24 October 2018 2

Juan Lamosa Chief | Aviation Security Audit Section ICAO Universal Security Audit Programme – Continuous Monitoring Approach (USAP-CMA)

Thirteenth Symposium and Exhibition on the ICAO Traveller Identification Programme (TRIP)

ICAO TRIP: Making Air Travel more Secure and Efficient

TOWARD BETTER TRAVELLER IDENTIFICATION MANAGEMENT

FOR ENHANCED BORDER CONTROL INTEGRITY

USAP-CMA Objective

The objective of the USAP-CMA is to promote global aviation

security through continuous auditing and monitoring of the

aviation security performance of Member States.

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USAP-CMA Objective This objective is achieved by

determining the level of effective implementation of the

critical elements of an aviation security oversight system;

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providing an indication of the effective implementation of

Annex 17 – Security Standards and security-related

Standards of Annex 9 – Facilitation to the Convention on

International Civil Aviation.

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REGULATORY FRAMEWORK AND THE NATIONAL CIVIL AVIATION SECURITY SYSTEM LEG

TRAINING OF AVIATION SECURITY PERSONNEL TRG

QUALITY CONTROL FUNCTIONS QCF

AIRPORT OPERATIONS OPS

AIRCRAFT AND IN-FLIGHT SECURITY IFS

PASSENGER AND BAGGAGE SECURITY PAX

CARGO, CATERING AND MAIL SECURITY CGO

RESPONSE TO ACTS OF UNLAWFUL INTERFERENCE AUI

SECURITY ASPECTS OF FACILITATION FAL Sco

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Four sub-areas of assessment with the FAL audit area:

Subarea Annex 9

Standards

9.1 Programme and Coordination 8.17, 8.19

9.2 Security of Travel Documents 3.7, 3.8, 3.8.1,

3.10, 3.11, 3.12,

3.66, 3.68

9.3 Inspection of Travel Documents 3.33, 3.35, 3.35.1

9.4 Entry Procedures and Responsibilities 3.48, (9.5, 9.6)

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9.1 Programme and Coordination (9.001, 9.005)

• 44% of audited States have not established a National Air

Transport Facilitation Programme based on the facilitation

requirements of Annex 9.

• 49% of the audits reveal States have not established a

National Air Transport Facilitation Committee and/or Airport

Facilitation Committees, or similar coordinating bodies.

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9.2 Security of Travel Documents (9.010, 9.015, 9.020)

• Over 90% of audited States : incorporate security features in current travel documents;

have safeguards against theft of blank travel documents; and

establish appropriate controls over the entire travel document application, adjudication and issuance processes.

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9.2 Security of Travel Documents (9.021, 9.022, 9.023, 9.024)

• These PQs assess the State’s policies and processes to report

information about stolen, lost, and revoked travel documents, issued by

the State, to INTERPOL

• Approximately 80% of States audited have: established a policy to report to INTERPOL;

designated an office or entity as responsible for reporting information;

developed guidelines for reporting information.

• Over 80% States audited have reported stolen, lost, and revoked travel documents to INTERPOL for inclusion in the SLTD database.

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9.2 Security of Travel Documents (9.025)

• This PQ assesses whether the passports in the State are

machine readable and in accordance with DOC 9303

• Globally, over 95% of audited States are issuing MRPs.

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9.2 Security of Travel Documents (9.027, 9.030, 9.035)

• Approximately 25% of audited States issue of Convention Travel

Documents (“CTDs”) for refugees and stateless persons. Of those,

approximately 90% comply with DOC 9303

• Approximately 25% of audited States issue Crew Member Certificates

(“CMCs”), of these:

66% comply with DOC 9303 80% have adequate controls required for issuance

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9.3 Inspection of Travel Documents (9.040, 9.045, 9.050)

• Over 90% of audited States require appropriate measures and

procedures to be established to assist aircraft operators in the evaluation

of travel documents presented by passengers in order to deter fraud and

abuse

• Only 68% of audited States ensure this requirement is implemented.

• In practice, necessary precautions are taken by aircraft operators at the

point of embarkation in 70% of audited States to ensure that persons are

in possession of the documents prescribed by the States of transit and

destination.

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9.3 Inspection of Travel Documents (9.055, 9.060, 9.065)

• Approximately 95% of audited States have established a requirement for

their public authorities to seize fraudulent, falsified or counterfeit travel

documents, as well as the travel documents of a person impersonating

the rightful holder of the travel document.

• Over 75% of audited States have also established a requirement for

their public authorities to ensure that such travel documents are

removed from circulation immediately and returned to the appropriate

authorities of the State named as issuer or to the resident Diplomatic

Mission of that State.

• Over 75% of audited States implement these policies.

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9.4 Entry Procedures and Responsibilities (9.070, 9.075)

• Approximately 60% of audited States have not introduced an Advance

Passenger Information (API) system under their national legislation

• API becomes mandatory with Amendment 26 to Annex 9 as of 23

February 2108

15 24 October 2018

Contact Details

Name: Juan Lamosa Email: jlamosa@icao.int