14182428313236 ICAO MRTD RepORTVOluMe 10, NuMbeR 2, 2015editorialMRTD Programme—Aviation Securityand Facilitation Policy SectionEditor-in-Chief: Narjess Abdennebi Tel: +1 (514) 954-8219 ext. 8374 E-mail: fal@icao.intCoordinator: Garleen McGann Tel: +1 (514) 954 8219 ext. 6329 E-mail: fal@icao.intMRTD/Border News updates: Omer Faruk Arinc Tel: +1 (514) 954 8219 ext. 6515 E-mail: fal@icao.intContent Development Senior Editor: Laurie Seline Tel: +1 (514) 954-8219 ext. 5818 E-mail: lseline@icao.intAssociate Editor: Allisun Dalzell Tel: +1 (514) 954-8219 ext. 8108 E-mail: adalzell@icao.intproduction and DesignBang MarketingStéphanie Kennan Tel: +1 (514) 849-2264 E-mail: info@bang-marketing.com Web Site: www.bang-marketing.comAdvertisingHarvey Wong, Advertising Representative Tel: +1 (514) 954-8219, ext. 6181 Fax: +1 (514) 954 6769 E-mail: hwong@icao.intAlexandra Paré, Project Manager Tel: +1 (514) 954-8219, ext. 5510 E-mail: apare@icao.intSubmissionsThe MRTD Report encourages submissions from interestedindividuals, organizations and States wishing to shareupdates, perspectives or analysis related to global civilaviation. For further information on submission deadlinesand planned issue topics for future editions of theMRTD Report, please contact Narjess Abdennebi, Editor-in-Chief, at: fal@icao.int.Opinions expressed in signed articles or in advertisementsappearing in the ICAO MRTD Report represent the author’sor advertiser’s opinion and do not necessarily reflectthe views of ICAO. The mention of specific companies orproducts in articles or advertisements does not imply thatthey are endorsed or recommended by ICAO in preferenceto others of a similar nature which are not mentionedor advertised.The publishers extend their thanks to the companies,organizations and photographers who graciously suppliedphotographs for this issue.published byInternational Civil Aviation Organization (ICAO)999 Robert-Bourassa BoulevardMontréal, QuébecCanada H3C 5H7The objective of the ICAO MRTD Report is to provide acomprehensive account of new developments, trends,innovations and applications in the field of MRTDs tothe ICAO Member States and the internationalaeronautical and security communities.Copyright © 2015International Civil Aviation OrganizationPrinted by ICAOContents348EditorialMRTD Report Editor-in-Chief Narjess Abdennebi addresses the evolving ICAO Traveller Identification Programme (TRIP) Strategy with a look at the positive transformations and the next steps in providing assistance and awareness to ICAO Member States. The New 7th Edition of ICAO’s Doc 9303Nearly twenty years have passed since the First Edition of Doc 9303 was published and Tom Kinneging, active contributor to both the Technical Advisory Group (TAG) and the New Technologies Work Group (NTWG), highlights the significant improvements to the latest Edition. Logical Data Structure 2: Overview and UseWhile ICAO’s New Technologies Working Group Logical Data Structure 2 (LDS 2) Policy Sub-Group continues to explore extensions to the existing ePassport data structure, Justin Ikura and Jasper Mutsaers review LDS 2 expectations.The New Technologies Work GroupThe Chairman of the NTWG, R. Michael Holly, describes the progress the NTWG has made in researching and analyzing MRTD technologies, addresses the vulnerabilities and highlights the strategies they are developing to eliminate these vulnerabilities.The History of the Chip-Inside SymbolAn explanation of how the chip-inside symbol came to be in passports throughout the world and a tribute to Joost van Roon, the designer who created it. 20 MRTD and Border Control NewsProcuring MRTD-Related Systems: The New ICAO GuideMarkus Hartmann, Chairman of the Procurement Sub-Group within the ICAO Implementation and Capacity Building Working Group (ICBWG), explains how the new Procurement Guide helps States embark on their MRTD procurement projects.The ICAO Public Key Directory (PKD): Recent Changes and Developments That Are Paving the Way for the FutureRoman Vanek, Chairman of the ICAO PKD Board chronicles the major issues that will affect future PKD operations and recaps the developments that took place at the most recent PKD meetings. Public Key Directory (PKD) Import CeremoniesThe Ukraine and Qatar recently formalized their participation in ICAO’s PKD in ceremonies that took place in January and February of this year. Is Your Passport Compliant?ICAO Implementation and Capacity Building Working Group (ICBWG) Contributor Dwight MacManus, reviews