Independent review – Independent advisory group on new and emerging technologies in policing: final report

1. Executive summary

Background

Policing in Scotland is operating in a complex context where the methods used to commit crimes are rapidly changing, cybercrime is more prevalent and the expectations on policing to keep people safe continue to increase, whilst resourcing pressures also grow. Technology is embedded in our everyday lives and policing must embrace new technology in order to fulfil its statutory duties and improve the safety and wellbeing of individuals and communities. There is a need for evidence-based innovation and facilitation of technological adoption in policing, but ensuring this is legal, ethical and subject to effective oversight is central to public confidence and upholding people's rights.

Emerging technologies as a term may be used to describe a new technology, the evolution of an existing technology, technologies being combined into a new application, a new service area or facilitating emerging new informational relationships and ways of working (Connon et al., 2023: 10). They may have been recently introduced into a specific setting, be at point of implementation, trial, in development or envisioned but not yet in existence. Emerging technologies often have digital components, but are usually an assemblage combining a range of components or developments integrated into a new 'technology' or application.

Established in late 2020, the Independent Advisory Group on Emerging Technologies in Policing has brought together members from across academia, civil society, regulators and policing to explore, discuss and make recommendations which will further support the enhancement of policy and practice in this space. The remit of the IAG was to report on whether legal or ethical frameworks need to be updated, to explore best practice around adoption of emerging technologies and provide recommendations to address any identified issues. The IAG met ten times over the course of two years.

Four separate workstreams were established to progress the work of the IAG, drawing in additional members (see Appendix B) and we launched a 'Call for Evidence'. The workstreams each produced reports covering: Legal Framework and Ethical Standards (Daly et al., 2023); Evidence and Scientific Standards (Buchanan et al., 2023); Consultation and Public Engagement (Campbell et al., 2023); Oversight Scrutiny and Review (Ross et al., 2023). In addition, we commissioned independent research from a team at the University of Stirling who reviewed legal frameworks, impacts on rights and good practice (Connon et al., 2023). All five reports will be published on the Scottish Government ETIAG website along with this report.

The substantive chapters in this final report cover: research evidence; legal frameworks; social and ethical implications and good practices; consultation and public engagement; technological innovation and scientific standards; and oversight scrutiny and review.

Summary

The importance of adopting an evidence-based approach at various stages of the process, i.e. from public engagement and consultation, to business cases and decision making, right though to implementation and evaluation of intended and unintended outcomes of the use of new technologies in policing is clear. The research community can play an important role in facilitating research, assisting with reviewing the evidence base, supporting evidence-based decision making, evaluation, translating research into practice and supporting innovation.

With regulation and governance of design and development, emerging technologies such as Artificial Intelligence (AI) may be used to advance, rather than put at risk, equality and human rights. However, specific legal concerns currently exist in relation to automated decision making and the use of AI in predictive policing, surrounding transparency and potential to exacerbate bias and discrimination. Live facial recognition raises human rights (proportionality) concerns as well as being potentially discriminatory. An ethical and legal assessment framework should embrace an equality and human rights-based approach and would likely mitigate various legal and operational challenges and reduce risks to public trust and discrimination.

Various social and ethical issues are associated with emerging technologies in policing and a number of best practices highlighted involve ethical principles and guidelines, transparency and codes of practice. Ethical considerations can be difficult to operationalise in the domain of policing but Police Scotland has various processes in place and enhancements planned to address ethical issues, including Ethics Advisory Panels and the introduction of a new Data Ethics Framework.

Enabling informed and genuine public dialogue is important in to order to support trust and confidence in policing. Consideration must be given to clarity of purpose, inclusion and accessibility and a variety of engagement approaches. Consultation and engagement should occur early, be evidence-based, promote ongoing dialogue and be transparent.

Technology innovation requires sociotechnical change and organisational support and should be seen as a long-term process. As new technologies are developed it is important to put the needs of members of the public, particularly those who come in contact with the police at the centre of an innovation. Police should integrate with developing standards, including from outside policing.

Since 2019 there has been a great deal of progress to establish robust decision making and oversight processes, and in 2021 Police Scotland and the Scottish Police Authority (SPA) published a Memorandum of Understanding which takes steps to enhance transparent discussion, engagement and communication and informed decision making. Police Scotland's proposed new Data Ethics Framework also enhances governance arrangements before investment (including external challenge and advice) and introduces a sixth ethics and human rights case.

In conclusion, the IAG believes that Scotland is in a strong position to seize the opportunity to become world leading in adopting a rights based, ethical, evidence-based, consultative approach to innovation and adoption of emerging technologies in policing, within a robust oversight framework. The following recommendations aim to facilitate this.

