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Taller Subregional sobre Mejores Prácticas en Seguridad deDocumentos de Viaje y Manejo de Identidad
Centro Internacional de Instrucción de Aeropuertos y Servicios AuxiliaresMéxico D.F., México, 12-14 de diciembre de 2011
Taller Subregional sobre Mejores Prácticas en Seguridad deDocumentos de Viaje y Manejo de Identidad
Centro Internacional de Instrucción de Aeropuertos y Servicios AuxiliaresMéxico D.F., México, 12-14 de diciembre de 2011
Erik SlavenasErik SlavenasMRTD Programme OfficerMRTD Programme Officer
Erik SlavenasErik SlavenasMRTD Programme OfficerMRTD Programme Officer
Evidence of Identity: the concept and ongoing work
Defining the termsDefining the terms
Evidence of Identity (EoI)Evidence of Identity (EoI)
Vs.Vs.
““breeder documents”breeder documents”
Evidence of Identity (EoI)Evidence of Identity (EoI)
Vs.Vs.
““breeder documents”breeder documents”
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Why bother?Why bother?
Relative decrease of MRTD fraud – by Relative decrease of MRTD fraud – by
smart criminalssmart criminals
Focus on other weaker segments of Focus on other weaker segments of
the MRTD lifecycle – issuancethe MRTD lifecycle – issuance
Remedy: a robust issuance process Remedy: a robust issuance process
that fully uses EoI scrutiny and its that fully uses EoI scrutiny and its
strengths strengths
Relative decrease of MRTD fraud – by Relative decrease of MRTD fraud – by
smart criminalssmart criminals
Focus on other weaker segments of Focus on other weaker segments of
the MRTD lifecycle – issuancethe MRTD lifecycle – issuance
Remedy: a robust issuance process Remedy: a robust issuance process
that fully uses EoI scrutiny and its that fully uses EoI scrutiny and its
strengths strengths
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An increasingly prevalent global An increasingly prevalent global
shift fromshift from document fraud document fraud toto
identity fraudidentity fraud
See Malcolm Cuthbertson’s The See Malcolm Cuthbertson’s The
Changing Dynamics of Travel Changing Dynamics of Travel
Document Fraud at Document Fraud at
http://legacy.icao.int/MRTDsymposhttp://legacy.icao.int/MRTDsympos
ium/2010/Docs/Cuthbertson.pdfium/2010/Docs/Cuthbertson.pdf
An increasingly prevalent global An increasingly prevalent global
shift fromshift from document fraud document fraud toto
identity fraudidentity fraud
See Malcolm Cuthbertson’s The See Malcolm Cuthbertson’s The
Changing Dynamics of Travel Changing Dynamics of Travel
Document Fraud at Document Fraud at
http://legacy.icao.int/MRTDsymposhttp://legacy.icao.int/MRTDsympos
ium/2010/Docs/Cuthbertson.pdfium/2010/Docs/Cuthbertson.pdf
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International treatyInternational treaty
Globally interoperableGlobally interoperable
Well organized multilaterallyWell organized multilaterally
Existing systems and guidanceExisting systems and guidance
Security featuresSecurity features
Founded on premise of Founded on premise of
machine readabilitymachine readability
International treatyInternational treaty
Globally interoperableGlobally interoperable
Well organized multilaterallyWell organized multilaterally
Existing systems and guidanceExisting systems and guidance
Security featuresSecurity features
Founded on premise of Founded on premise of
machine readabilitymachine readability
No international foundationsNo international foundationsEndless numberEndless numberNo systems, no guidance, no No systems, no guidance, no generalized handbooks and generalized handbooks and above all, no interoperabilityabove all, no interoperabilityNo systems of security or other No systems of security or other guardian featuresguardian featuresNo international standards or No international standards or specificationsspecifications
No international foundationsNo international foundationsEndless numberEndless numberNo systems, no guidance, no No systems, no guidance, no generalized handbooks and generalized handbooks and above all, no interoperabilityabove all, no interoperabilityNo systems of security or other No systems of security or other guardian featuresguardian featuresNo international standards or No international standards or specificationsspecifications
MRTDs “Breeder Documents”MRTDs “Breeder Documents”
Identity DocumentsIdentity DocumentsIdentity DocumentsIdentity Documents
Intelligent criminal’s guide to identity fraud
Intelligent criminal’s guide to identity fraud
Don’t Do
Use fraudulently altered MRTDs
•Obtain breeder documents in another identity or - as the last resort - •Use fraudulent breeder documents•Exploit weaknesses in the passport issuance process•Become an impostor (preferably with a virgin stolen passport )
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EoI: the 3-level approachEoI: the 3-level approach
Claim to an identity is tested by the PO checking:Claim to an identity is tested by the PO checking:
1.1. what the applicant “has” to support the what the applicant “has” to support the
claimed identity (“breeder docs”);claimed identity (“breeder docs”);
2.2. what the applicant “knows” about the identity what the applicant “knows” about the identity
that is claimed (social footprint);that is claimed (social footprint);
3.3. who the applicant “is” (biometrics).who the applicant “is” (biometrics).
