National Academies Press: OpenBook

Airport Biometrics: A Primer (2021)

Chapter: Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport

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Suggested Citation:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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:"Appendix J - Case Study: Happy Flow at Aruba s Queen Beatrix International Airport." 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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205   Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport Summary Happy Flow is aimed at improving the departure process at Aruba’s Queen Beatrix Inter- national Airport (AUA) by smoothing the flow of passengers and creating a unique and seam- less 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 passenger journey (e.g., hotel check-in and car rental). In the initial launch of Happy Flow, there were also ideas to preclear into the European Schengen area. Travel documents are only required at the enrollment station. There, the passenger’s identity is securely checked, and a virtual identity is created. After enrollment, the passenger goes through self-service passenger touchpoints (bag drop, security, border control, and boarding) where the passenger’s face is matched against a secured database, and only authorized passengers are allowed to pass. As with other facial-recognition initiatives and programs, the intent of Happy Flow was to promote a more streamlined departure process while improving overall security. Enrollment is the most time-consuming step, while processing is efficient after the biometric token is created. The system can be further optimized by introducing one-time enrollment, such as DTC, as well as measures to counter identity fraud from off-site/mobile enrollment. See Table J-1 for more information. Introduction In 2012, the government of Aruba, the Ministry of Justice in the Netherlands, AUA, KLM, and the Schiphol Group agreed on starting an innovation project aimed at improving the pas- sengers’ experience, smoothing passenger flow, and improving processes at AUA. The program was to adopt protocols and standards that would benefit the authorities, the airport, and the airline, and potentially even bring relief to the immigration process at Amsterdam Airport Schiphol for arriving flights from Aruba, but most of all would create a unique and seamless passenger experience. The improved passenger experience has been the shared driver of the workgroup throughout the years and turned out to be the vital element in innovation and realization. This shared goal, independent from individual stakes and interests, created a shared sense of responsibility and motivation. Along the passenger process, each stakeholder benefited directly or indirectly from A P P E N D I X J

206 Airport Biometrics: A Primer these improvements due to improved bilateral ties, increased passenger satisfaction, reduced queues and inefficiencies, and relieved pressure from authorities’ operations. This resulted in the Happy Flow process, the name of which hints at the island’s slogan, “One Happy Island,” and the natural flow that was created. With the introduction of Happy Flow, the world’s first biometric seamless passenger process was introduced. In the future, the concept is to be broad- ened to include mobile enrollment, the arrivals process of more airlines, and off-airport services such as for hotels and car rentals. What? ● Seamless passenger process using facial biometric matching Where? ● AUA, Aruba Customer process steps ● Process is the predecessor of IATA Seamless flow (OneID) ● Departures: – Biometric enrollment per flight (verify passenger ID + boarding card) – Baggage drop-off with biometric assistance (counter with camera for walking-pace facial recognition that pulls up PNR – Biometric self-service border control checkpoint (exit check) combined functionality with airside check (reservation and travel document) – Duty free and airside terminal area (conventional, no applications of Happy Flow) – Boarding gate with separate Happy Flow lane (with camera for facial recognition) Who? ● Aruba Airport Authority N.V. with KLM Royal Dutch Airlines and the government of Aruba. Supported by the Ministry of Justice in the Netherlands, KMAR (Dutch border police), Royal Schiphol Group, and Vision-Box. Why? ● To improve the passenger experience, save time, and make the passenger process more efficient for the airline and airport How? Technology used ● Verification of the ID and facial imagery takes place at the biometric kiosk; therefore, front loading and splitting the border control process ● Identity verification at the kiosk by authentication of the e-passport and biometric verification of the holder and the biometric on the e-passport under government control ● Biometric ID verification and exit control at border control ● Privacy-by-design principles/GDPR were adhered to from the start of the project. Enrollment/digital identity creation and verification ● Enrollment per departing flight at the self-service biometric kiosks when entering the terminal ● Check-in through airline’s systems conducted online or via CUSS kiosks ● At the seamless flow kiosk: – Step 1: verify identity with biometric data on passport and authenticate passport – Step 2: scan boarding card at kiosk – Step 3: create a digital ID and temporarily store in a passenger data envelope with boarding card details Verification of identity how? ● First by machine check of the authenticity of the passport in accordance with Frontex automated border control (ABC) standards, then by comparing the image stored on the passport with the person in front of the enrollment kiosk For? ● KLM departing passengers to AMS (16+) with e-passport valid for participation [EU/European Entrepreneurial Region (EER) nationals, U.S. and Canadian nationals] Table J-1. Key facts of case study on Happy Flow in Aruba.

Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport 207   How Does It Work? Before the Passenger Journey On arrival at the airport, the passenger can decide to participate in the Happy Flow program (Aruba Happy Flow 2020). On enrollment at the airport at a biometric kiosk, the biometric data of the passenger, including PNR and boarding card details, are stored in the PDE. All PDEs are stored in a database located at the airport. The Aruban border police receive all passport data for verification. The airline’s DCS will receive the boarding card details to register boarding. The Passenger Journey Passengers that are over 16 years old, holding an e-passport, and traveling on the daily KLM flight from Aruba to Amsterdam are allowed to use the biometric systems provided at AUA in the non-U.S. departures area. Participation is optional; passengers can also follow the conventional process. Biometric Enrollment On entering the main terminal building, passengers on the KLM flight get the choice to opt for the Happy Flow process. Provided that the passenger has passed online check-in, the passenger can enroll at the Happy Flow biometric kiosks for that day’s flight. Passengers insert their e-passport in the Happy Flow kiosk, where the authenticity of the passport is verified, and the digital image of the passport holder is read from the passport chip by the machine. The built-in camera of the kiosk captures an image of the person in front of the camera and confirms his/her identity by matching it with the image from the passport. The verification of the passenger’s identity is done in the same manner as at an automated border control gate in accordance with the European Frontex ABC standards. This requirement is the foundation for the federated identity management system and is an important part of the arrangement between the stakeholders. After confirmation of the passenger’s ID, its details are matched against the law enforcement databases to verify if the passenger is eligible to leave the country. This is checked within seconds after enrollment, and the status is recorded in the system. In the passenger process, this is well in advance of the actual border control checkpoint, leaving ample time for border control agents to respond to passengers of interest. In fact, the border control procedure is now divided in two stages, which creates potential new use cases for border control operations. At the enrollment kiosk (see Figure J-1), the passenger also has to scan the boarding card. When the time and date (of the flight reservation) are correct, the boarding card details are stored in the PDE of the seamless flow database together with the biometric template. When both verifications are positive and the document is authenticated, the biometric image that is captured of the passenger’s face is stored in the seamless flow database and serves as the single token for the successive steps in the Happy Flow process. Facial-recognition cameras are used for all the next steps in the passenger process, essentially digitalizing and replacing the need for hardcopy documents (ID and boarding card). The pas- senger’s face serves as a single token. At every biometric checkpoint, according to privacy-by- design principles, only the minimum information from the PDE that is required for that specific process step will be shared with the system and stakeholder. As a result, passengers are no longer required to show their travel documents as is the case with the conventional passenger process. This leads to a quick and hassle-free process where at every step the passenger only needs to show his/her face.

