The IAM PERSONA Literature Guide on Impact Assessment of Border Control Technologies offers a selection of recommended literature for further reading and relevant references on the subject matter. 

1 Impacts of border control technologies

The management of the external borders of the European Union have for the last 15 years been highly technologized. This development is essentially a response to an ever-increasing number of travels to the EU, and at the same time an attempt to stop irregular migrants, criminals, and terrorists from crossing the borders. The objectives of new border control technologies in the European context are therefore concerned with facilitating and speed up the border crossing process for the majority of travellers, and to hinder and stop those categories of migrants that might pose a threat to the security of the Union and its citizens. The technologization of the borders does however raise a number of challenges of legal, technical, ethical, and societal nature. In the following sub-sections you will find literature on how border control technologies might impact: travellers (1.1), migration in general (1.2), the society (1.3) as well as the nature of borders and the tasks of border guards (1.4). Finally, you will find literature that examines the consequences of concrete control devices that have already been tested and implemented (1.5).

Note: References marked with ≡ are OPEN ACCESS.

Recombinant Identities: Biometrics and Narrative Bioethics

Ajana, B. (2010) Recombinant Identities: Biometrics and Narrative Bioethics. Journal of Bioethical Inquiry, 7, pp. 237-258. Available from: https://link.springer.com/article/10.1007/s11673-010-9228-4  biometrics, identity, identification, ethics

≡ Biometric borders: Governing mobilities in the war on terror

≡ OPEN ACCESS Amoore, L. (2006) Biometric borders: Governing mobilities in the war on terror. Political Geography, 25(3), pp. 336-351. Available from: https://www.sciencedirect.com/science/article/pii/S0962629806000217#sec6. biometrics, bodies, risk, risk profiling.  

Identity as convention: biometric passports and the promise of security

Behrensen, M. (2014) Identity as convention: biometric passports and the promise of security. Journal of Information, Communication and Ethics in Society, 12(1). Available from: https://www.emerald.com/insight/content/doi/10.1108/JICES-08-2013-0029/full/html identity, ethics, biometrics, travel documents

≡ Technologization of Security: Management of Uncertainty and Risk in the Age of Biometrics

≡ OPEN ACCESS Ceyhan, A. (2008) Technologization of Security: Management of Uncertainty and Risk in the Age of Biometrics. Surveillance and Society, 5(2), pp. 102-123. Available from: https://ojs.library.queensu.ca/index.php/surveillance-and-society/article/view/3430/3393 biometrics, identity, bodies, privacy

≡ Securitizing Gender: Identity, Biometrics, and Transgender Bodies at the Airport

≡ OPEN ACCESS Currah, P. And Mulqueen, T. (2011) Securitizing Gender: Identity, Biometrics, and Transgender Bodies at the Airport. Social Research, 78(2), pp. 557-582. Available from: https://academicworks.cuny.edu/cgi/viewcontent.cgi?article=1334&context=gc_pubs gender, biometrics, identity, transgender, classification

Biometrics, identification and practical ethics

Harel, A. (2009) Biometrics, identification and practical ethics. In: E. Mordini and M. Green (eds.), Identity, security and democracy: The wider social and ethical implications of automated systems for human identification. Amsterdam: IOS Press, pp. 69–84. Available from: http://ebooks.iospress.nl/publication/24637 biometrics, identity, fundamental rights, ethics, decision-making

Itinerant Data: Unveiling Gendered Scrutiny at the Border

Hegde, R.S. (2019) Itinerant Data: Unveiling Gendered Scrutiny at the Border. Television & New Media, 20(6), pp. 617-633. Available from: https://journals.sagepub.com/doi/abs/10.1177/1527476419857686?journalCode=tvna. gender, discrimination, religion, transparency, body

The Emergence of iBorder: Bordering Bodies, Networks, and Machines

Pötzsch H. (2015) The Emergence of iBorder: Bordering Bodies, Networks, and Machines. Environment and Planning D: Society and Space, 33(1), pp. 101-118. Available from: https://journals.sagepub.com/doi/10.1068/d14050p border control, bodies, identity, biometrics, surveillance

≡ Don’t blame me, it’s just the computer telling me to do this: Computer attribution and discretionary authority of Canada Border Services Agency Officers

≡ OPEN ACCESS Kalman, I. (2015) “Don’t blame me, it’s just the computer telling me to do this”: Computer attribution and discretionary authority of Canada Border Services Agency Officers. Working Paper No. 166. Available from: https://www.eth.mpg.de/pubs/wps/pdf/mpi-eth-working-paper-0166 border guards’ practices, algorithms, human judgement, border control

≡ Securing Identities: Biometric Technologies and the Enactment of Human Bodily Differences

≡ OPEN ACCESS Kloppenburg, S. & van der Ploeg, I. (2018) Securing Identities: Biometric Technologies and the Enactment of Human Bodily Differences. Science as Culture, 29(1), pp. 57-76. Available from: https://www.tandfonline.com/doi/full/10.1080/09505431.2018.1519534?src=recsys gender, ethnicity, biometrics, design, identity

When biometrics fail: Gender, race, and the technology of identity

Magnet, S. A. (2011). When biometrics fail: Gender, race, and the technology of identity. Durham: Duke University Press. Available from: https://www.dukeupress.edu/when-biometrics-fail gender, ethnicity, border control, error

Information Disclosure to Biometric E-gates: The Roles of Perceived Security, Benefits and Emotions

Morosan, C. (2017) Information Disclosure to Biometric E-gates: The Roles of Perceived Security, Benefits and Emotions. Journal of Travel Research, 57(5), pp. 644-657. Available from: https://journals.sagepub.com/doi/abs/10.1177/0047287517711256 privacy, information systems, biometrics, public perception, emotions

Biometric Technologies, Data and the Sensory Work of Border Control

Møhl, P. (2020) Biometric Technologies, Data and the Sensory Work of Border Control. Ethnos, pp. 1-16. Available from: https://www.tandfonline.com/doi/full/10.1080/00141844.2019.1696858 human judgement, border control, biometrics, identity

The Biometric Border World. Technology, Bodies and Identities on the Move

Olwig, K. F., Grünenberg, K., Møhl, P. & Simonsen, A. (2019) The Biometric Border World. Technology, Bodies and Identities on the Move. Available from: https://www.taylorfrancis.com/books/9780367808464 biometrics, design, engineers, border guards’ perceptions, error

Biometrics: Bodies, technologies, biopolitics

Pugliese, J. (2010). Biometrics: Bodies, technologies, biopolitics. New York: Routledge. Available from: https://www.routledge.com/Biometrics-Bodies-Technologies-Biopolitics/Pugliese/p/book/9780415811040 discrimination, biometrics, ethnicity, border control, bodies

Race, Racism and Identification in the Era of Technosecurity

Skinner, D. (2018) Race, Racism and Identification in the Era of Technosecurity. Science as Culture, 29(1), pp. 77-99. Available from: https://www.tandfonline.com/doi/full/10.1080/09505431.2018.1523887?src=recsys minorities, ethnicity, data, information systems, discrimination

Materialities between security and privacy: A constructivist account of airport security scanners

Valkenburg, G., & van der Ploeg, I. (2015) Materialities between security and privacy: A constructivist account of airport security scanners. Security Dialogue, 46(4), pp. 326–344. Available from: https://journals.sagepub.com/doi/10.1177/0967010615577855 privacy, border security, airports, stigmatizing

Migration and the Machine-Readable Body: Identification and Biometrics

van der Ploeg, I. & Sprenkels, I. (2011) Migration and the Machine-Readable Body: Identification and Biometrics. In: Dijstelbloem, H. & Meijer, A. (eds.), Migration and the New Technological Borders of Europe. London: Palgrave Macmillan, pp. 68-104. Available from: https://www.palgrave.com/gp/book/9780230278462  biometrics, ethics, identity, social exclusion

Questioning Algorithms and Agency. Facial Biometrics in Algorithmic Contexts

Willson, M. (2020) Questioning Algorithms and Agency. Facial Biometrics in Algorithmic Contexts. In: Filimowicz, M. & Tzankova, V. (eds.), Reimagining Communication: Mediation. New York: Routledge. Available from: https://www.taylorfrancis.com/books/e/9781351015431/chapters/10.4324/9781351015431-16 biometrics, agency, human judgement

Note: References marked with ≡ are OPEN ACCESS.

