Biometrics Field Trial Evaluation Report

Section 12. Appendices

Appendix A: Acronyms

CBO: Canada‑based officer

CBSA: Canada Border Services Agency

CIC: Citizenship and Immigration Canada

CSE: Communications Security Establishment

DFAIT: Department of Foreign Affairs and International Trade

ICAO: International Civil Aviation Organization

HQC: Headquarters Matching Centre

IT: Information technology

NHQ: National Headquarters

OPC: Office of the Privacy Commissioner

PIL: Primary inspection line

POE: Port of entry

VIA: Vancouver International Airport

TRV: Temporary resident visa

Appendix B: IT Hardware and Equipment

Extra servers were installed after the field trial’s data was collected to carry out the high volume matching of photos and 10-fingerprint sets using:

a) only facial recognition for biometric matching; and
b) fingerprints as the prime and facial recognition as the secondary biometric matching.

This server configuration consisted of 3 servers and 8 desktop PCs:

• Server A: 2x Intel Xeon 3.00 GHz (4.00 GB RAM)
• Server B: 2x Intel Xeon 3.60 GHz (4.00 GB RAM)
• Server C: 2x Intel Xeon 3.40 GHz (2.00 GB RAM)
• Desktop PCs (8): Intel Core 2 6400 @ 2.13 GHz (2.98 GB RAM)

Microsoft Server 2003 SP1 was ghosted onto all 11 machines. The SQL Server 2000 and Apache Tomcat were then installed. A clone of the database was subsequently loaded onto all 11 machines. 

Appendix C: Performance Indicators

Appendix D: Description of Preparations for the Field Trial

1. Concept of Operations Planning

Planning the field trial concept of operations included examining the flow of
both clients and work at each site to determine how to incorporate field trial procedures into current operations, and deciding where to place equipment. Consultation took place with field trial sites and CBSA NHQ.

Architectural plans were either drawn or provided by the field trial site to assist with planning. In addition, the CIC Project Team from NHQ conducted in-person visits to each field trial site.

Finalising the concept of operations in an airport environment was challenging due to the high volume of travellers being processed and the requirement to have minimal impact on processing times. After the consideration of many options, field trial equipment was installed at all workstations at both PIA and immigration secondary.

While workflows for each site were agreed to during the planning of the concept of operations, it is worth noting that visa office workflows were adjusted shortly after the field trial launch. Each visa office developed a unique flow that worked best given the operating environment of each site.

2. Privacy Considerations

Since the introduction of the Government of Canada Privacy Impact Assessment (PIA) Policy in 2002, a government institution proposing to implement a new collection, use and disclosure of personal information, must first perform a privacy assessment to identify privacy risks in order to understand how those risks can be mitigated. In part, a privacy risk identifies a potential improper collection, use or disclosure of personal information with regards to legislation under the Privacy Act and policy under the Treasury Board Secretariat (TBS) Data Management and Privacy.

From a privacy perspective, CIC constructed the field trial to fully respect the privacy rights of visa applicants during the field trial. As stipulated by the Immigration and Refugee Protection Act (IRPA), any foreign national who makes an application may be required to provide photos and fingerprints.

In order to protect the privacy rights of the individual, the field trial was structured so that no administrative action or decision-making process of any kind at the participating field trial sites (granting of a visa or permission to enter Canada) would be taken as a result of the biometric data collected. Rather, the biometric information collected will be analysed by two forensic specialists located in a secure biometric laboratory at CIC NHQ at a later point in time. In addition, all biometric personal information will be destroyed within three months of the termination of the field trial.

CIC had a good working relationship with the Office of the Privacy Commissioner (OPC) during the formation of the field trial PIA as well as the accompanying action plan to mitigate the 13 privacy risks (shown below). An OPC PIA auditor commended CIC for submitting a draft PIA in advance of the field trial and for maintaining close contact with the OPC throughout the entire PIA process.

