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Airport Biometrics: A Primer (2021)

Chapter: Chapter 2 - How Advanced Is the Employment of Biometrics at Present?

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Suggested Citation:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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:"Chapter 2 - How Advanced Is the Employment of Biometrics at Present?." 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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9   How Advanced Is the Employment of Biometrics at Present? Summary This chapter describes ways that biometrics are employed in airports: process facilitation, access control to secured areas, tailored customer services to the individual user, commercial use by retail/concessions vendors, and fraud identification and risk mitigation to minimize loss. Ten case studies illustrate the variety of biometric technology use in airports today. These case studies showcase uses at five U.S. airports and five airports worldwide. The case studies highlight (1) a potential template for current and future models for touchless and cashier-free retail at airports; (2) the VeriFLY initiative, which combines the idea of reservation systems with quick response (QR) codes to provide queue access and other possible passenger processing uses; (3) a trusted traveler model for true identification of low-risk, pre-approved travelers who have been vetted in advance; (4) an example of a public–private partnership in handling biometric/biographic data for employee vetting for TSA approval of secure identification display area (SIDA) badges; (5) an example of the power of end-to-end facial recognition in one system that offers benefits for border processing, check-in, TSA, and other processors; (6) a Canadian– Netherlands pilot illustrating the potential of the DTC for global travel; (7) implementation at multiple terminals at London Heathrow (LHR) for a more seamless experience and offering scalability for international application; (8) Easy Airport, which illustrates how biometric uses can be designed and refined to meet airlines’ business needs, including during COVID-19; (9) an example of an effective communication strategy with passengers and the general public about biometric use; and (10) one of the earliest examples of biometric data use in Aruba’s Happy Flow. The 10 case studies illustrate specific and, in most cases, unique applications and benefits of biometrics, as well as lessons learned, identification of challenges, and key trends, which include the following: • Trend 1: The deployment of integrated and multi-stakeholder biometric solutions is increasing because of the potential benefits of biometrics. • Trend 2: Digital transparency and privacy concerns are adding to the complexity of imple- mentation, particularly as the legal landscape changes. • Trend 3: A focus on identity verification solutions is evident, in part to distinguish from mass surveillance programs that also leverage biometrics. • Trend 4: Global biometrics and standards are emerging from a variety of governmental and nongovernmental entities that are addressing privacy, security, ethical, and technological concerns. • Trend 5: Smartphones are expected to enable more use of biometrics through the on-device storage capability for biometrics and the promise of the transmission of digital travel credentials. C H A P T E R   2

10 Airport Biometrics: A Primer Five Primary Use Cases for Biometrics at Airports Five primary use cases were identified in the aviation sector—or more specifically, were implemented at airports around the world (see Figure 2-1). These five use cases are each described in the sub- sequent sections and are followed by 10 case studies that provide examples of one or more of the use cases identified. Process Facilitation The aviation system involves a series of steps and processes. Pas- sengers, employees, and suppliers need to record and demonstrate identity information several times during a workday or journey. While a document check requires on average 3 to 5 seconds, it is the multiplication of transaction times to present paper documents that can lead to difficulties, especially in a group environment. Adding 5 seconds per passenger may sound insignificant, but the practical effect can create a queue of hundreds of people if there is not a corresponding reduction in time elsewhere in the overall process. Figure 2-1. Overview of primary use cases of biometrics. Key Takeaway The increased use of biometrics in every- day life can generally be assigned to five practical uses: • Facilitating and simplifying processes • Granting access for certain people to certain areas • Personalizing interaction with technology • Expediting commercial exchanges • Guarding against fraud and improving security and safety

How Advanced Is the Employment of Biometrics at Present? 11   During the COVID-19 pandemic and the recovery phase, these considerations have been even more important in addressing social distancing and health screening requirements, which can further elongate queues. Airport operators must also be mindful of the much greater level of handling of exceptions. In other words, as the travel environment adjusts to new requirements or steps, there will invariably be missing forms or other steps that passengers are unaware of that will require special handling, space, and time to resolve. The aim must be to have the vast majority of the population (95%+) able to proceed through airport processes without delay. To unlock the potential for process improvements, there is a move to reduce sequential steps. Biometric use cases offer the potential to combine several process steps for an indi- vidual into one, reducing the number of sequential steps (and exceptions). The net result could be the elimination of passenger queues and converting these steps to a more automated process. Access Control Security is about safeguarding that which needs protection from harm, but it is also about allowing that which will do no harm. Determining one from the other is typically based on one of three things: who you are, what you have, and what you know. The latter two are best described as having a key (what you have) and having a password or PIN code (what you know). Biometrics can be an added layer, leveraging the physical features of an individual for identi- fication or authentication purposes. One of the most mature uses of biometrics at airports is access control—in other words, the automated authorization to proceed through a door to a secure area of an airport. A combination of a key card and a biometric is the dominant use case. While this use case may be conventionally thought of in the context of airport employees, there are a number of emerging use cases geared toward airline passengers. Passenger access to a boarding gate or managing access to a premium lounge on the basis of biometrics are two prominent examples of passenger-facing access control. User-Centric Experience While identity management and process facilitation are geared toward confirming identity, an emerging use case for biometrics is to customize the user experience. Aviation markets are increasingly segmented into different market types and preferences. From millennials to older travelers, to different travel segments (leisure, business, visiting family/ friends, passengers with reduced mobility), airports are increasingly offering customized expe- riences. Providing identity management to help differentiate the user experience, from brand loyalty to personalized experiences, is a use case to make the experience more streamlined and welcoming to travelers. Some tangible examples are interaction with passengers to only display information relevant to the individual pertaining to flights, weather, and preferred services, as well as customizing other elements of direct communication (language, font size, etc.) toward individuals. Vendors have also demonstrated new screen technologies that can ensure that on-site wayfinding signage is customized and directed to specific individuals only—all powered with a voluntary biometric identification algorithm.