Asylum, Identity Management and Biometric Control

Ajana, B. (2013) Asylum, Identity Management and Biometric Control. Journal of Refugee Studies, 26(4), pp. 576-595. Available from: https://academic.oup.com/jrs/article-abstract/26/4/576/1594233?redirectedFrom=fulltext refugees, identification, information systems, biometrics, data protection

Digital Borders and Real Rights

Brouwer, E. (2008) Digital Borders and Real Rights. Effective Remedies for Third-Country Nationals in the Schengen Information System. Available from: https://brill.com/view/title/14759 information systems, border control, privacy, data processing, data protection

≡ The Truth of the Error: Making Identity and Security through Biometric Discrimination

≡ OPEN ACCESS Jacobsen, E.K.U. & Rao, U. (2018) The Truth of the Error: Making Identity and Security through Biometric Discrimination. In: Maguire, M., Rao, U. & Zurawski, N. (eds.), Bodies as Evidence. Security, Knowledge and Power. Durham & London: Duke University Press, pp. 24-42. Available from: https://www.dukeupress.edu/bodies-as-evidence biometrics, discrimination, data, errors, information systems.

≡ On Digital Passages and Borders: Refugees and the New Infrastructure for Movement and Control

≡ OPEN ACCESS Latanero, M. & Kift, P. (2018) On Digital Passages and Borders: Refugees and the New Infrastructure for Movement and Control. Social Media + Society, 4(1). Available from: https://journals.sagepub.com/doi/10.1177/2056305118764432?icid=int.sj-related-articles.citing-articles.43 ethics, biometrics, governance, refugees

≡ Re-assembling the surveillable refugee body in the era of data-craving

≡ OPEN ACCESS Lemberg-Pedersen, M. & Haioty, E. (2020) Re-assembling the surveillable refugee body in the era of data-craving. Citizenship Studies, 24(5), pp. 1-18. Available from: https://vbn.aau.dk/en/publications/reassembling-the-surveillable-refugee-body-in-the-era-of-data-cra biometrics, data, surveillance, refugees, humanitarianism

When biometrics fail: Gender, race, and the technology of identity

Magnet, S. A. (2011). When biometrics fail: Gender, race, and the technology of identity. Durham: Duke University Press. Available from: https://www.dukeupress.edu/when-biometrics-fail gender, ethnicity, border control, error

≡ The politics of big borders: Data (in)justice and the governance of refugees

≡ OPEN ACCESS Metcalfe, P. & Dencik, L. (2019). The politics of big borders: Data (in)justice and the governance of refugees. First Monday , 24(4). Available from: https://firstmonday.org/ojs/index.php/fm/article/view/9934/7749 data, border control, refugees, governance

Biometrics: Bodies, technologies, biopolitics

Pugliese, J. (2010). Biometrics: Bodies, technologies, biopolitics. New York: Routledge. Available from: https://www.routledge.com/Biometrics-Bodies-Technologies-Biopolitics/Pugliese/p/book/9780415811040 discrimination, biometrics, ethnicity, border control, bodies

Bare life at the European borders. Entanglements of technology, society and nature

Schindel, E. (2016) Bare life at the European borders. Entanglements of technology, society and nature. .Journal of Borderland Studies, 31(2), pp. 219-234. Available from: https://www.tandfonline.com/doi/abs/10.1080/08865655.2016.1174604?journalCode=rjbs20 border control, Schengen, practices, agency

Race, Racism and Identification in the Era of Technosecurity

Skinner, D. (2018) Race, Racism and Identification in the Era of Technosecurity. Science as Culture, 29(1), pp. 77-99. Available from: https://www.tandfonline.com/doi/full/10.1080/09505431.2018.1523887?src=recsys minorities, ethnicity, data, information systems, discrimination

The illegal body: ‘Eurodac’ and the politics of biometric identification

van der Ploeg, I. (1999) The illegal body: ‘Eurodac’ and the politics of biometric identification. Ethics and Information Technology, 1, pp. 295-302. Available from: https://link.springer.com/article/10.1023/A:1010064613240 biometrics, identification, identity, border control

The ethics of biometrics: the risk of social exclusion from the widespread use of electronic identification

Wickins, J. (2007) The ethics of biometrics: the risk of social exclusion from the widespread use of electronic identification. Science and Engineering Ethics, 13(1), pp. 45–54. https://link.springer.com/article/10.1007/s11948-007-9003-z social exclusion, ethics, identity, discrimination

Note: References marked with ≡ are OPEN ACCESS.

The body does not lie: Identity, risk and trust in technoculture

Aas, K.F. (2006) ‘The body does not lie’: Identity, risk and trust in technoculture. Crime, Media, Culture: An International Journal, 2(2), pp. 143-158. Available from: https://journals.sagepub.com/doi/10.1177/1741659006065401 biometrics, bodies, identity, governance

Questioning security devices: Performativity, resistance, politics

Amicelle, A., Aradau, Cl. & Jeandesboz, J. (2015) Questioning security devices: Performativity, resistance, politics. Security Dialogue, 46(4), pp. 293-306. Available from: https://journals.sagepub.com/doi/10.1177/0967010615586964 agency, practice, society, research methods, theoretical perspectives.

The New Digital Borders of Europe: EU Databases and the Surveillance of Irregular Migrants

Broeders, D. (2007) The New Digital Borders of Europe: EU Databases and the Surveillance of Irregular Migrants. International Sociology, 22(1), pp. 71-92. Available from: https://journals.sagepub.com/doi/10.1177/0268580907070126 governance, surveillance, classification, information systems, Schengen

≡ The Truth of the Error: Making Identity and Security through Biometric Discrimination

≡ OPEN ACCESS Jacobsen, E.K.U. & Rao, U. (2018) The Truth of the Error: Making Identity and Security through Biometric Discrimination. In: Maguire, M., Rao, U. & Zurawski, N. (eds.), Bodies as Evidence. Security, Knowledge and Power. Durham & London: Duke University Press, pp. 24-42. Available from: https://www.dukeupress.edu/bodies-as-evidence biometrics, discrimination, data, errors, information systems.

Biometrics, identification and surveillance

Lyon, D. (2008) Biometrics, identification and surveillance. Bioethics, 22(9). Available from: https://onlinelibrary.wiley.com/doi/abs/10.1111/j.1467-8519.2008.00697.x biometrics, surveillance, identity, governance, classification

Reframing biometric surveillance: from a means of inspection to a form of control

Marciano, A. (2019) Reframing biometric surveillance: from a means of inspection to a form of control. Ethics and Information Technology, 21, pp. 127-136. Available from: https://link.springer.com/article/10.1007%2Fs10676-018-9493-1 biometrics, surveillance, governance, agency

The Biometric Border World. Technology, Bodies and Identities on the Move

Olwig, K. F., Grünenberg, K., Møhl, P. & Simonsen, A. (2019) The Biometric Border World. Technology, Bodies and Identities on the Move. Available from: https://www.taylorfrancis.com/books/9780367808464 biometrics, design, engineers, border guards’ perceptions, error

≡ Re-assembling the surveillable refugee body in the era of data-craving

≡ OPEN ACCESS Lemberg-Pedersen, M. & Haioty, E. (2020) Re-assembling the surveillable refugee body in the era of data-craving. Citizenship Studies, 24(5), pp. 1-18. Available from: https://vbn.aau.dk/en/publications/reassembling-the-surveillable-refugee-body-in-the-era-of-data-cra biometrics, data, surveillance, refugees, humanitarianism

≡ Biometric Bodies, Or How to Make Electronic Fingerprinting Work in India

≡ OPEN ACCESS Rao, U. (2018) Biometric Bodies, Or How to Make Electronic Fingerprinting Work in India. Body & Society, 24(3), pp. 68-94. Available from: https://journals.sagepub.com/doi/10.1177/1357034X18780983?icid=int.sj-related-articles.citing-articles.38 governance, biometrics, fingerprinting, identification

Introducing Biometrics in the European Union: Practice and Imagination

Rommetveit, K. (2017) Introducing Biometrics in the European Union: Practice and Imagination. In: Delgado, A. (ed.), Technoscience and Citizenship: Ethics and Governance in the Digital Society. Cham: Springer, pp. 113-126. Available from: https://link.springer.com/book/10.1007/978-3-319-32414-2#toc  biometrics, governance

Race, Racism and Identification in the Era of Technosecurity

Skinner, D. (2018) Race, Racism and Identification in the Era of Technosecurity. Science as Culture, 29(1), pp. 77-99. Available from: https://www.tandfonline.com/doi/full/10.1080/09505431.2018.1523887?src=recsys minorities, ethnicity, data, information systems, discrimination

Note: References marked with ≡ are OPEN ACCESS.

