Issues with facial recognition technology

Description

Contents Preface Chapter 1 Facial Recognition Technology and Law Enforcement: Select Constitutional Considerations( Abstract Introduction Background on Facial Recognition What Is Facial Recognition Technology? Use by Law Enforcement Current Law Constitutional Considerations The Fourth Amendment General Overview of the Fourth Amendment Surveillance Searches at International Borders Wrongful Arrests and Other Potential Criminal Consequences The First Amendment Equal Protection Proposed Legislation in the 116th Congress Chapter 2 Facial Recognition Technology: Privacy and Accuracy Issues Related to Commercial Uses* Abbreviations Why GAO Did This Study What GAO Recommends What GAO Found Accuracy Privacy Background Federal Roles and Responsibilities The Facial Recognition Commercial Market is Expanding Across a Variety of Uses The Market for Commercial Uses is Expanding Facial Recognition Has a Variety of Commercial Applications Facial Image Data Sets Raise Varying Issues about the Use, Security, and Sharing of Personal Information Privacy and Security Risks Posed by Facial Image Data Sets Can Depend on the Data’s Source, Function, and Application Privacy Considerations Based on the Technology’s Function Privacy Considerations Based on Type of Data Set Training and Testing Data Sets Reference Data Sets Facial Image Data Sets Could Be Sold or Shared, but the Extent to Which They are is Unknown Data Brokers Data Consultants Departments of Motor Vehicles Facial Recognition Performance Differences Exist for Certain Demographics but Could Be Mitigated While Accuracy Has Improved, Performance Differences Often Exist for Certain Demographics NIST Performance Tests Effect of Different Thresholds Facial Analysis Consequences of Performance Differences No Consensus Exists on the Effect of Factors That Could Cause Performance Differences for Certain Demographics Stakeholders Suggested Various Methods That Could Mitigate Performance Differences Federal and State Laws Provide Limited Privacy Protections, and Voluntary Privacy Guidelines Have Been Developed Certain Federal and State Privacy Laws Apply to Facial Recognition Technology but are Limited in Scope Federal Law State Laws European Union’s General Data Protection Regulation Some Stakeholders Have Developed Voluntary Privacy Frameworks Agency Comments List of Requesters Appendix I: Objectives, Scope, and Methodology Chapter 3 Facial Recognition: CBP and TSA Are Taking Steps to Implement Programs, but CBP Should Address Privacy and System Performance Issues( Abbreviations Background Statutes Related to the Biometric Entry­Exit System CBP’s Roles, Responsibilities, and Data Systems for Inspecting Travelers and Implementing a Biometric Entry­Exit System How Facial Recognition Technology Works CBP’s Implementation of Facial Recognition Technology TSA’s Assessment of Facial Recognition Technology for Identity Verification at Checkpoints Privacy Principles and Requirements DHS Acquisition Management Process Prior Audit Reports on CBP’s Efforts to Develop a Biometric Entry­Exit System CBP Has Begun Testing and Deploying Facial Recognition Technology at Ports of Entry Air Exit Status Process Evaluations Future Plans Air Entry Status Process Evaluations Future Plans Seaports Status Process Evaluations Future Plans Land Entry Pedestrian Entry Status Process Evaluations Future Plans Vehicle Land Entry Status Process Evaluations Future Plans Land Exit CBP’s Biometric Entry­Exit Program Incorporates Some Privacy Protection Principles, but Privacy Notices and Audits Are Inconsistent CBP’s Biometric Entry­Exit Program Incorporated Some Privacy Protections CBP’s Privacy Notices to Inform the Public of Facial Recognition Contained Limited Privacy Information and Were Not Consistently Available CBP Online Resources and Call Center Had Incomplete Information Signs at Airports Contained Outdated Information Notices Provided Limited Information on Opting out of Facial Recognition Identity Verification Signs Were Missing or Obscured CBP Has Not Audited Most of Its Partners and Has Not Developed a Plan for Future Audits CBP Found Its Air Exit Facial Recognition Capability Met Accuracy Requirements, but CBP Has Not Fully Monitored Performance CBP Tested the Air Exit Facial Recognition Capability Air Exit Met Accuracy Requirements during Operational Testing but Did Not Meet Its Photo Capture Performance Requirement DHS’ Assessment of Air Exit Testing Raised Questions about Operational Effectiveness but Agreed Air Exit Fulfilled Congressional Directives CBP’s Process for Monitoring Air Exit Does Not Alert Officials When Performance Falls below Minimum Requirements TSA Has Conducted Pilot Tests of Facial Recognition Technology for Identity Verification at Airports and Has Incorporated Privacy Protections in Its Pilots TSA Is Exploring Facial Recognition Technology for Identity Verification New York’s John F. Kennedy International Airport Checkpoint Pilot (October 2017-November 2017) Los Angeles International Airport Checkpoint Demonstration (February 2018) Los Angeles International Airport Checkpoint Pilot (August 2018- October 2018) Hartsfield-Jackson Atlanta International Airport Checkpoint Pilot (August 2018-Ongoing) Hartsfield-Jackson Atlanta International Airport Check-in and Checked Baggage Pilot with Delta Air Lines (November 2018- Ongoing) Las Vegas McCarran International Airport Checkpoint Pilot (August 2019-September 2019) TSA’s Facial Recognition Pilot Tests Incorporated Privacy Principles Conclusion Recommendations for Executive Action Agency Comments and Our Evaluation Appendix I: The National Institute of Standards and Technology’s Findings on Facial Recognition Technology Accuracy Appendix II: Ports of Entry Where U.S. Customs and Border Protection Has Tested or Deployed Facial Recognition Technology Appendix III: Results of the 2019 Operational Test and Evaluation of U.S. Customs and Border Protection’s Air Exit Capabilities Key Performance Parameters True Acceptance and False Acceptance Rates Availability Capacity Effectiveness Capture Required Traveler Data Support Enforcement Actions Identify Travelers Who Have Overstayed the Lawful Period of Admission to the United States Improve Accuracy and Availability of Country-by-Country Immigration Statistics Cyber Resiliency Suitability Biometric Air Exit System Privacy Compliance Integrated Logistic Support Training Appendix IV: Comments from the Department of Homeland Security Index Blank Page Blank Page