OIM - Beyond Borders The Role of Consular Services in Legal Identity and Identity Management

1 BEYOND BORDERS The Role of Consular Services in Legal Identity and Identity ManagementThe opinions expressed in this publication are those of the authors and do not necessarily reflect the views of the International Organization for Migration (IOM). The designations employed and the presentation of material throughout the publication do not imply expression of any opinion whatsoever on the part of IOM concerning the legal status of any country, territory, city or area, or of its authorities, or concerning its frontiers or boundaries. This publication adheres to the IOM Legal Identity Strategy which lays the foundation for supporting individuals, States, and governments to meet Sustainable Development Goals (SDG) Target 16.9 and Objective 4 of the Global Migration Compact. IOM is committed to the principle that humane and orderly migration benefits migrants and society. As an intergovernmental organization, IOM works with its partners in the international community to assist in meeting the operational challenges of migration, advance understanding of migration issues, encourage social and economic development through migration, and uphold the human rights, human dignity and well-being of migrants. This publication was made with the support of the IOM Global Cooperation on Migration and Partnerships for Sustainable Solutions (COMPASS) initiative, designed to protect people on the move, combat human trafficking and smuggling, and support dignified return and sustainable reintegration. The programme focuses on systemic changes that are critical to addressing the underlying causes of migrants’ vulnerability, gender equality, and exclusion, including in humanitarian and fragile settings; supporting rights-based policies and legislation; equitable access to essential protection services; strengthening local partnerships for migrant inclusion and social cohesion; access to legal identity; reinforcing data-driven responses; and influencing social behaviours and norms. The programme is being implemented in partnership with 14 Partner States.

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1211 Geneva 19

Switzerland T el.: +41 22 717 9111

Fax: +41 22 798 6150

Email: hq@iom.int Website: www.iom.int This publication was issued without formal editing by IOM.

Required citation: International Organization for Migration (IOM)(2025). Beyond Borders: The Role of Consular Services in Legal Identity and Identity Management. IOM, Geneva.

Coordination: Nelson Goncalves, Aijan Boronbaeva, Julia de Bresser and Isabella Dourado.

Design: Sidi Sougou

ISBN 978-92-9278-017-3 (PDF)

© IOM 2025 Some rights reserved. This work is made available under the Creative Commons Attribution-NonCommercial-No Derivs 3.0 IGO License (CC BY-NC-ND 3.0 IGO). For further specifications please see the Copyright and T erms of Use. This publication should not be used, published or redistributed for purposes primarily intended for or directed towards commercial advantage or monetary compensation, with the exception of educational purposes, e.g. to be included in textbooks.

Permissions: Requests for commercial use or further rights and licensing should be submitted to publications@iom.int. https://creativecommons.org/licenses/by-nc-nd/3.0/igo/legalcode PUB2025/033/RBEYOND BORDERS The Role of Consular Services in Legal

Identity and Identity Managementiii CONTENTS LIST OF FIGURES......................................................................................................................................................................................... iv ABBREVIATIONS......................................................................................................................................................................................... v EXECUTIVE SUMMARY............................................................................................................................................................................ vi PART 1. INTRODUCTION..................................................................................................................................................................... 1

PART 2. GENERAL PRINCIPLES FOR PROVIDING CONSULAR SERVICES................................................................. 3

PART 3. CONSULATES REPRESENTING ANOTHER COUNTRY’S GOVERNMENT IN A THIRD COUNTRY TO PROVIDE CONSULAR SERVICES ON ITS BEHALF...................................................... 12

PART 4. CORE PRINCIPLES TO ESTABLISH EVIDENCE OF IDENTITY (EOI)............................................................. 17

PART 3. CONSULATES REPRESENTING ANOTHER COUNTRY’S GOVERNMENT IN A THIRD COUNTRY TO PROVIDE CONSULAR SERVICES ON ITS BEHALF...................................................... 12

PART 4. CORE PRINCIPLES TO ESTABLISH EVIDENCE OF IDENTITY (EOI)............................................................. 17

PART 5. DATA PROTECTION AND PRIVACY IN CONSULAR SERVICES.................................................................... 34

PART 6. PROCESSES – ISSUING IDENTITY AND TRAVEL DOCUMENTS.................................................................. 39

PART 7. PROCESSES – CIVIL REGISTRATION AND CIVIL RECORDS UPDATES..................................................... 45

PART 8. CONSULAR PROTECTION AND ASSISTANCE IN CHALLENGING CIRCUMSTANCES OR SPECIAL SITUATIONS SUCH AS AN EMERGENCY OR CRISIS................................................................................ 58 PART 9. CONSULAR CHALLENGES IN IDENTIFICATION AND VERIFICATION OF IDENTITY, DOCUMENT EXAMINATION, AND FRAUD DETECTION................................................................................................. 65