12 Airport Biometrics: A Primer Commercial Services Airports around the world obtain roughly 45% of their revenues from non-aeronautical sources. This share can be higher for some airports (e.g., Las Vegas) that have a larger concessions program. While some world regions (Europe, Asia) have traditionally had a higher amount of retail/concessions/duty-free revenue, there is potential for biometrics to increase revenue per passenger. Increased revenues may be achieved through biometric-enabled use cases that convert lost time into potential spending time by eliminating queues or waiting. The use of cashierless airport retail has accelerated to an extent due to the COVID-19 pandemic. Increasingly, between flights, passengers can simply grab items and go without needing to queue for payment. Biometrics and other tap-to-pay technologies can enable this process. Other groups are also treating dwell time in airports as opportunities to sell products for pickup at an arriving airport, and this may be fueled by biometrics. The realignment of commercial services in airports is necessitating a touchless experience for any passenger-facing service, and there are many biometric use cases for this. Fraud/Risk Management Finally, the dominant area of biometric solutions for governments is the interdiction of criminal behaviors, including those related to travel. From CBP’s ability to catch 300 imposters through facial-recognition software come a range of use cases related to defeating criminal activity (U.S. Customs and Border Protection 2021). Hundreds of millions of dollars are lost annually by airport retailers and the airline industry due to fraudulent activities. According to IATA, the estimated cost of payment fraud to the airline industry each year is about $858 million (IATA 2016). Whether it is credit card fraud at a store inside an airport or ticket fraud, there is a cost to the industry that the use of biometrics may mitigate. In addition to combating criminal behavior, there is also the added aspect of risk management. Risk-based security initiatives for TSA, for example, have the ability for biometrics to aid in linking different systems. Results of passenger security screening checkpoint scans can help to inform the level of baggage screening scans—a plat- form that may be supported by biometrics tied to departure control systems. U.S. and Worldwide Lessons from Deployments Table 2-1 presents an overview of the key highlights and lessons learned from 10 case studies, in which the application and impor- tance of biometric technologies are illustrated. These case studies provide a representative cross-section of the efforts and developments that have taken place in the United States and the rest of the world. Further details regarding each case study can be found in Appendices A through J. Key Takeaway The main takeaways from five U.S. and five international biometric case studies are presented, ranging from complex multi-stakeholder implementations to simpler and more local solutions. Implemented solutions inform: • Granting enhanced retail experiences • Fast-tracking and improved security solutions • Health-related separation • Complete biometrics-enabled journeys, from the curb to the gate • Returning data ownership to the passenger • Seamless passenger flows and less intrusive technology in the journey • Governments implementing a nationwide biometric identity

How Advanced Is the Employment of Biometrics at Present? 13   Case Study Number Case Study Name Case Study Highlights 1 Amazon Go Cashierless Retail Experience • Potential template for current and future models for touchless and cashier-free retail at airports • Some enrollment challenges may be resolved with simple two-step palm enrollment. 2 Denver–Daon Biometric Partnership • Combines the idea of reservation systems with QR codes to provide queue access • One of several platforms with the potential to link passengers to health passport information • Remote passenger screening pilot can also help meter the peaked nature of operations, even during a reduced-traffic period. 3 CBP Trusted Traveler Programs at U.S. Airports • Ability to facilitate not just U.S. citizens, but a range of country nationals (S. Korea, Canada, UK, etc.) • Model for true identification of low-risk, pre- approved travelers that have been vetted in advance • Added benefits to facilitate these individuals through TSA via PreCheck 4 Seattle–Tacoma International Airport and Designated Aviation Channeling • The designated aviation channeling (DAC) model is an example of a public–private partnership in handling biometric/biographic data. • Evolution of protocols for handling personally identifiable information offers a good set of protocols. 5 Curb-to-Gate Program by CBP and Delta Air Lines at Hartsfield–Jackson Atlanta International Airport • A good example of the power of end-to-end facial recognition in one system • Demonstrated capability of leveraging biometrics without the need for re-enrollment • Specific measurements of benefits for border processing, check-in, TSA, and other processors 6 Known Traveller Digital Identity at Aéroport International Montreal– Pierre Elliot Trudeau, Montreal, Canada • Lessons learned on privacy of information and transmission to foreign governments, especially regarding legal frameworks between the project stakeholders 7 The Seamless Passenger Journey at London Heathrow • Scalability of platforms could also potentially work with transatlantic flights to the United States. • Integration quality and deployment across multiple terminals is a significant model to emulate for smooth delivery. Table 2-1. Case study overview. (continued on next page)

14 Airport Biometrics: A Primer Case Study 1: Amazon Go Cashierless Retail Experience Summary Initiated by Amazon, the Amazon Go retail experience uses a combination of cameras, sen- sors, computer vision techniques, machine learning, and artificial intelligence techniques to create a checkout-free retail experience for its customers. The technology is also available for other retailers and is referred to as “Just Walk Out.” The customer’s identity is verified when signing up through the Amazon Go app, and entry to the store is gained by showing a QR code, one’s registered palm biometric (for an Amazon Go store), or one’s credit card (for other retailers equipped with the Just Walk Out technology). See Figure 2-2 for an overview of the Amazon Go steps, and Table 2-2 for key points of the case study. Case Study Number Case Study Name Case Study Highlights 8 Risk Management During COVID-19 Using Biometrics at Carrasco International Airport, Montevideo, Uruguay • Ability to meet different airline business cases; some saving of resources/re-dedication of resources through the biometric system • Add-on data portals provide added value for project partners. • Used for the risk profiling of passengers as part of efforts to control the spread of COVID-19 9 Digi Yatra and the Seamless Passenger Journey at Kempegowda International Airport, Bengaluru, India • Focus groups and simple communication; “using your face as boarding pass” • Model notable also for an opt-out pathway for those who do not elect to use biometrics 10 Happy Flow at Aruba’s Queen Beatrix International Airport • Early implementation of biometrics with Happy Flow model to anticipate transatlantic preclearance • Some improvements on the mechanisms to conduct identity checks for participants • Broader vision for enrollments at any location may not be supportable by all stakeholders. Table 2-1. (Continued). Source: Adapted from Amazon Go 2020. Figure 2-2. Overview of the steps to shop at an Amazon Go store.