1. Program custodian accountability for personal Information not being documented
2. Third party (vendor) access to personal information
3. Not staying within legal authorities
4. Collection of new personal information – linkage to visa application
5. Not giving notice of collection as required by the Privacy Act
6. Improper retention and disposal of field trial information
7. Not publishing in the Personal Information Bank (PIB)
8. Not following departmental process on publicly available PIA
9. Dispute regarding the accuracy of digital renderings of photos (“That’s not my picture!”)
10. Following procedures outlined in the Threat and Risk Assessment (TRA)
11. Information technology – not following documented procedures and training
12. Personal information management practices not staying within Treasury Board Secretariat guidelines
13. Not communicating the field trial privacy safeguards

Prior to the launch of the field trial, CIC adopted all recommendations from the OPC.

During the planning stages of the field trial, the Director of the biometrics field trial was appointed privacy program custodian and led an informal team of employees that analysed field trial privacy issues and suggested options to resolve the issues. Every precaution was taken to protect personal information of field trial clients. Documentation of the team’s accountability was assumed by a senior project officer.

The contract with the biometrics system vendor contained privacy measures to protect personal information. All vendor employees were required to sign undertakings at the beginning of the contract to protect personal information.

CIC provided notice to clients of the collection of personal information, as required by the Privacy Act. A field trial guide for clients was published in the visa application section on CIC’s website (www.cic.gc.ca) approximately one month before the start of the field trial.

According to the Privacy Act, a Personal Information Bank (PIB) is required when personal information is collected by a government department. The field trial required a PIB because the biometric templates were available for test purposes. A PIB was created for the field trial and published on Info Source. [note 18]

During field trial preparation, CIC utilized existing departmental procedures when planning to respond to potential complaints. This included the use of the regional and local dispute resolution procedures, the CIC National Call Centre, the NHQ Ministerial Enquiries Division, and the NHQ Media Relations Unit. A three-employee team was identified to coordinate preparations among these various groups. A communications and complaints strategy was developed to manage a variety of potential complaints, including privacy and communications issues.

CIC produced a Threat and Risk Assessment (TRA) for the field trial and included it as an appendix to the PIA. The TRA specified that under both TBS and CIC security policies, all biometric templates and other personal information used in the field trial was to be encrypted for transmission purposes in order to address the risk of non-encrypted information.

CIC developed and documented specific security procedures required for the field trial and provided related training to employees involved in the field trial. Thorough security requirements for the biometrics field trial lab were developed and documented in a security manual.

Privacy safeguards were a key element in all CICcommunications regarding the field trial. All communications products developed for field trial clients included details on the privacy safeguards established to protect personal information.

The PIA contained a communications plan, which highlighted communication activities targeted to the public. Notice of the field trial development was posted on the CIC website in April 2006, following the contract award to develop the field trial biometric system. On the day the field trial began, CIC published a notice of the field trial launch on its website.

3. Information Technology (IT) Preparations

IT preparations for the field trial included contracting a vendor to deliver a customized biometric system and the leasing and installation of equipment to be used during the field trial. Consultation took place with IT sections of CIC, CBSA and the Department of Foreign Affairs (DFAIT), for overseas IT network impacts.

3.1 Design and Delivery of a Biometrics System

The biometric system was required to pass user and site acceptance tests prior to the installation of the field trial equipment. Certification of the system for CIC and DFAIT networks was also required to allow for the transition of field trial information across the two networks.

3.2 Equipment

A full list of equipment installed at all sites can be found in Appendix B – IT Hardware and Equipment. The following two Figures (3-1, 3-2) outline the setup of the field trial equipment by site location:

Figure 3-1: Biometrics Project Security Flow
Field Trial — Visa Office Focus

Figure 3-2: Biometrics Project Security Flow
Field Trial — POE: Secondary Focus

Stand Alone System: Integration of the field trial biometrics system with CIC’s overseas visa processing IT system was not possible during the field trial due to operational constraints. As a result, an alternate method of entering client biographic data into a stand-alone biometrics system was developed by using automated passport readers to read the machine readable zone (MRZ) of client passports. Likewise, a stand-alone biometrics system was required in order for PIL employees to identify field trial clients.

