3
Use Cases
Facial recognition technology (FRT) is increasingly widespread, with use cases ranging from unlocking smartphones and other devices to uses in law enforcement investigations, at international borders, in airports, and in many other public and private spaces. FRT has become embedded in many aspects of everyday life, and it is expected that it will find its way into an increasing number of applications in the future.
This chapter describes a large range of FRT use cases and public discourse around these uses. Many use cases may be valuable and worthwhile—although there may be debate about the cases where FRT use is most appropriate and cost-effective. Many FRT use cases raise significant questions related to fairness, equity, civil liberties, or privacy, and the reader may find some use cases to be problematic. This is intentional. The committee deliberately included use cases ranging from the relatively innocuous and widely (albeit not universally) accepted to use cases that many believe should be prohibited.
The chapter deliberately does not address the normative dimensions of these use cases. Chapter 4 broadly considers equity, privacy, and civil liberties implications of these and other uses, and the conclusions and recommendations in Chapter 5 are informed by these use cases.
The chapter is divided into sections describing broad categories of use. Within each section, examples of use cases are presented that are currently deployed in the United States or internationally. Technically feasible—but currently hypothetical—use cases are also described. Recommendations for mitigating the more concerning issues associated with the use of FRT and a framework for assessing various use cases are discussed in Chapter 5.
LAW ENFORCEMENT INVESTIGATION
The use of security camera footage to identify suspects in a criminal investigation is one of the most common applications of FRT. Law enforcement agencies frequently seek to identify individuals from images captured using public or private video cameras. A law enforcement use case is provided below.
Law enforcement identification of a suspect from photo (current use): Police have a photo of a suspect fleeing the scene of a robbery. The photo is used to search a database of mugshots or area parolees, and one person is identified as a likely match.1 Officers are then sent to question that person.
FRT can be applied to conventional security camera footage long used by many businesses and police investigations. The falling cost of high-quality cameras, network infrastructure, and storage has led to widespread surveillance in public and commercial spaces. The personal use of cameras, such as in doorbell systems and smartphones, has increased dramatically in recent years. Although they provide footage of varying quality, many of these cameras can capture images of sufficient quality for FRT. Public, commercial, and private video footage is commonly accessible by law enforcement investigators, and some police departments have developed formal programs to access private cameras.
PUBLIC SAFETY
FRT can potentially be used in high-traffic areas and during large gatherings, ranging from concerts or music festivals, parades, and sporting events, to social and political demonstrations, all of which are settings in which monitoring with FRT may be of interest to law enforcement and national security agencies—and which may in some cases raise civil liberties concerns. The use of FRT presents law enforcement with enhanced capacity to surveil large crowds to develop intelligence, detect persons previously identified as security risks, and stop a potential threat to safety.
Screening entrants to a concert against a list of known threats (current use): An arena uses FRT at the entrance and throughout the arenas and stadiums, scanning ticketed attendees against a list of individuals who pose specific threats to the performer. If
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1 Note: There may not be any likely match if the suspect is not in the database.
the FRT signals a likely match, the individual is questioned by venue security personnel and asked to show identification (ID). If the ID shows that the person is on the list, they may be barred from entry.
Over the past 10 years, the use of FRT in sports venue security has become commonplace.2 The metal detector systems for entry into these venues are being replaced by “smart” entry gates. The systems increase flow of traffic into the venues and have had the benefit of protecting entertainers from their stalkers.3 As an example, the systems used for Taylor Swift concerts have been effective in keeping the artist safe from known stalkers. Her security detail estimates that she has approximately 3,000 known stalkers, many of whom attend her shows.
Screening for shoplifters in stores (current use): A grocery store uses FRT at customer entrances, seeking to identify known shoplifters and deny them entry. The list of known shoplifters is compiled jointly by the store’s security team and the security teams of competing local stores of individuals who have previous shoplifting offenses.