How Advanced Is the Employment of Biometrics at Present? 15   Program Concept By leveraging computer vision and machine learning to track customers and distinguish between the items they pick, customers can be charged for their items without stopping at a cashier. The methodology does not rely on facial recognition but rather on movement tracking and, where available, a biometric palm scanner. Each customer, upon entry, is associated with a name, an account, and a consumer profile reflecting all interactions with items on the shelves (e.g., which items they view, pick up, and buy). Future use of the customer’s data is still undefined. However, the initial patent application included some examples where the customer’s purchase history could be used to confirm which items were being picked up from the shelves by the user. Program Key Takeaways The main benefits behind using this type of technology are significant time savings for customers and financial savings for retailers through lower operational expenditures on employees (e.g., labor wages and benefits). Some enrollment challenges may be resolved with simple two-step palm enrollment, which is interesting because some may feel this methodology is less invasive compared to facial recognition. Furthermore, this type of software presents a potential alternative to current and future models for touchless retail for both airports and airlines. Criteria Overview What • Touchless checkout-free retail Where • 21 stores across the United States Passenger process • Sign up through a mobile app and create Amazon account • Scan QR code, palm, or credit card when you walk into store • Take items and just walk out Who • Amazon Go (Amazon) Why • Revolutionize the retail experience: to make it safer and more efficient How • Movement tracking and smart sensors in store track items customers take. Once they leave, their accounts are then charged. Enrollment • Sign up through a mobile app and register palm biometric (where available) Verification of identity • Identity is verified through mobile app when customer signs up for an account. For • Customers with Amazon Go accounts Table 2-2. Key points for Amazon Go case study.

16 Airport Biometrics: A Primer Case Study 2: Denver–Daon Biometric Partnership Summary To balance the needs of passenger health and safety, Denver International Airport part- nered with public health stakeholders and biometric technology firm Daon to develop a biometric authentication system known as VeriFLY, which is aimed at making passenger journeys safer and more predictable. A second pilot for remote screening would involve a security checkpoint located remotely from the passenger terminal. See Table 2-3 for key points of the case study.

How Advanced Is the Employment of Biometrics at Present? 17   Program Concept With the intention of putting high-risk and health-conscious passengers first, passengers can use a reservation system on a mobile app to access a dedicated security lane. At the airport, after a temperature check, the passenger can enter the security lane by scanning a QR code shown in the app at an e-gate. A health questionnaire must also be completed within 24 hours prior to their flight. Passengers access a reserved train car with other VeriFLY travelers, which ensures a socially distanced and contactless concourse ride to their respective gates. At its initial implementation, the program was a stand-alone system that was not tied into other databases. Future development may automate more steps of the process by including facial recognition and third-party health information. Remote screening: In the future, the airport may offer a security screening checkpoint remote from the passenger terminal, adding capacity and offering a unique experience for segments of the traveling population. Program Key Takeaways The VeriFLY initiative presents an opportunity to add reliability and confidence to the passenger travel journey by reducing customer interactions and the potential for congestion. Furthermore, VeriFLY combines the idea of reservation systems with QR codes and can help reduce the strain on airport operations, even during reduced-traffic periods as a result of the COVID-19 pandemic. It is one of several platforms that could leverage health passport infor- mation, many of which are under development. Interestingly, the remote screening pilot can also help meter the peaked nature of operations, even during a reduced-traffic period. Criteria Overview What • Biometric authentication system for security lane reservations and remote security screening Where • Denver International Airport Passenger process • Mobile app sign up to a reservation for the security checkpoint • Health form completion • Arrive at airport for designated slot Who • Denver International Airport and Daon Why • Speed the processing of passengers • Create health-conscious and more predictable journey from security checkpoint to concourse How • VeriFLY: Facial recognition to verify identity in the app to bring up a QR code for airport touchpoints • Remote security screening Enrollment • Voluntary; appointments on the app can be booked 2 weeks in advance Verification of identity • Facial recognition via the mobile app For • Departing passengers on domestic and international flights Table 2-3. Key points for Denver–Daon case study.

18 Airport Biometrics: A Primer Home VeriFLY software Airport Pre-Security Airport Website portal enrollment E-Gate Hand scanner VeriFLY database [Daon] SYSTEM/ SOFTWARE STORAGE/ DATABASE SENSOR/ HARDWARE USER PROVIDES passagec he ck QR Code che ck Computer 1:few1:few QR Code Biometric: Face (future) Biometric: Face (future) QR C od e a cc es s to tr ai n to a irp or t user in control of storage time Reservation info Health questions Biometric: Face Case Study #2 Denver-Daon Biometric Partnership Case Study 3: CBP Trusted Traveler Programs at U.S. Airports – Global Entry Summary Designed to provide quick, easy, and convenient processing, the Global Entry program from CBP allows for expedited clearance for pre-approved, low-risk travelers on arrival in the United States. Global Entry is designed to reduce the time required for travelers in the pas- senger verification process when entering the United States. Similar programs include SENTRI and NEXUS. The roots for Global Entry date back to the U.S. Immigration and Naturaliza- tion Service (INS) Passenger Accelerated Service System (INSPASS) in the 1990s; the current

How Advanced Is the Employment of Biometrics at Present? 19   iteration was piloted by CBP starting in 2008. See Figure 2-3 for an overview of the Global Entry program procedures and Table 2-4 for key points of the case study. Program Concept At airports, program members proceed to Global Entry kiosks, have their 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 the baggage claim and the exit. Travelers must be pre-approved for the Global Entry program. All applicants undergo a rigorous background check and in-person interview before they are approved for enrollment. Applications are reviewed by CBP, and information is processed through various govern- ment databases. Once conditionally approved, the individual goes to one of over 100 enrollment centers to provide fingerprints and a facial photograph along with native documents (e.g., passport, proof of residency) for review by CBP. The biometrics collected at enrollment are used for facial matching. Figure 2-3. Overview of Global Entry program procedures. Criteria Overview What • Expedited clearance for pre-approved, low-risk travelers Where • 75 U.S. ports of entry, including preclearance airports Passenger process • Individuals have their pictures taken at the automated border kiosk Who • CBP • DHS • Participating airports Why • To fast-track border crossing procedures for individual travelers who are deemed low risk How • Verification of identity through facial recognition Enrollment • Voluntary program with multistep application process, including an in- person interview Verification of identity • Facial recognition • At enrollment: passport, photograph, fingerprints For • U.S. citizens and lawful permanent residents, as well as citizens of certain countries Table 2-4. Key points for CBP Trusted Traveler/Global Entry case study.