This impacted on the type and amount of equipment required in the field trial and was the primary reason that chips were used to identify field trial clients upon arrival at a field trial port of entry.

Installation: Each site had unique environments to be considered when planning the installations. Detailed procedures were developed to assist port of entry installation. The CIC Project Team installed the field trial equipment with assistance from local IT employees. Installing in a phased approach allowed for lessons learned to be passed on to the subsequent field trial sites.

4. Training

All training was provided to employees at field trial sites by the CIC Project Team. Training was designed to ensure that site employees were comfortable with the field trial software and process. The CIC Project Team stayed at each field trial site to observe the first day or two of operations and provide assistance, as required.

A number of tools, such as system guides and a policy manual, were created to assist with training across all field trial sites. In addition, training tools were created specific to each field trial site, such as training manuals and procedures, in consultation with site employees.

4.1 Training for the Visa Offices

Objectives:

• Creating a new record and entering biographic data for a client
• Scanning and cropping photos
• Scanning 10 fingerprints
• Writing the required data to the chip and affixing the chip to a passport

Seattle: All 14 employees were trained over a period of three days. Classroom training of three separate groups was followed by hands-on use of the equipment in order for employees to become familiar with the process. One IT employee received training on how to install field trial equipment and on fundamental functionality of the system and system requirements in order to deal with technical issues.

Hong Kong: Approximately 16 employees were trained over a period of three days. A general presentation was given, followed by specific hands-on training to groups of three or four employees on specific duties and how to use the system. IT employees received additional training on how to install field trial equipment and on basic functionality of the system and system requirements in order to deal with technical issues.

4.2 Training for the Ports of Entry

Objectives:

• Placing each passport properly on the reader to allow for the chip to be read
• Capturing a single fingerprint and 10 fingerprints (where required)

A one-page reference sheet was affixed to each workstation for quick reference so employees would not have to stop to refer to a manual should they encounter difficulties in remembering what steps needed to be taken to operate the system.

Douglas and Pacific Highway: Approximately 30 employees were trained over a period of two days. A combination of demonstrations, reviews of training material and hands-on practice using test cases were utilized. Supervisors were given extra training related to IT, such as the creation of new users and setting user privileges. In addition, regional IT employees responsible for Douglas and Pacific Highway and VIA received training on equipment installation and received a demonstration of the field trial equipment.

VIA Immigration Secondary: Approximately 60 employees were trained over a period of three days. A hands-on demonstration of the field trial process was given in sessions of 30 minutes at an available workstation. Two employees were given extra training related to IT, such as the creation of new users and setting user privileges.

VIA Primary Inspection Line: Approximately 130 employees were trained over a period of seven days. Hands-on training was provided using an available PIL workstation during times when flights were not arriving. Five employees were trained as super-users to troubleshoot specific IT issues.

5. Preparations for Facial Recognition – New Photo Standards

Facial recognition results are greatly affected by the quality of the photo – better quality photos yield more accurate matching results. As part of the field trial planning, the CIC Project Team evaluated photos submitted by temporary resident applicants at the Hong Kong and Seattle visa offices and found that approximately seven percent of the photos submitted were within current international standards. The need was identified for CIC to establish and enforce enhanced photo specifications in general and specifically for the field trial so that the quality of matching would be adequate for testing.

As a result, new CIC photo specifications, concurrent with International Civil Aviation Organization (ICAO) standards and applicable worldwide, were developed and added to visa application requirements in September 2005. Field trial visa offices received printed copies of the new specifications in advance of the field trial start and shared this information with local photographers. To assist Hong Kong and Seattle with enforcing the new photo standards during the field trial, the CIC Project Team created tools for photographers, clients and employees to better judge photo compliance to the new standards. The Standards Council of Canada approved the tools and submitted them to the International Organization for Standardization (ISO) for consideration. ISO has agreed to incorporate the CIC developed tool into its future revised photos standards guidelines.

