Facial Recognition Technology: Federal Law Enforcement Agencies Should Better Assess Privacy and Other Risks
GAO-21-518
Published: Jun 03, 2021. Publicly Released: Jun 29, 2021.
Fast Facts
We surveyed 42 federal agencies that employ law enforcement officers about their use of facial recognition technology.
- 20 reported owning such systems or using systems owned by others
- 6 reported using the technology to help identify people suspected of violating the law during the civil unrest, riots, or protests following the death of George Floyd in May 2020
- 3 acknowledged using it on images of the U.S. Capitol attack on Jan. 6
- 15 reported using non-federal systems
We recommended that 13 agencies track employee use of non-federal systems and assess the risks these systems can pose regarding privacy, accuracy, and more.
Highlights
What GAO Found
GAO surveyed 42 federal agencies that employ law enforcement officers about their use of facial recognition technology. Twenty reported owning systems with facial recognition technology or using systems owned by other entities, such as other federal, state, local, and non-government entities (see figure).
Ownership and Use of Facial Recognition Technology Reported by Federal Agencies that Employ Law Enforcement Officers
Note: For more details, see figure 2 in GAO-21-518.
Agencies reported using the technology to support several activities (e.g., criminal investigations) and in response to COVID-19 (e.g., verify an individual's identity remotely). Six agencies reported using the technology on images of the unrest, riots, or protests following the death of George Floyd in May 2020. Three agencies reported using it on images of the events at the U.S. Capitol on January 6, 2021. Agencies said the searches used images of suspected criminal activity.
All fourteen agencies that reported using the technology to support criminal investigations also reported using systems owned by non-federal entities. However, only one has awareness of what non-federal systems are used by employees. By having a mechanism to track what non-federal systems are used by employees and assessing related risks (e.g., privacy and accuracy-related risks), agencies can better mitigate risks to themselves and the public.
Why GAO Did This Study
Federal agencies that employ law enforcement officers can use facial recognition technology to assist criminal investigations, among other activities. For example, the technology can help identify an unknown individual in a photo or video surveillance.
GAO was asked to review federal law enforcement use of facial recognition technology. This report examines the 1) ownership and use of facial recognition technology by federal agencies that employ law enforcement officers, 2) types of activities these agencies use the technology to support, and 3) the extent that these agencies track employee use of facial recognition technology owned by non-federal entities.
GAO administered a survey questionnaire to 42 federal agencies that employ law enforcement officers regarding their use of the technology. GAO also reviewed documents (e.g., system descriptions) and interviewed officials from selected agencies (e.g., agencies that owned facial recognition technology). This is a public version of a sensitive report that GAO issued in April 2021. Information that agencies deemed sensitive has been omitted.
Recommendations
GAO is making two recommendations to each of 13 federal agencies to implement a mechanism to track what non-federal systems are used by employees, and assess the risks of using these systems. Twelve agencies concurred with both recommendations. U.S. Postal Service concurred with one and partially concurred with the other. GAO continues to believe the recommendation is valid, as described in the report.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Bureau of Alcohol, Tobacco, Firearms and Explosives | The Director of the Bureau of Alcohol, Tobacco, Firearms and Explosives should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 1) |
Open
According to agency officials, the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) is in the process of reviewing the Deputy Attorney General's interim guidance about department-wide use of facial recognition technology, and evaluating whether facial recognition technology would be suitable for use in ATF investigations. As of January 2024, this recommendation remains open.
|
| Bureau of Alcohol, Tobacco, Firearms and Explosives | The Director of the Bureau of Alcohol, Tobacco, Firearms and Explosives should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 2) |
Open
According to agency officials, the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) is in the process of reviewing the Deputy Attorney General's interim guidance about department-wide use of facial recognition technology, and evaluating whether facial recognition technology would be suitable for use in ATF investigations. As of January 2024, this recommendation remains open.
|
| Drug Enforcement Administration | The Administrator for the Drug Enforcement Administration should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 3) |
Open
In December 2023, DEA reported that it was in the process of developing an interim policy for the use of facial recognition technology. Officials said this policy will include a mechanism to track non-federal facial recognition systems, and assess the risks of the usage of such systems, including privacy- and accuracy-related risks. As of December 2023, this recommendation remains open.