20 Airport Biometrics: A Primer Online Trusted Traveler Program website Global Enrollment System application Enrollment Center/ Enrollment on Arrival Booking Primary Processing Computer CBP Primary questions SYSTEM/ SOFTWARE USER PROVIDES STORAGE/ DATABASE SENSOR/ HARDWARE ATS UPAX [DHS] pr e- ap pr ov al Personal info Travel itinerary Trusted Traveler # 123456789 Flight info DCS database [Airlines] APIS [DHS] IDENT [DHS] CBP CHECK CBP APPROVALbi om et ric s vetting CBP FLIGHT APPROVAL (TECS, terrorism databases) or Biometric: Face e-Passport Biometric: Fingerprint Camera Scanner Camera Scanner te m pl at e storage for 3 years after end of membership Flight info + Trusted Traveler # 1:1 pas sa ge temporary storage on day of travel 1:few TVS system Gallery of templates Case Study #3 CBP Trusted Traveler Programs at U.S. Airports Note: TVS = Traveler Verification System; DCS = departure control system; APIS = Advanced Passenger Information System; UPAX = unified passenger module; IDENT = DHS Automated Biometric Identification System; TECS = Treasury Enforcement Communications System; ATS = Automated Targeting System. Program Key Takeaways The Global Entry program provides airports the ability to safely and securely facilitate inter- national air travel for U.S. citizens and a range of nationals from other countries (e.g., South Korea, Canada, the United Kingdom). The program provides a method for identifying low-risk passengers by vetting pre-approved travelers in advance of their trips, thereby streamlining the clearance and screening processes. An added benefit is that members are granted clearance to use TSA PreCheck.

How Advanced Is the Employment of Biometrics at Present? 21   Case Study 4: Seattle–Tacoma International Airport and Designated Aviation Channeling Summary Pursuant to the Aviation Transportation Security Act, TSA requires all employees of airport authorities and airline carriers, as well as other airport stakeholder employees who require unescorted access to secured areas of an airport, to submit an application and be approved for a SIDA badge. The intent of doing so is to screen an applicant’s information against federal criminal and immigration databases to determine whether the applicant may be a threat to transportation or national security. See Table 2-5 for key points of the case study. Program Concept For airports using designated aviation channeling (DAC) vendor services, the process of obtain- ing a SIDA badge begins when the airport employee submits the application, supported by autho- rized signatories (or endorsers), to the DAC vendor. Specifically, the application consists of obtained employee biometric and biographic information and, in some cases, additional information (e.g., I-9 form). After the application is completed, a DAC vendor ensures that the application is complete and properly formatted and verifies the employment and education information provided. The application is accompanied by fingerprints and a photo, which are electronically submitted to TSA for a security threat assessment (STA) and to the Federal Bureau of Investigation (FBI) for a criminal history records check (CHRC). On approval of the application by TSA, the results are provided to the airport operator, and a badge is issued. The badge authorizes access to secured areas of an airport and, depending on the biometric technology in use at the airport and by the employer, could be scanned for timekeeping purposes. Program Key Takeaways The DAC model is a prime example of a public–private partnership in the handling of bio- metric and biographic data. The use of DAC also enhances current protocols and represents a set of comprehensive procedures for improved handling of personally identifiable information. Criteria Overview What • DAC for aviation employee background checks Where • Multiple airports in the United States (e.g., Seattle–Tacoma International Airport) Passenger process • Application-based process Who • Airports across the United States Why • Mandatory requirement for all airport and airline employees seeking unescorted access to secured areas, except federal state or local government employees • Ensure safety and security to general public and nation • Requirement by TSA How • Fingerprints and in some cases a photo (biometrics) • Criminal history background check • Biographical information Enrollment • DAC screening application Verification of identity • Vendor representative ensures that all information is correct and accurate during application. For • Airport employees, airline carrier employees, and select aviation stakeholder employees Table 2-5. Key points for SeaTac DAC case study.

22 Airport Biometrics: A Primer Case Study 5: Curb-to-Gate Program by CBP and Delta Air Lines at Hartsfield–Jackson Atlanta International Airport Summary CBP’s Curb-to-Gate program is an application of facial recognition with the intent of reduc- ing the number of times passengers must present their form of identification and boarding pass, as well as to increase the reliability and efficiency of both airport CBP and security officers. See Table 2-6 for an overview of the case study.

How Advanced Is the Employment of Biometrics at Present? 23   Program Concept The Curb-to-Gate program led by CBP and Delta Air Lines allows passengers to verify their identity in a reliable and more efficient manner through leveraging CBP’s Traveler Verification System (TVS): • At check-in/bag-drop, a real-time photo is sent securely and encrypted to the TVS. • The incoming photo is matched to a biometric template in a pre-compiled library based on the airline’s passenger manifest for a specific flight. • In case of a positive match, the passenger’s ID is verified, and the use of facial recognition for the rest of the journey is enabled. • At bag drop, security, and boarding, the passengers’ identity and right to entry/passage are verified using facial recognition. • For border crossings, an entry/exit record is made in the Arrival and Departure Information System (ADIS). Program Key Takeaways The benefits of using curb-to-gate are specific and measurable time savings for passengers and airport personnel at border processes, check-in, TSA, and other processes; lower opera- tional expenditures for airports; optimization of the use of space throughout the airport; and an opportunity for airports to revolutionize the passenger travel experience. Additionally, curb-to-gate significantly reduces the number of physical interactions among airport stake- holders, thereby lowering the probability of transmitting diseases and hazardous pathogens (e.g., COVID-19). Furthermore, this represents a significant milestone in terms of the power of end-to-end facial recognition and demonstrates the capabilities of biometric software. This case study demonstrates the capability of leveraging biometrics without the need for re-enrollment. Criteria Overview What • Seamless flow through facial biometric matching Where • Hartsfield–Jackson Atlanta International Airport (first pilot) Passenger process • Opt in at check-in/bag-drop • Have photo taken at other touchpoints Who • Partnership among CBP, Delta Air Lines, Hartsfield–Jackson Atlanta International Airport, and TSA • NEC (technology and software) • DHS, Department of State Why • Speed passenger processing How • Cameras, including those in tablets • Matching live photo taken at passenger touchpoint with preloaded library of biometric templates Enrollment • No formal enrollment; collected when applying for a passport/VISA or at entry/exit from the United States Verification of identity • Facial recognition and 1:few matching For • International flights with Delta and its partners • Expansion planned to U.S. domestic flights Table 2-6. Key points for CBP’s TVS with Delta at Atlanta case study.