machine readable passports (MRPs) and ePassport compliance issues encountered based on the results of investigations. An Activities Update from the Implementation and Capacity Building Working Group (ICBWG)Dion Chamberlain, the Secretary of the ICBWG, explains the role the Group plays in providing travel document issuance and identification management assistance to States.xxxMs. A. Moores AustraliaMs. H. Richardson CanadaMs. M. Cabello ChileMr. W. Xiaobo ChinaMr. M. Vacek Czech Republic Vacant France Mr. O. Götz GermanyMr. R. Swaminathan IndiaMr. J. Nugent IrelandMr. Y. Ando JapanMr. B. Poletti LuxembourgMs. G.M. Keijzer-Baldé NetherlandsMr. D. Philp New ZealandMr. J. Wariya NigeriaVacant PortugalMr. Y. Valentinovich Vzilter Russian FederationMr. F.J. Aranda SpainMr. L. Bjöhle SwedenMr. R. Vanek SwitzerlandMr. A. Brown United KingdomMr. M. Holly United Statesxxx ICAO MRTD RepORT – Issue 2 2015 3In recent years, a great deal of thought, introspection and hard work has been directed towards clearly defining and tangibly delineating the relationships and functions of our Machine Readable Travel Document (MRTD) and other associated programmes in relation to the overall civil aviation safety mandates of ICAO as an institutional whole. These efforts have culminated with an enhanced programme which is now called ICAO TRIp and covers the Traveller Identification Programme Strategy. The new name embodies broad, interrelated, globally interoperable responsibilities and new challenges in terms of developing the next steps of its world implementation, and in searching for more effective ways of providing technical assistance to ICAO Member States. In line with promoting advocacy and technical dialogue with States, a major capacity-building event, the TRIP Implementation Regional Seminar, was recently held in Niamey, Niger, from 20 to 22 January 2015. The Seminar was organized in partnership with the United Nations Counterterrorism Executive Directorate (UNCTED) and was part of a project funded by the Government of Canada for the benefit of the States of the Sahel region, based on the three main areas of TRIP: national identification management and civil registry, travel document issuance and security and immigration control at borders. Experts from ICAO and from International and Regional Organizations and agencies responsible for these three focus areas, delivered technical and thematic presentations.The presentations were mixed with roundtable discussions and workshops that enabled participants and experts to openly exchange views on challenges and best practices and to collaterally strengthen communication and cooperation between all stakeholders. It also provided an opportunity for increasing State awareness about the international obligations outlined in ICAO Annex 9 — Facilitation, including the 24 November 2015 deadline by when all non-Machine Readable Passports (non-MRPs) are to be out of circulation. Information was also disseminated on travel document specifications contained in Doc 9303, and on other tools and initiatives carried out by other organizations, such as INTERPOL's Stolen and Lost Travel Documents (SLTD) database. WeLCOMe TO THe suMMeR Issue OF THe MRTD RepORTThis current issue of the MRTD Report brings together articles on eight substantive topics and includes a tribute to a PKD Member. Leading off, Tom Kinneging writes about the new Seventh Edition of Document 9303. While the previous six editions served us well for 20 years; it was time for a complete overhaul of the publication to improve user experience and to take advantage of the tools of modern electronic publishing. Next, Jasper Mutsaers and Justin Ikura unveil the next generation of passports in their article on the development of the Logical Data Structure, LDS2. As well, the developing ICAO MRTD Procurement Guide is presented, current Public Key Directory (PKD) issues are addressed including a recent data import ceremony and the origin and background of the proudly worn chip-inside symbol is outlined. Finally, Dwight MacManus reports on the current status of MRPs and ePassport compliance issues worldwide, based on the results of a variety of fact-finding assessments and investigations. In this issue there are also reports on current activities from the New Technologies Working Group (NTWG) and the Implementation and Capacity Building Working Group (ICBWG). I would like to stress that in the context of resource limitations which affect all of us, the