Borders, identification and surveillance. New regimes of border control

Adey, P. (2012) Borders, identification and surveillance. New regimes of border control. In: Ball, K., Haggerty, K.D. & Lyon, D. (eds.), Routledge Handbook of Surveillance Studies. Abingdon: Routledge. Available from: https://www.routledgehandbooks.com/doi/10.4324/9780203814949.ch3_1_a border, classification, identification, surveillance

Augmented borders: Big Data and the ethics of immigration control

Ajana, B. (2015) Augmented borders: Big Data and the ethics of immigration control. Journal of Information, Communication and Ethics in Society, 13(1). Available from: https://www.emerald.com/insight/content/doi/10.1108/JICES-01-2014-0005/full/html ethics, surveillance, data, border control

≡ Clean skins: Making the e-Border security assemblage

≡ OPEN ACCESS Allen, W.L. & Vollmer, B.A. (2017) Clean skins: Making the e-Border security assemblage. Environment and Planning D: Society and Space, 36(1), pp. 23-39. Available from: https://journals.sagepub.com/doi/full/10.1177/0263775817722565. human judgement, border guards’ perceptions, border guards’ practices.

Dreaming of Seamless Borders: ICTs and the Pre-Emptive Governance of Mobility in Europe

Broeders, D. & Hampshire, J. (2012) Dreaming of Seamless Borders: ICTs and the Pre-Emptive Governance of Mobility in Europe. Journal of Ethnic and Migration Studies, 39(8), pp. 1201-1218. Available from: https://www.tandfonline.com/doi/full/10.1080/1369183X.2013.787512 risk, pre-emption, information systems, information and communications technology (ICT),

≡ Morphing and Morphing Attack Detection Methods.

≡ OPEN ACCESS Frontex (2020) International Conference on Biometrics for Borders. Morphing and Morphing Attack Detection Methods. Available from: https://frontex.europa.eu/assets/Publications/Research/International_Conference_on_Biometrics_for_Borders.pdf border security, biometrics, prevention, practices.

Governing circulation through technology within the EU border security practice-networks

Glouftsios, G. (2017) Governing circulation through technology within the EU border security practice-networks. Mobilities, 13(2), pp. 185-199. Available from: https://www.tandfonline.com/doi/full/10.1080/17450101.2017.1403774?src=recsys information systems, border security, border control, Schengen, practices.

Decisions at the data border: Discretion, discernment and security

Hall, A. (2017) Decisions at the data border: Discretion, discernment and security. Security Dialogue, 48(6), pp. 488-504. Available from: https://journals.sagepub.com/doi/10.1177/0967010617733668 data, border control, practices, automation.  

Smartening border security in the European Union: An associational inquiry

Jeandesboz, J. (2016) Smartening border security in the European Union: An associational inquiry. Security Dialogue, 47(4), pp. 292-309. Available from: https://journals-sagepub-com.ezproxy.uio.no/doi/full/10.1177/0967010616650226 smartborder, surveillance, agency, security policy.

≡ Don’t blame me, it’s just the computer telling me to do this: Computer attribution and discretionary authority of Canada Border Services Agency Officers

≡ OPEN ACCESS Kalman, I. (2015) “Don’t blame me, it’s just the computer telling me to do this”: Computer attribution and discretionary authority of Canada Border Services Agency Officers. Working Paper No. 166. Available from: https://www.eth.mpg.de/pubs/wps/pdf/mpi-eth-working-paper-0166 border guards’ practices, algorithms, human judgement, border control

Airport Security and Visibility: Security as Visualization and Its In-Place Performance

Komasová, S. (2020) Airport Security and Visibility: Security as Visualization and Its In-Place Performance. Journal of Applied Security Research, 15(3), pp. 332-354. Available from: https://www.tandfonline.com/doi/full/10.1080/19361610.2020.1738315 border security, practices, risk, airport

We were taken by surprise: body scanners, technology adjustment, and the eradication of failure

Leese, M. (2016) ‘We were taken by surprise’: body scanners, technology adjustment, and the eradication of failure. Critical Studies on Security, 3(3), pp. 269-282. Available from: https://www.tandfonline.com/doi/full/10.1080/21624887.2015.1124743 border security, practices, privacy, error

Exploring the Security/Faciliation Nexus: Foucault at the ‘Smart’ Border

Leese, M. (2016) Exploring the Security/Faciliation Nexus: Foucault at the ‘Smart’ Border. Available from: https://www.tandfonline.com/doi/full/10.1080/13600826.2016.1173016?src=recsys smartborder, border security, travel facilitation, research methods

Standardizing security: the business case politics of borders

Leese, M. (2018) Standardizing security: the business case politics of borders. Mobilities, 13(2), pp. 261-275. Available from: https://www.tandfonline.com/doi/full/10.1080/17450101.2017.1403777 automation, ABC-systems, facial recognition, standardization

The many lives of border automation: Turbulence, coordination and care

Lisle, D. & Bourne, M. (2019) The many lives of border automation: Turbulence, coordination and care. Social Studies of Science, 49(5), pp. 682-706. Available from: https://journals.sagepub.com/doi/abs/10.1177/0306312719870868 automation, airport, border guards’ practices, classification

Biometric Technologies, Data and the Sensory Work of Border Control

Møhl, P. (2020) Biometric Technologies, Data and the Sensory Work of Border Control. Ethnos, pp. 1-16. Available from: https://www.tandfonline.com/doi/full/10.1080/00141844.2019.1696858 human judgement, border control, biometrics, identity

The Biometric Border World. Technology, Bodies and Identities on the Move

Olwig, K. F., Grünenberg, K., Møhl, P. & Simonsen, A. (2019) The Biometric Border World. Technology, Bodies and Identities on the Move. Available from: https://www.taylorfrancis.com/books/9780367808464 biometrics, design, engineers, border guards’ perceptions, error

Policing Migration and Racial Technologies

Parmar, A. (2019) Policing Migration and Racial Technologies. The British Journal of Criminology, 59(4), pp. 938–957. Available from: https://academic.oup.com/bjc/article-abstract/59/4/938/5325241?redirectedFrom=fulltext border control, border guards’ practices, discrimination

Speed, timing and duration: contested temporalities, techno-political controversies and the emergence of the EU’s smart border

Sontowski, S. (2017) Speed, timing and duration: contested temporalities, techno-political controversies and the emergence of the EU’s smart border. Journal of Ethnic and Migration Studies, 44(16), pp. 2730-2746). Available from: https://www.tandfonline.com/doi/full/10.1080/1369183X.2017.1401512?src=recsys automation, smartborder, border control, practices, biometrics

≡ The gendered and racialized politics of risk analysis

≡ OPEN ACCESS Stachowitsch, S. & Sachseder, J. (2019) The gendered and racialized politics of risk analysis. The case of Frontex. Critical Studies on Security, 7(2), pp. 107-123. Available from: https://www.tandfonline.com/doi/full/10.1080/21624887.2019.1644050?utm_source=TrendMD&utm_medium=cpc&utm_campaign=Critical_Studies_on_Security_TrendMD_0 Risk, border security, gender, ethnicity, humanitarianism

Eurodac in Times of Bigness: The Power of Big Data within the Emerging European IT Agency

Tsianos, V.S. & Kuster, B. (2016) Eurodac in Times of Bigness: The Power of Big Data within the Emerging European IT Agency. Journal of Borderland Studies, 31(2), pp. 235-249. Available from: https://www.tandfonline.com/doi/full/10.1080/08865655.2016.1174606 border control, data, information systems

Note: References marked with ≡ are OPEN ACCESS.