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| Drug Enforcement Administration | The Administrator for the Drug Enforcement Administration should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 4) |
Open
In December 2023, DEA reported that it was in the process of developing an interim policy for the use of facial recognition technology. Officials said this policy will include a mechanism to track non-federal facial recognition systems, and assess the risks of the usage of such systems, including privacy- and accuracy-related risks. As of December 2023, this recommendation remains open.
|
| Federal Bureau of Investigation | The Director of the FBI should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 5) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the FBI used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended the FBI implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In August 2022, FBI issued a facial recognition procurement, tracking, and evaluation policy directive. The directive requires all FBI personnel to coordinate facial recognition system procurement with FBI's Science and Technology Branch, which is responsible for the tracking and evaluation of the systems. As a result, the agency will have better visibility into the facial recognition systems its employees use, and be better positioned to assess the risks of technologies it uses, to support criminal investigations.
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| Federal Bureau of Investigation | The Director of the FBI should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 6) |
Open – Partially Addressed
In April 2024, FBI officials told us the agency has multiple processes to assess the risks of the facial recognition technology it uses, including non-federal systems. The FBI further said it has completed and continues to complete these processes for its use of non-federal FRT as such systems and use cases arise. However, our September 2023 report (GAO-23-105607) found that the FBI did not always complete these processes for the non-federal systems it uses. For instance, the FBI completed a Privacy Threshold Analysis for the use of a facial recognition service by one of its divisions. However, we found the FBI did not complete a PTA for a different service that it used. Until the FBI provides evidence that it has assessed the risks for the non-federal systems it uses, we will consider this recommendation as partially addressed.
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| United States Marshals Service | The Director of the U.S. Marshals Service should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 7) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Marshals Service used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that the Marshals Service implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In October 2022, the agency communicated to all its district offices that employees may only use facial recognition technology that the agency's Office of General Counsel and Investigative Operations Division have approved. In addition, when employees submit requests to use facial recognition technology, the agency will track those requests and authorizations. As a result, this recommendation is closed as implemented.
|
| United States Marshals Service | The Director of the U.S. Marshals Service should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 8) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ federal law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Marshals Service used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using, or assess the risks of using such systems. Consequently, we recommended the agency, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. The agency provided an Initial Privacy Assessment it completed for its use of a commercial facial recognition system. As part of the assessment, the agency has identified risks associated with use of the technology. As a result, the agency will be better positioned to understand and potentially mitigate the risks of using non-federal facial recognition technology.
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| United States Customs and Border Protection | The Commissioner of CBP should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 9) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Customs and Border Protection (CBP) used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that CBP implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In June 2022, CBP issued a policy directive for IT systems using personally identifiable information, including facial recognition technology. This policy requires all personnel to notify the CBP Privacy Office regarding the implementation, or proposed implementation, of such technologies. CBP Privacy Office documentation is to include a general description of the technology, what personally identifiable information is collected, and from whom, and how that information will be used or retained. As a result, this recommendation is closed as implemented.
|
| United States Customs and Border Protection | The Commissioner of CBP should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 10) |
Open
As of March 2024, this recommendation remains open. U.S. Customs and Border Protection (CBP) told us employees using IT systems are required to complete Privacy Threshold Assessments, which include information about collection, use, and retention of personally identifiable information. The Department of Homeland Security Privacy Office uses the Privacy Threshold Assessments to determine whether additional privacy compliance documentation is needed. CBP provided Privacy Threshold Assessments for two non-federal facial recognition systems. The agency also said it is drafting Privacy Impact Assessments for those two systems, including an assessment of the risks associated with the systems, with an estimated completion date in June 2024.
|
| United States Secret Service | The Director of the Secret Service should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 11) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ federal law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Secret Service used non-federal facial recognition systems to support investigative activities, without a mechanism to track which systems employees were using. Consequently, we recommended that the Secret Service implement a mechanism to track what non-federal systems employees use to support investigative activities. In January 2022, the Secret Service issued a requirement to its Office of Investigations and field offices, among other divisions. The agency said that the purpose of the requirement was to capture the use of facial recognition systems owned, contracted, and/or operated by partnering law enforcement agencies during an investigation. For example, the requirement states that all personnel who access a partnering law enforcement agency's system must capture that usage within the Secret Service's Incident Based Reporting (IBR) application. In March 2022, the agency provided us evidence of its IBR application updates, including new fields to capture the facial recognition system's name and owner, and the date the system was used. Furthermore, the agency provided a copy of the IBR user guide instructing staff on how to record the use of facial recognition systems. As a result, this recommendation is closed as implemented.