capabilities, commitment, competence and caring of all the experts of these groups are exceptional, making our collective future beckon brightly and making the world a safer and better place.Preparations are well underway for the next MRTD/TRIP Regional Seminar in Nairobi (10 to 12 November 2015) and the Eleventh MRTD/TRIP Symposium, which will take place in Montreal on 14 to 16 October 2015. The Symposium will focus on the foundation of trust in travel document security and will address issues and challenges linked to each component of the TRIP, while a dedicated session on assistance and capacity-building will close the symposium. Further information about these events and online registration are available on the ICAO website. Great Reading!Dr. Narjess AbdennebiChief Facilitation Section (C/FAL)Aviation Security and Facilitation (ASF)Air Transport Bureau (ATB)ICAOMessAge FROM THe eDITOR-In-CHIeF4 ICAO MRTD RepORT – Issue 2 2015THe neW 7th eDITIOn OF ICAO’s DOC 9303With the publication of the 7th edition of Doc 9303 in July of this year, substantial improvements have been made in terms of MRTD specification usability, readability and maintainability. This article explains the new structure of Doc 9303; the reasoning behind the project; and the efforts undertaken to achieve today’s results.The First Edition of Doc 9303 was published in 1996. The specifications for Machine Readable Travel Documents (MRTDs) consisted of three parts:■■part 1 – Specification for Machine Readable Passports (MRPs)■■part 2 – Specifications for Machine Readable Visas (MRVs)■■part 3 – Specifications for Machine Readable Official Travel Documents (MRTDs)While a new edition of each of the parts was published every five years, when changes or additions to the specifications were needed within this five-year period, they were published through Technical Reports.When chip technology was introduced in 2004, the specifications for the electronic part of the travel document were laid out in separate volumes of Part 1 and Part 3. By that time, Doc 9303 consisted of five documents: two volumes of Part 1; one volume of Part 2; two volumes of Part 3; and a number of Technical Reports that were to be incorporated in Doc 9303 when the new editions were created.Until 2009, this information was published in a printed form only. Because users of Doc 9303 could buy the individual part(s) they needed for their projects, the specifications in each part had to be complete. Besides the information specific to each part (MRPs, MRVs and MRTDs), general information, such as country codes, date formats and transliteration tables needed to be repeated in each part – so information was duplicated.AbOuT TOM KINNegINg He is Senior Expert Standardization at Morpho and Manager of the Morpho R&D Department in Haarlem. He is also the convenor of ISO/IEC JTC1 SC17 Working Group 3, which is the group that, in close cooperation with ICAO, is responsible for the development and maintenance of the standards for Travel Documents, ICAO Doc 9303 and ISO/IEC 7501. In this function he is an active contributor to the work of the Technical Advisory Group, the New Technologies Working Group and the Implementation and Capacity Building Working Group of ICAO and has been the lead editor of various technical papers, such as Technical Reports, ICAO Doc 9303 and its Supplement.DOC 9303The Technical Advisory Group on Machine Readable Travel Documents (TAG/MRTD) endorsed a plan for revising Doc 9303 with the goal of both eliminating the drawbacks of the actual structure and with coming up with a set of specifications that would be comprehensive, consistent, easy to use, and efficiently maintainable.An editorial team was formed under the umbrella of ISO Working Group 3, consisting of experts from governments and industry. The team worked on the project for three years and carried out the revision of Doc 9303 in three phases:1. Restructuring of Doc 93032. Incorporation of the Supplement3. Incorporation of the existing Technical ReportsReSTRuCTuRINg OF DOC 9303The redesign of the Doc 9303 structure had to be carried out in such a way so that information would only appear once (without duplications). Form factor specifics needed to be easily identified so that, for a specific project, no irrelevant specifications needed to be consulted. All of this would be done without incorporating substantial modifications to the specifications.Based on this work, the new Doc 9303 (7th Edition) no longer consists of three