PART 10. DOCUMENT EXAMINATION AND FRAUD DETECTION............................................................................. 68

PART 11. WHAT TO DO IF FRAUD IS DETECTED.................................................................................................................. 81 PART 12. OVERVIEW OF INTERNATIONAL STANDARDS CONCERNING TRAVEL DOCUMENT ISSUANCE...................................................................................................................................................... 83iv Figure 1. Passport fraud may involve the use of genuine or counterfeit documents 70 Figure 2. Common methods used to alter secure travel documents 71 Figure 3. Simulated security fibres 72 Figure 4. Genuine and simulated security treads 72 Figure 5. Simulated and genuine watermarks 73 Figure 6. Example 1 of counterfeit and genuine pages 73 Figure 7. Example 2 of counterfeit and genuine pages 74 Figure 8. False intaglio print: genuine intaglio (left) compared with intaglio

imitated by thermography (right) 74 Figure 9. Fantasy and camouflage passport 76 Figure 10. ICAO standards for eMRTDs lead to interoperable documents 84 Figure 11. Visual inspection zone on a passport 85 Figure 12. Facial Image 86 Figure 13. Digitally reproduced signature into the passport data page 86 Figure 14. Fingerprint 86 Figure 15. Machine readable zone 87 Figure 16. ICAO eMRTD symbol 88

LIST OF FIGURESv

ASEAN Association of Southeast Asian Nations CARICOM Caribbean Community CRC Convention on the Rights of the Child CRVS Civil Registration and Vital Statistics eMRTD electronic Machine-Readable Travel Document EOI Evidence of Identity FALP ICAO Facilitation Panel GDPR General Data Protection Regulation ICAO International Civil Aviation Organization ICCPR International Covenant on Civil and Political Rights ICRMW International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families IDVT Identification Document Validation T echnology IOM International Organization for Migration MRTD Machine Readable Travel Document MRZ Machine-Readable Zone PACE Password Authenticated Connection Establishment QR Quick Response (QR) Code SDG Sustainable Development Goals SLTD Stolen or Lost Travel Document TRIP Traveller Identification Programme UDHR Universal Declaration of Human Rights UNHCR United Nations High Commissioner for Refugees VCCR Vienna Convention on Consular Relations VIZ Visual Inspection Zone

ABBREVIATIONSvi

Executive Summary This manual provides a comprehensive framework for strengthening consular services to advance the global commitment to ensuring legal identity for all, as outlined in key international frameworks such as the Sustainable Development Goals (SDG), the Global Compact for Migration, and the IOM Legal Identity Strategy. With an estimated 850 million individuals worldwide lacking proof of legal identity, this document highlights the critical role consular services play in addressing these gaps and ensuring access to essential services, human rights, and regular migration pathways.vii Main highlights and insights from the Manual: Legal Identity as a Cornerstone: Legal identity, as defined by the United Nations

proof of legal identity, this document highlights the critical role consular services play in addressing these gaps and ensuring access to essential services, human rights, and regular migration pathways.vii Main highlights and insights from the Manual: Legal Identity as a Cornerstone: Legal identity, as defined by the United Nations Legal Identity Agenda (UNLIA), refers to the basic characteristics of an individual’s identity, such as name, sex, place, and date of birth, conferred through civil registration and the issuance of a birth certificate or other official identity documents. This definition underscores the importance of legal identity for safeguarding individual human rights and strengthening public governance. The manual also aligns with international commitments, such as SDG Target 16.9, which seeks to “provide legal identity for all, including birth registration, by 2030,” as outlined in the UNLIA framework.” Objective 4 of the Global Compact for Migration calls for governments to “ensure that all migrants have proof of legal identity and adequate documentation.” Consular Responsibilities: Consular services are instrumental in issuing and verifying identity and travel documents, certifying vital events (e.g. births, marriages, divorces, adoptions and deaths), and providing documentation to migrants, including those lacking proof of identity. These functions enhance migration management by enabling safe access to regular pathways, ensuring protection outcomes, and preventing fraud. Core Components of Evidence of Identity (EOI): ─ Validation Standards: The manual outlines rigorous methods for establishing identity using breeder documents, biometrics, and other verifiable data sources. In addition, validation standards ensure protection against exploitation and trafficking in persons. ─ Lifecycle Identity Management: From birth registration to issuing travel documents, consulates ensure individuals’ identities are recognized and protected throughout their lives. Integration of International Standards: Consular services are regulated by international standards set by the Vienna Convention on Consular Relations (VCCR) and International Civil Aviation Organization (ICAO) guidelines. Adopting and implementing these standards ensures the reliability

