and human elements.We bring a unique vision to all security-related issues,including travel document security, since for us it is notonly about countering crime or fighting trafficking, it is alsoabout improving economic trade flows and facilitating themovement of people.

Improving travel document security throughout the OSCE regionis a core activity of our Organizations counter-terrorism agendaand makes key contributions in fighting other transnationalthreats such as organized crime, illegal migration and traffickingin human beings. Everything in this regard began in 2001, whenthe Bucharest Plan of Action provided the foundation of ourmandate. In the Plan, the OSCE States decided to prevent themovement of terrorist individuals or groups through moreeffective border controls and improved management of theissuance of identity papers and travel documents. The Plan of Action also includes measures to ensure the security of identity

Compos d of 56 Stat s from e rop , C ntral Asia and North Am rica, th Organizationfor S c rit and Co-op ration in e rop (OSCe) is th worlds larg st r gional s c ritorganization. It off rs a for m for political n gotiations and d cision-making in th fi ldsof arl warning, conflict pr v ntion, crisis manag m nt and post-conflict r habilitation,and p ts th political will of its participating Stat s into practic thro gh its niqn twork of fi ld missions.

Th MRTD Report r c ntl spok with Rapha l F. P rl, OSCe H ad on Anti-T rrorism Iss s,conc rning his Organizations ongoing coop ration with ICAO and its c rr nt prioriti s in thar as of trav l doc m nts, bord r s c rit and facilitation. P rl was join d on th occasion bChristoph r Horn k and B n Hill r, of th Organizations Action against T rrorism unit (ATu),who provid d s bstantiv inp t and backgro nd d ring th co rs of this disc ssion.

Raphael F. Perl


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The second main area involvesstrengthening the evidence of identityapproach by reinforcing the vettingprocesses taking place when citizensapply for travel documents. This includesmodernizing civil registry systems andother media used to prove identity.Identity fraud not only has negative effectsfor travel security, but also for a numberof domestic functions and social services,which represent the basis for a well-functioning state infrastructure. Improvingthese conditions will strengthen the ruleof law and help address long-termconditions that terrorists exploit.

How important do s th OSCefeel that ICAOs PKD will be to the

viabilit of th f t r -MRTD bord rcontrol nvironm nt?

The PKD will be very important to theviability of the future e-MRTD bordercontrol environment. When the OSCE

in cooperation with the PKD Board,co- organized an expert workshopdesigned to raise awareness amongstOSCE members for participating in andemploying the ICAO PKD.

Wo ld th OSCe for s an f rth rimprov m nts or adaptations in thn ar f t r ?

Looking to the future, two main areasemerge. Bringing border control systemsup to speed so that they can take fulladvantage of the inspection toolspresented by e-MRTDs. In particular,this means proving the authenticity of electronic travel documents via theICAO PKD. If the biographic and

biometric content of an e-MRTD can betrusted, it opens the way for introducingkiosks to automate aspects of borderclearance. The checking of databasessuch as INTERPOLs should also beintegrated into the inspection process.

Has this mandat chang d sinc it wasfirst introd c d?

Absolutely. The OSCE travel documentsecurity mandate has significantly changedsince it was first introduced. Over the yearsit has grown into a very substantial andcomprehensive programme.

Building on the Bucharest Plan of Action,subsequent OSCE Ministerial Councilsdecisions have given our work a morepractical dimension. These decisionshave focused on turning ICAO standardsand INTERPOL solutions into concreteOSCE commitments.

The most recent development in our

mandate came in 2009 when theOSCE States took note of the widescale implementation of e-MRTDs anddecided to consider participating inthe ICAO Public Key Directory (PKD).Subsequently, the ATU and ICAO,


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We also need to encourage a policy of introducing e-MRTDsin parallel with participation in the PKD. From the outset,States should plan and budget for parti cipating in the ICAOPKD as they are undergoing their e-MRTD upgrade project s.A related policy challenge is combining document upgradeswith the devel-opment of robust identity protection systemsand modern civil registries. This will enhance a countrys abilityto prevent terrorists or other criminals from obtaining a genuinee-MRTD under a false identity.