Analysis of photos received at Hong Kong and Seattle at the start of the field trial, after the creation and implementation of the new photo specifications, indicated that compliance to ICAO standards was at 97%.

6. Communications with Clients

A field trial guide for clients was published in the visa application section on CIC’s internet website (www.cic.gc.ca) approximately one month before the start of the field trial. A notice of the field trial launch was also published on the CIC website.

At the visa offices, a field trial brochure was distributed to clients, see Appendix C. Included was an additional quick reference card on field trial procedures when entering Canada. In Hong Kong, quick reference cards contained a Chinese translation (simple and classical).

Also at the visa offices, clients were given a paper copy of the new CIC photo specifications (accompanied by a Chinese language translation in Hong Kong) that detailed reasons for non-compliant photos. Reference to field trial information on CIC’s website was provided, as required.

7. Communications with Stakeholders

On June 14, 2005, CIC appeared before the Standing Committee on Citizenship and Immigration Canada on the biometrics field trial.

CIC NHQ hosted a briefing session in summer 2005 to inform stakeholders on the field trial. Representatives included: Association of International Customs and Border Agencies, Canadian Bar Association, United Nations High Commissioner for Refugees, Can/Am Border Trade Alliance, Canadian Internet Policy and Public Interest Clinic, Canadian Civil Liberties Association, Tourism Industry Association of Canada, Canadian Tourism Commission, Air Transport Association of Canada, and Professional Institute of the Public Service of Canada (PIPSC).

A separate briefing was held with CIC and CBSA union representatives to inform them of the upcoming field trial and to discuss steps to minimize impact on employees. Representatives included: Public Service Alliance of Canada (PSAC), Professional Association of Foreign Service Officers (PAFSO), and Canada Employment and Immigration Union (CEIU).

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Appendix E: Photo Specifications

Visa Application Photograph Specifications

The content below is offered in PDF format. For more information or to download the appropriate viewer, check the Help page.

Photograph and Head Size Specifications

Please review the PDF brochure for further photo examples.

• The face must be square to the camera with a neutral expression, neither frowning nor smiling, with the mouth closed.
• If the photographs do not meet the specifications, you will have to provide new photographs before your application can be processed.

Requirements

• Provide two photographs of yourself and each accompanying family member with your application.
• Your photographs must comply with the specifications below. If the photographs do not meet the specifications, you will have to provide new photographs before your application can be processed.
• Photographs must be printed on quality photographic paper.

Specifications

• The photographs must be identical and taken within the last six months. They may be either black and white or colour.
• The photographs must be clear, well defined and taken against a plain white or light-coloured background.
• If the photographs are digital, they must not be altered in any way.
• Your face must be square to the camera with a neutral expression, neither frowning nor smiling, and with your mouth closed.
• You may wear non-tinted prescription glasses as long as your eyes are clearly visible. Make sure that the frame does not cover any part of your eyes. Sunglasses are not acceptable.
• A hairpiece or other cosmetic accessory is acceptable if it does not disguise your normal appearance.
• If you must wear a head covering for religious reasons, make sure your full facial features are not obscured.

Photograph and Head Size Specifications

• The frame size must be at least 35 mm x 45 mm (1 3/8" x 1 3/4").
• The photographs must show the full front view of the head, with the face in the middle of the photograph, and include the top of the shoulders.
• The size of the head, from chin to crown, must be between 31 mm (1 1/4") and 36 mm (1 7/16").
• Crown means the top of the head or (if obscured by hair or a head covering) where the top of the head or skull would be if it could be seen.
• If the photographs do not meet the specifications, you will have to provide new photographs before your application can be processed.

The content below is offered in PDF format. For more information or to download the appropriate viewer, check the Help page.

Photograph Specifications (PDF, size: 494 k)
You may print this and bring it with you to the photographer.