ensure individuals’ identities are recognized and protected throughout their lives. Integration of International Standards: Consular services are regulated by international standards set by the Vienna Convention on Consular Relations (VCCR) and International Civil Aviation Organization (ICAO) guidelines. Adopting and implementing these standards ensures the reliability and global acceptance of issued documents. Safeguarding and Privacy Protections: Recognizing the sensitivity of personal data, the manual emphasizes the importance of robust data protection measures, in respect of the right to privacy of individuals.

Consular services must: ─ Implement privacy-by-design approaches in data handling. ─ Ensure compliance with relevant data protection laws, international frameworks and ethical standards. ─ Protect groups in vulnerable situations, particularly children and victims of trafficking, through traumainformed and rights-based practices.

Strategic Capacity Development for Consular Services: ─ Document verification and fraud detection techniques. ─ Profiling and interview techniques. ─ Handling sensitive cases with cultural and gender competence. ─ Facilitating identity services for populations in vulnerable situations, including stateless individuals and unaccompanied and separated children. This manual equips Member States to advance legal identity systems that are inclusive, secure, and aligned with global standards by fostering collaboration between consular services, international organizations, and host governments. It serves as both a practical guide and a policy resource, enabling consular authorities to fulfil their critical role in safeguarding the rights and identities of migrants worldwide.1 Part 1. Introduction The lack of proof of legal identity affects millions globally, with an estimated 850 million individuals unable to access the fundamental rights and services tied to official documentation. This limitation impacts their right to recognition before the law and their ability to exercise human rights, access education, health care, justice, social services, financial systems and mobility, and it often compels reliance on irregular migration pathways fraught with risks. For migrants, consular services play a crucial role by providing safe access to civil registration processes,

exercise human rights, access education, health care, justice, social services, financial systems and mobility, and it often compels reliance on irregular migration pathways fraught with risks. For migrants, consular services play a crucial role by providing safe access to civil registration processes, issuing essential identity and travel documents, and certifying key life events such as births, deaths, marriages, divorces and adoptions. These services are indispensable for migration processes, including admission, return, readmission and stay, such as legal status adjustments and extensions. By addressing documentation gaps, consular services empower migrants to access rights and services while navigating regular migration pathways more securely and predictably.2 Recognizing the transformative role of legal identity, the international community has established clear commitments through global frameworks. Sustainable Development Goal (SDG) Target 16.9 calls for “legal identity for all, including birth registration” as part of the 2030 Agenda’s pledge to “leave no one behind.” Similarly, the Global Compact for Safe, Orderly, and Regular Migration emphasizes the need for proof of legal identity in its Objective 4 and highlights the importance of consular cooperation in its Objective 14, particularly in issuing identity and travel documents. The IOM’s Institutional Strategy on Legal Identity supports these global objectives. A central component of the strategy is assisting consulates in facilitating civil registration processes, issuing identity and travel documents, and supporting nationals abroad. This approach promotes equitable access to legal identity, focusing on individuals in vulnerable situations, while helping States uphold international standards and foster inclusive identity systems. Objectives of the Manual This manual is designed to guide States in enhancing their consular services by equipping consular staff worldwide with a comprehensive understanding of legal identity within the context of consular assistance and protection. It serves as a resource to clarify the key principles and frameworks that underpin consular support, offering practical guidance on the general principles of assistance and protection.

consular staff worldwide with a comprehensive understanding of legal identity within the context of consular assistance and protection. It serves as a resource to clarify the key principles and frameworks that underpin consular support, offering practical guidance on the general principles of assistance and protection. Additionally, it provides detailed insights into evidence of identity standards, civil registration processes, and the issuance of identity documents, while emphasizing the importance of adhering to data privacy and protection requirements. Improved expertise in security document examination at consulates is essential for preventing the misuse of fraudulent or fake documents, detecting identity fraud, and protecting systems and affected individuals from abuse. These efforts strengthen migration governance by ensuring robust verification of individuals’ identity, qualifications, and claims, including those of undocumented migrants. The manual outlines a systematic approach to document examination, referencing key documents and actions to take when identity or document fraud is detected. It also highlights the role of consulates in document registration and issuance. Furthermore, the manual provides an overview of international standards for travel documents and their issuance, referencing International Civil Aviation Organization (ICAO) concepts such as Evidence of Identity (EOI) and the Traveller Identification Programme (TRIP). It serves as a foundational resource for developing training materials, including instructions for trainers and slide decks to support effective training sessions.3 Part 2. General Principles for Providing Consular Services4 Legal Identity Even though international law lacks a strict definition of legal identity, the United Nations provides an operational definition: “the basic characteristics of an individual’s identity, e.g. name, sex, place and date of birth conferred through registration and the issuance of a certificate by an authorized civil registration authority following the occurrence of birth. In the absence of birth registration, legal identity may be conferred by a legally recognized identification authority; this system should be linked to the civil registration system to ensure a holistic approach to legal identity from birth to death.”