Data Derivatives: On the Emergence of a Security Risk Calculus of our Times.

Amoore, L. (2011) Data Derivatives: On the Emergence of a Security Risk Calculus of our Times. Theory, Culture & Society, 28(6), pp. 24-43. https://journals.sagepub.com/doi/10.1177/0263276411417430#_i7. security, algorithms, data, risk, border guards’ practices

 

Politics of Disappearance: Scanners and (Unobserved) Bodies as Mediators of Security Practices

Bellanova, R. & Gonzales Fuster, G. (2013) Politics of Disappearance: Scanners and (Unobserved) Bodies as Mediators of Security Practices. International Political Sociology, 7(2), pp. 188–209. https://academic.oup.com/ips/article-abstract/7/2/188/1857285?redirectedFrom=fulltext bodies, agency, visibility

The interoperability controversy or how to fail successfully: lessons from Europe

Bigo, D., Ewert, L. & Kuskonmaz, E.M. (2020) The interoperability controversy or how to fail successfully: lessons from Europe. International Journal of Migration and Border Studies, 6(1/2), pp. 93-114. https://www.inderscience.com/info/inarticle.php?artid=108687. interoperability, surveillance, Schengen, historical overview, information systems

≡ Laboratizing the border: The production, translation and anticipation of security technologies

≡ OPEN ACCESS Bourne, M., Johnson, H. & Lisle, D. (2015) Laboratizing the border: The production, translation and anticipation of security technologies. Security Dialogue, 46(4), pp. 307-325. https://journals.sagepub.com/doi/10.1177/0967010615578399?icid=int.sj-full-text.similar-articles.1 design process, engineers, chemical biological radiological and nuclear defense (CBRNE), border security

The politics of security lists

de Goede, M. & Sullivan, G. (2015) The politics of security lists. Environment and Planning D: Society and Space, 34(1). https://journals.sagepub.com/doi/10.1177/0263775815599309?icid=int.sj-abstract.similar-articles.2 security, agency, accountability, classification

≡ BIOPASS

≡ OPEN ACCESS Frontex (2007) BIOPASS. Study on Automated Biometric Border Crossing Systems for Registered Passenger at Four European Airports. https://frontex.europa.eu/publications/biopass-study-kK3Yv4 biometrics, fingerprints, iris, ABC-systems

≡ BIOPASS II

≡ OPEN ACCESS Frontex (2010) BIOPASS II. Automated biometric border crossing systems based on electronic passports and facial recognition: RAPID and Smart Gate. https://frontex.europa.eu/publications/biopass-study-ii-AR2A9w border control, biometrics, information systems, ABC-systems

≡ Facial Recognition Technology. A Survey of Policy and Implementation Issues.

≡ OPEN ACCESS Introna, L. & Nissenbaum, H. (2014) Facial Recognition Technology. A Survey of Policy and Implementation Issues. https://eprints.lancs.ac.uk/id/eprint/49012/1/Document.pdf identification, biometrics, privacy, implementation

We were taken by surprise: body scanners, technology adjustment, and the eradication of failure

Leese, M. (2016) ‘We were taken by surprise’: body scanners, technology adjustment, and the eradication of failure. Critical Studies on Security, 3(3), pp. 269-282. Available from: https://www.tandfonline.com/doi/full/10.1080/21624887.2015.1124743 border security, practices, privacy, error

Failing worse? Science, security and the birth of a border technology

Lisle, D. (2017) Failing worse? Science, security and the birth of a border technology. European Journal of International Relations, 24(4), pp. 887-910. https://journals.sagepub.com/doi/10.1177/1354066117738854?icid=int.sj-abstract.similar-articles.1  error, risk profiling, design, border security, chemical biological radiological and nuclear defense (CBRNE)

≡ The politics of deceptive borders: ‘biomarkers of deceit’ and the case of iBorderCtrl

≡ OPEN ACCESS Sánchez-Monedero, J. & Dencik, L. (2020) The politics of deceptive borders: ‘biomarkers of deceit’ and the case of iBorderCtrl. Information, Communication & Society. https://www.tandfonline.com/doi/full/10.1080/1369118X.2020.1792530 border control, biometrics, smartborders, fundamental rights

≡ Adermatoglyphia: Barriers to Biometric Identification and the Need for a Standardized Alternative

≡ OPEN ACCESS Sarfraz, N. (2019) Adermatoglyphia: Barriers to Biometric Identification and the Need for a Standardized Alternative. Cureus, 11(2). https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6456356/ identification, biometrics, error, fingerprints

≡ Privacy and Biometric Passports

≡ OPEN ACCESS Vakalis, I. (2011) Privacy and Biometric Passports. The Scientific World Journal, 11. https://www.hindawi.com/journals/tswj/2011/403876/ privacy, biometrics, travel documents, data protection

Materialities between security and privacy: A constructivist account of airport security scanners

Valkenburg, G., & van der Ploeg, I. (2015) Materialities between security and privacy: A constructivist account of airport security scanners. Security Dialogue, 46(4), pp. 326–344. Available from: https://journals.sagepub.com/doi/10.1177/0967010615577855 privacy, border security, airports, stigmatizing

The illegal body: ‘Eurodac’ and the politics of biometric identification

van der Ploeg, I. (1999) The illegal body: ‘Eurodac’ and the politics of biometric identification. Ethics and Information Technology, 1, pp. 295-302. Available from: https://link.springer.com/article/10.1023/A:1010064613240 biometrics, identification, identity, border control

2 Impact assessment, risk analysis and public/stakeholder participation

The implementation of new technologies for border control always carries a possibility of creating new vulnerabilities and unintended consequences. Impact assessment is a systematic process that is used to evaluate the possible effects, both positive and negative, of a given initiative prior to its implementation. In this context, Impact assessment is therefore a method for assessing the ethical, societal, and legal consequences a technology might bring, and can for example be used to assess consequences for fundamental rights, personal data protection and privacy. Assessing the technology before its implementation makes it possible to find solutions for mitigating the negative impacts and minimise the risks of the technology. The assessment method also includes the participation of the public and other stakeholders in order to engage and involve the end-users of the technology, and to take their concerns into consideration. The literature provided in the following sub-sections contributes with information on the constitutive elements of an impact assessment of border control technologies. Some of the literature focuses on specific types of impact assessments such as data protection impact assessment (DPIA), privacy impact assessment (PIA) and ethical impact assessment (EIA). Information on risk analysis and approaches to public and stakeholder participation is also included.

Note: References marked with ≡ are OPEN ACCESS.

≡ Article 29 Data Protection Working Party

≡ OPEN ACCESS Article 29 Data Protection Working Party (2017) Guidelines on Data Protection Impact Assessment (DPIA) and determining whether processing is “likely to result in a high risk” for the purposes of Regulation 2016/679, WP248 rev. 01. http://ec.europa.eu/newsroom/document.cfm?doc_id=47711  data processing, data protection impact assessment (DPIA), risk, data protection

Privacy impact assessment: Its origins and development.