Increasingly, many major retail store chains are using facial recognition for security purposes.4 Both shoplifting and “smash and grab” incidents have led some retailers to elect to deploy the systems, although sometimes in a limited fashion. In most instances, stores that have been the victims of repeated incidents have deployed FRT systems to assist law enforcement and to deter criminals. A major issue has been the disposition of the face images after they are collected; practices related to how long images are kept and with whom they are shared vary. There have been lawsuits filed on these grounds against certain chains to stop the deployment of FRT.5 Another concern is how this use might have racial or other discriminatory effects on access to de facto public spaces.
Identifying card-counters and cheaters at casinos (current use): Casinos share lists of individuals banned from the premises for suspected card counting and cheating. Cameras are used to capture images of individuals entering casinos, and FRT is used
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2 ABC News, 2001, “Biometrics Used to Detect Criminals at Super Bowl,” ABC News, updated February 13, https://abcnews.go.com/Technology/story?id=98871.
3 B. Reed, ed., 2023, “Police to Use Live Facial Recognition in Cardiff During Beyoncé Concert,” Guardian, updated May 17, https://www.theguardian.com/technology/2023/may/17/police-to-use-facial-recognition-technology-in-cardiff-during-beyonce-concert.
4 J. Formoso, 2023, “Stores Are Using Facial Recognition to Help Stop Repeat Shoplifters,” FOX 5, New York, updated March 17, https://www.fox5ny.com/news/stores-are-using-facial-recognition-to-help-stop-repeat-shoplifters.
5 D.A. Ryskamp, 2021, “Macy’s Faces Lawsuit Over Clearview AI Facial Recognition Software,” Expert Institute, updated April 5, https://www.expertinstitute.com/resources/insights/macys-faces-lawsuit-over-clearview-ai-facial-recognition-software.
to compare these faces against those of known card counters or cheats. When a match is identified, the casino dispatches security to remove the individual from the facility.
Many casinos along the Las Vegas strip, and elsewhere in the United States, have implemented FRT to supplement security and monitor prohibited activity, allowing for real-time identification of individuals who were previously barred from gaming establishments to be blocked or removed.6,7,8 Relatedly, individuals with a gambling addiction can choose to voluntarily enroll themselves in a database of known addicts; when individuals in this database show up to a casino and are identified using FRT, security personnel will similarly remove them from the casino.
School security—for example, identifying adults known to be dangerous (current use): A public school has a list of adults known to be dangerous, such as individuals convicted of violent crimes. When visitors enter school property, their faces are compared against those of individuals on the list. If the system identifies a match, school security officers are immediately dispatched to escort the individual from school property.
In response to the recent school shootings in the United States, several school systems have deployed FRT on school grounds and in school buildings to monitor for unwanted persons on campus or in the building.9,10,11 Goals include identifying bad actors, such as violent ex-students, registered sex offenders, non-custodial parents, and others deemed credible threats by law enforcement and school authorities. Parents and guardians of individuals enrolled in private schools would be able to consent to the use of FRT for broader use in surveillance of students, parents, staff, and visitors.12 In this
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6 Journal Record Staff, 2022, “Casino Uses Facial Recognition Technology to Supplement Security,” Journal Record, updated October 26, https://journalrecord.com/2022/10/casino-uses-facial-recognition-technology-to-supplement-security.
7 C. Swanger, 2021, “How Integrated Resorts and Casinos Are Leveraging Facial Recognition Software for Increased Security,” eConnect Global, updated November 19, https://www.econnectglobal.com/blog/how-integrated-resorts-and-casinos-are-leveraging-facial-recognition-software-for-increased-security.
8 T. Prince, 2018, “Facial Recognition Technology Coming to Las Vegas Strip Casinos,” Las Vegas Review Journal, October 13, https://www.reviewjournal.com/business/casinos-gaming/facial-recognition-technology-coming-to-las-vegas-strip-casinos.