All of the above will help to protect the foundations of identity security and will promote broader national securityand mobility objectives in areas such as aviation, tr ade andsocial services.

and ICAO co-organized the PKD Workshop in Vienna in May2010, our organizations co- developed the principle that:e-MRTDs and participation in the ICAO PKD are an indivisiblecomponent of document and border security . We still believethat this statement rings true today and that it clearlyemphasizes the importance of the ICAO PKD.

Promoting participation in the PKD enhances trust in e-MRTDs.This in turn facilitates faster and more secure cross bordermovements. The PKD is central to strengthening the securityand trustworthiness of any States e-MRTD framework and hasbenefitted from years of development and operation.

I believe one of the most important messages that ICAO andthe OSCE can send is that modern techniques should be usedwhen inspecting e-MRTDs. This means reading the chip andvalidating its data via the ICAO PKD. Otherwise, when thedocument is being checked, only part of the security potential

is utilized. Lack of e-MRTD validation will in the long-runundermine the security potential of the document and couldeven erode trust in e-MRTDs altogether. That is why it isimportant that we promote the use of the PKD.

Of course, these techniques are by no means designed toreplace police work: they do, however, provide police withadditional and useful tools to make the process secureand fast.

Although many States already issue e-MRTDs, not all of themare prepared to validate them. However, an increasing number

of States is beginning to prepare themselves for this type of inspection. I believe that participation in the ICAO PKD willgrow and will become the norm for validating e-MRTD data.The alternative method of exchanging certificates bilaterallyis simply error prone, cumbersome and ineffective.

What ar th most chall nging ar as pr s ntl facing thOSCE and ICAO with respect to greater PKD adoption andparticipation b Stat s?

The two most challenging areas facing our Organizationswith respect to PKD are, one, communicating technicalissues at the policy level and, two, encouraging a policyof introducing e-MRTDs in parallel with participation inthe PKD.

One of the main challenges will be to effectivelycommunicate very complex issuesthe PKD, Public KeyInfrastructure schemes and e-MRTDsat both the policyand practical implementation levels. We need to do sowithout losing the attention to detail needed in matters of technical standards and interoperability. A prime example of this type of communication work is the ATUs Policy Brief onthe ICAO PKD, which was posted on the ICAO web site.

MAIN OBjECTIVES OF THE OSCE ATU

The Action against Terrorism Units (ATU) Travel DocumentSecurity programme has four main objectives:

Promoting technological upgrades of ICAO compliante-MRTDs and participation in the ICAO Public KeyDirectory (PKD).

Safeguarding identity through the promotion of theICAO minimum security standards for the handlingand issuance of passports, as well as othertravel documents.

Facilitating real-time connection to INTERPOL databasesat border control, including those for lost and stolentravel documents and wanted individuals.

Training border personnel in forged document detection,in cooperation with the Austrian Ministry of the Interior.


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departure for the OSCEs work in this

area. Our aim and remit is to transmitstandards from the global level to thesub-regional and national levels. Thinkof the OSCE as a conveyor belt.

ICAO has been very supportive in thisprocess, both as a facilitator and as aconsultative mechanism on strategicmatters and processes. The expertsupport from the ICAO Secretariat

and our organizations mutuallyreinforce each others activities.

ICAO in this regard serves as the global

fulcrum around which the internationaltravel document community revolves.The OSCE, meanwhile, is a regionalorganization within the UN system andICAOs standard setting for e -MRTDsand its PKD represents the point of

How val abl has ICAOs assistanc ands pport b n to th OSCes obj ctiv of promoting mor ff ctiv TDS?

ICAOs assistance and suppor t hasbeen very valuable and has clearlyenhanced the OSCEs objective of promoting more effective TravelDocument Security. The OSCE andICAO have an effective partnership


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Moreover, requests for OSCE travel document securityassistance are increasing and we want to meet theserequests in cooperation with ICAO. Naturally, in a busy yearsuch as the last one, it would have been impossible toinclude the ICAO Secretariat in every capacity-building activity,especially considering ICAOs other global responsibilitiesand programmes.

The efficient division of labour between the OSCE andICAO is a positive example of how our organizations havecreated tailor-made approaches to implement the UN GlobalCounter-Terrorism Strategy. This was underscored by the lastUN General Assembly discussions regarding this matter,which highlighted the role of regional organizations in theimplementation of global standards.