Clarke, R. (2009) Privacy impact assessment: Its origins and development. Computer Law & Security Review, 25(2), pp. 123– 135. https://www.sciencedirect.com/science/article/abs/pii/S0267364909000302?via%3Dihub privacy impact assessment (PIA), impact assessment, privacy, developments

≡ European Data Protection Supervisor

≡ OPEN ACCESS European Data Protection Supervisor (2020) The EDPS quick-guide to necessity and proportionality. https://edps.europa.eu/sites/edp/files/publication/20-01- 28_edps_quickguide_en.pdf  necessity, proportionality, data protection, data processing, fundamental rights

≡ Data Protection Impact Assessments in the European Union: Complementing the New Legal Framework towards a More Robust Protection of Individuals

≡ OPEN ACCESS Kloza, D., van Dijk, N., Gellert, R., Böröcz, I., Tanas, A., Mantovani, E. & Quinn, P. (2017) Data Protection Impact Assessments in the European Union: Complementing the New Legal Framework towards a More Robust Protection of Individuals. d.pia.lab Policy Brief 1/2017. Brussels: VUB.  https://cris.vub.be/en/publications/data-protection-impact-assessments-in-theeuropean-union-complementing-the-new-legal-framework-towards-a-more-robust-protectionof-individuals(ce786e1a-75f3-4839-8f82-7f1b2f35a8eb).html data protection, data protection impact assessment (DPIA), fundamental rights, data

≡ Towards a method for data protection impact assessment: Making sense of the GDPR requirements

≡ OPEN ACCESS Kloza, D., van Dijk, N., Casiraghi, S., Vazquez Maymir, S., Roda, S., Tanas, A. & Konstantinou, I. (2019) Towards a method for data protection impact assessment: Making sense of the GDPR requirements. d.pia.lab Policy Brief No. 1/2019. Brussels: VUB. https://cris.vub.be/en/publications/towards-a-method-for-data-protection-impact-assessmentmaking-sense-of-gdpr-requirements(f5c069e6-5c06-48e9-ae07-a244c4b1e3ca).html data protection, data protection impact assessment (DPIA), fundamental rights, data, general data protection regulation (GDPR)

≡ Data protection impact assessment in the European Union: developing a template for a report from the assessment process

≡ OPEN ACCESS Kloza, D., Calvi, A., Casiraghi, S., Vazquez Maymir, S., Ioannidis, N., Tanas, A. & Van Dijk, N. (2020) ‘Data protection impact assessment in the European Union: developing a template for a report from the assessment process’. d.pia.lab Policy Brief No. 1/2020. Brussels: VUB. https://cris.vub.be/en/publications/data-protection-impact-assessment-in-the-european-union-developing-a-template-for-a-report-from-the-assessment-process(2300a8d5-7e5d-4e63-86cb-51288e2eaca4).html data protection, data protection impact assessment (DPIA), fundamental rights, data

PERSONA assessment method (initial version)

PERSONA (2020) D.3.1: PERSONA assessment method (initial version). https://ec.europa.eu/research/participants/documents/downloadPublic?documentIds=080166e5cef1b75a&appId=PPGMS&fbclid=IwAR2-tB5UB2PRR93aO6MHf0wSAFDOl4c4P1QpENXm8O6In_caA75yc0z6GLg impact assessment, societal acceptance, privacy impact assessment (PIA), data protection impact assessment (DPIA), ethics

≡ Algorithmic impact assessments: a practical framework for public agency accountability

≡ OPEN ACCESS Reisman D., Schultz J., Crawford K. & Whittaker M. (2018) Algorithmic impact assessments: a practical framework for public agency accountabilityhttps://ainowinstitute.org/aiareport2018.pdf  algorithms, impact assessment, automation, general data protection regulation (GDPR)

A framework for the ethical impact assessment of information technology

Wright, D. (2011) A framework for the ethical impact assessment of information technology. Ethics and Information Technology, 13(3), pp. 199–226. https://doi.org/10.1007/s10676-010-9242-6 impact assessment, ethics, information and communications technology (ICT), decision-making

Privacy and Ethical Impact Assessment

Wright, D., & Mordini, E. (2012) Privacy and Ethical Impact Assessment. In: Wright, D. & De Hert, P. (eds.), Privacy Impact Assessment. Dordrect: Springer, pp. 397–418. https://doi.org/10.1007/978-94-007-2543-0_19 ethics, impact assessment, privacy impact assessment (PIA), privacy

Privacy Impact Assessment.

Wright, D. & De Hert, P. (eds) (2012) Privacy Impact Assessment. Springer. http://www.springerlink.com/index/10.1007/978-94-007-2543-0

≡ Recommendations for a Privacy Impact Assessment Framework for the European Union

≡ OPEN ACCESS De Hert, P., Kloza, D. & Wright, D. (2012) Recommendations for a Privacy Impact Assessment Framework for the European Union. Deliverable D3 of the PIAF [A Privacy Impact Assessment Framework for data protection and privacy rights] project https://piafproject.files.wordpress.com/2018/03/piaf_d3_final.pdf

Note: References marked with ≡ are OPEN ACCESS.

≡ Risk assessment and risk management: Review of recent advances on their foundation

≡ OPEN ACCESS Aven T. (2016) Risk assessment and risk management: Review of recent advances on their foundation. European Journal of Operational Research, Volume 253(1), pp. 1-13. https://www.sciencedirect.com/science/article/pii/S0377221715011479 risk management, decision-making, developments, challenges

≡ Risk management – Guidelines, ISO 31000:2018

≡ OPEN ACCESS International Organization for Standardization (2018) Risk management – Guidelines, ISO 31000:2018. https://www.iso.org/obp/ui#iso:std:iso:31000:ed-2:v1:en risk management, decision-making, guideline, stakeholders

≡ Understanding Risk: Informing Decisions in a Democratic Society

≡ OPEN ACCESS National Research Council (1996) Understanding Risk: Informing Decisions in a Democratic Society. Washington, DC: The National Academies Press. https://www.nap.edu/catalog/5138/understanding-risk-informing-decisions-in-a-democratic-society risk, involvement, engagement, public perception

≡ Society for Risk Analysis Glossary

≡ OPEN ACCESS Society for Risk Analysis (2018) Society for Risk Analysis Glossaryhttps://www.sra.org/sites/default/files/pdf/SRA%20Glossary%20-%20FINAL.pdf definitions, risk, risk management

Note: References marked with ≡ are OPEN ACCESS.

A Ladder of Citizen Participation

Arnstein, S. R. (1969). A Ladder of Citizen Participation. Journal of the American Institute of Planners, 35(4), pp. 216-224.  https://www.tandfonline.com/doi/abs/10.1080/01944366908977225 public participation, involvement, decision-making

Risk and Public Involvement in Technology Governance

Cotton, M. (2014) Risk and Public Involvement in Technology Governance. In: Cotton, M. (ed.), Ethics and Technology Assessment: A Participatory Approach. Berlin: Springer, pp. 1-23. https://www.springer.com/gp/book/9783642450877  public participation, engagement, involvement, risk, ethics

≡ Making Better Decisions Through Citizens Involvement

≡ OPEN ACCESS Creighton, J.L. (2005) Making Better Decisions Through Citizens Involvement. The Public Participation Handbook. New York: Wiley Publisher. https://smartnet.niua.org/sites/default/files/resources/Public%20Participation%20Handbook.pdf  public participation, implementation, engagement, media management, communication

Three Tools for Evaluating Participation: Focus Groups, Q Method, and Surveys

Danielson, S., Tuler, S.P., Santos, S.L., Webler, T. & Chess, C. (2012) Three Tools for Evaluating Participation: Focus Groups, Q Method, and Surveys. Environmental Planning, 14(2), pp. 101-109. https://www.tandfonline.com/doi/abs/10.1017/S1466046612000026 survey, methods, participation, involvement, engagement

≡ Mobility Should be Fun.