Claim to an identity is tested by the PO checking:Claim to an identity is tested by the PO checking:
1.1. what the applicant “has” to support the what the applicant “has” to support the
claimed identity (“breeder docs”);claimed identity (“breeder docs”);
2.2. what the applicant “knows” about the identity what the applicant “knows” about the identity
that is claimed (social footprint);that is claimed (social footprint);
3.3. who the applicant “is” (biometrics).who the applicant “is” (biometrics).
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EoI – Components of an Operational Model
EoI – Components of an Operational Model
The three components for establishing identity involve: 1. Evidence that the claimed identity is valid, i.e. that the
person was in fact born and, if so, that the owner of that identity is still alive. (Also read The Day of the Jackal by F. The Day of the Jackal by F. ForsythForsyth)
2. Evidence that the presenter links to the claimed identity – i.e. that the person claiming the identity is who they say they are and that they are the only claimant of the identity.
3. Evidence that the presenter uses the claimed identity – i.e. that the claimant is operating under this identity within the community.This is the model for the Evidence of Identity.
The three components for establishing identity involve: 1. Evidence that the claimed identity is valid, i.e. that the
person was in fact born and, if so, that the owner of that identity is still alive. (Also read The Day of the Jackal by F. The Day of the Jackal by F. ForsythForsyth)
2. Evidence that the presenter links to the claimed identity – i.e. that the person claiming the identity is who they say they are and that they are the only claimant of the identity.
3. Evidence that the presenter uses the claimed identity – i.e. that the claimant is operating under this identity within the community.This is the model for the Evidence of Identity.
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1. “Breeder documents”1. “Breeder documents”Birth CertificateBirth Certificate
Certificate of citizenship/naturalisationCertificate of citizenship/naturalisation
Existing passport or other travel docExisting passport or other travel doc
National ID card / voter’s card (cedula)National ID card / voter’s card (cedula)
Features: gov’t issued, preferably has a photo, Features: gov’t issued, preferably has a photo,
has security featureshas security features
Difficulty: lack of uniformity, low security Difficulty: lack of uniformity, low security
features, lack of uniformityfeatures, lack of uniformity
Birth CertificateBirth Certificate
Certificate of citizenship/naturalisationCertificate of citizenship/naturalisation
Existing passport or other travel docExisting passport or other travel doc
National ID card / voter’s card (cedula)National ID card / voter’s card (cedula)
Features: gov’t issued, preferably has a photo, Features: gov’t issued, preferably has a photo,
has security featureshas security features
Difficulty: lack of uniformity, low security Difficulty: lack of uniformity, low security
features, lack of uniformityfeatures, lack of uniformity
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2. Document databases and reference to official records2. Document databases and reference to official recordsCivil registry (births/marriages/deaths)Civil registry (births/marriages/deaths)
Voters registryVoters registry
Citizenship/immigration recordsCitizenship/immigration records
Professional licencesProfessional licences
Motor vehicle recordsMotor vehicle records
Court recordsCourt records
Property ownership recordsProperty ownership records
Automated or accessible via a secure real-time connectionAutomated or accessible via a secure real-time connection
Also – checking the identity against watch listsAlso – checking the identity against watch lists
- checking PO database/archives for similar names, DOB, name spelling - checking PO database/archives for similar names, DOB, name spelling
variationsvariations
Civil registry (births/marriages/deaths)Civil registry (births/marriages/deaths)
Voters registryVoters registry
Citizenship/immigration recordsCitizenship/immigration records
Professional licencesProfessional licences
Motor vehicle recordsMotor vehicle records
Court recordsCourt records
Property ownership recordsProperty ownership records
Automated or accessible via a secure real-time connectionAutomated or accessible via a secure real-time connection
Also – checking the identity against watch listsAlso – checking the identity against watch lists
- checking PO database/archives for similar names, DOB, name spelling - checking PO database/archives for similar names, DOB, name spelling
variationsvariations
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3. “Social footprint”3. “Social footprint”Interaction between the applicant and the society – Interaction between the applicant and the society –