9 RealNetworks, 2018, “RealNetworks Provides SAFR Facial Recognition Solution for Free to Every K-12 School in the U.S. and Canada,” updated July 17, https://realnetworks.com/press/releases/2018/realnetworks-provides-safr-facial-recognition-solution-free-every-k-12-school-us.
10 D. Alba, 2020, “Facial Recognition Moves into a New Front: Schools,” New York Times, February 6, https://www.nytimes.com/2020/02/06/business/facial-recognition-schools.html.
11 C. Schulz, 2023, “Four Counties to Implement Facial Recognition for School Safety,” West Virginia Public Broadcasting, https://wvpublic.org/four-counties-to-implement-facial-recognition-for-school-safety.
12 SAFR® RealNetworks, n.d., “Leading by Example: How St. Therese Turned to SAFR® to Better Protect Its Community, One Opt-In at a Time,” Case Study: Schools & Universities, https://safr.com/case-studies/st-therese, accessed May 23, 2023.
instance, a database of all staff and students who are approved for regular entry into the school or parents, guardians, or other visitors approved to pick up students may be created to verify their identity upon entry.
Other video analytics systems have been developed to identify a person approaching the school building with a weapon and alerts are sent to the school’s access control system to trigger lock-down procedures. Although these video systems also have the capability for facial recognition, many school administrators are not using this capability with these systems due to privacy issues around FRT.
Human trafficking detection (current use): Law enforcement agencies share information on persons reported as missing. At major transportation hubs such as airports, train stations, and ports, cameras are used to capture images of travelers. These images are compared against the shared database of missing individuals. When a match is identified, law enforcement is notified and dispatched to the transportation hub.
An important application of surveillance using FRT is to deter and detect the trafficking of humans, including the tracking of abducted children. Different types of trafficking observed in all states and territories of the United States include the movement of individuals and children for forced labor purposes and the sex trafficking of individuals, including young boys and girls. The National Child Protection Task Force13,14 claims to use FRT as part of its enforcement arsenal that also includes geolocation and cellular data analysis. FRT has also been used to search online sex ads to find images matching those of a missing person.15,16 Unfortunately, the exact impact of FRT systems on human trafficking has not yet been measured. An important future direction for FRT systems in humanitarian applications would be to measure the technology’s impact.
Automated detection of offenses and offenders (current use outside the United States): A police department places cameras in public areas. They are able to monitor the footage and identify infractions such as littering and can use FRT on the video footage to identify the culprits. The police are then able to generate and send citations for these infractions without needing additional officers on the street.
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13 M. Bernhard, 2021, “How NCPTF Helps Law Enforcement Find Missing Children,” Skopenow, https://www.skopenow.com/news/how-ncptf-helps-law-enforcement-find-missing-children.
14 T. Simonite, 2019, “How Facial Recognition is Fighting Child Sex Trafficking,” Wired, https://www.wired.com/story/how-facial-recognition-fighting-child-sex-trafficking.
15 B. Eastman, 2021, “Can Facial Recognition Software Within Transportation Technology Combat Modern Slavery and Human Trafficking?” Futurist Journal of Law and Mobility, https://futurist.law.umich.edu/can-facial-recognition-software-within-transportation-technology-combat-modern-slavery-and-human-trafficking/l.
16 Department of Defense, 2017, “DARPA Program Helps to Fight Human Trafficking,” https://www.defense.gov/News/News-Stories/Article/Article/1041509/darpa-program-helps-to-fight-human-trafficking.
Some countries with authoritarian regimes have deployed FRTs for automated detection of offenses and have most of their citizens in a database.17,18,19 Another possible use would be to extend red light camera enforcement, which currently is based on license plate recognition, by using FRT to identify the driver and not just the car.
Identification as part of a traffic or street stop (hypothetical): A police officer conducts a traffic stop or a stop of a pedestrian, acting on reasonable suspicion that the individual may have committed a crime. The officer takes a photo of the individual’s face using a mobile device and accesses FRT to match the individual against a database of, for example, driver’s license images, to establish the individual’s identity.