≡ OPEN ACCESS De Hert, P. & Bellanova, R. (2011) Mobility Should be Fun. A Consumer (Law) Perspective on Border Check Technology. The Scientific World Journal, 11, pp. 490-502. https://www.hindawi.com/journals/tswj/2011/271042/  security, public participation, biometrics, data protection

≡ Smart and secure borders through automated border control systems in the EU

≡ OPEN ACCESS Lehtonen, P. & Aalto, P. (2017) Smart and secure borders through automated border control systems in the EU? The views of political stakeholders in the Member States. European Security, 26(2), pp. 207-225. https://www.tandfonline.com/doi/full/10.1080/09662839.2016.1276057 smartborder, stakeholder perception, engagement, automation, stakeholder participation

≡ Stakeholder Involvement Techniques. Short Guide and Annotated Bibliography

≡ OPEN ACCESS Mays, C. (2004) Stakeholder Involvement Techniques. Short Guide and Annotated Bibliography. Organisation for Economic Co-operation and Development (OECD), pp. 7- 11. http://www.oecd-nea.org/rwm/reports/2004/nea5418-stakeholder.pdf stakeholder participation, involvement, methods

Information Disclosure to Biometric E-gates: The Roles of Perceived Security, Benefits and Emotions

Morosan, C. (2017) Information Disclosure to Biometric E-gates: The Roles of Perceived Security, Benefits and Emotions. Journal of Travel Research, 57(5), pp. 644-657. Available from: https://journals.sagepub.com/doi/abs/10.1177/0047287517711256 privacy, information systems, biometrics, public perception, emotions

≡ Non-use of Automated Border Control-Systems: Identifying Reasons and Solutions

≡ OPEN ACCESS Oostveen, A-M. (2014) Non-use of Automated Border Control-Systems: Identifying Reasons and Solutions. Conference Paper. https://www.scienceopen.com/hosted-document?doi=10.14236/ewic/HCI2014.36 design, travel facilitation, involvement, engagement

≡ Evaluating Methods for Public Participation: Literature Review

≡ OPEN ACCESS Petts, J. & Leach, B. (2000) Evaluating Methods for Public Participation: Literature Review. R&D Technical Report E135, pp. 17-56. https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/290295/stre135-e-e.pdf  public participation, stakeholders, methods, involvement

3 Border management law (EU)

The legal framework for managing borders and migration in the European Union is complex. In the following sub-sections you will find an overview of the relevant legislations on EU large scale databases such as the Schengen Information System (SIS II), the Visa Information System (VIS) and the Entry-Exit System (EES) and their interoperability. It also covers relevant legislations covering the exchange of information between relevant authorities in migration management and contains for example the legislative framework of Passenger Name Records (PNR) and Advanced Passenger Information (API). In addition, the overview contains relevant information on the guidelines and handbooks for the practices of border guards and automated systems for border checks. The overview also contributes with relevant international standards on biometric technologies and automated systems for border control. 

Note: References marked with ≡ are OPEN ACCESS.

≡ Commission Implementing Decision (EU) 2019/329

≡ OPEN ACCESS Commission Implementing Decision (EU) 2019/329 of 25 February 2019 laying down the specifications for the quality, resolution and use of fingerprints and facial image for biometric verification and identification in the Entry/Exit System (EES). https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32019D0329

≡ Council Decision 2007/533/JHA

≡ OPEN ACCESS Council Decision 2007/533/JHA of 12 June 2007 on the establishment, operation and use of the second generation Schengen Information System (SIS II), OJ L 205. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32007D0533 information systems, Schengen, law enforcement authorities (LEA), border control

Council Directive 2004/82/EC

Council Directive 2004/82/EC of 29 April 2004 on the obligation of carriers to communicate passenger data, OJ L 261. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32004L0082

≡ Council Regulation (EC) 2002/1030

≡ OPEN ACCESS Council Regulation (EC) 2002/1030 of 13 June 2002 laying down a uniform format for residence permits for third-country nationals, OJ L 157. https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX%3A32002R1030

≡ Council Regulation (EC) 2004/2252

≡ OPEN ACCESS Council Regulation (EC) 2004/2252 of 13 December 2004 on standards for security features and biometrics in passports and travel documents issued by Member States, OJ L 385. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex:32004R2252

≡ Directive 2004/38/EC

≡ OPEN ACCESS Directive 2004/38/EC of the European Parliament and of the Council of 29 April 2004 on the right of citizens of the Union and their family members to move and reside freely within the territory of the Member States amending Regulation (EEC) No 1612/68 and repealing Directives 64/221/EEC, 68/360/EEC, 72/194/EEC, 73/148/EEC, 75/34/EEC, 75/35/EEC, 90/364/EEC, 90/365/EEC and 93/96/EEC (Text with EEA relevance), OJ L 158. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32004L0038

≡ Directive (EU) 2016/681

≡ OPEN ACCESS Directive (EU) 2016/681 of the European Parliament and of the Council of 27 April 2016 on the use of passenger name record (PNR) data for the prevention, detection, investigation and prosecution of terrorist offences and serious crime, OJ L 119. https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX%3A32016L0681

≡ Regulation (EC) 2008/767

≡ OPEN ACCESS Regulation (EC) 2008/767 of the European Parliament and of the Council of 9 July 2008 concerning the Visa Information System (VIS) and the exchange of data between Member States on short-stay visas (VIS Regulation), OJ L 218. https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=celex%3A32008R0767 information systems, Schengen, border control

≡ Regulation (EU) 2013/603

≡ OPEN ACCESS Regulation (EU) 2013/603 of the European Parliament and of the Council of 26 June 2013 on the establishment of ‘Eurodac’ for the comparison of fingerprints for the effective application of Regulation (EU) No 604/2013 establishing the criteria and mechanisms for determining the Member State responsible for examining an application for international protection lodged in one of the Member States by a third-country national or a stateless person and on requests for the comparison with Eurodac data by Member States’ law enforcement authorities and Europol for law enforcement purposes, and amending Regulation (EU) No 1077/2011 establishing a European Agency for the operational management of large-scale IT systems in the area of freedom, security and justice, OJ L 180. https://eur-lex.europa.eu/legal-content/en/TXT/?uri=CELEX%3A32013R0603  information systems, border control, Schengen

≡ Regulation (EU) 2013/1052

≡ OPEN ACCESS Regulation (EU) 2013/1052 of the European Parliament and of the Council of 22 October 2013 establishing the European Border Surveillance System (Eurosur), OJ L 295. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32013R1052

≡ Regulation (EU) 2016/399

≡ OPEN ACCESS Regulation (EU) 2016/399 of the European Parliament and of the Council of 9 March 2016 on a Union Code on the rules governing the movement of persons across borders (Schengen Borders Code), OJ L 77. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32016R0399 Schengen, border control

≡ Regulation (EU) 2016/1624

≡ OPEN ACCESS Regulation (EU) 2016/1624 of the European Parliament and of the Council of 14 September 2016 on the European Border and Coast Guard and amending Regulation (EU) 2016/399 of the European Parliament and of the Council and repealing Regulation (EC) No 863/2007 of the European Parliament and of the Council, Council Regulation (EC) No 2007/2004 and Council Decision 2005/267/EC, OJ L 251. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32016R1624 Frontex, Schengen, border control

≡ Regulation (EU) 2017/2226

≡ OPEN ACCESS Regulation (EU) 2017/2226 of the European Parliament and of the Council of 30 November 2017 establishing an Entry/Exit System (EES) to register entry and exit data and refusal of entry data of third-country nationals crossing the external borders of the Member States and determining the conditions for access to the EES for law enforcement purposes, and amending the Convention implementing the Schengen Agreement and Regulations (EC) No 767/2008 and (EU) No 1077/2011, OJ L 327. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32017R2226 information systems, border control, Schengen

≡ Regulation (EU) 2018/1240

≡ OPEN ACCESS Regulation (EU) 2018/1240 of the European Parliament and of the Council of 12 September 2018 establishing a European Travel Information and Authorisation System (ETIAS) and amending Regulations (EU) No 1077/2011, (EU) No 515/2014, (EU) 2016/399, (EU) 2016/1624 and (EU) 2017/2226, OJ L 236. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1240