documented or “known”documented or “known”
Supporting docs:Supporting docs:
Medical recordsMedical records
Marriage certificateMarriage certificate
Bank and taxation documentsBank and taxation documents
Employment recordEmployment record
Driver’s licence and car registrationDriver’s licence and car registration
Educational recordsEducational records
House/electricity, gas meter, police records, etcHouse/electricity, gas meter, police records, etc
Dealing with exceptional casesDealing with exceptional cases
Interaction between the applicant and the society – Interaction between the applicant and the society –
documented or “known”documented or “known”
Supporting docs:Supporting docs:
Medical recordsMedical records
Marriage certificateMarriage certificate
Bank and taxation documentsBank and taxation documents
Employment recordEmployment record
Driver’s licence and car registrationDriver’s licence and car registration
Educational recordsEducational records
House/electricity, gas meter, police records, etcHouse/electricity, gas meter, police records, etc
Dealing with exceptional casesDealing with exceptional cases 12
4. Interview4. Interview
Regular or by requestRegular or by request
Applicant obliged to tell the truth by lawApplicant obliged to tell the truth by law
Non-verbal aspects: confidence, behaviour, nervousnessNon-verbal aspects: confidence, behaviour, nervousness
Photos submitted can be verifiedPhotos submitted can be verified
The replies must match the application storyThe replies must match the application story
Can be used to extract additional info, clarify questions or Can be used to extract additional info, clarify questions or
discrepancies, support social footprint, confirm or give hints discrepancies, support social footprint, confirm or give hints
about misrepresentation, capture biometric data, etc.about misrepresentation, capture biometric data, etc.
Regular or by requestRegular or by request
Applicant obliged to tell the truth by lawApplicant obliged to tell the truth by law
Non-verbal aspects: confidence, behaviour, nervousnessNon-verbal aspects: confidence, behaviour, nervousness
Photos submitted can be verifiedPhotos submitted can be verified
The replies must match the application storyThe replies must match the application story
Can be used to extract additional info, clarify questions or Can be used to extract additional info, clarify questions or
discrepancies, support social footprint, confirm or give hints discrepancies, support social footprint, confirm or give hints
about misrepresentation, capture biometric data, etc.about misrepresentation, capture biometric data, etc.
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5. Use of Guarantor5. Use of Guarantor
Certifies the claimant’s identity – or likelihood - Certifies the claimant’s identity – or likelihood -
under oathunder oath
A member of a regulated profession (doctor, A member of a regulated profession (doctor,
lawyer, policeman, etc) – or passport holderslawyer, policeman, etc) – or passport holders
Must be verifiable through recordsMust be verifiable through records
Legal aspects: delivered under oath, Legal aspects: delivered under oath,
misrepresentation a serious offence, cannot be misrepresentation a serious offence, cannot be
paid or relativespaid or relatives
Must have known the applicant for a long timeMust have known the applicant for a long time
Links with social footprintLinks with social footprint
Certifies the claimant’s identity – or likelihood - Certifies the claimant’s identity – or likelihood -
under oathunder oath
A member of a regulated profession (doctor, A member of a regulated profession (doctor,
lawyer, policeman, etc) – or passport holderslawyer, policeman, etc) – or passport holders
Must be verifiable through recordsMust be verifiable through records
Legal aspects: delivered under oath, Legal aspects: delivered under oath,
misrepresentation a serious offence, cannot be misrepresentation a serious offence, cannot be
paid or relativespaid or relatives
Must have known the applicant for a long timeMust have known the applicant for a long time
Links with social footprintLinks with social footprint 14
6. References6. References
At least two recommendedAt least two recommended
Independent and unrelated to Independent and unrelated to
applicantapplicant
Can be contacted by the PO to Can be contacted by the PO to
confirm identity scrutinyconfirm identity scrutiny
At least two recommendedAt least two recommended
Independent and unrelated to Independent and unrelated to
applicantapplicant
Can be contacted by the PO to Can be contacted by the PO to
confirm identity scrutinyconfirm identity scrutiny
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7. Use of biometrics7. Use of biometrics
Anchoring an identity to biometrics – a Anchoring an identity to biometrics – a
v. strong safeguardv. strong safeguard
The first time – capturing – not v. The first time – capturing – not v.