208 Airport Biometrics: A Primer The passenger’s data stored in the seamless flow database include the passport details, board- ing card, and biometric template of the passenger’s face. The data required for the passenger journey are stored by the seamless platform for less than 24 hours and are then deleted. The passenger needs to enroll for each new trip. The passport details and facial images are saved in a separate database of the immigration authorities for a longer term. Baggage Drop-off Based on Biometric Match After enrollment, the passenger proceeds to one of the separate hold baggage counters dedicated to Happy Flow. A camera integrated in the desk is directed to the passenger approach flow situated in front of the desk. When a passenger comes in view, facial-recognition software will recognize the passenger’s face and confirm the corresponding digital ID. As the passenger will be recognized while approaching the desk, the staff at the desk already get the PNR presented with the required travel documents at the workstation. Once passengers are at the desk, they simply hand over their baggage and can continue to the next step in the process. The airline staff at the desk can insert the number of bags, print the label(s), and tag the bags. Border Control Checkpoint (Emigration/Exit Check) As passengers make their way through the terminal, they arrive at the border control check- point, where separate Happy Flow lanes are present. These lanes are designed as mantraps, with barriers on entry and exit. Inside, the lanes are equipped with cameras situated at the end of the lane that can move vertically inside a console to find the right angle to recognize and confirm the passenger’s ID. When a passenger is recognized and authorized, the e-gate will open (see Figure J-2). The lanes are fully automated and able to process passengers within Source: Aruba Happy Flow 2017. Figure J-1. Image of a biometric enrollment kiosk for Happy Flow.

Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport 209   approximately 3 seconds. Ultimately, the lanes at AUA should be able to speed up the biometric identification and authentication process to the time required for the passenger to pass through the lane at walking speed. This would eliminate the static moment between the barriers (there- fore avoiding queues and retaining a seamless flow). In case the camera is unable to recognize and confirm the passenger’s ID, the passenger is requested to step out and follow the regular facilitation process next to the Happy Flow lanes. In case a passenger was flagged with a law enforcement or immigration issue, the immigration office will have been notified through its Happy Flow dashboard. The immigration officers will intercept this passenger at the border control exit checkpoint and take action appropriate to the issue. If the issue is resolved, the border police will change the flagged status of the passenger, and the passenger can continue. For this step, the border control checkpoint is also combined with the entry to the security filter. To enter the security filter (or airside access since the actual security filter is not directly annexed but is a short walk away), a valid boarding card is required, which was already confirmed on enrollment. Boarding Gate with Biometric Lane At the gate serving the KLM flight to Amsterdam, a dedicated Happy Flow biometric lane is provided with similar and recognizable features to those in the previous checkpoints and much like the border control checkpoint but without the mantrap feature. The lane is fully automated and equipped with a moveable camera and access barrier at the end. As with the security check- point, the recognition and identification processing take place within a few seconds, after which the barrier opens and the passenger can board. The processing speed of the biometric lane is deliberately reduced to avoid queues in the boarding bridge. In addition to these features, the e-gate has an interface with the airline’s DCS in order to register the actual boarding of the passenger. The automated boarding lane is considerably faster compared to using conventional manual actions, which keeps queuing and standstills to a minimum. Source: Aruba Happy Flow 2017. Figure J-2. Biometric e-gates in the Happy Flow passenger journey.

210 Airport Biometrics: A Primer Retention and Storage Because KLM is a European company and EU citizens’ data are processed, the EU privacy regulations (GDPR rules) need to be adhered to. This means that the entire platform was developed based using the concept of privacy by design. The digital ID that is created during enrollment is encrypted and stored in a local database for temporary use by the airport, airline, and authorities. The data are stored for less than 24 hours and are deleted directly after. When the data are shared between stakeholders, each stakeholder only receives the fields of data that it is authorized to have and that are required for the purpose of that specific task: • The Aruban Immigration Authority receives all data that are incorporated in the embedded chip of the e-passport for the task of the border control process. • The airline receives only the data that are required to be registered in the flight manifest via the DCS or to pull up the PNR at baggage check-in. • The airport receives only data that are de-personalized as it is not allowed to register any personally identifiable information (GDPR). The data relevant to the Aruban Immigration Authority and law enforcement agencies (facial biometric details captured and passport data) are encrypted and saved permanently on a dedicated database. System Architecture Flow Diagram The flow diagram of this case study can be found in the Happy Flow at Aruba’s Queen Beatrix International Airport case study in Chapter 2. System Specifications The pilot with KLM Royal Dutch Airlines is based on a per-trip model. The system as installed at AUA is built up of the following components: • Biometric enrollment kiosk, • Biometric baggage drop-off desk, • Biometric border control lane, • Biometric boarding control lane, • Biometric template database, • (Biometric) data-management system orchestration via business rules, • Facial data recognition software, • External database interfaces (like the connection with authorities’ databases that have long- term storage of person’s details), and • Local database for temporary storage (less than 24 hours). The overall system consists of physical passenger processing devices that are connected with the databases and systems through a dedicated and secure IP network. The operating system and hardware are supplied by Vision-Box. The operating system is at the center of the hardware and software components and manages all data flows. The operating system of Vision-Box also manages the business rules for decision making at the various checkpoints. The operating system uses cameras at each part of the process (check-in/enrollment, baggage drop-off, border checkpoint, boarding) where identification of the passenger is required. Wayfinding and routing for Happy Flow throughout the terminal between these parts is passive and is done via signage.

Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport 211   Biometric Boarding Lane and DCS Interface The biometric lane at the gate operates as a standard common-use terminal equipment (CUTE) e-gate and has a data connection with the biometric database. As soon as the passenger’s identity is recognized, the boarding card details are sent to the airline host DCS. When the passenger and boarding card are verified and approved, the airline host sends a signal to the gate that it can open, and the passenger is registered as boarded. The lane also contains a standard boarding card reading device and, through the link with the DCS, non-enrolled passengers can also be processed. Stakeholders and Responsibilities Aruba Airport Authority N.V. is responsible for the biometric facilities at the airport and the availability and reliability of the equipment. KLM Royal Dutch Airlines is responsible for the use and operation of the enrollment kiosks, the biometric check-in system, and the biometric boarding lanes. The Aruban Immigration Authority is responsible for the use and operation of the biometric immigration lanes. Case Study Review Benefits The Happy Flow pilot was introduced on the daily KLM flight with an Airbus A330 that uses two circle routes. The first is a round trip from Amsterdam to Bonaire to Aruba and back. The other is opposite and flies to Aruba first and back to Amsterdam via Bonaire. Consequently, about half of the passengers originate from Aruba, making up 150 passengers on average per day. On this daily flight, between 100 and 130 passengers enroll and use Happy Flow, with an average participation of approximately 80%. Enrollment was open to all age groups, but after implementation was limited to adolescents and adults (16+ years of age) due to the fact that Aruban law requires verification by immigration authorities that minors are leaving the country with the permission of both parents. The ultimate goal to improve the passenger’s experience was met and, in the process, the implementation of Happy Flow using biometrics improved passenger satisfaction, reduced queues and inefficiencies, and relieved pressure on authorities’ operations. Responses from Customers During passenger feedback research conducted by KLM, passengers indicated that they: • Experienced less stress; • Liked to be in control of their journey (rather than having to join the queue); • Enjoyed the usability and decreased passenger processing times; and • Still felt some concern over privacy, data storage, and data ownership. KLM indicated that, although passengers were concerned about their privacy, they perceived KLM as a reliable airline and also expected it would deal with their data in a reliable way. Some passengers indicated that they perceived the biometric process as extra secure and felt that only people who had something to hide would not want to enroll. Passengers from countries with stronger privacy concerns were more reluctant to enroll.