≡ Regulation (EU) 2019/816

≡ OPEN ACCESS Regulation (EU) 2019/816 of the European Parliament and of the Council of 17 April 2019 establishing a centralised system for the identification of Member States holding conviction information on third-country nationals and stateless persons (ECRIS-TCN) to supplement the European Criminal Records Information System and amending Regulation (EU) 2018/1726, PE/88/2018/REV/1, OJ L 135. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2019.135.01.0001.01.ENG&toc=OJ:L:2019:135:FULL information systems, border control

Regulation (EU) 2019/817

Regulation (EU) 2019/817 of the European Parliament and of the Council of 20 May 2019 on establishing a framework for interoperability between EU information systems in the field of borders and visa and amending Regulations (EC) No 767/2008, (EU) 2016/399, (EU) 2017/2226, (EU) 2018/1240, (EU) 2018/1726 and (EU) 2018/1861 of the European Parliament and of the Council and Council Decisions 2004/512/EC and 2008/633/JHA, OJ L 135. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32019R0817

Regulation (EU) 2019/818

Regulation (EU) 2019/818 of the European Parliament and of the Council of 20 May 2019 on establishing a framework for interoperability between EU information systems in the field of police and judicial cooperation, asylum and migration and amending Regulations (EU) 2018/1726, (EU) 2018/1862 and (EU) 2019/816, OJ L 135. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32019R0818

≡ Regulation (EU) 2019/1157

≡ OPEN ACCESS Regulation (EU) 2019/1157 of the European Parliament and of the Council of 20 June 2019 on strengthening the security of identity cards of Union citizens and of residence documents issued to Union citizens and their family members exercising their right of free movement, OJ L 188. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32019R1157

≡ Treaty on European Union

≡ OPEN ACCESS Treaty on European Union, OJ C 326. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A12012M%2FTXT

≡ Treaty on the Functioning of the European Union

≡ OPEN ACCESS Treaty on the Functioning of the European Union, OJ C 326. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A12012E%2FTXT

Note: References marked with ≡ are OPEN ACCESS.

Biometrics Institute Good Practice Framework

Biometrics Institute (2020) Biometrics Institute Good Practice Framework. https://www.biometricsinstitute.org/biometrics-institute-good-practice-framework/ biometrics, governance, risk, decision-making, ethics

≡ Best Practice Guidelines on the Design, Deployment and Operation of Automated Border Crossing Systems

≡ OPEN ACCESS Frontex (2011) Best Practice Guidelines on the Design, Deployment and Operation of Automated Border Crossing Systems. https://frontex.europa.eu/assets/Publications/Research/ABC_Best_Practice_Guidelines.pdf  automation, standardisations, border guards’ practices

≡ Fundamental Rights Training for Border Guards. 

≡ OPEN ACCESS Frontex (2013) Fundamental Rights Training for Border Guardshttps://frontex.europa.eu/assets/Publications/Training/Fundamental_Rights_Training_for_Border_Guardsl.pdf

≡ Best Practice Operational Guidelines for Automated Border Control (ABC) Systems.

≡ OPEN ACCESS Frontex (2016) Best Practice Operational Guidelines for Automated Border Control (ABC) Systems. https://frontex.europa.eu/publications/best-practice-operational-guidelines-for-automated-border-control-abc-systems-WJLwNL  

≡ Best Practice Technical Guidelines for Automated Border Control (ABC) Systems.

≡ OPEN ACCESS Frontex (2016) Best Practice Technical Guidelines for Automated Border Control (ABC) Systems. https://frontex.europa.eu/publications/best-practice-technical-guidelines-for-automated-border-control-abc-systems-3ZjKHL ISO/IEC TR 24714 (2008) information technology, biometrics, jurisdictional and societal considerations for commercial applications.

Traveller processes for biometric recognition in automated border control systems

International Organization for Standardization (2015) Traveller processes for biometric recognition in automated border control systems. ISO/IEC TR 29195. https://www.iso.org/standard/45274.html

Pictograms, icons and symbols for use with biometric systems

International Organization for Standardization (2017) Information technology – Cross-jurisdictional and societal aspects of implementation of biometric technologies – Pictograms, icons and symbols for use with biometric systems. Part 4: Fingerprint applications. ISO/IEC 24779-4. https://www.iso.org/standard/60477.html

Guidance on biometric enrolment

International Organization for Standardization (2018) Information technology – Guidance on biometric enrolment. ISO/IEC TR 29196. https://www.iso.org/standard/70951.html

Extensible biometric data interchange formats

International Organization for Standardization (2019) Information technology – Extensible biometric data interchange formats. Part 5: Face image data. ISO/IEC 39794-5. https://www.iso.org/standard/72156.html

Pictograms, icons and symbols for use with biometric systems. Part 5: Face applications

International Organization for Standardization (2020) Information technology – Cross-jurisdictional and societal aspects of implementation of biometric technologies – Pictograms, icons and symbols for use with biometric systems. Part 5: Face applications. ISO/IEC 24779-5. https://www.iso.org/standard/70909.html

4 Fundamental rights and border control

New technologies for border control must be designed, made, and implemented in respect of the fundamental rights of the persons affected by the technology. Technologies made under the framework of the EU Smartborder bears the risk of breaching fundamental rights such as human dignity, respect for private and family life, right to protection of personal data and non-discrimination. The aspect of fundamental rights is especially important considering the respect of the numbers of persons affected by the implementation of the technology, the type of information that is processed, the means used to process that type of information as well as the purposes of the data collection. In the following sub-sections you will find the legislative framework on fundamental rights as well as some explanatory literature that illustrates the ways in which new technologies can or have violated the fundamental rights of travellers. The examples illustrate for example cases of racial and ethnical discrimination and how persons with disabilities tend to be excluded from the use of automated border control-solutions.

Note: References marked with ≡ are OPEN ACCESS.

≡ Charter of Fundamental Rights of the European Union

≡ OPEN ACCESS Charter of Fundamental Rights of the European Union, OJ C 202. https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:12012P/TXT

≡ Convention for the Protection of Human Rights and Fundamental Freedoms

≡ OPEN ACCESS Convention for the Protection of Human Rights and Fundamental Freedoms, 4 November 1950, European Treaty Series (ETS) 5. https://www.coe.int/en/web/conventions/full-list/-/conventions/rms/0900001680063765

Note: References marked with ≡ are OPEN ACCESS.

Human Rights

Arosemena G. (2017) Human Rights. In: Hage J., Waltermann A., Akkermans B. (eds.), Introduction to Law. Cham: Springer, pp. 303-329. https://link.springer.com/chapter/10.1007%2F978-3-319-57252-9_13 historical overview, fundamental rights

Race After Technology: Abolitionist Tools for the ne Jim Code

Benjamin, R. (2019) Race After Technology: Abolitionist Tools for the ne Jim Code. New Jersey: Wiley. https://www.wiley.com/en-us/Race+After+Technology:+Abolitionist+Tools+for+the+New+Jim+Code-p-9781509526437 discrimination, fundamental rights, automation

≡ Justice and Home Affairs Databases and a Smart Borders System at EU External Borders: An Evaluation of Current and Forthcoming Proposals

≡ OPEN ACCESS Bigo, D., Carrera, S., Hayes, B., Hernanz, N. & Jeandesboz, J. (2012) Justice and Home Affairs Databases and a Smart Borders System at EU External Borders: An Evaluation of Current and Forthcoming Proposals. https://www.ceps.eu/ceps-publications/justice-and-home-affairs-databases-and-smart-borders-system-eu-external-borders/ smartborder, privacy, data protection, information systems, fundamental rights

Digital Borders and Real Rights

Brouwer, E. (2008) Digital Borders and Real Rights. Effective Remedies for Third-Country Nationals in the Schengen Information System. Available from: https://brill.com/view/title/14759 information systems, border control, privacy, data processing, data protection

Legal Boundaries and the Use of Migration Technology.

