Review of emerging technologies in policing: findings and recommendations

4. Concluding Discussion and Recommendations

This review has examined the existing academic, policy-relevant, and legal literature concerning emerging technologies in policing. Specifically, it has examined the existing research and policy-relevant literature to understand the social and ethical implications associated with different types of emerging technologies in policing practice, and the legal considerations that associated with the adoption of these emerging technologies within the context of policing. It has examined the range of recommendations obtained from research and the lessons learnt from elementary application within police practice as specified within the existing research literature concerning policing and has also looked at the recommendations that can be made for informing best practice in policing from trials and the implementation of similar types of emerging technologies in the Health Care and Children and Families institutional settings. Finally, it also explored what recommendations can be made from the analysis of existing case law for the adoption of these technologies within the Scottish policing context.

As our review was based on two overarching key objectives: 1) the identification of best practice in legislative frameworks and ethical standards, as well as any legislative gaps surrounding emerging technologies and their adoption in policing practice, and 2) the identification of research evidence and best practice for the adoption and implementation of emerging technologies in policing, including for the development and use of ethical guidelines and scientific standards, it thereby contributes to the requirements of Workstreams 1 and 2 and associated Key Focus Areas.

4.1: Social and Ethical Issues associated with different forms of Emerging Technologies

The review found that there were a number of distinct as well as overlapping social and ethical issues associated with the three different forms of emerging technologies: electronic databases, biometric identification systems, and surveillance systems and tracking technologies. A full summary of these findings is available in Table 1 on page 59.

4.1.1: Electronic Databases

The particular social and ethical issues that need to be considered for the adoption and dissemination of electronic database technologies are: the safety of the information held, the issues of human rights and privacy, the need for standardisation and accountability, differences in organisational practices, the potential for bias to be embedded within the data held, public trust, legitimacy, the management of sensitive data, and the opportunities and risks associated with data collection, sharing and surveillance of vulnerable populations. However, the findings also show that certain particular risks apply to particular types of electronic database technology, but not necessarily to others. Particular issues associated with data sharing and third-party data sharing platforms are those concerning: the safety of information held, human rights and privacy, lack of standardisation and accountability, differences in organisational practice, and the risk of embedded bias in data, data organisation and data sharing processes. Particular issues associated with community policing applications are the risk of enhancing racial inequalities via their use, and the issue of the need to maintain public trust. While issues concerning the lack of alignment in organisational culture, the risks of enhancing both actual and perceived social injustices and legitimacy of police action represent pressing issues for open-source datasets, data pulling platforms, and social media platforms and data storage technologies, the existing research suggests that consideration also needs to be given to the management and use of sensitive information that social media data may hold about particular individuals. The management of vulnerable population data and DNA database technologies are other issues associated with these forms of technologies.

However, the research reveals that far less is known about the particular social and ethical issues associated with open-source data, data pulling platforms and DNA databases than the other types of electronic database technologies, with less empirical research or practice-based reports available for these types of technologies. This suggests this is an area where further research should be undertaken to ascertain a fuller understanding of the particular ethical and social issues associated with these particular types of emerging technologies.

4.1.2: Biometric Identification Systems

As with electronic databases, a range of particular as well as overlapping social and ethical issues were found within the existing research literature focusing on biometric identification technologies and systems. The main social and ethical issues associated with this form of emerging technologies were: trust and legitimacy, accuracy, fairness, and transparency, risks of enhancing social inequalities via deployment of these technologies, privacy and security, the risks of these technologies being deployed by perpetrators of crime, as well as the need for standardisation regarding ethical principles and guidance for their dissemination. Specific issues associated with facial recognition technologies were those of trust and legitimacy, the risk of enhancing social inequalities, privacy and security, and the need for standardised ethical principle and guidance. These issues were also important for artificial intelligence technologies, however, for this particular type of technology, the existing research acknowledged its potential for use in criminal behaviour. Much less is known about the social and ethical issues associated with voice pattern analysis tools, however the limited research available suggests that the main concerns with these forms of technology pertain to human rights and the lack of well-established norms governing the use of AI technology in practice.

4.1.3: Surveillance Technologies and Tracking Devices

The key social and ethical issues associated with the implementation, adoption and use of surveillance technologies and tracking devices are: the legitimacy of use by police departments, public confidence and trust, concern relating to bias, privacy, their effectiveness in reducing crime, the legitimacy of product selection, the lack of guidance or integration of technology within specific crime reduction agendas, as well as their wider implications for public-state relationships and their impacts on police officers and policing practices.

