Review of emerging technologies in policing: findings and recommendations

Executive Summary

Introduction

This report has been compiled for the Scottish Government’s “Emerging Technologies in Policing” project, and was commissioned by the Scottish Institute for Policing Research (SIPR) acting on behalf of the Scottish Government. It is based on a review of emerging technologies in policing undertaken between January and July 2022. The review was completed by a research team based at the University of Stirling.

The review considered: 1) the social and ethical implications of particular types of emerging technologies in policing practice, 2) the legal considerations associated with the adoption of emerging technologies in policing, 3) recommendations from the existing research examining the trial and adoption of new emerging technologies in policing, as well as for ethical and scientific standards frameworks and guidelines, for informing best practice and wider dissemination of these technologies in police practice, 4) recommendations for the use of emerging technologies in policing based on experiences from other sectors (Health, Children and Family), and 5) the lessons learnt and recommendations that can be made from the analysis of existing case law concerning emerging technology. The report provides a descriptive overview of the relevant literature and case law available, as well as a series of recommendations for best practice in the implementation and dissemination of the different forms of technology in police practice

The types of emerging technologies in policing practice considered in this review are electronic databases, biometric identification systems and artificial intelligence (AI), and surveillance systems and tracking devices.

Methodology

The review consisted of four components. These were:

1. A systematic search and review of interdisciplinary social science (published) academic research literature focusing on the development, trial, and implementation of emerging technologies in policing practice;

2. A review of relevant policy-relevant (grey) literature consisting of research reports, practice-based evidence reports and policy reports (published and unpublished) not available through the academic research literature databases;

3. A supplementary systematic search and review of academic literature focusing on the trial and implementation of forms of emerging technologies identified in component one within the literature focusing on the health care and children and families’ sectors and

4. A legal search and legal case review to map the regulatory frameworks guiding the police use of emergent technology (equality and human rights, data protection and evidence).

Findings and Discussion

Social and Ethical Issues

The analysis revealed that there were various social and ethical issues associated with three different forms of emerging technologies: 1) electronic databases, 2) biometric identification systems, and 3) surveillance systems and tracking technologies.

1) Electronic databases

Specific social and ethical implications were identified for in relation to the use of electronic databases. The technologies discussed in the literature differed, with most debate focused on data sharing, third-party data sharing platforms, social media, and vulnerable populations. A common issue highlighted in the literature related to how information is stored and accessed, particularly when managing sensitive information. Differences in organizational practice and the lack of alignment in organizational culture, resulted in barriers to data sharing processes, were also frequently raised in the literature reviewed. Further issues raised included the risk posed to privacy and human rights and the risk of enhancing social injustices. The latter was particularly manifest in community policing application data, with a focus on social exclusion and perpetuation of racial inequalities. This has an impact on public trust and legitimacy, issues also discussed in relation to social media application information. The literature focused on vulnerable populations databases and datasets also highlighted the opportunities and risks associated with surveillance of vulnerable groups and the need for more engagement and consultation with these groups.

The report concludes that far less is known about the particular social and ethical issues associated with open-source data, data pulling platforms and DNA databases than other types of electronic database technologies, with less empirical evidence available for these types of technologies.

2) Biometric Identification Systems

Different biometric systems were discussed in the literature, in particular facial recognition, AI (Artificial Intelligence) smart sensors, emotional recognition, and voice pattern analysis tools. More is known about facial recognition technologies and artificial intelligence technologies compared to voice pattern recognition systems.

Issues of accuracy, fairness and transparency were particularly discussed in relation to AI. Public trust and legitimacy were important factors to consider, particularly in relation to the use of facial recognition. Issues related to privacy and personal security were also highlighted in relation to the deployment of these technologies. A common issue in these systems also related to the risk of enhancing inequalities for marginalized groups and the potential for racial and gender bias. Lastly, the lack of standards, ethical principles and guidance emphasized the need for ethical guidelines and laws for risk minimisation.

3) Surveillance Systems and Tracking Devices

Different systems were presented in the documents reviewed: drones, smart devices and sensors, location and ‘Hot spot’ analysis, body worn cameras, autonomous security robots, CCTV, and visual/optical technologies. The concerns relating to privacy were common when discussing the increased level of surveillance allowed by these systems, especially when targeting minority communities. The issue of legitimacy in relation to the use of these systems was also presented, particularly in relation to the deployment of drones and smart devices in policing practice. Issues with public confidence and trust were also highlighted. Public perception can impact technology deployment and there are certainly implications for police practice and for public-police relationships (this is particularly evident with body-worn cameras). Little is known about the social and ethical implications concerning the use of autonomous security robots compared to other forms of surveillance and tracking technologies.

