Issues with Facial Recognition Technology

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