Particular issues associated with the use of drone technologies are: legitimacy, the development of an aerial geopolitics of security, public confidence and trust, concern relating to racial bias, and issues of privacy. Issues of privacy and legitimacy are also well documented in the existing research focusing on smart devices and sensors. The research focusing on the use of body worn cameras discusses the implications of these technologies in relation to public-state relationships, the impacts on police officers and police practices, as well as concerns about racial biases inherent in the deployment of this type of technology. Concern over the lack of clear standards and guidance for the use of technologies was evident throughout the research examining the different types of surveillance technologies. However, the review also revealed that less is known about the social and ethical implications concerning the use of autonomous security robots than other forms of surveillance and tracking technologies, which again suggest that this is a form of emerging technology where further research is needed to explore the social and ethical implications of its use.

4.2: Legal Issues Associated with Emerging Technologies

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.

The analysis also found that specific legal issues are also associated with the three different forms of emerging technologies. With regards to electronic databases, legal challenges have related to whether the data should be retained, for how long, and at what point should it be deleted. In many respects an overlap exists between the regulation of databases and the operation of biometric identification system as these systems usually require operationalisation through a database. However, the key legal issue with this form of technology is that biometric information is inherently sensitive personal information and therefore requires greater protection. Specific legal concerns associated in relation to automated decision making and the use of artificial intelligence were also identified. Furthermore, regulation of this in the UK is very limited. Another important issue is the lack of a centralised register for artificial intelligence technologies.

4.3: Recommendations for Police Practice

Overall, the amount of literature specifying particular evidence-based recommendations from which to develop best practice in the rollout of emerging technologies in policing was more limited than for the body of literature evidencing the social and ethical issues associated with these forms of technology. This in itself represents a particular limitation in the existing body of knowledge and the review highlights the need for more trials to be undertaken within the policing context from which to develop specific recommendations for informing best practice. The amount of available literature focusing on best practice in relation to the development and implementation of ethical guidelines and scientific standards was limited, especially the amount of material focusing on scientific standards.

4.3.1: Specific Recommendations for Electronic Database Technologies

However, despite the limitations in this area of research, the key recommendations that can be drawn from research focusing on the use of electronic database technologies in police practice are:

• The need for guidelines to ensure that technology does not result in increased victimisation, inequalities and inefficiency in its storage and use,
• The need for greater integration between academic researchers, police, the policy community and third parties to develop and implement specific solutions that are sensitive to the needs of all parties.
• Standardisation of practice with other parts of government who have different cultures and practices regarding the collection, storing, processing and use of data to ensure consistency between the different departments who work in collaboration with the police and to remove the potential for ambiguity regarding access and use of data.
• For assessments to be undertaken to establish best practice and decision making,
• Legal clarity in the form of codes of practice and specific legislation over the legal obligations on data storage and processing across all parties.
• Clarification over consent issues relating to data subjects, particularly who can access the data and for what purpose and data subject consent regarding the use and storage of data held about them
• For the introduction of MASH (Multi-Agency Safeguarding Hubs) to be created to allow for better data sharing practices and partner agencies, 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
• Specific guidelines for working with social media data, and
• For further research to be undertaken concerning the use of national datasets to gain a better understanding of the risks involved in the use of such technologies.
• Ongoing review and audit to quickly identify and remedy any emerging issues resulting from the use of the technology

It is important to note however, that no specific evidence-based recommendations were provided in the sample literature specifically for data pulling platforms, open-source data, community policing applications, or for DNA databases. This highlights the priority that should be given to conducting research-based trials of the implementation of these types of emerging technologies from which specific recommendations can then be drawn.

Additional recommendations for the implementation of electronic database technologies can be made on the basis of the lessons learnt and recommendations for good practice provided in the literature focusing on the implementations of this form of emerging technology in the health sector and in the Children and Family sector. The evidence provided here presents important considerations for the implementation of these technologies in policing. From this evidence, it is recommended that:

• Cross sectoral discussion 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
• Guidelines and training should be provided to better prepare professionals on how to write notes and input data
• Specific guidelines are provided to professionals regarding subject access to records held about them.

It is important to acknowledge that the literature reviewed concerning policing practice did not provide any specific recommendations regarding the issue of child rights or child rights assessments specifically in relation to the use of these technologies in the policing context. However, research from the health sector recommends:

• The design and implementation of co-produced guidelines concerning ethical practice for minors to address concerns around uncertainty.