Despite lack of reports of FRT use as a part of a stop by police, this hypothetical use case was recommended in early 2021 by Street Cop Training, a popular workshop on new investigative techniques.20,21 In this case, police officers could use FRT to identify drivers or passengers, if their identity is uncertain, and determine whether the individual has a warrant for their arrest.
Anticipatory surveillance of crowds at a political protest (current use): A police department fears that a large protest may become violent. The police use FRT to scan the crowd for matches against a list of known violent offenders and use this information to focus their attention and resources.
Large gatherings, such as social or political demonstrations, and public parades or celebrations, pose unique challenges for law enforcement to ensure the safety and security of both bystanders and protestors exercising their First Amendment rights. The use of FRT presents law enforcement and national security agencies with enhanced capacity to be able to surveil large crowds and potentially detect persons previously identified as posing security risks. There are potential risks associated with this use as well. As an example, questions have been raised as to whether it was appropriate to
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17 A. Ng, 2020, “How China Uses Facial Recognition to Control Human Behavior,” CNET, https://www.cnet.com/news/politics/in-china-facial-recognition-public-shaming-and-control-go-hand-in-hand.
18 K. Johnson, 2023, “Iran Says Face Recognition Will ID Women Breaking Hijab Laws,” Wired, https://www.wired.com/story/iran-says-face-recognition-will-id-women-breaking-hijab-laws.
19 CBS News, 2019, “Reporter on China’s Treatment of Uighur Muslims: ‘This Is Absolute Orwellian Style Surveillance,’” CBS News, https://www.cbsnews.com/news/china-puts-uighurs-uyghyrs-muslim-children-in-prison-re-education-internment-camps-vice-news.
20 M. DeGeurin, 2022, “What to Do If a Cop Tries to Scan Your Face During a Traffic Stop,” Gizmodo, https://gizmodo.com/can-police-use-facial-recognition-scans-at-traffic-stop-1848581619.
21 C. Haskins, 2022, “A Popular Workshop for Police Encouraged Cops to Use Face Scans to ID People They Pull Over at Traffic Stops,” Business Insider, https://www.businessinsider.com/police-workshop-street-cop-training-podcast-facial-recognition-traffic-stops-2022-2.
use FRT to identify Black Lives Matter protesters in Baltimore and New York.22,23 In 2015, police in Baltimore County, Maryland, used facial recognition on photos retrieved from social media to identify individuals with outstanding warrants in the wake of events that transpired after the death of Freddie Gray.24
Scanning passersby in public places for outstanding arrest warrants (current use outside the United States): City law enforcement maintains a list of individuals with outstanding warrants. A series of city-owned cameras in public spaces capture images of passersby. By using FRT to compare these images with the images of individuals with outstanding warrants, law enforcement can identify the whereabouts of these individuals and arrest them pursuant to the warrant.
Screen for parolees at travel sites (hypothetical): A state parole agency puts FRT in local airports, bus stations, and car rental offices, looking for parolees whose conditions of parole forbid them from traveling outside the state. If there is a match, the facility is instructed not to offer travel to the person unless the person is cleared to travel.
Real-time mass surveillance (current use outside the United States): The government sets up an extensive network of surveillance cameras across a city. Using FRT and the camera network, the government seeks to track the movement of any individual citizen to, for example, monitor criminal activity in high-crime areas or track movement of suspected terrorists.
Although the use of FRT video systems is not used in the United States as described in some of the above use cases, FRT could be deployed to screen specific areas for specific purposes or monitor individuals accessing public areas for undefined purposes where security camera infrastructure already exists. For example, an individual wanted by police was arrested after being identified by FRT at a concert from images collected by a network of closed-circuit television (CCTV) cameras around the public venue.25,26 This
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22 Geofeedia and Baltimore County Police Department, “Case Study: Baltimore County PD,” posted online by the ACLU of Northern California on October 11, 2016, https://www.aclunc.org/docs/20161011_geofeedia_bal-timore_case_study.pdf.