24 Airport Biometrics: A Primer Note: DOS = Department of State; APIS = Advanced Passenger Information System; IDENT = DHS Automated Biometric Identification System. Case Study 6: Known Traveller Digital Identity at Aéroport International Montreal–Pierre Elliot Trudeau, Montreal, Canada Summary To respond to the increasing demand for a more efficient and streamlined passenger process, the World Economic Forum (WEF) has launched a program for the development of a trusted digital identity based on biometric technology. The goal of this initiative is to make it possible

How Advanced Is the Employment of Biometrics at Present? 25   for all industry partners to use this digital identity securely and easily while protecting the passenger’s privacy. See Table 2-7 for key points of the case study. Program Concept The program is still in the early development phase and relies on the self-sovereign concept, where passengers are the owners of their personal data and can elect to share the data (or not) with different parties (e.g., airport, airlines, border authority) at different passenger touchpoints throughout their journey. The digital identity should be created by an identity-issuing authority (third party or government). This authority would create a biometric template of the passenger as well as a unique security feature. With the use of distributed-ledger technology, the immuta- bility of the digital identity can be secured. The Known Traveller Digital Identity (KTDI) concept aims to use the distributed ledger to register every successful identity claim at various authentication touchpoints in order to build up trust in the passenger. In 2018, the governments of Canada and the Netherlands established a pilot group to advance the KTDI efforts. Criteria Overview What • KTDI concept, developed by WEF and partners Where • Amsterdam Airport Schiphol (AMS) • Montreal–Pierre Elliott Trudeau International Airport (YUL) • Toronto Pearson International Airport (YYZ) Passenger process • Create digital identity at issuing authority • Passenger manages own identity and information sharing to various airport stakeholders • Digital identity can be used for all processing steps at the airport (like seamless flow) Who • WEF • Airports: AMS, YUL, YYZ • Airlines: KLM, Air Canada • Governments of Canada and the Netherlands • Private partners: Vision-Box, Accenture, Idemia Why • Create a trusted interoperable ID verification system that can be used around the globe • Avoid the creation of multiple proprietary solutions that make the passenger process more confusing • Create a solid solution for data privacy protection • Create a framework that enables self-sovereign sharing of data required for the destination of the passenger [health information, Advanced Passenger Information System (APIS)] How • Facial-recognition technology, biometric-enabled processing points (e.g., e-gates), blockchain technology Enrollment • Voluntary Verification of identity • On enrollment by matching the face with the image that is stored on the e-passport chip • At authentication touchpoint by face recognition, when required with additional credential (smartphone or e-passport) For • Dutch and Canadian citizens who enrolled in the program Table 2-7. Key points for KTDI and DTC case study.

26 Airport Biometrics: A Primer Program Key Takeaways In the KTDI project, the challenge for the large group of stakeholders from two different countries, including their two respective governments, was the agreement of sharing, trans- mission, and storage of information and biometric data. To comply with all Canadian and EU privacy laws, mitigate cybersecurity risks, and satisfy the private and public interests among the group, a lengthy process to fine tune the legal framework was required. Note: DCS = departure control system.

How Advanced Is the Employment of Biometrics at Present? 27   Case Study 7: The Seamless Passenger Journey at London Heathrow Summary In the Seamless Passenger Journey, Heathrow Airport launched its first end-to-end biometrics program, which is built on the premise of using facial-recognition technology at the check- point of the departing passengers’ journey. Part of the journey will involve biometric self- boarding gates, which will be installed across multiple terminals throughout the airport. See Figure 2-4 for an overview of the Seamless Passenger Journey, and Table 2-8 for key points of the case study. Source: Wilcox 2019a. Figure 2-4. Overview of the Seamless Passenger Journey. Criteria Overview What • Seamless Passenger Journey using end-to-end biometrics Where • Heathrow Airport, London Passenger process • Processes vary by type of flight • Passengers present facial recognition at multiple airport touchpoints Who • Heathrow Airport, Atkins, Dormakaba, ICM, CEIA, Rockwell Collins, Arora Why • Streamline the passenger travel experience • Accommodate and prepare for anticipated increases in passenger demand levels How • Facial recognition at multiple check-in points throughout the airport Enrollment • In person at self-service airport kiosks • Mobile enrollment to come later Verification of identity • Matching an image of the day taken of the passenger to that of their e-passport For • Domestic and international departing flights Table 2-8. Key points for the Seamless Passenger Journey case study.

28 Airport Biometrics: A Primer Program Concept Biographic and biometric data are captured at the first touchpoint (self-service check-in kiosk, self-service bag drop, or ticket presentation gate) by reading the passenger’s e-passport chip, scanning their boarding pass, and taking their photo, which is referred to as the “image of the day.” All information is then collected and stored in what is referred to as the “Passenger Data Envelope.” The biometric data stored in the passenger’s e-passport is compared to the image of the day and, if there is a positive match, the passenger’s ID is verified and, from that point onward, the image of the day is used to recognize the passenger throughout the remaining journey. This approach eliminates the need for any additional identification measures. Program Key Takeaways The Seamless Passenger Journey at Heathrow Airport provides a scenario where the use of biometric technology is scalable to large international airports, both in the short and long term. The quality and deployment across multiple terminals are a significant undertaking that can provide a seamless process. For passengers traveling to the United States, the Seamless Passenger Journey technology also provides ID cross-validation with CBP’s TVS.