212 Airport Biometrics: A Primer Systems Specifications Review The system is designed according to the Frontex ABC standards (EU). No actual information is available regarding the performance of the system (false rejection rates). The processing speed of gates at boarding is approximately 6 seconds. Fall-Back Options Passengers who did not enroll in Happy Flow traveled only with hand baggage (and were checked in online) or were families with children under 16 years old. The first group would simply pass by the enrollment kiosk as they headed directly to the first touchpoint in their journey: border control. Therefore, they passed through the terminal as quickly as possible. Families with children under 16 years old simply could not enroll and needed to check in together. There are also passengers who travel with considerable baggage. They spend more time at the baggage drop-off and check-in desks, and the efficiency savings with Happy Flow would be more limited. The conventional passenger processing facilities are still in place, so passengers who do not enroll in Happy Flow are able to use the conventional processes. Concerns One of the obstacles experienced during the pilot was that the passport image quality stored on the e-passport chip varies per nationality. Some of these are of inadequate quality to perform a reliable match with the person at the enrollment kiosk. As a result, identity verification of these passengers cannot be performed at the required level of accuracy, and these passengers had to use the conventional passenger process. Another challenge is the sensitivity and calibration of the touchpoint equipment at enroll- ment, baggage drop-off, border control, and boarding. The cameras for facial recognition require consistent lighting (with certain margins) on the passenger’s face across the day. This may pose challenges at some gates due to the terminal design in terms of natural light. This can be solved with artificial lighting and adjustments of the camera view angle. Lessons Learned Many lessons were learned from the Aruba Happy Flow project, but the most important was that a cross-border public–private data sharing endeavor is possible even when including border authorities. This would not have been accomplished without the trust that the inter- national stakeholders placed in each other and the openness of sharing each other’s business interests. This led to a joint definition of the requirements and operational goals for the pilot and the development of a trust framework between parties. Ultimately this resulted in a system that was designed in accordance with privacy-by-design, EU GDPR, and Frontex requirements. This paved the way for cross-border interoperability and developments of international program such as OneID and ICAO DTC (Steenbergen 2020). The project proved that it involved much more than just access control at the airport. Multiple stakeholders can benefit from efficiency gains and offer more and better service to passengers with the same system. KLM, for example, likes to have its passenger check-in process via its own user interface so that it can still make last-minute adjustments or ancillary sales (Knoppers 2020). At the time of the pilot, it was not possible to incorporate check-in with biometric enrollment at one kiosk. It is expected this could be incorporated in the next generation of the system. Passenger-centric thinking also sparked initiatives to include hotels and car rental companies in the program in the next generation of the system. Along the same line, online health registra- tion of test results for COVID-19 or proof of vaccination could well be incorporated.

Case Study: Happy Flow at Aruba’s Queen Beatrix International Airport 213   Findings and Trends Happy Flow catalyzed developments for automation and the use of biometrics in airport passenger processes. These developments range from international standards and recommended practices, professional associations and working groups, legislation, politics, technology, and research and innovation. AUA has not stood still since and has moved to the forefront of these developments and is planning to continue to do so in the future. Future Situation and Broader Implementation The Happy Flow concept has developed into a 2.0 version that is ready to be rolled out in the near future. This new version aims to process all airlines and be able to interface with any air- line booking and departure control system. It is also the intention to add non-air stakeholders like hotels and rental car companies to the Happy Flow platform. The use of a (self-sovereign) trusted digital identity will be key to these future developments that will be in line with inter- national standards such as ICAO DTC and IATA OneID. This would enable home enrollment and would reduce the required enrollment time at the airport. AUA was one of the first airports to establish U.S. preclearance facilities. With large volumes of traffic to the United States and CBP opting in to biometric passenger processing, AUA also has ambitions to facilitate biometric processing for U.S.-bound traffic. Trends Identified Process facilitation: The airline and airport are seeking to have single (multiple-trip) enrollment that supports international interoperability such as with ICAO DTC or KTDI. This to avoid the need for (time-consuming) enrollment facilities at the airport and to increase overall efficiency. Commercial services: The airport and airline are also seeking to introduce more stakeholders to the program that can provide services with the use of the passenger’s biometric token. The trends are to provide more biometric-enabled services during the passenger journey and improve the passenger experience and non-aero revenues. Fraud and risk management: The protection of the passengers’ data is considered a basic requirement. It is expected by the passenger, and passengers trust the data with the airline in relation to the brand image. This means that secure data protection is important to help establish the brand value. In addition, passengers feel more secure knowing that a trusted system is in place that verifies the background of all passengers on a flight.

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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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