4.3.2: Specific Recommendations for Biometric Identification Systems and AI Technologies

Specific recommendations for the adoption of biometric identification systems technologies are:

• The need to proactively improve public support for the use of facial recognition technologies through information to counter biases in media reporting about the risks, as well as the need to devise new ethical principles and guidelines for the use of these forms of technology.
• The need to interrogate biases and limitations as to the efficiency of these systems were prior to development.
• The 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.
• The need for further trials to be conducted to explore the benefits and limitations of the use of facial recognition technologies in different policing activities
• For mandatory equality impact assessments to be introduced, as well as the collection and reporting of ethnicity data, well as the introduction of protections for minority groups
• For the adoption of an Ethics of Care approach to minimise the risk of harm and to improve perceptions of fairness regarding Artificial Intelligence technologies
• 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.
• Development of a national technology clearinghouse for improvement and standardisation in scientific standards
• The use of context-specific evaluation methodologies for statistical algorithms (Oswald 2022)
• Development of a national ethics approach with clear scientific standards written with the policing context in mind

Other important recommendations that can be made for policing from the examination of trials and lessons learnt from the implementation of artificial intelligence technologies in other sectors are:

• For professionals, including third parties, who collaborate with police departments to be involved in the design and implementation of these technologies to help promote ethical awareness and practice through shared expectations and standardisation of requirements concerning their use.
• The use of practice-based, self-reflexive assessments

4.3.3: Specific Recommendations for Surveillance Technologies and Tracking Devices

Key recommendations for best practice in the use of surveillance and tracking technologies derived from the review of the literature focusing on policing practice are:

• 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,
• For key stakeholders and all 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 stakeholder.
• For very strict ethical codes and laws to be implemented for the use of autonomous security robotic devices in policing
• For clear standards and principles to be developed concerning the use of these technologies in forensic investigations.

However, the literature did not provide any specific recommendations or examples of good practice in the implementation of drones or new forms smart technologies and devices. Further research should therefore be undertaken to trial the implementation of these forms of emerging surveillance technologies in different policing contexts and activities.

Other recommendations that can be drawn from research and practice in other institutions are for:

• Increased transparency over potential risks of widening socio-economic and racial inequalities
• The implementation of Leslie’s (2019) Ethical Considerations for AI Research and Trials – See Example 5 (box) on Page 107.

4.3.4: Recommendations for Future Research in the Scottish Policing Context

In addition, while the review examined research concerning the particular social and ethical issues associated with emerging technologies and trialling of these forms of technologies in policing practice and in other sectors across a range of geographic and governance contexts, namely Scotland, England and Wales, the United States, Canada, Australia and New Zealand, the amount of evidence-based research focusing specifically on the Scottish context remains limited. This highlights the need for further research to be undertaken examining the specific ethical and social issues associated with these all the different forms of technologies and how they manifest within the Scottish context, as well as to conduct trials of these technologies within the Scottish policing context. Another key recommendation would therefore be:

• For further research to be conducted focusing on emerging technologies and their application within Scottish society and the Scottish policing context.

4.3.5: Recommendations from the Review of the Legal Literature and Case Law

Additional recommendations can also be drawn from the review of the legal literature and case law. Specific recommendations for legislation, policy and practice are:

• Legislation: Designing a measure which makes an algorithmic impact assessment prior to the use of that algorithm compulsory. (Example can be taken from the Canadian Directive on Automated Decision Making).
• Policy: Development of an algorithmic impact assessment policy. One should be tailored to algorithms used in an administrative context and the other should focus on the context of algorithmic connected to operational decision making.
• Policy: Develop a policy on the trial and adoption of new technology policy. Example can be taken from the New Zealand Police.
• Practice: For templates to be developed to implement the algorithmic impact assessment. Examples can be seen in the UK Transparency template and the Canadian Algorithmic Impact Assessment.

In the completion of an algorithmic impact assessment and a data protection impact assessment the following should be addressed: a) The relationship between those involved in the development and implementation of emerging technologies should be mapped. This is critical to being able to determine roles and responsibilities in the protection of personal information. This is of particular significance when data is being shared between organisations and that data is transferred from the private sector to the public sector or vice versa. b) The understanding of the nature of the data that is being processed and the scope of that processing. This will have a knock-on effect on the lawful basis of processing, the need for consent and in turn, the information that needs to be provided to the data subject. In addition, it will impact on the degree of risk to an individual who is the subject of an algorithmic decision.

• Practice: 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 the impact assessments noted above.

In addition, it also would be beneficial to explore in more detail the experience of the New Zealand police's role out of their new technology policy, as well as to examine how the use of AI technologies in the collection and use of evidence and intelligence interacts with law of evidence examining how the integration of AI technologies in policing impact on public trust and confidence in the police. These therefore present potential avenues for future research.

