Airport Biometrics: A Primer (2021)

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149   Case Study: CBP Trusted Traveler Programs at U.S. Airports Summary Global Entry is a CBP program that allows expedited clearance for pre-approved, low-risk travelers on arrival in the United States. The program uses fingerprints plus passport or, more recently, facial biometric template matching. The program is open to U.S. citizens, U.S. nationals, U.S. lawful permanent residents, and foreign nationals from 15 countries. Additionally, partici- pants of NEXUS and SENTRI trusted traveler programs are allowed use of the Global Entry kiosks (U.S. Department of Homeland Security 2012). As of August 2020, automatic kiosks are available at 75 U.S. POEs, including 15 preclearance airports. At airports, program members proceed to Global Entry kiosks to have their fingerprints and/or picture taken and are matched against a gallery pre-compiled from a CBP database. The kiosk then issues the traveler a transaction receipt and directs the traveler to baggage claim and the exit. Travelers must be pre-approved for the Global Entry program. Applications are reviewed by CBP, and information is processed through various government databases as part of a rigorous background check. Once conditionally approved, the individual goes to one of over 100 enroll- ment centers to provide fingerprints, a facial photograph, and identity verification documents (e.g., passport, proof of residency) for review by CBP. The biometrics collected at enrollment are used for facial matching each time a passenger uses a Global Entry kiosk. The Global Entry trusted traveler program benefits passengers, CBP, and airports by providing shorter wait times, faster transactions, and the ability to focus government resources on higher-risk targets. See Table C-1 for more information. Introduction Designed to provide quick, easy, and convenient processing, Global Entry is a CBP program that allows for expedited clearance for pre-approved, low-risk travelers on arrival to the United States. Global Entry is designed to reduce the time required for travelers entering the United States through the passenger verification process. SENTRI and NEXUS are similar programs. How Does It Work? Before the Passenger Journey With this voluntary program, individuals submit an application on CBP’s cloud-based Trusted Traveler Program (TTP; formerly the Global Online Enrollment System) website and provide personal information such as name, address, date of birth, place of birth, country of A P P E N D I X C

150 Airport Biometrics: A Primer citizenship, travel history, and employment (U.S. Department of Homeland Security 2008b). Applicants also pay a nonrefundable fee. Information collected through the application is depos- ited into the Global Enrollment System (GES) as the system of record for CBP TTP. Personal information is maintained in a Privacy Act of 1974 system of records. Applications are reviewed by CBP, and information is run through criminal and other govern- ment databases. Once conditionally approved, the individual goes to one of over 100 enroll- ment centers to provide fingerprints and a facial photograph along with native documents (e.g., passport, proof of residency) for review by CBP. Applicant biometrics are stored in the DHS Automated Biometric Identification System (IDENT). Alternatively, passengers are encouraged to complete Enrollment on Arrival, launched in July 2017 and offered at 41 airports, to reduce the burden on enrollment centers. Enrollment in Global Entry is valid for 5 years. Applicants whose applications are rejected may seek redress under one of three methods: via the enrollment center, the DHS Traveler Redress Inquiry Program, or the CBP Trusted Traveler Ombudsman. Individuals may request information about their records in the GES/TTP What? ● Expedited clearance for pre-approved, low-risk travelers entering the United States ● Fingerprint and photograph used to confirm identify ● Biometric matching 1:few as a gallery of photos of inbound passengers each day are used Where? ● 75 U.S. POEs, including 15 preclearance airports Customer process steps: ● Passengers enroll online and are approved after CBP reviews information, conducts interview, and validates biometrics. ● At a kiosk in Federal Inspection Station (FIS), enrolled passengers have their fingerprints and/or picture taken. ● A transaction receipt is presented to CBP officer at exit control area. Who? ● CBP and DHS are responsible for program development and implementation. ● Participating airport partnerships required for facility implementation, including enrollment centers, signage, and other marketing support ● Enrolled passengers Why? ● To fast-track border crossing procedures for individual travelers who are deemed low risk How? Technology used? ● Identity as a service – centralized – third-party model ● Global Entry kiosks contain camera and fingerprint scanners to obtain biometric tokens to compare against. ● Applicant biometrics (fingerprints) are stored in the DHS Automated Biometric Identification System (IDENT); facial photographs are maintained by Global Enrollment System (GES). Enrollment/digital Identity creation and verification ● Voluntary program with a multistep application process including an in- person interview Verification of identity how? ● Facial and fingerprint biometrics are collected when completing in-person interview at Global Entry enrollment center. ● Fingerprints taken at Global Entry kiosk are matched against those on file. (The kiosks use four fingerprints from one hand to validate identify.) ● The facial biometric is matched against a gallery compiled from CBP’s Automated Targeting System (ATS) or Unified Passenger Module (UPAX) system. For? ● Pre-approved, low-risk air travelers to the United States who are U.S. citizens and lawful permanent residents; foreign nationals of certain countries Table C-1. Key facts of CBP Trusted Traveler Program case study.