23 J. Vincent, 2020, “NYPD Used Facial Recognition to Track Down Black Lives Matter Activist,” Verge, https://www.theverge.com/2020/8/18/21373316/nypd-facial-recognition-black-lives-matter-activist-derrick-ingram.
24 R. Brandom, 2016, “Can Facebook and Twitter Stop Social Media Surveillance?” Verge, https://www.theverge.com/2016/10/12/13257080/police-surveillance-facebook-twitter-instagram-geofeedia.
25 BBC News, 2018, “Chinese Man Caught by Facial Recognition at Pop Concert,” BBC News, https://www.bbc.com/news/world-asia-china-43751276.
26 A.B. Wang, 2021, “A Suspect Tried to Blend in with 60,000 Concertgoers, China’s Facial-Recognition Cameras Caught Him,” Washington Post, https://www.washingtonpost.com/news/worldviews/wp/2018/04/13/china-crime-facial-recognition-cameras-catch-suspect-at-concert-with-60000-people.
use case could be extended to other high-traffic areas, such as transportation hubs, to monitor individuals who are barred from leaving the state or country.
Some law enforcement agencies may also seek to use FRT technologies in an open-ended way to continuously scan passersby in public places, including public parks, streets, sidewalks, and public transportation centers, with no identified threat or concern.27,28,29,30,31,32 The Metropolitan Police in the United Kingdom, for instance, announced in 2020 that they would begin to use live facial recognition in some public spaces to continuously scan for criminal suspects.33 This deployment of live FRT is intended for use with a watchlist of wanted offenders or those persons who pose a risk of harm to themselves or others.34 Examples of real-time mass surveillance in the United States have been linked to individuals sympathetic to foreign governments or government agents who have used existing CCTV footage to monitor individuals from their own nations residing in major U.S. cities, such as New York and Los Angeles.35
IN LIEU OF OTHER METHODS FOR VERIFYING IDENTITY OR CONFIRMING PRESENCE
Some applications of FRT are used to confirm identity by checking an individual’s photo ID against a specific list of known exemplars. In these cases, deployment of FRT is intended to improve efficiency and provide enhanced security by allowing a search through multiple databases. It is important to note that there is a distinction among applications where facial recognition is utilized but individuals who prefer must specifically opt-out and where facial recognition is a convenience feature available for voluntary adoption.
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27 P. Mozur, M. Xiao, and J. Liu, 2022, “How China Polices the Future: An Unseen Cage of Surveillance,” New York Times, p. A1, June 25.
28 I. Qian, M. Xiao, P. Mozur, and A. Cardia, 2022, “China’s Expanding Surveillance State,” New York Times, p. A10, July 27.
29 M. Xiao, P. Mozur, I. Qian, and A. Cardia, 2022, “China’s Surveillance State Is Growing: These Documents Reveal How,” New York Times, June 21, https://www.nytimes.com/video/world/asia/100000008314175/china-government-surveillance-data.html.
30 P. Mozur, C. Fu, and A. Chien, 2022, “How China’s Police Used Phones and Faces to Track Protesters,” New York Times, updated December 4, https://www.nytimes.com/2022/12/02/business/china-protests-surveillance.html.
31 D. Davies, 2021, “Facial Recognition and Beyond: Journalist Ventures Inside China’s ‘Surveillance State,’” NPR, https://www.npr.org/2021/01/05/953515627/facial-recognition-and-beyond-journalist-ventures-inside-chinassurveillance-sta.
32 K. Hao, 2023, “After Feeding Explosion of Facial Recognition, China Moves to Rein It In,” Wall Street Journal, https://www.wsj.com/articles/china-drafts-rules-for-facial-recognition-use-4953506e.