of birth conferred through registration and the issuance of a certificate by an authorized civil registration authority following the occurrence of birth. In the absence of birth registration, legal identity may be conferred by a legally recognized identification authority; this system should be linked to the civil registration system to ensure a holistic approach to legal identity from birth to death.” Operationally, legal identity is established through civil registration or the issuance of identification documents by a competent authority. It is understood as the administrative recognition of a person through official registration or identification procedures by the State under the rule of law. This process legally attests to their identity and ensures recognition of the rights that derive from it under the State’s laws. Every individual is inherently entitled to dignity and human rights without discrimination, as enshrined in Articles 1 (dignity and equality) and 2 (non-discrimination) of the 1948 Universal Declaration of Human Rights (UDHR). Everyone has the right to be acknowledged as a person and treated equally under the law without discrimination, ensuring inclusive and fair access to legal identity for all, regardless of migratory status. (UDHR, Articles 6 and 7). An individual also has the right to birth registration, to a nationality and to not be arbitrarily deprived thereof (UDHR, Article 15). Recognition everywhere as a person and equality before the law without discrimination is also established by the International Covenant on Civil and Political Rights (ICCPR, Articles 16 and 26). The right to an identity at birth – as guaranteed in Articles 7 and 8 of the Convention on the Rights of the Child (CRC) – derives from the right to be recognized as a person before the law. Consequent to these rights and principles inherent to the human person, all States have the obligation to ensure these rights are respected, protected and fulfilled for all persons under their jurisdiction, de jure and de facto, meaning for all persons who are on the State’s territory or under the State’s effective control, by issuing documented proof of nationality (for their own nationals), and birth and other vital events. These documents facilitate recognition before the law by providing proof of legal identity and vital events.

de facto, meaning for all persons who are on the State’s territory or under the State’s effective control, by issuing documented proof of nationality (for their own nationals), and birth and other vital events. These documents facilitate recognition before the law by providing proof of legal identity and vital events. The operationalization of legal identity is giving proof of it through civil registration or issuance of identification documents by a competent identification authority. Whilst “legal identity” is not defined in international law, we use it to describe the administrative recognition of a person through an official registration or identification procedure by the State under the rule of law, to legally attest to their identity and establish a relationship between individuals and the State, safeguarding rights that derive from this legal identity under the State’s laws. Legal identity belongs to the person, not to the State, but the administrative means of conferring and proving legal identity such as a passport or other documents can be the property of the State. This distinction underscores the universality of the concept of legal identity, which applies to every individual regardless of their location, citizenship, or migratory status. Access to legal identity documentation contributes to fulfilling the human right to be recognized as a person before the law (UDHR, Article 6), and is instrumental for the effective enjoyment of other human rights, including the right to a name and a nationality, the right to health, to work and to education. Although the enjoyment of other human rights does not depend on the possession of a legal identity registered by a competent authority, lacking an official document confirming legal identity is often a barrier that prevents the enjoyment and realization of human rights for millions of people worldwide. Many migrants might face obstacles in accessing legal identity, particularly stateless individuals, stranded or vulnerable migrants, those in precarious situations, victims of human and labour rights violations or abuse, crime victims, migrants subjected to smuggling (including under aggravating circumstances), exploited migrant workers, refugees, asylum-seekers, victims of trafficking, unaccompanied and separated migrant children, persons with diverse SOGIESC, homeless persons, individuals with disabilities, Indigenous People, victims5 of violence, and those displaced by conflict or adverse environmental impacts. Each of these groups faces