|
| United States Secret Service | The Director of the Secret Service should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 12) |
Open
Secret Service officials told us they drafted a Privacy Impact Assessment examining risks associated with the agency's use of facial recognition technology. As of January 2024, the draft Privacy Impact Assessment was with the Department of Homeland Security Privacy Office for review and comment. As of January 2024, this recommendation remains open.
|
| United States Fish and Wildlife Service | The Director of the U.S. Fish and Wildlife Service should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 13) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ federal law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Fish and Wildlife Service used non-federal facial recognition technology to support investigative activities, without a mechanism to track which systems employees were using. Consequently, we recommended that the U.S. Fish and Wildlife Service implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In July 2021, the agency reported the use of a single non-government technology for all of its facial recognition searches, with access limited to two licensed users. In January 2022, the Assistant Director for Law Enforcement issued a directive providing guidance to the Office of Law Enforcement (OLE) on the use of facial recognition technology for investigative purposes. The directive states that the non-government provider is the only approved system for OLE officers. The directive also requires OLE officers to submit requests to the Wildlife Intelligence Unit for facial recognition searches via an internal case management system. The agency also provided documentation showing the dissemination of this directive to OLE officers. As a result, this recommendation is closed as implemented.
|
| United States Fish and Wildlife Service | The Director of the U.S. Fish and Wildlife Service should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 14) |
Open
This recommendation remains open as of January 2024. U.S. Fish and Wildlife Service (FWS) officials said they have temporarily suspended employee use of non-federal facial recognition technology. In addition, FWS officials said the Department of the Interior is drafting department-wide guidance on facial recognition technology which, once implemented, will allow FWS to update its own facial recognition policy and address this recommendation. Once complete, we will review the policy to determine the extent that it addresses our recommendation.
|
| United States Park Police | The Chief of the U.S. Park Police should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 15) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Park Police used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that Park Police implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In June 2023, Park Police issued a policy stating that all Park Police personnel may only use non-federal facial recognition technology if the Commander of Criminal Investigations assesses the risk of the system, and provides the assessment in writing to the Chief of Police for final approval. The policy directs the Audits and Inspection Unit to maintain copies of the assessments for tracking purposes. As a result, the agency will have better visibility into the facial recognition systems its employees use, and be better positioned to assess the risks of technologies it uses, to support criminal investigations.
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| United States Park Police | The Chief of the U.S. Park Police should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 16) |
Open – Partially Addressed
In June 2023, U.S. Park Police issued a policy stating that personnel may only use non-federal facial recognition technology if the Commander of Criminal Investigations assesses the risk of the system. According to agency officials, since the issuance of that policy, personnel have yet to request assessment of and access to a non-federal facial recognition system. We continue to work with Park Police and monitor the situation to determine whether the agency assesses risks, including privacy- and accuracy-related risks, of potential future uses of facial recognition systems. As of February 2024, this recommendation has been partially addressed.
|
| Bureau of Diplomatic Security | The Assistant Secretary of the Bureau of Diplomatic Security should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 17) |
Open
In January 2024, officials reported that the Bureau of Diplomatic Security created an internal working group comprised of several directorates to determine the best mechanism to implement this recommendation. As of January 2024, this recommendation remains open.
|
| Bureau of Diplomatic Security | The Assistant Secretary of the Bureau of Diplomatic Security should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 18) |
Open
In January 2024, officials reported that the Bureau of Diplomatic Security created an internal working group comprised of several directorates to determine the best mechanism to implement this recommendation. As of January 2024, this recommendation remains open.
|
| Food and Drug Administration | The Assistant Commissioner of the Food and Drug Administration's Office of Criminal Investigations should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 19) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, Food and Drug Administration's (FDA) Office of Criminal Investigations (OCI) used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that FDA implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In December 2021, the U.S. Department of Health and Human Services reported that OCI had deployed a module in its primary system of records for investigations to track employee use of facial recognition technology. The agency also said it notified OCI employees of the requirement to use the module to document information about their use of facial recognition technology in an investigation. The notice informed employees that they would be required to include the system name, owner of the system, and how the system supported OCI's mission. As a result, this recommendation is closed as implemented.