When discussing the impacts associated to the use of these technologies, it is important to understand that due to their emergent nature, it is not yet possible to fully understand the ethical, social, and legal implications. Future consequences might be anticipated in order to identify risks and benefits of using specific technologies. However, it is important to note that the process of assessing the impacts and consequences of emerging technologies should be an ongoing process, owing to its emerging nature. This literature and legal framework review addresses the potential ethical, social, and legal issues associated with emerging technologies in policing.

Legal Issues

The review found that the main legal issues associated with emerging technologies concern the law of evidence, especially in relation to improperly obtained evidence, disclosure of evidence, data protection, and human rights and equality. In particular, the use of emerging technologies is highly likely to challenge the boundaries of the Criminal Procedure (Sc) Act 1995, Regulation of Investigatory Powers (Scotland) Act 2000, Investigatory Powers Act 2016, as well as compliance with the National Assessment Framework for Biometric Data Outcomes and prospectively the Scottish Biometric Commissioners’ Code of Conduct. Specific legal issues are associated with each of the different forms of emerging technology (namely in relation to data processes and data protection). Appendix 3 identifies UK case law relevant to the adoption of emerging technologies in policing. International case law is also considered in Appendix 4. Appendix 5 outlines the key legislative provisions associated to each technology, supported by relevant case law. A comparative view on good practice in the design of law, policy, and practice is drawn in particular from Canada and New Zealand.

Recommendations for Research, Policy, and Practice

Although the amount of literature containing evidence-based recommendations from which to develop best practice in the rollout of emerging technologies in policing was more limited than the body of literature evidencing the social and ethical issues associated with these forms of technology, a range of recommendations were identified for the different types of technology. Sections 3.3 and 3.4 outline the lessons learnt from the existing research and recommendations for good practice for the implementation of emerging technologies in policing. These recommendations were drawn from the literature discussing the trialing and adoption of these technologies in policing and as well as in other sectors (e.g., Health, and Children and Families).

1. Recommendations for Electronic Database Technologies

A total of thirteen recommendations were drawn from the review for improving best practice in the development and implementation of electronic database technologies. These recommendations include recommendations for policy and practice, as well as for enhanced collaboration between policy makers, practitioners and researchers in research processes and developments aimed at improving the use of these forms of technology in policing.

• Recommendations for research:

  1. Further research should be undertaken concerning the use of national datasets to gain a better understanding of the risks involved in the use of such technologies.

  2. There is a need for greater integration between academic researchers, police, the policy community and third parties to develop and implement specific solutions for the embedding of these forms of technology in policing practice that are sensitive to the needs of all parties.

  3. For more trials and assessments to be undertaken to establish best practice and decision making within a range of policing contexts in Scotland and the UK.

• Recommendations for policy and legislation:

  1. For MASH (Multi-Agency Safeguarding Hubs) to be developed and implemented to allow for better data sharing practices with partner agencies. They should be underpinned by the development of a clear decision-making framework at the national level to ensure ethical storage, management, and use of data, as well to help safeguard the data on vulnerable individuals.

  2. The need for standardized guidelines to be developed and implemented to ensure that technology does not result in increased victimisation, inequalities and inefficiency in its storage and use.

  3. There needs to be a careful mapping of data flows to ensure that roles within the data protection framework can be established and legal obligations complied with.

  4. Where consent is not the ground on which lawful processing is based, the processing must be necessary for the performance of a task carried out for law enforcement purposes, or if for sensitive data, there must be an appropriate policy document in place.

  5. The Data Protection Act 2018 gives a very narrow definition of law enforcement purposes and so, where a database is being used for purposes beyond that scope, consideration needs to be given to the lawful basis of processing.

  6. Specific guidelines for working with social media data should be developed.

  7. Cross sectoral discussion (e.g. between Police and Health and Social Care) should be undertaken to co-develop guidelines or standards concerning the use of these technologies with minors or to hold data about minors to address concerns around uncertainty.

• Recommendations for practice:

  1. For the standardisation of practice with professionals from other government sectors (e.g., health, social work) who may have different cultures and practices regarding the collection, storing, processing and use of data.

  2. Guidance and training should be provided to better prepare professionals working in policing and in other sectors that work closely with members of the police (e.g., social workers who work with the police in custodial and probation contexts) on how to write notes and input data to ensure greater standardization of practice.

  3. Specific guidelines should also be provided for police and closely affiliated professionals regarding subject access to records and data held about them. Appropriate scrutiny and oversight mechanisms should also be established.