Case Study: CBP Trusted Traveler Programs at U.S. Airports 151   system. Redress is available for U.S. citizens and lawful permanent residents through requests made under the Privacy Act of 1974. Each trusted traveler is vetted through a “24-hour vetting” process against various databases, including Treasury Enforcement Communications and terrorist data sets (U.S. Government Accountability Office 2014). Treasury Enforcement Communications are designed to be a comprehensive enforcement and communications system that enables CBP and other agencies to create or access lookout data when (1) processing persons and vehicles entering the United States; (2) communicating with other computer systems, such as the FBI’s National Crime Infor- mation Center; and (3) storing case data and other enforcement reports. The Passenger Journey When a passenger who is enrolled in Global Entry books an international trip, the passenger adds the trusted traveler membership number to the reservation. On reaching CBP immigra- tion either on arrival to the United States or at a preclearance facility abroad, passengers are directed to a dedicated Global Entry area. Automated kiosks are located in the Federal Inspec- tion Station (FIS) area of each participating airport. In the legacy process, a passport or U.S. permanent resident card is inserted into the docu- ment reader (U.S. Department of Homeland Security 2009). Fingerprints are scanned at the kiosk and compared to the fingerprint biometrics on file to validate identify and confirm program membership. (Four fingerprints are used for validation.) Individuals are also prompted for a digital photograph and must answer several customs declaration questions. A transaction receipt is printed and presented to a CBP officer at the exit control area. Starting in June 2018 and active at over 15 airports, a digital photograph is taken as the only means to confirm identity (Boyd 2020). No passport scan is required, and no customs questions are presented to the traveler. The facial biometric is matched against a gallery compiled from CBP’s Automated Targeting System (ATS) or Unified Passenger Module (UPAX) system. Retention and Storage The digital photographs taken at the kiosk are saved to DHS IDENT, which the agency is in the process of transferring to a new, cloud-based Homeland Advanced Recognition Technology (HART) system (Boyd 2019). Image data are deleted 3 years after the participant abandons their membership or 3 years after their 5-year Global Entry membership expires without being renewed. System Architecture Flow Diagram The flow diagram of this case study can be found in the CBP Trusted Traveler Programs at U.S. Airports case study of Chapter 2. System Specifications With 1:N matching, the TVS compares a live photo of a traveler against a gallery of other traveler photos (U.S. Government Accountability Office 2020). The stepwise process aligning the traveler process with the TVS matching process is shown in Figure C-1. Stakeholders and Responsibilities CBP is the largest stakeholder since the agency is primarily responsible for program develop- ment and implementation. Airports and passengers are also stakeholders. Passenger participation

152 Airport Biometrics: A Primer is required to make the program successful, and airport coordination with CBP is required to ensure that the FIS facilities are designed and operated efficiently. Airport coordination efforts include facility modifications and electrical connections to accommodate the Global Entry process. Case Study Review Benefits Global Entry benefits passengers, CBP, and airports. A 2018 CBP study found that Global Entry reduced wait times by more than 70%, with more than 75% of Global Entry passengers being processed in under 5 minutes (U.S. Customs and Border Protection 2018). This translates to an average savings of about 7 minutes. Feedback from passengers has been overwhelmingly positive and, on the average day, 10% of international air travelers use Global Entry kiosks (U.S. Customs and Border Protection 2018). In the first 10 years of Global Entry, membership grew to over 5.4 million members, with another 2 million enrolled in either NEXUS or SENTRI. The successful growth in Global Entry enrollments can be attributed to third-party participation Source: Adapted from U.S. Government Accountability Office 2020. Figure C-1. Stepwise process of TVS enrollment and at an airport.