Brouwer, E. (2011) Legal Boundaries and the Use of Migration Technology. In: Dijstelbloem, H. & Meijer, A. (eds.), Migration and the New Technological Borders of Europe. London: Palgrave Macmillan, pp. 134-169. https://www.palgrave.com/gp/book/9780230278462  biometrics, information systems, fundamental rights, profiling

≡ Protect rights at automated borders.

≡ OPEN ACCESS Clavell, G.G. (2017) Protect rights at automated borders. Nature, 543, pp. 34-36. https://www.nature.com/news/polopoly_fs/1.21543!/menu/main/topColumns/topLeftColumn/pdf/543034a.pdf  automation, biometrics, fundamental rights, data

≡ Human rights teaching resources.

≡ OPEN ACCESS Council of Europe (no year) Human rights teaching resources. https://echr.coe.int/Documents/Pub_coe_Teaching_resources_ENG.pdf fundamental rights, historical overview

≡ Assessing the necessity of measures that limit the fundamental right to the protection of personal data: A Toolkit

≡ OPEN ACCESS European Data Protection Supervisor (2017) Assessing the necessity of measures that limit the fundamental right to the protection of personal data: A Toolkit. https://edps.europa.eu/sites/edp/files/publication/17-06-01_necessity_toolkit_final_en.pdf  data, data protection, fundamental rights

≡ EDPS Guidelines on assessing the proportionality of measures that limit the fundamental rights to privacy and to the protection of personal data

≡ OPEN ACCESS European Data Protection Supervisor (2019) EDPS Guidelines on assessing the proportionality of measures that limit the fundamental rights to privacy and to the protection of personal data. https://edps.europa.eu/sites/edp/files/publication/19-12-19_edps_proportionality_guidelines2_en.pdf fundamental rights, data protection, privacy, data

≡ Interoperability between EU border and security information systems.

≡ OPEN ACCESS European Parliament (2019) Interoperability between EU border and security information systems. https://www.europarl.europa.eu/RegData/etudes/BRIE/2018/628267/EPRS_BRI(2018)628267_EN.pdf  information systems, information and communications technology (ICT), border control, interoperability, fundamental rights

≡ Under watchful eyes: biometrics, EU IT systems and fundamental rights.

≡ OPEN ACCESS European Union Agency for Fundamental Rights (2018) Under watchful eyes: biometrics, EU IT systems and fundamental rights. https://fra.europa.eu/sites/default/files/fra_uploads/fra-2018-biometrics-fundamental-rights-eu_en.pdf   Information and communications technology (ICT), information systems, fundamental rights, biometrics

≡ Preventing unlawful profiling today and in the future: a guide

≡ OPEN ACCESS European Union Agency for Fundamental Rights (2018) Preventing unlawful profiling today and in the future: a guide. https://fra.europa.eu/sites/default/files/fra_uploads/fra-2018-preventing-unlawful-profiling-guide_en.pdf  fundamental rights, risk

≡ Fundamental rights implications of storing biometric data in identity documents and residence cards

≡ OPEN ACCESS European Union Agency for Fundamental Rights (2018) Fundamental rights implications of storing biometric data in identity documents and residence cards. https://fra.europa.eu/sites/default/files/fra_uploads/fra-2018-opinion-biometric-data-id-cards-03-2018_en.pdf biometrics, travel documents, fundamental rights

≡ Facial recognition technology: fundamental rights considerations in the context of law enforcement

≡ OPEN ACCESS European Union Agency for Fundamental Rights (2020) Facial recognition technology: fundamental rights considerations in the context of law enforcement. https://fra.europa.eu/sites/default/files/fra_uploads/fra-2019-facial-recognition-technology-focus-paper-1_en.pdf   facial recognition, biometrics, fundamental rights, automation

Using technology to draw borders: fundamental rights for the Smart Borders initiative.

Hendow, M., Cibea, A. & Kraler, A. (2015) Using technology to draw borders: fundamental rights for the Smart Borders initiative. Journal of Information, Communication and Ethics in Society, 13(1), pp. 39-57. https://www.emerald.com/insight/content/doi/10.1108/JICES-02-2014-0008/full/html  fundamental rights, smartborder, biometrics, automation

The requirement of accessibility: European automated border control systems for persons with disabilities.

Oosteveen, A-M. & Lehtonen, P. (2018) The requirement of accessibility: European automated border control systems for persons with disabilities. Technology in Society, 52, pp. 60-69. https://www.sciencedirect.com/science/article/abs/pii/S0160791X17300878 disability, accessibility, border control, automation

Rights that trump: Surveillance-based migration governance and a substantial right to mobility

Palm, E. (2013) Rights that trump: Surveillance-based migration governance and a substantial right to mobility. Journal of Information, Communication and Ethics in Society, 11(4). https://www.emerald.com/insight/content/doi/10.1108/JICES-06-2013-0016/full/html refugees, fundamental rights, ethics, governance

≡ Usability in Public Services and Border Control. New Technologies and Challenges for People with Disability

≡ OPEN ACCESS Pirelli, G. (2009) Usability in Public Services and Border Control. New Technologies and Challenges for People with Disability. JRC Scientific and Technical Reports. https://publications.jrc.ec.europa.eu/repository/bitstream/JRC52874/reqno_jrc52874_usability_in_public_services_and_border_control_final.pdf disability, accessibility, biometrics, border control

5 Privacy law and data protection law

The task of controlling the external border of the European Union is characterised by its dual object of facilitating border check procedures for the majority of the travellers crossing the border, and at the same time stop those who pose a threat to the security of the Union by being or having the potential of becoming an irregular immigrant, as well as criminals and terrorists. The overlap of these goals has for example led to a growing reliance on interoperability between different large-scale databases as well as information exchange between different authorities relevant for the migration management context. This development can have negative impacts on fundamental rights in general, but data protection and privacy in particular. In the following sub-sections you will find the relevant legislations on data protection and privacy such as the General Data Protection Regulation (GDPR) and the Law Enforcement Directive (LED). In addition, explanatory literature follows that both explains the legislative framework in detail and illustrates with concrete examples how new technologies poses risks to the data protection and privacy of the people affected.

6 Ethics of border control technologies and biometrics

The Greek word “ethos” means “character” and refers to the guiding beliefs or ideals that characterise a community, nation, or ideology. The technologization of the external borders of the European Union that have been developing for the last 15 years has shaped and changed the character of the ways in which border checks are performed. Smarter and automated measures based on biometric technology, such as facial recognition, have played an important role in this respect. It is therefore important to examine the ethical impacts of this transformation of the border control procedures, and especially in regard of transparency and the democratic governance of personal data. In the following section you will find ethical guidelines for the making and development of new technologies for border management. Such guidelines are important at all steps of the process, from the laboratories to the border, and they are fundamental to ensuring the protection of traveller’s rights, for example regarding autonomy and dignity. In the case of border management and biometrics, this does for instance mean that an individual should not be reduced to a number based on a measurement of a bodily attribute or behaviour, but that his or her personal story also must be taken into account in order to protect the individual’s human dignity.

7 Societal acceptance of technology

New technologies implemented in the border management context changes and shapes the character of border control procedures simultaneously as this impacts the human experience of crossing the border. How travellers experience these new solutions is important for the success of the implementation. The societal acceptance of new technologies for border control is therefore important for the performance of the technology, and should therefore be taken into consideration by designers, engineers and decision-makers. One aspect of societal acceptance is related to the technology’s applicability with laws and regulations and that they follow ethical principles and values. A second aspect of societal acceptance is the perceived and experienced usefulness and ease of use of the technology. Assessing this aspect of the technology might reveal the positive or negative feelings and emotions that travellers might experience when they are required to perform a specific task with a specific behaviour in order to cross the border. To assess the societal acceptance of a new technology, it is necessary to engage and involve the public and this can for instance be done through questionnaires. In the following section you will find literature on both what societal acceptance is, why it is an important element of the implementation process as well as how societal acceptance can be measured.

Suggestions for further literature would be most welcome. Please send your suggestion(s) to Kristoffer@prio.org.
This literature guide was developed by Emilie Hermansen (PRIO).