Appendix F: Field Trial Brochure

Hong Kong – Seattle Visitor’s Guide for the Biometrics Field Trial

Citizenship and Immigration Canada (CIC) is conducting a six-month biometrics field trial from October 2006 to April 2007, affecting all temporary resident visa applicants (visitors, students and workers) in Hong Kong and Seattle.

What is a biometric characteristic?

For the purpose of this field trial, a “biometric characteristic” is a physical feature that is unique to you, such as your fingerprints. In this trial, CIC will be testing facial recognition and fingerprint recognition.

Who is affected by the trial?

The field trial affects only people applying for a visa in Hong Kong and Seattle during the six-month period.

Those who receive field trial visas in Hong Kong or Seattle will also take part in biometric procedures when entering Canada at Vancouver International Airport (British Columbia) or when crossing the land border between the United States and Canada at Pacific Highway/Blaine, Washington, or Douglas/Peace Arch.

If you arrive at any other airport or land border crossing, you will not be subjected to any fingerprint scan as part of this field trial.

What is the purpose of the field trial?

Your participation in this field trial is very valuable to us as it will help us test the impact of biometrics on CICoperations.

How will the field trial affect me?

VISA APPLICATION
When following current temporary resident visa application procedures, you will submit two photographs that comply with the photo standards outlined in the application kit:
Visa Application Photograph Specifications (C&I-767-01-06).

The visa officer will scan your fingerprints (all 10 fingers) when you drop off your application in person, when you pick up your passport in person or when you attend an interview.

NOTE: If your application was completed entirely by mail, your fingerprints (all 10 fingers) will be scanned upon your arrival in Canada.

Children 13 years old and under at the time of application will not be asked to provide fingerprints.

Arrival in Canada

VANCOUVER INTERNATIONAL AIRPORT
Follow “Customs and Immigration” signs and make your way to the Customs/Immigration area. There, you will speak with a Canada Border Services Agency (CBSA) officer who will verify your identification (valid passport) and visa. The officer will scan your fingerprints by asking you to position one or more fingers on a fingerprint reader.

PACIFIC HIGHWAY AND DOUGLAS LAND BORDER
Present yourself to a CBSA officer who will verify your identification (valid passport) and visa. The officer will scan your fingerprints by asking you to position one or more fingers on a fingerprint reader.

IMPORTANT
If you have received your visa by mail, a CBSA officer will scan your fingerprints (all 10 fingers) once you arrive in Canada. It is important to note that the procedure may take some time and may slightly delay your onward travel.

What will happen upon my departure from Canada?

There are no special exit procedures. You will not be asked to provide any further biometric information when departing from Canada.

What will CIC do with the information collected during the field trial?

It is of the utmost importance to CIC to protect the privacy of your personal information. CIC, its visa offices and the CBSA’s participating border offices will strictly adhere to Canada’s Privacy Act. The Privacy Act can be found at the following website: http://laws.justice.gc.ca/en/P-21/95414.html.

The photograph that you will be providing to the visa office will be used in establishing your identity. It will be scanned and saved on a chip that will be read by a CBSA officer, for examination purposes, upon your arrival in Canada. However, the scans of your fingerprints will not be used to make a decision on your visa application or your entry to Canada. The personal information will be strictly protected in a secure database stored in Ottawa, Canada, where it will be used only for statistical purposes.

All biometric information, including fingerprints, will be destroyed no later than three months after the closing of the field trial, which is expected to finish in April 2007.

Who do I contact for further information?

If you have any further questions, please contact your visa office by visiting the following websites:

• Seattle, U.S. – www.seattle.gc.ca
• Hong Kong, China – www.dfait-maeci.gc.ca/asia/hongkong/

You may also send comments to the Minister of Citizenship and Immigration at Minister@cic.gc.ca.

Or you may write to:

Minister of Citizenship and Immigration
Citizenship and Immigration Canada
Ottawa, Ontario
Canada  K1A 1L1

Footnote:

18. Info Source is a series of publications containing information about the Government of Canada, its organization and information holdings. It is a key reference tool to assist members of the public in exercising their rights under the Access to Information Act and the Privacy Act.

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