National Academies Press: OpenBook

Airport Biometrics: A Primer (2021)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Airport Biometrics: A Primer. Washington, DC: The National Academies Press. doi: 10.17226/26180.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2021. Airport Biometrics: A Primer. Washington, DC: The National Academies Press. doi: 10.17226/26180.
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A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP RESEARCH REPORT 233 2021 Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation • Data and Information Technology • Terminals and Facilities Airport Biometrics A PRIMER Solomon Wong Ellen McClain Josh Cohn Roeland M. Visser InterVISTAS Consulting, Inc. Washington, D.C.

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in transpor- tation of people and goods and in regional, national, and international commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal responsibility for man- aging and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- sored by the Federal Aviation Administration (FAA). ACRP carries out applied research on problems that are shared by airport operating agen- cies and not being adequately addressed by existing federal research pro- grams. ACRP is modeled after the successful National Cooperative High- way Research Program (NCHRP) and Transit Cooperative Research Program (TCRP). ACRP undertakes research and other technical activi- ties in various airport subject areas, including design, construction, legal, maintenance, operations, safety, policy, planning, human resources, and administration. ACRP provides a forum where airport operators can cooperatively address common operational problems. ACRP was authorized in December 2003 as part of the Vision 100— Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International-North America (ACI-NA), the American Associa- tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academy of Sciences formally initiating the program. ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organi- zations. Each of these participants has different interests and responsibili- ties, and each is an integral part of this cooperative research effort. Research problem statements for ACRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel appointed by TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport professionals, the intended users of the research products. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing coop- erative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended users of the research: airport operating agencies, service pro- viders, and academic institutions. ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties; industry associations may arrange for workshops, training aids, field visits, webinars, and other activities to ensure that results are implemented by airport industry practitioners. ACRP RESEARCH REPORT 233 Project 03-55 ISSN 2572-3731 (Print) ISSN 2572-374X (Online) ISBN 978-0-309-67430-0 Library of Congress Control Number 2021945775 © 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transporta- tion Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report. Published research reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under ACRP Project 03-55 by InterVISTAS Consulting, Inc. InterVISTAS Consulting, Inc. was the contractor for this study, aided by Ann Cavoukian and Jeff Baldwin as trusted advisers. Ellen McClain, Josh Cohn, Anna Fantoni, Rene Hopstaken, and William Jones were senior investigators. The other authors of this report were Nelly Alandou, David Cojocar, Rene Hopstaken, Tamas Kolos-Lakatos, Phuc Le, Richard Meijer, Brian Mohr, Alisa Silven, Koen Spaanderman, Alex Thomson, and Roeland Visser, supported by Sandy Hayes, Derek Marazzo, Brooks Lai, Wahyu Hariyono, and Celia Lin. InterVISTAS would like to thank Simon Wilcox, Jackie Lu, Patrick Gendreau, Ricardo Cerri, Frederico Cabrera, Annet Steenbergen, Andreas Hoogeveen, Isabelle Lellieur, Samuel Ingals and Justin Phy, Marcelo Garcia, and Paul Clark for their willingness to contribute to this primer. CRP STAFF FOR ACRP RESEARCH REPORT 233 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Marci A. Greenberger, Manager, Airport Cooperative Research Program Theresia H. Schatz, Senior Program Officer Tyler Smith, Senior Program Assistant Natalie Barnes, Director of Publications Doug English, Senior Editor ACRP PROJECT 03-55 PANEL Field of Policy and Planning Frank T. Barich, Barich, Inc., Chandler, AZ (Chair) Michael Hardin, U.S. Department of Homeland Security, Washington, D.C. Dwayne Malcolm, Broward County Aviation Department, Fort Lauderdale, FL Daver Malik, Phoenix Sky Harbor International Airport, Phoenix, AZ John Newsome, Celebration, FL Johanna P. Zmud, Texas A&M Transportation Institute, Austin, TX Barbara Kostuk, Airlines for America Liaison Aneil Patel, Airports Council International–North America Liaison

