EPassports and EVisas in the Security of Freedom

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E-Passports and E-Visas in the Security of
Freedom
A concept and methodology by Som Karamchetty,
PhD, PE 10816 Terrier Court Columbia, MD
21044 [phone], somk_at_home.com
30 October to 9 November, 2001
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Background and Point of inflection
September 11, 2001 marks a historic day in
America and the free world, when foreign national
visitors, welcomed by an unsuspecting nation and
hosted by a friendly people, turned against the
symbols of democracy and committed dastardly acts
of terror. The Free World and its leader America
may never be the same again.
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Dilemma

• America and the Free World now face a serious
  dilemma.
• Should we bolt down the doors and shut out all
  visitors?
• Should we continue to admit visitors with open
  arms?

4
Why visitors?

• Free world is based on the premise of visitors
• Diplomats nurturing and growing friendly
  relationships between free nations
• Businessmen engaging in commerce and free trade
  among nations
• Families and friends visiting relatives and
  friends across the oceans
• Tourists enjoying the natural beauty, art,
  architecture, culture, and friendship of other
  countries
• Artists, artisans, and philosophers spreading
  artistic and cultural glory of mankind
• Intellectuals cooperating and sharing in the
  exploration of scientific and technical frontiers
• Professional and journeyman building a better
  society
• Students pursuing knowledge and skills to make
  the future world a better place for all people

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Free World

• Free world is based on the free flow of
• Ideas
• Commerce
• People

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Then, what happened?

• Terrorist groups have taken advantage of this
  free flow environment
• Entered the country on pretences
• Overstayed their welcome and purpose
• Plotted evil deeds
• Perpetrated terror on innocent civilians, their
  freedom, and their way of life

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The Challenges

• How to keep the free flow of people across
  national boundaries?
• While differentiating between honest and
  dishonest foreign nationals visiting USA and
  other free and democratic countries,
• Denying terrorist groups from exploiting this
  situation, and
• Tracking foreign national visitors
  unobtrusively.

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Senate Proposal Visa Entry Reform Act of 2001

• Legislation was introduced to help prevent
  terrorists from entering the United States
  through loopholes in our immigration and visa
  system.
• Sponsors
• Senator Dianne Feinstein (D-Calif.)
• Senator John Kyl (R-Ariz.)
• Cosponsors
• Senator Orrin Hatch (R-Utah)
• Senator Herb Kohl (D-Wisc.)
• Senator Kit Bond (R-Miss.)
• Senator Strom Thurmond (R-S.C.)
• Senator Olympia Snowe (R-Maine)

http//feinstein.senate.gov/releases01/r-visas1.ht
m
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Essence of Senate Proposal

• Lookout database
• Biometric Smart Visa card
• Reform the visa waiver program
• Establish new screening procedures for entering
  foreign nationals
• Implement new toughened document requirements
• Reform the student visa program
• Prohibit student visas (for persons from
  terrorist supporting states)
• INS background checks prior to issue of a
  student visa by State Department
• Require educational institutions to notify INS
  of violations
• Increase federal staffing to handle additional
  border security and visa responsibilities

http//feinstein.senate.gov/releases01/r-visas1.ht
m
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Merits of Senate Proposal

• Centralized database
• Biometric verification
• Full accounting of visitors
• Better documentation
• Tighten the student visa program
• Prudent issue of student visas
• Background checks prior to issue of a student
  visa
• Rapid tracking of student visa terms
  violations
• Adequate federal staffing to administer tighter
  requirements

http//feinstein.senate.gov/releases01/r-visas1.ht
m
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Is it Sufficient?

• Magnitude of the task
• More than 7 million tourists, business
  visitors, foreign students, and temporary workers
  arrived last year (2000) as non-immigrants
• 300 million border crossings in the United
  States
• 500,000 foreign nationals entered on foreign
  student visas alone
• 23 million people arrived in the U.S. from 29
  different countries under the so-called "visa
  waiver program"
• Additional INS inspectors proposed in the Senate
  Bill
• 1,000 by 2006

Source http//feinstein.senate.gov/releases01/r-v
isas1.htm
These direct human resources have to be
supplemented by indirect human resources and
computer systems.
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Gaps in the Senate Proposal

• If terrorists gain access to Canada or Mexico,
  they are in our backyard
• The long land border is crucial (300 million
  border crossings )
• Central and South American countries are
  crucial for preventing short sea incursions
• If we plug the student visa system, they can
  exploit other visa types, especially tourist
• It will be impossible for US INS and State
  Department officials to verify and certify the
  millions of visitors on their own
• Tracking implies enormous amount of
  documentation
• Paper based systems are slow and incapable of
  discovering terrorists
• Human- operated database systems will be error
  prone
• Even a six-sigma 1 system will let
• 24 bad people out of the 7 million plus, go
  through the system very risky
• 78 bad people out of the 23 million, go through
  the systemvery risky

Source http//feinstein.senate.gov/releases01/r-v
isas1.htm
1 In order for a vigilance system to achieve Six
Sigma, it cannot produce more than 3.4 defects
per million opportunities.
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More should be demanded

• International agreement on E-Passport and
  E-Visa needed
• US nationals visit, tour, and work in many
  countries
• Our allies and we are vulnerable without a
  global system and understanding
• Motivation for an International Agreement
• US, Canada, Europe, and allies spend millions
  of dollars on tourism
• Invest billions of dollars globally
• Trade (two-way) trillions of dollars worth of
  goods
• Billions of people travel worldwide
• Charities and social workers assist billions in
  developing countries
• Hundreds of millions of students visit foreign
  universities

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How can we improve?