Case Study: CBP Trusted Traveler Programs at U.S. Airports 153   by airlines and credit card companies, among others. While most airlines do not offer this benefit directly to their top-tier passengers anymore, airline co-branded credit cards as well as other credit cards include reimbursement of the Global Entry application fee as card perk. For CBP, Global Entry allows the agency to identify low-risk travelers so that the focus can be placed on unknown and higher-risk travelers. It also accomplishes CBP’s strategic goal of facilitating legitimate trade and travel while securing the homeland and works toward the Title 8 U.S.C. Section 1365b mandate, which requires that DHS operate a biometric entry and exit system and that it integrate registered traveler programs into this system. From an airport perspective, Global Entry allows for higher throughputs to be achieved in the same space and provides a customer service boost to passengers. Responses from Customers Global Entry generates “overwhelmingly positive comments,” John Wagner, the acting deputy assistant commissioner for field operations [CBP], stated publicly (Sharkey 2013). Positive responses from passengers revolved around shorter lines and speed of processing. “Another reader, Eric Evans, said, ‘No lines, and in less than two minutes I’m through Immigration.’ And Greeley Koch, the executive director of the Association of Corporate Travel Executives, wrote, ‘The longest I ever waited in line was 30 seconds’” (Sharkey 2013). System Specifications Review Biometric tokens have an extremely high match rate, but occasional issues do arise. About 3% of passengers do not have good readable fingerprints, so a match cannot be made at the kiosk. However, these failed matches can be processed with front-of-line privileges with a live CBP agent. Additionally, the fingerprint readers and cameras on the kiosks occasionally fail, which also requires manual processing by a CBP agent. Fall-Back Options Enrollees are not required to use the facial-recognition program and can instead opt to use the passport and fingerprint method, which will remain available. Any technical or processing issues at the Global Entry kiosk can be solved by giving the passenger front-of-line privileges to the next available CBP officer. Additionally, since this is a voluntary program, passengers do not have to participate. The traditional immigration process requiring a physical document check with a CBP officer is still provided in the inspection area. Concerns Privacy concerns over the storing and sharing of biometric data have been expressed. To address privacy concerns, a privacy impact assessment (PIA) update was completed in Decem- ber 2019 (Mongin and Dansiek 2019) to assess the privacy impacts of (1) updates to the existing Global Entry kiosks to use cameras and facial-recognition technology provided by CBP’s TVS, and (2) the use of photographs collected at the Global Entry kiosk (rather than the collection of travel documents and fingerprints) to verify traveler identity. The update addressed the risks discussed in the following: • The risk that the biometrics CBP uses will be used for purposes inconsistent with the original mission is mitigated by the fact that associated photos of Global Entry travelers are stored in IDENT and may be available to authorized IDENT users for a variety of purposes, which DHS reviews and approves prior to granting access to the system, and that CBP owns and operates all Global Entry kiosks.

154 Airport Biometrics: A Primer • The risk that individuals may not know how CBP will use the photos is mitigated by privacy notices on the kiosk home screen, Global Entry website, visible signage at the FIS, and tear sheets at the FIS. • The risk that TVS retains user information longer than necessary is mitigated by the fact that TVS does not retain images of travelers once their identities are verified by TVS. In 2018, an Office of Inspector General report noted an additional concern that there could be a potential exploitation of Global Entry receipts at the exit control area due to failed authen- tication by the CBP officer (TSA 2018c). This was determined not to be a significant concern. Lessons Learned In talking to stakeholders involved in Global Entry implementations, the biggest hurdle that affected the success of a Global Entry implementation was the placement of the kiosks. Kiosk placement was important to ensure that access and use of the technology were self-intuitive to the user. It also required stakeholder ambassadors present to assist as necessary and to resolve kiosk issues so that the technology was properly used by the customer and system issues were resolved or reported in a timely manner. Some airports, for example, initially placed kiosks on the jet bridge or in the sterile corridor leading to the FIS. Other airports placed kiosks in entry passages to the FIS. Each terminal design represented a different challenge regarding correct placement and flow, even with new construction. Additionally, the back end of any technological solution needs to tie into the CBP vendor to exchange data. The initial deployment was biometric and photo capture. CBP has since progressed with facial-recognition technology and one-to-few matching of photograph and biometrics against the APIS manifest. While most of the challenges were associated with facility constraints, stakeholder willing- ness to invest in Global Entry as a process was an unforeseen challenge. Some airports initially declined the opportunity to serve as a pilot site, while others quickly agreed. These initial part- ners helped identify and solve some of the challenges that were experienced during the initial implementations. Findings and Trends Findings The Global Entry program provides the ability for airports to safely and securely facilitate international air travel for citizens of select countries. Vetting pre-approved travelers in advance of their trips is a low-risk solution that streamlines the passenger verification and screening processes. By pre-approving low-risk travelers, CBP can focus its resources on higher-risk targets. The biometric implementation also reduces touchpoints and increases the throughput of facilities, which can be beneficial to capacity-constrained airports. Future Situation and Broader Implementation Global Entry is in the process of upgrading the passenger verification process from fingerprint biometrics to photograph biometrics at all 75 U.S. POEs. Global Entry is open to U.S. citizens, U.S. nationals, U.S. lawful permanent residents, and foreign nationals from 15 countries. Addi- tionally, participants of NEXUS and SENTRI trusted traveler programs are allowed use of the Global Entry kiosks. The program is expected to continue to expand to include additional foreign nationals and passenger subsets in order to increase the population base of low-risk

Case Study: CBP Trusted Traveler Programs at U.S. Airports 155   travelers. Finally, Global Entry can be expanded to include additional POEs, including general aviation facilities. Trends Identified This case study illustrates two of the key trends in biometrics: (1) identity verification solutions, and (2) emerging global standards. Global Entry relies on the TVS to compare biometric images of travelers using kiosks with the database of biometrics provided at enrollment. TVS is an identity verification solution and not mass surveillance of passengers entering the United States This is especially important since these trusted travelers volunteered to provide their biometrics in exchange for travel and pro- cessing privileges. Global standards are changing, and passport-free travel is a key example. Global Entry con- tributes to the emerging global trend of passport-free travel because the immigration process at the kiosks is transitioning to a system where facial biometrics replace the need to scan the passenger’s passport. As Global Entry continues to evolve, it is anticipated that there will be no need to show a passport during the immigration process.