workers, refugees, asylum-seekers, victims of trafficking, unaccompanied and separated migrant children, persons with diverse SOGIESC, homeless persons, individuals with disabilities, Indigenous People, victims5 of violence, and those displaced by conflict or adverse environmental impacts. Each of these groups faces unique challenges and vulnerabilities. Specific examples of these impacts are addressed in the UN Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW), which highlights disadvantages and discrimination based on sex and gender that are inextricably linked to identity, and the United Nations Convention on the Rights of Persons with Disabilities (CRPD), which protects the rights of those living with disabilities to preserve their identities. For instance, gender-based barriers may prevent women, including transgender persons, in certain contexts from registering births or obtaining identity documents, limiting their access to services and opportunities. A lack of legal identity documentation can further exacerbate these individuals’ situations by exposing them to additional acts of discrimination and other human rights violations, such as restricted access to education, health care, housing and employment. It may also increase their vulnerability to exploitation, arbitrary detention, statelessness and barriers to justice and legal remedies. In some cases, a legal identity document can serve as a temporary solution in cases of conflict, emergencies and humanitarian situations, which could allow migrants unhindered access to certain rights and services during these times. For stateless persons or migrants, these documents may provide interim, time-bound relief until more durable and preventive solutions are adopted to address issues of nationality and other human rights.6 Consular Assistance Consular assistance is the support provided by States to their nationalsand in some cases to non-nationals (under bilateral or multilateral agreements) in third countries. Such assistance is delivered by consular officers or other representatives, whose roles are distinct from political or diplomatic functions. 1 All nationals of a country of origin, regardless of their migration status, have the right to access consular assistance in both emergency and non-emergency contexts. T ypical services include citizen registration, issuance and extension of travel documents, urgent financial assistance, birth and death registration, return, repatriation and facilitating communication with family members during personal emergencies.2

a country of origin, regardless of their migration status, have the right to access consular assistance in both emergency and non-emergency contexts. T ypical services include citizen registration, issuance and extension of travel documents, urgent financial assistance, birth and death registration, return, repatriation and facilitating communication with family members during personal emergencies.2 The rules governing consular assistance are established under national and international law, particularly the Vienna Convention on Consular Relations (VCCR). The VCCR codifies consular functions, granting States the authority or right – but not the obligation – to provide consular assistance as a matter of international law.3 Ratified by 182 United Nations Member States, the VCCR outlines permissible consular functions, such as: ─ Protecting the interests of the country of origin and its nationals in the receiving State. ─ Furthering commercial, economic, scientific and cultural relations and promoting friendly relations between the sending and receiving States. ─ Issuing passports, travel documents, visas and appropriate documents for those wishing to travel. ─ Helping and assisting nationals of the country of origin, including in emergencies. ─ Registering births, deaths and similar events; performing notarial functions; and acting as a civil registrar. ─ Representing or arranging representation for nationals of the country of origin before tribunals and authorities in the receiving State to protect their rights and interests. ─ Safeguarding the interests of children and other persons who may lack the legal or practical capacity to act on their own behalf. ─ Administering the property of nationals of the country of origin, such as in cases of inheritance. ─ Supervise or inspect vessels carrying the flag of the origin country or aircrafts registered in the origin country, assisting the crew and investigating any incidents that occurred during the voyage. In addition to the consular functions mentioned above, Article 5(m) of the VCCR provides that consulates may perform “any other functions entrusted to a consular post by the country of origin which are not prohibited by the laws and regulations of the receiving State, or to which no objection is taken by the 1 https://legal.un.org/ilc/documentation/english/a_cn4_567.pdf.

may perform “any other functions entrusted to a consular post by the country of origin which are not prohibited by the laws and regulations of the receiving State, or to which no objection is taken by the 1 https://legal.un.org/ilc/documentation/english/a_cn4_567.pdf. 2 www.iom.int/sites/g/files/tmzbdl486/files/documents/2023-07/consular-support-and-citizen-services.pdf. 3 www.iom.int/sites/g/files/tmzbdl2616/files/inline-files/iml_consular_assistance1.pdf. The terms consular protection and consular assistance are often used interchangeably. In this context, “consular assistance” encompasses functions related to both protection and assistance. In contrast, diplomatic protection is an inter State intervention conducted by diplomatic officials on behalf of the State, distinct from consular assistance, which is focused on individual citizens and delivered by consular staff.7 receiving State or which are referred to in the international agreements in force between the sending State and the receiving State.”4 Consular assistance plays a critical role in safeguarding human rights. The 1985 United Nations Declaration on the Human Rights of Individuals Who Are Not Nationals of the Country in Which They Live (adopted under United Nations General Assembly Resolution 40/144) recognizes the right of individuals to communicate with the consular or diplomatic mission of their country of origin. This right ensures access to protection, identity documentation and legal support. Several United Nations resolutions emphasize consular assistance’s role in upholding human rights, such as the right to due process, freedom from arbitrary detention, and access to legal representation, including Resolution 54/166. For instance, when migrants face detention or deportation, consular access can en