世界经济论坛-面部识别负责任限制的政策框架用例：执法调查（英）-2021.10-31页_1mb

报告摘要

Summary of the White Paper: A Policy Framework for Responsible Limits on Facial Recognition Use Case: Law Enforcement Investigations

Core Content

This white paper outlines a policy framework for the responsible use of facial recognition technology (FRT) in law enforcement investigations, emphasizing the need for ethical, legal and technical governance to mitigate the risks associated with its deployment.

The document is published by the World Economic Forum (WEF) in collaboration with INTERPOL, UNICRI, and the Netherlands Police, and it aims to provide a global, multistakeholder approach to the regulation of FRT in criminal investigations.

Main Use Cases of FRT in Law Enforcement

Border control: Officers use FRT to compare the facial image of a controlled individual with INTERPOL's Facial Recognition System (IFRS) to identify fugitives or wanted persons.
ATM fraud investigations: Video footage from ATMs is used to capture images of offenders, which are then compared with criminal and suspect databases.
Riot investigations: Footage from CCTV is used to identify rioters by analyzing and comparing facial images with databases of known individuals.
Missing persons: FRT helps in identifying missing individuals by matching their facial images with known persons in the system.

Key Principles for Responsible Use

The framework proposes four core principles to guide the ethical and legal use of FRT in law enforcement:

Transparency and Accountability: Law enforcement agencies must ensure that the use of FRT is transparent and that there are mechanisms in place to hold the technology accountable.
Proportionality and Necessity: FRT should only be used when it is necessary and proportionate to the investigative purpose.
Accuracy and Reliability: The use of FRT must be based on accurate and reliable systems to prevent false positives and wrongful arrests.
Human Oversight: Human experts must supervise and validate the results of FRT analyses to avoid automated errors and biases.

Self-Assessment Questionnaire

A self-assessment questionnaire is developed to help law enforcement agencies evaluate their compliance with the proposed principles. The questionnaire includes questions related to:

Legal compliance and data protection
Technical performance and accuracy
Use of FRT in specific investigative contexts
Training and expertise of personnel
Chain of command and emergency protocols

Law enforcement agencies are encouraged to conduct internal or external reviews using this tool to ensure responsible deployment and increase transparency by making the results public.

Risks and Challenges

Accuracy issues: Some FRT systems have shown performance deficiencies based on demographic characteristics (e.g., race, gender).
Privacy concerns: FRT can undermine the right to privacy by enabling systematic identification and tracking of individuals in public spaces.
Discriminatory impact: There is a risk of bias and discrimination, especially in underserved communities.
Freedom of expression and assembly: The use of FRT can restrict freedom of expression, peaceful assembly, and freedom of movement.

Global Policy Context

United States: Several cities and states have implemented bans or restrictions on the use of FRT by law enforcement.
European Union: The European Commission is working on an Artificial Intelligence Act, which would classify FRT as a high-risk application and require pre- and post-market conformity assessments.
United Nations: The Office of the High Commissioner for Human Rights (OHCHR) has called for a moratorium on remote biometric recognition in public spaces until accuracy and discriminatory issues are resolved.
Brazil and UK: Courts have blocked the use of FRT in certain public contexts, citing legal and ethical concerns.

Methodology and Collaboration

The policy framework was developed through a multistakeholder approach, involving a core community (INTERPOL, Netherlands Police, UNICRI, WEF) and a project community of 42 experts from various fields.
A one-month consultation was conducted to gather feedback and refine the draft principles.
The process followed the Chatham House Rule, which allows participants to use the information but not disclose identities.
The framework is currently in a pilot phase, with law enforcement agencies testing and providing feedback to improve its effectiveness.

Conclusion

This white paper presents the first global policy framework for the responsible use of FRT in law enforcement investigations. It emphasizes the need for governance, ethical considerations, and legal safeguards to ensure that FRT is used only when necessary, accurately, and with proper oversight. The framework is intended to inform global debates, support policy development, and enhance accountability in the use of this powerful technology.

It is recommended that law enforcement agencies, in partnership with civil society, policymakers, and academics, engage with this initiative to strengthen and test the framework for maximum impact.

Key Information

Technology: FRT is a biometric tool that can identify or verify a person's identity.
Use Cases: FRT is used in border control, ATM fraud, riot investigations, and missing persons.
Risks: Includes privacy violations, false identification, discrimination, and undermining of civil liberties.
Policy Context: The paper highlights regulatory efforts in US, EU, and UN to limit or ban FRT in law enforcement.
Framework Elements: Includes principles for action and a self-assessment questionnaire.
Methodology: Based on pilot projects, consultations, and expert feedback.
Next Steps: The framework is in a pilot phase, with ongoing testing and iteration to improve its effectiveness and applicability.