33 A. Satariano, 2020, “London Police Are Taking Surveillance to a Whole New Level,” New York Times, updated October 1, 2021, https://www.nytimes.com/2020/01/24/business/london-police-facial-recognition.html.
34 Metropolitan Police United Kingdom, “Facial Recognition Technology: Live Facial Recognition,” https://www.met.police.uk/advice/advice-and-information/fr/facial-recognition-technology, accessed November 17, 2023.
35 I. Vincent, 2023, “After FBI Busts Chinese ‘Police Station’ in NYC, Six More Exposed in US,” New York Post, updated April 19, https://nypost.com/2023/04/18/chinese-police-stations-allegedly-spying-on-nyc-la-more.
Border control for air travel (current use): An individual who is traveling internationally to the United States must go through customs and border control to confirm identity before entering the country. The traveler’s photo is taken at a kiosk and compared against an existing passport or visa photo using FRT and confirmed within seconds. A Customs and Border Protection (CBP) officer can then interview the traveler and determine admissibility into the United States. For U.S. citizens, if the entry into the United States goes smoothly, the traveler’s photo is deleted within 12 hours without further dissemination. For non-citizens, photos are retained for 14 days for facial comparison, then stored by the Department of Homeland Security (DHS) with entry and exit records.36
Over the past 20–30 years, the collection and processing of biometrics have become an important part of controlling movement at U.S. borders.37 The ever-increasing numbers of these movements have motivated government agencies involved in the control of these movements to adopt biometrics to assist with these increasing numbers. The most widely used biometric for the identification and verification of persons crossing the border has been the analysis of fingerprints. However, CBP is replacing fingerprint identification with facial recognition to enable contactless and faster image acquisition and using it for comparison with face photos that are integrated in passports. CBP’s Travel Verification System (TVS) compares a live photo of the traveler against a database of images from passports, U.S. visas, or other DHS holdings.38
To date, CBP has implemented FRT into entry processes at all international airports, into exit processes at 36 airport locations, and both entry and exit processes at 36 seaports, and all pedestrian lanes at both Northern and Southwest Border ports of entry. To date, CBP reports that it has processed more than 300 million travelers using biometric facial comparison technology and prevented more than 1,800 “impostors” (i.e., individuals using genuine travel documents that do not match their identity) from entry to the United States.39 Currently at 18 seaports across the United States, CBP has partnered with Carnival Cruise Line40 and Norwegian Cruise Line41 to implement facial biometrics
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36 R. Iyengar and C. Gutman-Argemí, 2023, “How Technology Is Changing Immigration Lines,” Foreign Policy, https://foreignpolicy.com/2023/04/27/us-immigration-lines-cbp-facial-recognition.
37 Department of Homeland Security (DHS) and Customs and Border Protection (CBP), 2017, Biometric Entry-Exit Program Concept Operations, Washington, DC: Department of Homeland Security, https://epic.org/wp-content/uploads/foia/dhs/cbp/biometric-entry-exit/Concept-of-Operations.pdf.
38 CBP, 2022, “Statement for the Record on Assessing CBP’s Use of Facial Recognition Technology,” updated August 29, https://www.cbp.gov/about/congressional-resources/testimony/statement-record-assessing-cbps-use-facial-recognition-technology.
39 CBP, 2023, “Biometrics,” updated October 5, https://www.cbp.gov/travel/biometrics.
40 CBP, 2023, “CBP, Carnival Cruise Line Introduces Facial Biometrics at Port of Jacksonville,” updated March 15, https://www.cbp.gov/newsroom/national-media-release/cbp-carnival-cruise-line-introduces-facial-biometrics-port.
41 CBP, 2023, “CBP and Norwegian Cruise Line Introduces Facial Biometrics at the Port of Boston,” updated April 10, https://www.cbp.gov/newsroom/local-media-release/cbp-and-norwegian-cruise-line-introduces-facial-biometrics-port-boston.
to further secure and streamline the identity verification process when travelers depart a vessel after a closed-loop cruise, reducing debarkation times by up to 30 percent.