parts. Instead, the following twelve parts have been defined:1. IntroductionPart 1 introduces Doc 9303 specifications. It describes the build-up of the twelve parts of Doc 9303; provides general information on ICAO; and guidance on the terminology and abbreviations used throughout the specifications.2. Specifications for the Security of Design, Manufacture and Issuance of MRTDsThis Part provides mandatory and optional specifications for the precautions to be taken by Travel Document Issuing Authorities to ensure that their MRTDs, and their means of personalization and issuance to the rightful holders, are secure from fraudulent attack. Mandatory and optional specifications are also provided for the physical security to be provided at the premises where MRTDs are produced, personalized and issued, and for the vetting of personnel involved in these operations.In 2005, as States introduced chip technology in their MRTDs, issues began to appear. It became clear that there was a need for a fast and efficient means for dealing with ambiguities and misinterpretations, so a Supplement to Doc 9303 was introduced. The Supplement provided a systematic and ongoing forum for capturing and sharing views; for raising and addressing issues; for sharing knowledge; and for clarifying and characterizing standards that could be memorialized and distributed on a time-urgency basis without waiting for a Technical Report or a new edition of Doc 9303. The Supplement was issued on a regular basis, with fourteen Supplements released between 2005 and 2014.The success of the Supplement had a drawback. The increasing number of clarifications to Doc 9303 issues made it a large document that, for a complete overview, needed to be consulted on every item of interest in Doc 9303. By the end of 2011, Doc 9303 and the Supplement and Technical Reports had ballooned into the following electronic MRTD (eMRTD) documents:■■part 1 – Machine Readable Passports, Sixth Edition - 2006■■Volume 1 – Passports with Machine Readable Data Stored in OCR Format■■Volume 2 – Electronically Enabled Passports with Biometric Identification Capability■■part 2 – Machine Readable Visas, Third Edition - 2005■■part 3 – Machine Readable Official Travel Documents, Third Edition - 2008■■Volume 1 – MRTDs with Machine Readable Data Stored in OCR Format■■Volume 2 – Electronically Enabled MRTDs with Biometric Identification Capability■■Supplement to Doc 9303■■Seven Technical ReportsIt was clear that this was no longer a workable set of specifications for States with travel document programmes. Information was scattered over various documents, and because there were inconsistencies with duplicate information in different parts (because of the dates of issuance), the maintenance of the whole became more and more complicated and time-consuming.As a result of the restructuring, a set of specifications is provided from which the user (issuing state, integrator, developer) can pick and choose the relevant parts for his specific needs. DOC 9303 ICAO MRTD RepORT – Issue 2 2015 56 ICAO MRTD RepORT – Issue 2 201511. Security protocolsPart 11 provides specifications to enable States and suppliers to implement cryptographic security features for electronic Machine Readable Travel Documents (eMRTDs).12. public Key Infrastructure for Machine Readable Travel DocumentsPart 12 defines the Public Key Infrastructure (PKI) for the eMRTD application. Requirements for Issuing States or organizations are specified, including operation of a Certification Authority (CA) that issues certificates and Certificate Revocation Lists (CRLs). Requirements for Receiving States and their Inspection Systems validating these certificates and CRLs are also specified.As a result of the restructuring, a set of specifications is provided from which the user (issuing State, integrator, developer) can pick and choose the relevant parts for his specific needs. For example: typically, for a chip-enabled Machine Readable Passport, the relevant parts are 1, 2, 3, 4, 9, 10, 11 and 12. However, the set of specifications relevant for a TD1 size card without a chip only consists of the parts 1, 2, 3, and 5. 3. Specifications Common to All Machine Readable Travel DocumentsPart 3 defines specifications that are common to TD1, TD2 and TD3 size Machine Readable Travel Documents (MRTDs), including those necessary for global interoperability using visual inspection and machine readable (optical character recognition) means.4. Specifications Specific to TD3 Size MRTDs, Machine Readable passportsPart 4 defines specifications that are specific to TD3 size Machine Readable Passports (MRPs) and other TD3 size Machine Readable Travel Documents (MRTDs). 