How Advanced Is the Employment of Biometrics at Present? 29   Note: DCS = departure control system; PDE = passenger data envelope. 1st touchpoint Other checkpoints Kiosk reader + camera IMP database (PDEs) [Airport] Camera-on-a-stick Biometrics: Face Boarding pass [Not needed in future] SYSTEM/ SOFTWARE STORAGE/ DATABASE SENSOR/ HARDWARE check app rov al USER PROVIDES Airline DCS 1:few1:1 Airline DCS Scanner Approval for preclearance US bound passengers per trip (24 hours max) PASSENGER DATA ENVELOPE Verified travel booking Biometric photo Biographic data (TVS clearance) 1:few ch ec k Consent to use biometrics Biometrics: Face e-Passport Flight info ID management platform (IMP) check US clearance TVS pa ss ag e Case Study #7 The Seamless Passenger Journey at London Heathrow

30 Airport Biometrics: A Primer Case Study 8: Risk Management During COVID-19 Using Biometrics, Carrasco Airport, Montevideo, Uruguay Summary In 2016, Carrasco International Airport implemented a fully biometric boarding procedure as well as a biometrics border and customs checkpoint for arriving passengers. The program, referred to as Easy Airport, is the first self-service boarding system within the region based completely on facial recognition. The use of such technology has enabled border agents to initiate risk profiling during the arrivals process, specifically related to issues stemming from the COVID-19 pandemic. Passengers arriving from low-risk countries are processed quickly, while passengers from higher-risk countries are required to undergo additional screening. See Figure 2-5 for a photograph of an Easy Airport e-gate and Table 2-9 for key points of the case study. Criteria Overview What • Biometric border crossing and boarding by facial recognition; risk profiling arriving passengers Where • Carrasco International Airport in Montevideo, Uruguay Passenger process • Border e-gates to verify passport authenticity, passenger identity (and link to flight information) • Automated boarding e-gates via facial recognition Who • Corporacion America (airport authority), border and customs authorities, and vendor Vision-Box Why • Enhanced control and security • Facilitate passengers along their journeys How • Biometric e-gates Enrollment • No enrollment necessary; all is done at the e-gate Verification of identity • Facial-recognition matching to e-passport For • Passengers from Uruguay, Argentina, Brazil, United States, and Europe with an e-passport/biometric ID card Table 2-9. Key points for COVID-19 risk management case study. Source: Meleiro 2016. Figure 2-5. Easy Airport e-gate at Carrasco.

How Advanced Is the Employment of Biometrics at Present? 31   Program Concept Departing passengers go through an e-gate for identity verification by facial recognition and are asked to select their flight on a touchscreen display to link the passenger information to the correct flight. Boarding requires a positive facial-recognition match. Arriving passengers enter a similar e-gate for passport authentication, background checks, and biometric identity verification. Significant estimated reductions in per-passenger processing times were from 40 to 50 seconds down to 15 seconds. Easy Airport was specifically designed for international travelers who are Uruguayan, Argentinean, Brazilian, American, or European citizens; are 18 years of age or older; and have an e-passport. Program Key Takeaways Easy Airport provides the ability to meet different airline business cases and strategic objectives, including those related to resource and time savings. It also provides the opportunity to install state-of-the-art technology and infrastructure to meet the airport’s future demand. The added data portals for airlines and other stakeholders provide additional value and deliver anonymized data streams. Also, Easy Airport was used during the COVID-19 pandemic in risk profiling passengers into specific categories automatically, and in notifying border agents of passengers entering the country from specific origins. Those passengers underwent a different (health) screening process.

32 Airport Biometrics: A Primer Note: PNR = passenger name record; APIS = Advanced Passenger Information System; DCS = departure control system. Immigration Boarding Biometrics: Face SYSTEM/ SOFTWARE STORAGE/ DATABASE SENSOR/ HARDWARE E-gate + camera E-gate + camera (or manual booth) USER PROVIDES EASY AIRPORT [Airport] Airport operational control centreAirline Airline DCS until 30 min after flight che ck app rov al 1:few EasyWeb Dashboards Passenger flow data (anonymized) information anonymized pa ss ag e se le ct io n e-Passport or ID with biometrics Biometrics: Face List of flights Easy Airport VERIFIED FLIGHT INFO Biometric Flight info PNR passage 1:1 passenger risk sc ore Case Study #8 Risk Management During COVID-19 Using Biometrics, Carrasco Airport, Montevideo

How Advanced Is the Employment of Biometrics at Present? 33   Case Study 9: Digi Yatra and the Seamless Passenger Journey at Kempegowda International Airport, Bengaluru, India Summary Aviation in India has been growing at a considerable pace, and India is expected to become the world’s largest domestic civil aviation market over the next 10 to 15 years. As a result, more emphasis has been placed on investing in innovation and digitalization to accommodate expected growth. To this effect, the Ministry of Civil Aviation has begun to implement an initiative known as Digi Yatra, which is designed with the intention of providing a seamless, hassle-free, and paperless experience to all air travelers in India. See Figure 2-6 for an overview of Digi Yatra and Table 2-10 for key points of the case study. Program Concept Under Digi Yatra, travelers in India are no longer required to show their boarding passes or proof of identity at touchpoints throughout airports within the country. Rather, the Digi Yatra biometric boarding system boarding pass will be integrated with a passenger identification document, ensuring faster and simpler processing at touchpoints such as the terminal entry gate, check-in/bag-drop, security checkpoint, and boarding gate. Program Key Takeaways The primary benefits of the Digi Yatra program are that it removes redundancies at various touchpoints throughout airports by using the passenger’s face as a boarding pass, enhances airport resource utilization rates, and improves security and airport system performance. Like- wise, the Digi Yatra program results in lower operational costs for airports across India and allows them to achieve better throughput through existing infrastructures using a digital frame- work. Moreover, the program has a relatively straightforward enrollment/registration process, which is easy to opt out of in case passengers prefer to manually check in. Source: Bhavan 2018a. Note: PAX = passengers; PESC = pre-embarkation security check. Figure 2-6. Overview of Digi Yatra.