• Require Smart passports from issuing
  countries
• Centralized databases in host and guest
  countries
• Biometric verification and (Reverse) Biometric
  verification
• Admit certified foreign nationals only
  (Background checks by trusted people)
• Continual automated tracking/accounting
  (visitors student visa holders)
• One-stop collaborative electronic document
  processing
• Allow controlled and verified flexibility in
  student visa program
• Rapid tracking of term violators
• Adequate federal staffing and computer and
  communication systems to administer tighter
  requirements

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Smart E-Passports

• Applicants personal details
• Electronic picture
• Biometrics template
• Information captured in three forms
• Digitally into the country database
• Smart card
• Paper passport

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Centralized databases

• Centralized databases in host and guest
  countries
• Passport issuing country maintains a database
  of passport holders
• Visa issuing country maintains a database of
  status, and tracking information

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Biometrics

• Passport and visa holders Biometrics
• Verification of a passport holder using
  Biometrics
• Reverse Biometrics to verify from the
  Biometrics who the person is

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Visitor Certification

• Certification of foreign nationals prior to
  issue of visas
• A network of trusted certifiers set up in each
  country
• They assist US visa issuing offices (State
  department offices overseas) by verifying the
  credentials of visa applicants
• Typical certifiers are
• Alumni of US universities in a foreign country
• US-Country chamber of commerce/industry
• Approved travel agents
• US affiliated learned and professional
  societies and their members in foreign country
• Justice of peace and Notary Public
• Executives of subsidiaries of US companies
  overseas

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Continual tracking

• Databases and Web network with software that
  allows a continual and automated
  tracking/accounting of visitors student visa
  holders.
• Information indexed by Id numbers and protected
  by passwords
• Privacy and dignity of visa holder honored
  while serving the purposes of law enforcement
  officials

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One-stop collaborative document processing

• Access is provided to several government
  agencies to process documents relevant to the
  agency or institution
• Documents do not travel
• Pointers presented to agencies so that they can
  access and process information on protected web
  sites

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Augmented flexibility

• Flexibility is provided to the student to make
  changes in his school or program
• But information about those changes are
  tracked, controlled, and verified

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Rapid tracking of term violators

• Time stamps and alarms warn law enforcement
  agencies in rapid tracking of term violators and
  process violators

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Staffing by computers

• Adequate federal staffing and computer and
  communication systems to administer tighter
  requirements

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How will it work?

• Nations issue Electronic Passports and visas
• Sponsors are pre-certified
• National information infrastructures track
  visitors

Here is an example system
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E-Passport System (1 of 7)

• Passport Issue
• Country O issues its citizen Al Babi an
  electronic passport
• Name of person
• Birth place, date
• Paper picture
• Electronic picture
• Identification number (A123456)
• Biometric data
• Other information
• Passport holder Al Babis information captured
  into a database (DB_1)
• Al Babis Electronic picture Biometrics
  captured into the database (DB_1)
• Smart card issued
• A paper passport is issued for Al Babis
  personal possession during travel overseas.

I use Country O as an example country and Al babi
as an example person .
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E-Passport System (2 of 7)

• Visa Issue
• USA issues citizen Al Babi of Country O an
  electronic Visa
• The steps are
• Al Babi causes his Electronic passport to be
  submitted to the consular office of country USA
• Consular office issues electronic visa (upon
  satisfying its requirements 1)
• Visa number U987123
• Visa holder Al Babis information captured into
  a database (DB_2)
• Electronic picture captured into a database
  (DB_2)
• Smart card updated with visa information
• US Consular office informs Country O of the
  visa issuance for entry into its database (DB_1

I am using USA as an example of the recipient
Country. The method is globally applicable and
necessary.
1 See later charts for more details on
certification requirements.
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E-Passport System (3 of 7)

• Tickets and Travel
• Al Babi purchases his tickets for travel to USA
• Travel agent causes the entry of ticket
  information into databases DB_1 and DB_2
• Al Babi lands in USA
• US Immigration Officers verify Al Babis
  information from the database DB_2
• I.e. they are utilizing the electronic passport
  and smart card
• They download the electronic picture and verify
  that the person is Al Babi.
• Immigration checks Al Babis biometrics for
  uniqueness and verification
• They update the database DB_2
• They cause the Country O database DB_1 updated
  with the landing information.