5. Specifications Specific to TD1 Size MRTDs, Machine Readable Official Travel DocumentsPart 5 of Doc 9303 is based on Doc 9303 Part 3, Machine Readable Official Travel Documents Volume 1, 3rd Edition 2008. It defines specifications that are specific to TD1 size Machine Readable Official Travel Documents (MROTDs).6. Specifications Specific to TD2 Size MRTDs, Machine Readable Official Travel DocumentsPart 6 defines specifications that are specific to TD2 size Machine Readable Official Travel Documents (MROTDs).7. Machine Readable VisasPart 7 defines the specifications for Machine Readable Visas (MRVs) which allow compatibility and global interchange using both visual (eye readable) and machine readable means. The specifications lay down standards for visas that can, when issued by a State and accepted by a receiving State, be used for travel purposes.8. Reserved for future use (emergency Travel Documents)Work on drafting guidance for Emergency Travel Documents is ongoing. The results of this effort should become Part 8 of the 7th Edition of Doc 9303.9. The Deployment of biometric Identification and electronic Storage of Data in MRTDsPart 9 defines the specifications to be used by States wishing to issue an electronic Machine Readable Travel Document (eMRTD) capable of being used by any suitably equipped receiving State to read and to authenticate the data relating to the eMRTD itself, and the verification of its holder. This includes globally interoperable biometric data to be stored in the form of high-resolution images on a high-capacity contactless integrated circuit (IC), and a range of optional data at the discretion of the issuing State. 10. logical Data StructurePart 10 of Doc 9303 defines the Logical Data Structure (LDS) for eMRTDs required for global interoperability, and defines all mandatory and optional data elements, file structures, and application profiles for the contactless IC.Figure 1: Specifications for a chip enabled MRPFigure 2: Specifications for a non-chip TD1 cardDOC 9303ACHIeVeMeNTSThe new structure and the incorporation of all the widespread information into a comprehensive set of specifications have formed a more logical structure, and more user-friendly Doc 9303.Additionally, maintenance of the document has become easier for the editors. The electronic format in which Doc 9303 is published on ICAO’s website allows for fast issuance of updates. Revisions can be performed on individual parts without involving unaffected parts. This means that, though previous updates had to wait until the five-year cycle had ended, updates can now be realized almost instantly through amendments to individual parts of the 7th Edition. So, there will no longer be Supplement releases.Does the 7th Edition of Doc 9303 cover everything we had in mind? Time will tell. Clearly there is one positive: while the old Doc 9303 and the Supplement and Technical Reports consisted of a total of 1075 pages, all twelve parts of 7th Edition of Doc 9303 together amount to only 565 pages! This is a promising result.We look forward to seeing how the users of Doc 9303 will judge this new set-up. INCORpORATINg THe SuppleMeNT The success of the Supplement is indicative of how some specifications in Doc 9303 were not as clear and unambiguous as they needed to be. The Supplement had to provide clarifications and interpretations on a variety of subjects. Its previous release contained 253 issues. Incorporating the Supplement called for examining each issue in it and using the information to improve the affected specification elements in Doc 9303.INCORpORATINg THe TeCHNICAl RepORTSTechnical Reports are, once endorsed by the TAG/MRTD, part of Doc 9303. However, their specifications were in separate documents and needed to be incorporated into Doc 9303. In the end, the following eight Technical Reports were incorporated and are now an integral part of the 7th Edition of Doc 9303:■■TR - MRTDs: History, Interoperability and Implementation■■TR - CSCA Countersigning and Master List Issuance ■■TR - LDS and PKI Maintenance■■TR - Supplemental Access Control for MRTDs■■TR - Machine Reading Options for TD1 Size MRTDs■■TR - Machine Assisted Document Security Verification■■TR - Transliteration of Arabic Script■■TR – Travel Document Deviation List Issuance DOC 9303Next >