34 Airport Biometrics: A Primer Criteria Overview What Digi Yatra facial-recognition boarding system Where Airports across India Kempegowda International Airport (BLR) (first pilot) Passenger process Register at unmanned registration kiosks at airports across India Who Airports throughout India Indian Civil Aviation Industry Airports Authority of India Why Remove redundancies, increase resource utilization, and improve security How Registration kiosks at airports Enrollment Voluntary Digi Yatra ID enrollment Verification of identity Facial-recognition matching with government of India–issued IDs (e.g., driver’s license, passport, voter card, student ID) For Indian citizens and foreigners who travel in and out of India Table 2-10. Key points for Digi Yatra case study.

How Advanced Is the Employment of Biometrics at Present? 35   Note: PNR = passenger name record; UIDAI = Unique Identification Authority of India; IMP = ID management platform.

36 Airport Biometrics: A Primer Criteria Overview What • Happy Flow biometric process for preclearance at border control crossing Where • Aeropuerto Internacional Reina Beatrix, Aruba International Airport Passenger process • Enrollment • Baggage drop-off with biometric assistance • Biometric self-service border control checkpoint • Boarding e-gate with separate lane Who • Aruba Airport Authority, KLM Royal Dutch Airlines, Amsterdam Airport Schiphol, and vendor Vision-Box Why • Enhance the passenger travel experience • Streamlined, touchless airport journey for security and safety • Increase efficiency of operational processes of the stakeholders How • Facial biometric matching Enrollment • At a kiosk, passengers scan passport and boarding card, verify identity with data on passport, and create a facial ID Verification of identity • ID verification at kiosk • ID authorization at border control For • KLM departing passengers to Amsterdam Airport Schiphol with e- passport Table 2-11. Key points for Happy Flow case study. Case Study 10: Happy Flow at Aruba’s Queen Beatrix International Airport Summary Happy Flow is aimed at improving the departure process at Aruba International Airport by smoothing the flow of passengers and creating a unique and seamless passenger experience. The program adopted protocols and standards that would benefit authorities, the airport, and airlines. Using facial recognition at multiple passenger touchpoints, passenger identity and right to travel are verified more securely. Plans are underway to include off-airport elements in the pas- senger journey (hotel check-in and car rental). During the initial launch of Happy Flow, there were also ideas to preclear into the European Schengen Area. See Figure 2-7 for an overview of the Happy Flow concept and Table 2-11 for key points of the case study. Source: Aruba Happy Flow 2020. Figure 2-7. Overview of Happy Flow.

How Advanced Is the Employment of Biometrics at Present? 37   Program Concept In the Happy Flow process, travel documents are only required at the enrollment station. There, the passenger’s identity is securely checked under government-set standards, the pas- senger’s biometric is checked against the one on the travel document, and a (temporary) virtual identity is created. After enrollment, the passenger goes through self-service passenger touch- points (bag drop, security, border control, and boarding), where the passenger’s face is matched to a secured database, and only authorized passengers are allowed to pass. Program Key Takeaways As with other facial-recognition initiatives and programs, the intent of Happy Flow is to promote a more streamlined departure process while improving overall security. It has been labeled a visionary model that anticipates transatlantic preclearance. Enrollment is the most time-consuming step, while processing is efficient after the biometric token is created. The sys- tem may be further optimized by introducing mobile enrollment using the ICAO DTC as well as measures to counter identity fraud from off-site/mobile enrollment. Nonetheless, a broader vision for enrollments at any location, which would be possible within the program, may not be supportable by all stakeholders.

38 Airport Biometrics: A Primer Note: PNR = passenger name record; DCS = departure control system.

How Advanced Is the Employment of Biometrics at Present? 39   Key Trends in Airport Biometrics Based on the 10 case studies of recent deployments, there are five trends that are important to consider for the future of biometrics at U.S. airports (see also Figure 2-7): • Trend 1: The deployment of integrated and multi-stakeholder bio- metric solutions is increasing because of the potential benefits of biometrics. • Trend 2: Digital transparency and privacy concerns are adding to the complexity of implementation, particularly as the legal landscape changes. • Trend 3: A focus on identity verification solutions is evident, in part to distinguish from mass surveillance programs that also leverage biometrics. • Trend 4: Global biometrics and standards are emerging from a variety of governmental and nongovernmental entities that are addressing privacy, security, ethical, and technological concerns. • Trend 5: Smartphones are expected to enable greater use of biometrics through the on-device storage capability for biometrics and the promise for the transmission of digital travel credentials. Key Takeaway These trends portend the development of solutions that may be more integrated, transparent, and privacy conscious. Solutions may offer more secure identification, within globally accepted practices, with the enabling technologies leveraging smart devices linked to our biometrics. Figure 2-8. Overview of five key trends on airport biometrics.