|
| Food and Drug Administration | The Assistant Commissioner of the Food and Drug Administration's Office of Criminal Investigations should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 20) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ federal law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the Food and Drug Administration's (FDA) Office of Criminal Investigations (OCI) used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using, or an assessment of the risks of using such systems. Consequently, we recommended that FDA, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. OCI assessed the risks associated with law enforcement use of facial recognition technology, which informed a facial recognition technology policy OCI issued in October 2022. Among other things, the policy provides guidance and procedures to minimize risks associated with use of facial recognition technology, including those related to privacy and accuracy. As a result, this recommendation is closed as implemented.
|
| Internal Revenue Service | The Chief of the Internal Revenue Service's Criminal Investigation Division should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 21) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the Internal Revenue Service's Criminal Investigation Division used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that Criminal Investigation Division implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In December 2022, the Division notified personnel that all uses of facial recognition technology must be approved by the director of Cyber and Forensic Services. The memorandum noted that the director will maintain requests for use of facial recognition technology, as well as their approval or denial, to allow tracking for auditing purposes. As a result, this recommendation is closed as implemented.
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| Internal Revenue Service | The Chief of the Internal Revenue Service's Criminal Investigation Division should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 22) |
Open
Internal Revenue Service Criminal Investigation Division officials told us that the agency is not using non-federal facial recognition systems. According to officials, any future requests to use non-federal facial recognition technology must be approved and tracked. We continue to monitor the situation to determine whether the tracking mechanism will capture facial recognition systems that the agency should assess for risks. As of January 2024, this recommendation remains open.
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| Inspection Service | The Chief Postal Inspector of the U.S. Postal Inspection Service should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 23) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Postal Inspection Service (USPIS) used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that USPIS implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In October 2021, UPSIS notified inspectors that they are required to enter usage of external organizations' facial recognition tools into a tracking tool called InSite. Within the tool, employees are required to enter the name of the facial recognition system, date used, employee's name, and investigative case number. As a result, this recommendation is closed as implemented.
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| Inspection Service | The Chief Postal Inspector of the U.S. Postal Inspection Service should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 24) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ federal law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Postal Inspection Service used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using, or assess the risks of using such systems. Consequently, we recommended the agency, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. The agency assessed the risks associated with law enforcement use of non-federal facial recognition technology, and provided the results of its assessment to us in March 2023. Among other things, the agency identified risks associated with use of the technology, and has taken some steps to help mitigate these risks, such as using encrypted emails to transfer photos. As a result, this recommendation is closed as implemented.
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| U.S. Capitol Police | The Chief of Police, U.S. Capitol Police, should implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. (Recommendation 25) |
Closed – Implemented
In June 2021, we reported on the use of facial recognition technology by agencies that employ law enforcement officers (GAO-21-518). We found that between April 2018 and March 2020, the U.S. Capitol Police used non-federal facial recognition technology to support investigative activities, but did not have a mechanism to track which systems employees were using. Consequently, we recommended that the Capitol Police implement a mechanism to track what non-federal systems with facial recognition technology are used by employees to support investigative activities. In June 2023, the agency issued a Standard Operation Procedure to its Investigations Division employees. The purpose of the Standard Operation Procedure is to establish a uniform process for the request and utilization of facial recognition systems, including non-federal systems, for investigations. It also establishes a tracking mechanism. Specifically, according to the Standard Operating Procedure, if an employee receives approval to use a system, they are required to record certain details (e.g., a copy of the image intended for submission) in the Capitol Police record management system for tracking purposes. As a result, this recommendation is closed as implemented.
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| U.S. Capitol Police | The Chief of Police, U.S. Capitol Police, should, after implementing a mechanism to track non-federal systems, assess the risks of using such systems, including privacy and accuracy-related risks. (Recommendation 26) |
Open
In March 2024, U.S. Capitol Police officials told us that the agency is not using non-federal facial recognition systems. A June 2023 directive requires employees to request to use facial recognition software, and mark approved requests in the record management system for tracking purposes. We continue to monitor the situation to determine whether the tracking mechanism will capture facial recognition systems that the agency should assess for risks. As of March 2024, this recommendation remains open.
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