2. Recommendations for Biometric Identification Systems and Artificial Intelligence Technologies

The following recommendations for research, policy, legislation, and practice were drawn from the literature concerning the development and use of biometric identification systems and artificial intelligence technologies in policing:

• Recommendations for research:

  1. The need for further research to be conducted to explore the benefits and limitations of the use of facial recognition technologies in different policing activities (namely, public order policing, crowds, and public events).

  2. Development of a set of shared concepts and terminology to develop an ethics of algorithms and the building of a more rigorous evidence base for the discussion of social and ethical issues surrounding the use of AI in policing.

  3. Consideration to be given to the statistical and scientific validity of proposed AI technologies and for context-specific evaluation methodologies to be applied for statistical algorithms.

  4. The need to interrogate biases and limitations as to the efficiency of AI systems prior to development.

  5. For police professionals and third parties that they work closely with (i.e. local authorities) to be involved in the design and implementation of these technologies to help promote ethical awareness and practice.

• Recommendations for policy and legislation:

  1. The need to devise new ethical principles and guidelines for technology use, considering the need for support from the general public.

  2. The need for the development and provision of guidelines or clear processes for the scrutiny, regulation, and enforcement of biometric identification systems, including facial recognition technologies, as part of a new draft code of practice which should specify the responsibilities for policing bodies regarding scrutiny, regulation, and enforcement of these new standards.

  3. For mandatory equality impact assessments to be introduced, as well as for the collection and reporting of ethnicity data to help to protect minority groups.

  4. Use of Oswald’s (2019) three-pillar approach to develop a national ethical approach that includes clear scientific standards for these forms of technology.

  5. Establishment of a national technology clearinghouse for ensuring robust scientific standards for AI technologies.

  6. Development of an algorithmic impact assessment policy and make this compulsory prior to the use of the algorithm.

  7. Development of specific policy for the trial and adoption of new technologies before deployment.

• Recommendations for practice:

  1. The adoption of an Ethics of Care approach (based on the work of Asaro (2019) to minimise the risk of harm in the dissemination and use of these technologies and to improve perceptions of fairness regarding Artificial Intelligence technologies.

  2. For templates to be developed to implement the algorithmic impact assessment.

  3. Staff should be trained in how to engage critically with the adoption and use of new technologies (particularly AI enabled technologies) so that they are in a position to meaningfully engage in impact assessments.

3. Recommendations for Surveillance Systems and Tracking Devices

The following recommendations can also be made for the implementation, use and dissemination of these forms of technologies in policing:

• Recommendations for research:

  1. For trials to be conducted to explore the benefits and limitations of the use of these different forms of technology in different policing activities and contexts, e.g., in Scottish rural vs. urban contexts.

• Recommendations for policy and legislation:

  1. For key stakeholders and members of the public to be involved in the formulation of police guidelines concerning the use of these technologies, especially to democratise the rules around body-worn cameras and reduce controversy regarding their implementation with public and third-party stakeholders.

  2. For very strict ethical codes and laws to be implemented for the use of autonomous security robotic devices in policing.

  3. For clear standards and principles to be developed concerning the use of these technologies in forensic investigations.

• Recommendations for practice:

  1. For greater training to be provided and for greater emphasis to be given to the behavioural effects that these forms of technology may have on officers.

4. Data protection, the law of evidence, and equality and human rights: Recommendations applicable to all forms of emerging technologies

In addition, the following recommendations are applicable to all the above forms of emerging technologies and targeted towards ensuring compliance with the law of evidence, data protection, and equality and human rights:

• Recommendations for research:

  1. At the outset of designing, adapting, or adopting an emerging technology, consideration should be given to how that technology is to be used to ensure compliance with the law of evidence.

  2. The relationship between those involved in the development and implementation of emerging technologies should be mapped for data protection purposes. There is also a need to understand the nature of the data being processed and the scope of that processing (see ICO report box).

  3. Further research should be undertaken to consider the legal and ethical implications for the use of emerging technologies in policing activities involving children, with a view to ensuring compliance with the United Nations Convention on the Rights of the Child.

• Recommendation for policy:

  1. An equality and human rights impact assessment should form a compulsory part of the trial and adoption of any new technology policy. This should facilitate consideration of these issues on a cyclical process before adoption, during deployment, and after deployment. These impact assessments need to go beyond the minimum legal requirement of data protection and should consider the full range of impacts and consequences, including social and ethical impacts

• Recommendations for practice:

  1. A monitoring mechanism should be incorporated into the design and implementation of an emerging technology to record data on its equality and human rights impacts.

  2. Training should be given to all officers involved in the use or monitoring of emerging technologies to ensure they are aware of their equality and human rights obligations in the context of its use.

  3. Data on the equality impacts of trial use of technologies should be made publicly available.

A table summarising the recommendations (Table 4) is available on pages 142-143.