4.4: Summary of the Recommendations for Research, Policy, Legislation and Practice for Different Types of Emerging Technologies (Table)

The recommendations for best practice for each type of emerging technology as well as for those applicable across all types of emerging technology can be summarised and grouped according to whether these recommendations are aimed at research, legislation and policy, or practice. Categorising the recommendations in this way can help decision-making concerning the actioning of these recommendations by the different stakeholders. Table 4 presents a summary of the recommendations for all and specific types of emerging technology and indicates which of recommendations are aimed at research, policy and legislation, and practice.

Table 4: Summary of Recommendations for Each Type of Emerging Technology

Type of Emerging Technology

All Types of Emerging Technology

Focus

Research

Recommendations

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

3. Future research should examine 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

Type of Emerging Technology

All Types of Emerging Technology

Focus

Policy

Recommendations

1. An equality and human rights impact assessment should form a compulsory part of the trial and adoption of any new technology policy.

Type of Emerging Technology

All Types of Emerging Technology

Focus

Practice

Recommendations

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

Type of Emerging Technology

Electronic Databases

Focus

Research

Recommendations

1. Further research should be undertaken concerning the use of national datasets

2. 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. Trials and assessments to establish best practice and decision making within a range of policing contexts in Scotland and the UK

Type of Emerging Technology

Electronic Databases

Focus

Policy & Legislation

Recommendations

1. MASH (Multi-Agency Safeguarding Hubs) should be developed and implemented to allow for better data sharing practices with partner agencies, which 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. Standardised guidelines should be developed and implemented to ensure that technology does not result in increased victimisation, inequalities and inefficiency in its storage and use.

3. For careful mapping of data flows to be undertaken 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. Development of specific guidelines for working with social media data

7. Cross sectoral discussion to co-develop guidelines or standards concerning the use of these technologies with minors or to hold data about minors.

Type of Emerging Technology

Electronic Databases

Focus

Practice

Recommendations

1. Standardardisation of practice with professionals from other government sectors (e.g. health, social work) regarding the collection, storing, processing and use of data.

2. Guidance and training to prepare professionals working in policing and other sectors that work closely with members of the police on how to write notes and input data to ensure greater standardization of practice

3. Specific guidelines should be provided for police and closely affiliated professionals regarding subject access to records and data held about them.

Type of Emerging Technology

Biometric Identification Systems & AI

Focus

Research

Recommendations

1. Research to explore the benefits and limitations of the use of facial recognition technologies in different policing activities.

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 discussion of social and ethical issues of the use of AI.

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 interrogation of biases and limitations as to the efficiency of AI systems prior to development.

5. For police professionals and other parties that work closely with the police to be involved in the design and implementation of these technologies to help promote ethical awareness and practice.

Type of Emerging Technology

Biometric Identification Systems & AI

Focus

Policy & Legislation

Recommendations

1. To improve general public support for the use of facial recognition technologies as well as the need to devise new ethical principles and guidelines for their use of these forms of technology.

2. 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. Introduction of mandatory equality impact assessments

4. Development of a national ethical approach that includes clear scientific standards for these forms of technology.

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

6. Development of policy for trial and adoption of new technologies.

7. Introduction of a measure which makes an algorithmic impact assessment prior to the use of that algorithm compulsory

Type of Emerging Technology

Biometric Identification Systems & AI

Focus

Practice

Recommendations

1. Adoption of an Ethics of Care approach.

2. Development of templates to implement algorithmic impact assessments.

3. Staff training to enable meaningful engagement in impact assessments

Type of Emerging Technology

Surveillance Technologies & Tracking Systems

Focus

Research

Recommendations

1. Trials to explore the benefits and limitations of the use of these different forms of technology in different policing contexts.

Type of Emerging Technology

Surveillance Technologies & Tracking Systems

Focus

Policy & Legislation

Recommendations

1. For key stakeholders and members of the public to be involved in the formulation of police guidelines concerning the use of these technologies.

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.

Type of Emerging Technology

Surveillance Technologies & Tracking Systems

Focus

Practice

Recommendations

1. Training to be provided and consideration given to the behavioural effects that these forms of technology can have on officers

4.5: Next Steps for Further Research

To further address the existing research limitations concerning the specific social and ethical implications associated with emerging technologies in policing in the Scottish context, a supplementary, qualitative research study should be undertaken with personnel involved in policing. This could involve conducting interviews with professionals involved in policing activities or sending out a series of questions to project partners to explore their views and experiences of emerging technologies and to find out about the benefits of the use of these technologies and the issues encountered with the implementation and/or use of specific technologies in the Scottish policing context. Another avenue that could be explored is the opportunities and challenges encountered in relation to the use of these technologies during the Covid-19 pandemic.