40 Airport Biometrics: A Primer Trend 1: Deployment of Integrated and Multi-Stakeholder Biometrics Is Increasing Where We Were Airport biometrics were previously constructed around single-purpose ideas. Access control, for example, created an environment where a biometric clearinghouse was compiled to create a relationship with credentialing systems. Where We Are Going Now We are now moving into a world where a single enrollment could have multiple stakeholders using the system. The premise is that overall costs could be reduced by having five separate enrollment centers for five different stakeholders combined together. Known as interoperability, there are multiple ways to enable a single biometric to be used across airlines, government(s), and airports. Typically, stakeholders have depended on a face-to-face customer-service model. Physical interaction with customer service representatives may increasingly be the exception and possibly available as a premium service, especially during the COVID-19 recovery period. One cannot efficiently accommodate the multiple groups, from ride share, car rental, airlines, government agencies, and other parties, each having their own enrollment stations and different biometric technologies. As a result, a multi-stakeholder model is the preferred direction to reduce the number of in-person contact points and provide the greatest overall system benefit. Key Examples • CLEAR: Can be used at the TSA checkpoint, airline lounges, flight boarding, and for access to some professional sporting events. • DHS Office of Biometric Identification Management: Since 2003, the image collected with a visa application has been used to confirm identity at port of entry (POE), as well as for applications involving the TVS. Trend 2: Digital Transparency and Privacy Concerns Increase Complexity Where We Were There are privacy laws and policies used for public- and private-sector deployment of biometric solutions. Many of these have strict requirements governing the use, retention, and disposal of personal information. On occasion, lapses of data ownership have occurred. Where We Are Going Now There is heightened attention being paid to the threat of cybersecurity attacks, theft of personal information, and vulnerabilities associated with privacy. Confusion and, in some cases, a lack of awareness of risks exist within the traveling public. It is not good enough to simply tell the public “we will keep your information private” or provide an opportunity for an opt out. Privacy advocates are calling for more sophisticated solutions to ensure that easy-to-use tools are available, especially when accountability is spread among airline, governmental, and third parties. Key Examples • Data breaches: Lessons learned from recent data breaches can inform the need for all stake- holders to manage policies and governance to limit vulnerabilities from unauthorized data access.

How Advanced Is the Employment of Biometrics at Present? 41   • Self-sovereign biometrics: A different model for the use of biometrics that reframes the individuals’ control over their identity information and that can be used across multiple countries, governments, airports, and airlines. • Digital Trust in Places and Routines: A project that creates standard communications methods, signage symbols, and accountability notices to make it easier to communicate to passengers. Trend 3: Identification Verification Solutions (Not Mass Surveillance) Where We Were The word “biometrics” equally represents all forms of algorithms and techniques used to manage identity. An analogy can be made between the word “password” and biometrics to the general public—there are strong secure passwords, and there are poor, ineffective passwords. There are a number of emerging mass surveillance solutions that use public and private data- bases. Clearview AI, for example, leverages 3 billion images taken from social networking plat- forms to supply clients with identity information. Although many governments have invested heavily in national biometric registration and identity systems, only a few of these systems have some features constructed with mass surveillance in mind. Where We Are Going Now Current and proposed uses of biometrics at U.S. airports are significantly narrower in pur- pose. They are related to an expressed purpose (facilitate process, manage identity) and are formulated to verify identity, not conduct mass surveillance. However, due to the high-profile nature of Clearview AI and the rapid advancement of alter- nate biometric models, there can easily be confusion and a lack of consumer confidence about proposed solutions. A key trend emerging involves airlines, airports, and governments adopting identity verification as the description of the program being deployed. In so doing, the rollout of biometric solutions can be distinguished from mass surveillance applications that tend to inflame the user base. In other words, instead of referring to solutions as “facial recognition” or “biometrics,” which imprecisely implies a set of unfettered processes, airport operators may more precisely refer to processes as “identity verification solutions.” In addition to appropriate terminology, it is imperative that airport operators and others wishing to deploy biometrics-enabled initiatives do so within a framework consistent with best practices with respect to data security and privacy considerations. Key Examples • CBP’s TVS may be powered by biometrics but is accurately described as an identity verifica- tion solution that differs from mass surveillance. • “My face is my boarding pass”: Plain-speaking solutions are being used within the Digi Yatra program in Bangalore, India; these phrases clearly communicate the focused nature of the solution. Trend 4: Global Biometrics and Standards Taking Hold Where We Were It was only in the 1980s when passports became standardized by ICAO. Since 1998, the ICAO standard included a chip within the passport for e-passports. Yet the work is not complete for the original vision of e-passport rollouts. Visas were originally meant to be stored in a larger- capacity chip. Other data, including more advanced encryption mechanisms using key public infrastructure, were also meant to be augmented to reduce the potential for document fraud.

42 Airport Biometrics: A Primer Where We Are Going Now DTC represents the first major change in document standards since ICAO’s Document 9303 (ICAO 2015) was modified to include e-passports. There are a number of options relevant to biometrics, including the mechanism to store information (blockchain, mobile phone, e-pass- port) as well as to grow capabilities to better manage digital identities. The key aspect of the DTC platform is to enable interoperability in a standard fashion. In other words, there is the ability to ensure that there is guidance to solve for incompatibilities [e.g., Video Home System (VHS) versus Betamax video tapes] so that a common standard is established for exchanging digital identity information. Key Examples • Passport-free travel: A number of countries (such as Canada) and multilateral regions (such as Mercosur) are evaluating DTC as a mechanism to contain traveler information. • Health information: While there are a number of advancements contemplated associated with COVID-19 recovery, one in particular is the development of applications that include certain health information rooted on the ICAO DTC platform. The so-called “health pass- port” containing personal health information and immunization records may be an augmen- tation that different countries adopt in the future. Trend 5: Leveraging Smartphones Where We Were When biometrics first started being used broadly at airports in the 1990s, it was exclusively for voluntary products such as INSPASS trusted traveler models. There is still strong value in the face-to-face interaction between an officer and an individual when going through certain regulated processes, such as clearing through a POE into the United States. Where We Are Going Now Many applications for biometrics exist on mobile smartphones, but these mostly relate to device unlocking, mobile payments, and some identity information to be transferred across the Internet (such as a passport photo page). Increasingly, there are mobile applications that leverage still photos or live video interviews in order to integrate voice, video, and data. Such applications can thus use a broader range (or multiple) biometric characteristics for identity verification remotely and seamlessly. Where there are doubts about the identity of an individual, there could be a triaged process to help with identity verification during a trip through a home-, hotel-, or office-based interac- tion that could create a provisional biometric record that would then fully vetted on-site at an airport on the next journey. Key Examples • The proliferation of health information passes, such as Commons Project CommonPass and IATA TravelPass, that are built around a smartphone app to house personal information such as a COVID-19 test result, vaccination status, or other information such as photographs. • Mobile passport control, offered by a third party or, beginning in 2021, by CBP directly, that includes the ability to scan the machine-readable zone of a passport picture page through a smartphone camera.

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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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