Summary of recommendations

Theme 1: Business case development, implementation and processes

1. Policing bodies (Police Scotland and SPA FS) should continue to adhere to HM Treasury Green book guidance for the Strategic Case, ensuring an assessment of the available evidence base (benefits and dis-benefits) across jurisdictions and published research is included in the Case for Change section in the Business Case.

2. The assessment of the Ethical and Human Rights Impact of emerging technologies should be evidenced and a proportionate judgement for the implementation of technology should be included in Business Cases. This could take the form of a 6th Ethical and Human Rights Case, which should make full use of EQHRIA, (incorporating the legal requirement to pay due regard to the three needs of the Public Sector Equality Duty), DPIA, CRWIA, Fairer Scotland Duty and other Impact Assessments, independent expert advice, Ethics Advisory Panels, and the results from the new Data Ethics Governance Framework.

3. Policing bodies introducing emerging technologies, applied in a context which impacts how the public are policed, should develop (with external input) a clear and publicly accessible Operational Practice Code, ensuring compliance with relevant statutes or codes of practice.

4. Police Scotland should seek to implement their Data Ethics Governance Framework. Key stakeholders should be involved in internal review prior to implementation and an effectiveness review should be undertaken 12 months after roll-out to ascertain the benefits realised and lessons learned.

5. Project implementation should ensure appropriate training for officers who will be utilising or monitoring emerging technology (particularly AI enabled technologies), with a particular focus on equality, human rights and data protection obligations.

6. When developing future proposals for technology use, policing bodies should consider, where appropriate, utilising small tests of change/pilots which could be externally evaluated to inform Business Cases and shape wider scale implementation.

7. When adopting emerging technology, policing bodies should ensure standards are designed to meet the needs of users and enable interoperability, compliance with data protection, equalities and human rights law, adherence to ISO, scientific and other relevant standards and codes. They could consider establishing a national technology clearing house to ensure robust scientific standards for AI technologies and an Algorithmic Impact Assessment policy.

8. Police Scotland should continue to enhance its approach to ensuring effective and mature risk management processes by scoping, mapping, identifying and addressing any risk (particularly risks to rights and freedoms of individuals), opportunity or issue which may become associated with the adoption of an emerging technology and continuing to re-assess and evaluate risks throughout the lifecycle.

Theme 2: Transparency, engagement and evaluation

9. Police Scotland should continue to develop and implement the Consultation and Engagement Framework described in this report when considering the adoption of emerging technology.

10. Police Scotland should clearly specify the legal basis for using emerging technology, share it with key stakeholders for input and publicly share it.

11. As part of the lifetime management of a new technology/project, policing bodies should have a clear evaluation plan which seeks to gather data (including baseline measurements) so that the emerging risks and efficacy can be assessed.

Theme 3: Legislation and policy

12. Whilst significant legislative gaps were not found, Scottish Government (and where appropriate the Scottish Biometrics Commissioner) should keep the legislative landscape under review and consider whether future technological deployments (such as Live Facial Recognition and certain applications of AI, e.g. in predictive policing) would benefit from the introduction of statutory codes of practice to provide greater clarity and safeguards. The possibility that certain applications of some technologies in policing should be categorically prohibited should be considered by Government.

13. The Scottish Government should take the learning from the 'Draft Proposals for Oversight of Ethical Considerations in Policing' and consider endorsing a similar approach to enhancement of the Scottish Public Finance Manual as good practice across all public bodies in Scotland.

14. Policing bodies' (Police Scotland, SPA and PIRC) complaints processes must be clearly communicated prior to the start of new technology initiatives in policing and be accessible to all members of the public including those with disabilities. Where an adverse human rights impact to a person is the direct result of implementation of a new technology, those responsible for its implementation should provide an effective remedy.

15. Policing bodies should, at an early stage of the introduction of technology, ensure that data flows and the roles and responsibilities of all relevant parties under data protection law are mapped and understood.

Theme 4: Oversight

16. The SPA (and other oversight bodies) should continue to require assurance that external evidence, research and advice has been sought and considered in the development of cases and that engagement with partners and the public has been undertaken to inform the approach to embedding specific technologies in policing.

17. The SPA (and other oversight bodies) should continue to implement a system to regularly review the assessment of the public benefit, any risks, harms, positive or negative impacts of the introduction and use of emerging technology projects.

18. Policing and oversight bodies should consider theroutine collection, publication and accessibility of data on the equality and human rights impacts of police use of emerging technologies in order to facilitate ongoing scrutiny and review.