For domestic travel, the Transportation Security Administration (TSA) has created a similar facial recognition program that conducts one-to-one matching compared to the photograph on their ID. TSA has implemented this pilot FRT program as part of the Touchless Identity Solution for PreCheck holders at 25 airports nationwide.42,43 TSA is preparing to expand this program to more than 400 airports in the next several years44 and is also testing a one-to-many facial recognition program where a live image of the passenger taken at the airport is compared to a gallery from CBP’s TVS system.45
Workplace access control for employees and cleared guests (current use): A company allows only employees and invited guests into their offices. The company employs security turnstiles in the building lobby that use FRT to allow entrance if the person matches a database of current employees and invited guests. In case of non-match, the person must visit the security desk.46
Workplace enforces visitor escort requirement (hypothetical): A company requires that all visitors to its offices must be escorted by a staff member. Cameras deployed in the hallways can use FRT to look for any non-staff member who is not escorted by a staff member. If the system identifies an apparent violation, security guards rush to the location.
Although ID badges are used to identify non-cleared personnel who require escorts in classified security settings, the application of FRT as a mechanism for detection has not yet been deployed. Implementation of FRT for this case could be expanded to enforcing other escort requirements, as described in the use case above. FRT has also been used for access control of residential properties. This includes allowing the operation of elevators,47 operating smart locks on the properties,48 and ability to arm or disarm security systems.49
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42 Transportation Security Administration, n.d., “TSA PreCheck: Touchless Identity Solution,” https://www.tsa.gov/biometrics-technology/evaluating-facial-identification-technology, accessed May 23, 2023.
43 R. Santana and R. Gentilo, 2023, “TSA Is Testing Facial Recognition at More Airports,” AP News, https://apnews.com/article/facial-recognition-airport-screening-tsa-d8b6397c02afe16602c8d34409d1451f.
44 W. Chan, 2023, “TSA to Expand Facial Recognition Program to Over 400 Airports,” Fast Company, https://www.fastcompany.com/90918235/tsa-facial-recognition-program-privacy.
45 J. Doubleday, 2022, “CBP, TSA Expanding Facial Recognition for Traveler Identity Verification,” Federal News Network, https://federalnewsnetwork.com/technology-main/2022/10/cbp-tsa-expanding-facial-recognition-for-traveler-identity-verification.
46 R. Carriere, 2022, “Why Facial Recognition Makes Building Management Easier and Safter,” Facility Executive, updated September 19, https://facilityexecutive.com/how-facial-recognition-makes-building-management-easier-and-safer.
47 J.A. Kingson, 2023, “Elevators of the Future May Go Horizontal,” Axios, https://www.axios.com/2023/01/04/artificial-intelligence-facial-recognition-elevators-otis-schindler-horizontal.
48 S. Bajaj, 2023, “Best Face Recognition Door Locks,” Swiftlane, updated June 20, https://swiftlane.com/blog/best-face-recognition-locks.
49 Brinks Home, “Brinks Home ‘Complete’ Package,” https://brinkshome.com/help-center/articles/360038959252-brinks-home-complete-package.
Automated school attendance (current use): A school places cameras in its classrooms and lecture halls and records students in the classroom. The school administration uses FRT to check the images of classroom attendance against a database of the student body in order to identify whether or not a student is attending class. The administration uses this attendance record to send truancy notices to parents of absentee students.50,51,52
Clocking in and out at work (current use): An employer deploys a camera near the employees’ entrance. When a worker starts a shift, the camera scans their face and uses FRT to compare the captured image to a database of employee photos for record-keeping purposes.