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E-Passport System (4 of 7)

• Conclusion of Trip
• Upon conclusion of his trip in USA, Al Babi
  departs USA
• Immigration officers at the port of departure
  in USA update the database DB-2
• Al Babis smart card updated
• They cause the Country O database DB_1 to be
  updated with Al Babis departure status

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E-Passport System (5 of 7)

• Key identification numbers
• Al Babis passport number A123456 is the key to
  the Country O database DB_1
• Al Babis visa number U987123 is the key to the
  USA database DB_2
• As Al Babis travels in the USA, his visa
  number is his identification number to get other
  documents (bank account, credit cards, drivers
  license, apartment lease, etc.)
• If necessary 1, USA law enforcement can trace
  Al Babis activities in the USA through his Visa
  number U987123 or SS number
• Institutions, organizations, and commercial
  establishments in the USA can identify Al Babi
  by his visa number (U987123) and the electronic
  picture in his electronic passport and smart card.

1 Please take note of privacy considerations. Als
o John David can secure his information from
third parties by means of a personal password.
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E-Passport System (6 of 7)

• Database access and privacy issues
• Access to databases DB_1 and DB_2 is limited
  based on minimal requirements
• Intelligent database agents or software applets
  cause connections and database updates
• Information flow is augmented as necessary
• Electronic picture is available to those to
  whom Al Babi gives his Id number
• When Al Babi makes a key transaction, tracking
  software causes that data to be entered into the
  relevant database.

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E-Passport System (7 of 7)

• Reverse identification
• So far, I discussed retrieval of Al Babis
  picture from a database, given his ID
• Given Al Babis picture (photograph or digital
  picture taken live), his Id number can be
  retrieved from database (DB-1 or DB-2)
• This capability is essential for the integrity
  of the system
• However, access to his Id number from his
  picture will be available only to legally
  authorized parties (key to privacy within legal
  boundaries)

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Security and Encryption
1. Passport issuing country may secure its
database DB_1 by encrypting the information in
the database and its communications. 2. Visa
issuing country may protect its database DB_2 and
communication information 3. Passport and visa
holder can protect his information by safekeeping
his Passport Id and Visa Id Numbers and
additional password under his control.
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Forging of Documents
Traditionally, criminals and terrorists forge
passport and visa documents. They pretend to be
someone other than who they are. 1. How can the
passport issuing country protect against
forging? They should verify their database
through reverse identification. There will be
only one name and one picture uniquely
paired. Any forger has to change the picture in a
securely protected national passport database and
a smart card. 2. How can the visa issuing
country protect against forging? They should
verify their database through reverse
identification. There will be only one name and
one picture uniquely paired. The picture should
match the passport picture electronically
transmitted to them by the passport issuing
country. Any forger has to change the picture in
two securely protected national databases 3.
Also see certification process described later on.
Forging Actual problem is really one of
terrorists using a variety of aliases to mask
their identities.
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Biometric Identification

• Biometric Identification methods are suggested
  for passports and visas.
• Biometric methods are
• Fingerprint recognition
• Iris recognition
• Palm recognition
• Speaker or voice recognition
• Hand recognition
• Face recognition
• Signature recognition
• All these methods depend on a recognized
  authority certifying that the person is who says
  he is and that the recognition template presented
  is certified to be his.
• It is important to realize that reverse
  recognition is more important than (forward)
  recognition.

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Certifications

• Analogies
• 1. Manufacturing sector realized inspection after
  delivery is bad policy
• They arrange for inspection of vendor processes
  in his shops to certify acceptable
• quality of supplies.
• We can institute certification of overseas
  student visa applicants.
• 2. Highly Competitive US universities enlist
  voluntary support of their alumni to interview
• and counsel prospective applicants.
• We can develop a cadre of overseas alumni
  certifiers
• They can conduct a similar vetting process of
  overseas student applicants.

We must ensure that persons admitted to the USA
are not random applicants. Visitors are
sponsored and certified by known and reliable
parties in host countries.
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Example Sponsors and Certifiers
Visa Type
Sponsor
Certifier
Student
University
Overseas Alumni
Tourist
Travel Agency
JP or Notary
Business
US COC/COI
COC/COI
Temp Worker
US Employer
Returned residents
Immigrant
Relative
JP or Notary
Exchange
US Organization
National Labs
In the visitors country
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Extent of Coverage
The method does not prevent illegal immigrants
and entrants. The system tracks legal entrants
only.
An illegal entrant to the country can claim to be
a natural born citizen and move about freely and
perhaps cause harm. That is a separate
issue. Supplementing this method with a scheme
like a National Identity card for US citizens
(native born and naturalized) can provide a high
level of confidence in who is here, and what
their intentions and activities are.
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Benefits
A strong and automated system of tracking foreign
nationals in the country A high probability of
eliminating terrorists and criminals from
entering the country in the first place. Global
application of the system and method will reduce
the risk of terrorist activities globally. By
isolating those countries that do not subscribe
to and implement this system, risk of exposure to
global terrorism is further reduced.
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Summary
Electronic passports, electronic visas, along
with reliable certification processes can provide
a high confidence system for foreign national
visitor control and tracking.