useful for confirming identityuseful for confirming identity
The process must be robust and The process must be robust and
safeguards must existsafeguards must exist
Facial recognition: 1:N checksFacial recognition: 1:N checks
Anchoring an identity to biometrics – a Anchoring an identity to biometrics – a
v. strong safeguardv. strong safeguard
The first time – capturing – not v. The first time – capturing – not v.
useful for confirming identityuseful for confirming identity
The process must be robust and The process must be robust and
safeguards must existsafeguards must exist
Facial recognition: 1:N checksFacial recognition: 1:N checks16
ICAO Work on Guidance Material
ICAO Work on Guidance Material
ICAO NTWG Working Paper “Towards ICAO NTWG Working Paper “Towards better Practice in National Identity better Practice in National Identity Management” on EoI presented to the Management” on EoI presented to the TAG/MRTD 20 and approved for final TAG/MRTD 20 and approved for final developmentdevelopmentEarly working version at Early working version at http://legacy.icao.int/icao/en/atb/meetings/2011/TagMrtd-20/Docs/TagMrtd-20_WP005_en.pdfFinished version to provide Guidance Finished version to provide Guidance Material and reference on EoI to SatesMaterial and reference on EoI to Sates
ICAO NTWG Working Paper “Towards ICAO NTWG Working Paper “Towards better Practice in National Identity better Practice in National Identity Management” on EoI presented to the Management” on EoI presented to the TAG/MRTD 20 and approved for final TAG/MRTD 20 and approved for final developmentdevelopmentEarly working version at Early working version at http://legacy.icao.int/icao/en/atb/meetings/2011/TagMrtd-20/Docs/TagMrtd-20_WP005_en.pdfFinished version to provide Guidance Finished version to provide Guidance Material and reference on EoI to SatesMaterial and reference on EoI to Sates
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SummarySummary
Shift to fraudulent breeder docs and exploiting Shift to fraudulent breeder docs and exploiting
weaknesses in the issuance processweaknesses in the issuance process
Hence the need for robust EoIHence the need for robust EoI
EoI is more than “breeder documents”EoI is more than “breeder documents”
EoI – no strict science but a toolbox of techniques EoI – no strict science but a toolbox of techniques
and approaches to establish the claimed identity and approaches to establish the claimed identity
beyond reasonable doubtbeyond reasonable doubt
Further reference – NZ presentation on EoI at Further reference – NZ presentation on EoI at
http://legacy.icao.int/MRTDsymposium/2010/Docs/Ofhttp://legacy.icao.int/MRTDsymposium/2010/Docs/Of
fenberger.pdf fenberger.pdf
ICAO ongoing work on EoI – stay tunedICAO ongoing work on EoI – stay tuned
Shift to fraudulent breeder docs and exploiting Shift to fraudulent breeder docs and exploiting
weaknesses in the issuance processweaknesses in the issuance process
Hence the need for robust EoIHence the need for robust EoI
EoI is more than “breeder documents”EoI is more than “breeder documents”
EoI – no strict science but a toolbox of techniques EoI – no strict science but a toolbox of techniques
and approaches to establish the claimed identity and approaches to establish the claimed identity
beyond reasonable doubtbeyond reasonable doubt
Further reference – NZ presentation on EoI at Further reference – NZ presentation on EoI at
http://legacy.icao.int/MRTDsymposium/2010/Docs/Ofhttp://legacy.icao.int/MRTDsymposium/2010/Docs/Of
fenberger.pdf fenberger.pdf
ICAO ongoing work on EoI – stay tunedICAO ongoing work on EoI – stay tuned18
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THANK YOU!
Questions? Comments? Feedback?
THANK YOU!
Questions? Comments? Feedback?
http://www.icao.int/Security/mrtd/Pages/default.aspx
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