Certainly we have an excellent working relationship.However even the best of partnerships can be improved

upon. We look forward to working closely with ICAO ontravel document security, an issue which is central tothe functioning of our modern, globalized world.

has been invaluable for the OSCE during our joint OSCE-wideworkshops in Vienna in 2004, 2007 and 2010, as well asother regional and national seminars.

Equally important, however, is the support the OSCEprovides ICAO. For example, the 2010 PKD workshopin Vienna centered on promoting participation in the ICAOPKD. Over the years, we have consistently promoted ICAOe-MRTDs standards and specifications.

The OSCE sees itself as a multiplying force in terms of outreach and capacity- building for ICAO. I am confident thatICAO similarly receives significant benefits and returnsthrough partnering with the OSCE.

What plans do s th OSCe hav to partn r f r th r withICAO in this ar a?

The ICAO PKD, the inspection of e-MRTDs and the Evidenceof Identity approach are all areas where we look forward toexpanding our partnership with ICAO.

China Imports its PKDCo ntr Signing C rtificat A thorit

On 30 November 2010, ChinaImported its Country SigningCertificate Authority (CSCA) in thePKD. The ceremony took place inthe ICAO PKD Operations Center.

By importing its CSCA into the PKD,China will enable the validation of its e-Passports and ensure thatthese travel documents are genuineand unaltered.

The representatives attending theCeremony were, from left to right:Han Xiaoxi; Sun Xiaowu, First Secretaryof the Ministry of Foreign Affairs;Christiane DerMarkar, Joint FinancingOfficer, Air Transport Bureau; ClaudeGauthier, Acting Chief, Joint Financing,Air Transport Bureau; Tao Ma,Representative of China on the ICAOCouncil; Zheng Xuan; and ChunyuDing, Alternate Representative of China on the ICAO Council.


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MRTD GLOSSARY

Anti-scan patt rn An image usually constructed of fine linesat varying angular displacement and embedded in the securitybackground design. When viewed normally, the image cannot bedistinguished from the remainder of the background security print,but when the original is scanned or photocopied the embeddedimage becomes visible.

Biographical data (biodata) The personalized details of thebearer of the document appearing as text in the visual and machinereada ble zones on the biographical data page of a passport book,

or on a travel card or visa.

Biom tric A measurable, physical characteristic or personalbehavioural trait used to recognize the identity, or verify the claimedidentity, of an enrollee.

Biom tric data The information extracted from the biometricsample and used either to build a reference template (templatedata) or to compare against a previously created reference template(comparison data).

Biom tric sampl Raw data captured as a discrete unam-biguous, unique and linguistically neutral value representing a

biometric characteristic of an enrollee as captured by a biometricsystem (for exam ple, biometric samples can include the image of a fingerprint as well as its derivative for authentication purposes).

Biom tric s st m An automated system capable of:1. capturing a biometric sample from an end user for a MRP;2. extracting biometric data from that biometric sample;3. comparing that specific biometric data value(s) with that

contained in one or more reference templates;4. deciding how well the data match, i.e. executing a

rule-based matching process specific to the requirements of theunambi guous identification and person authentication of theenrollee with respect to the transaction involved; and

5. indicating whether or not an identification or verification

of identity has been achieved.

Black-lin /whit -lin d sign A design made up of fine linesoften in the form of a guilloche pattern and sometimes used as aborder to a security document. The pattern migrates from a positiveto a negative image as it progresses across the page.

Capt r The method of taking a biometric sample from the end user.

C rtificating a thorit A body that issues a biometricdocument and certifies that the data stored on the document aregenuine in a way which will enable detection of fraudulent alteration.

This glossar is incl d d to assist th r ad r witht rms that ma app ar within articl s in th ICAO MRTD Report . This glossar is not int nd d to ba thoritativ or d finitiv .

Ch mical s nsitiz rs Security reagents to guard againstattempts at tampering by chemical erasure, such that irreversiblecolours develop when bleach and solvents come into contact withthe document.

Comparison The process of comparing a biometric sample witha previously stored reference template or templates. See alsoOne-to-many and One-to-one.

Contactl ss int grat d circ it An electron

Icao Mrtd Report Vol.6 No.1, 2011

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