ACRP Research Report 233: Airport Biometrics: A Primer defines and describes the land- scape of biometric processes and applications for airports and their respective stakeholders. This primer includes benefits and considerations of implementing biometrics in an airport environment and addresses many elements, including broad educational information on types and applications of biometrics and the benefits and challenges of applications beyond the government-mandated biometric entry/exit program. It discusses facial recognition bio- metrics, including opportunities for and benefits to the airport, and jurisdictional issues related to governmental requirements, statutory authorities, and commercial interests. There is a section on legal and privacy implications, along with industry- and government-driven initiatives, system design options, and interoperability at all identification points in the passenger journey and airport employee processing, as well as considerations for plan- ning and implementation and future trends in the use of biometrics at airports. This timely report presents solutions and additional suggestions for the growth of this technology and addresses safe airport operations during the COVID-19 pandemic and beyond. Biometric recognition refers to identification and authentication of an individual based on physical traits. Biometric solutions are complex, multifaceted, and quickly changing, and include technical, operational, financial, legal, and programmatic considerations, among others. Currently, some airports use biometrics for employee access control. U.S. Customs and Border Protection (CBP) and the Transportation Security Administration (TSA) are working together with airport operators and airlines to pilot the use of biometrics at airports for passenger processing. As airport operators see greater use of biometrics and as they consider exploring the technology, research was needed to produce a primer to help airport operators and their stakeholders understand the uses and considerations of biometric technology. ACRP Project 03-55 was led by InterVISTAS with advisory support from Baldwin Liaison Consulting and Dr. Ann Cavoukian. The research undertook vision and use cases; reviewed the legal and policy considerations, planning and processes, and system architecture and design elements; and collected input in a series of one-hour webinars hosted by the project team. F O R E W O R D By Theresia H. Schatz Staff Officer Transportation Research Board

1 Chapter 1 Introducing Biometrics 1 Biometrics in Aviation 2 Objective of This Primer 2 Fundamentals of Biometrics 7 Vision for Biometrics at Airports 8 Interoperability and Scalability 9 Chapter 2 How Advanced Is the Employment of Biometrics at Present? 9 Summary 10 Five Primary Use Cases for Biometrics at Airports 12 U.S. and Worldwide Lessons from Deployments 39 Key Trends in Airport Biometrics 43 Chapter 3 Legal, Policy, and Privacy Review 43 Summary 43 Introduction 45 Interplay of U.S. Constitution, Federal Laws, and State Laws 48 Federal and State Privacy Laws Relevant to Airport Operators and Stakeholders 52 Additional Legal and Policy Considerations 53 Foreign Laws and Regulations 57 International Organization Activities 59 Commercial Developments 59 Findings 61 Endnotes 66 Chapter 4 Planning and Process Considerations 66 Summary 67 Introduction: Biometrics Will Disrupt Traditional Airport Planning 69 Considerations for Evaluating Biometrics in the Airport Environment 70 Applying Biometrics in Terminal Processes 87 Evaluation of Biometric Implementations in the Airport Environment 91 Chapter 5 System Design and Information Technology Architecture 91 Summary 91 Introduction 92 What Is Information Technology Architecture? 94 Biometric IT Architecture Infrastructure Components 102 IT Architecture Models 108 Evaluation of Architecture Models 108 Stakeholder Challenges: Interoperability, Scalability, and Privacy Protection 112 Lessons Learned 115 Findings C O N T E N T S

117 Chapter 6 Future Directions 117 Suggestions for Further Study 119 References 129 Abbreviations, Acronyms, and Initialisms 131 Glossary 135 Appendix A Case Study: Amazon Go Cashierless Retail Experience 145 Appendix B Case Study: Denver–Daon Biometric Partnership 149 Appendix C Case Study: CBP Trusted Traveler Programs at U.S. Airports 156 Appendix D Case Study: Seattle–Tacoma International Airport and Designated Aviation Channeling 162 Appendix E Case Study: Curb-to-Gate Program by CBP and Delta Air Lines at Hartsfield–Jackson Atlanta International Airport 172 Appendix F Case Study: Known Traveller Digital Identity at Aéroport International Montreal–Pierre Elliot Trudeau, Montreal, Canada 181 Appendix G Case Study: The Seamless Passenger Journey at London Heathrow 189 Appendix H Case Study: Risk Management During COVID-19 Using Biometrics at Carrasco International Airport, Montevideo, Uruguay 196 Appendix I Case Study: Digi Yatra and the Seamless Passenger Journey at Kempegowda International Airport, Bengaluru, India 205 Appendix J Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport 214 Appendix K Legal, Policy, and Privacy Review 232 Appendix L Best Practices and Privacy by Design 235 Appendix M IATA OneID and Seamless Flow 237 Appendix N ICAO Digital Travel Credential 239 Appendix O Accuracy of Facial Recognition Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.

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Biometrics is one of the most powerful, but misunderstood technologies used at airports today. The ability to increase the speed of individual processes, as well as offer a touch-free experience throughout an entire journey is a revolution that is decades in the making.

The TRB Airport Cooperative Research Program's ACRP Research Report 233: Airport Biometrics: A Primer is designed to help aviation stakeholders, especially airport operators, to understand the range of issues and choices available when considering, and deciding on, a scalable and effective set of solutions using biometrics. These solutions may serve as a platform to accommodate growth as well as addressing the near-term focus regarding safe operations during the COVID-19 pandemic.

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