Closely related to access control, the use of FRT by companies for employee time and attendance purposes is becoming very popular among employers.53,54 Rather than clocking in and out of work using personal identity verification cards, personal identification numbers (PINs), and so on, this system simply uses a facial scan to identify the employee. An FRT system is contactless, reduces the need for replacement of lost cards, and would effectively eliminate instances of “buddy punching” and impersonation. In safety-critical industries, such as oil refining and chemical processing, FRT could be used in the event of an industrial accident to ensure that all individuals in the building have been accounted for in rescue efforts.55
Pharmacist access to controlled substance cabinet (current use): A nurse uses FRT to unlock a cabinet containing controlled medications. The image is compared to the employee’s hospital ID. False negative (FN) results would prompt the nurse to
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50 Face-Six, n.d., “FA6 Class—Classroom Attendance. Face Recognition for School!” https://www.face-six.com/classroom-attendance-reinvented, accessed November 17, 2023.
51 D. Samridhi and T. Patnaik, 2020, “Student Attendance System Using Face Recognition,” International Conference on Smart Electronics and Communication (ICOSEC), https://doi.org/10.1109/icosec49089.2020.9215441.
52 A. Budiman, Fabian, R.A. Yaputera, S. Achmad, and A. Kurniawan, 2022, “Student Attendance with Face Recognition (LBPH or CNN): Systematic Literature Review,” Procedia Computer Science 216:31–38, https://doi.org/10.1016/j.procs.2022.12.108.
53 H. Kronk, 2021, “Facial Recognition Technology in the Workplace: Employers Use It, Workers Hate It, Regulation Is Coming for It,” Corporate Compliance Insights, https://www.corporatecomplianceinsights.com/facial-recognition-technology-in-workplace.
54 L. Rainie, M. Anderson, C. McClain, E.A. Vogels, and R. Gelles-Watnick, 2023, “Americans’ Views on Use of Face Recognition in the Workplace,” Pew Research Center, https://www.pewresearch.org/internet/2023/04/20/americans-views-on-use-of-face-recognition-in-the-workplace.
55 R. Carriere, 2022, “Facial Recognition for Safer, More Efficient Factories,” Industry Today, https://industrytoday.com/facial-recognition-for-safer-more-efficient-factories.
present an RFID (radio frequency identification) card to gain access to the locked cabinet and a review by hospital security.56,57,58
The use of FRT is becoming accepted for usage in health care facilities for a number of reasons. Facility security is a major driver for use of these systems not only for entrance into the facility but also to control access to sensitive parts of the facility. This includes access to pharmaceutical supplies and usage of critical equipment.
Identification to access public services (current use): An individual applying for government benefits has their face scanned, and FRT is used to confirm the individual’s identity. Following authentication, the individual receives a photo ID denoting their receipt of benefits and their image is entered into a private database for later reference.
To address issues of fraud and inefficiency in public benefits access, many agencies have employed biometric-based systems for identity verification. Previously, fingerprints were obtained during the application process for nutrition assistance programs, such as the Supplemental Nutrition Assistance Program (SNAP) and Special Supplemental Nutrition Program for Women, Infants, and Children (WIC), as a method to deter fraud and prevent duplicate applications.59 Most states and cities no longer require fingerprint verification due to the excessive cost and the increased stigmatization for applicants.60 A recent report found that 22 labor agencies are using facial recognition for identity verification for unemployment insurance.61 In this case, the applicants are asked to provide a government photo ID, as well as a video or “live selfie” that is compared using FRT.62 Today, there is no evidence of biometrics, either facial recognition or fingerprinting, being used for identity verification to obtain other public services, such as SNAP, Temporary Aid to Needy Families Program, WIC, Medicaid, or Child Care Assistance Program.
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56 L. Pascu, 2020, “Cyberlink’s FaceMe AI-Based Engine Integrated in AIoT iHospital Service Platform,” Biometric Update, https://www.biometricupdate.com/202001/cyberlinks-faceme-ai-based-engine-integrated-in-aiot-ihospital-service-platform.
57 L. Pascu, 2016, “MedixSafe Introduces Narcotic Safe with Facial Recognition,” Biometric Update, https://www.biometricupdate.com/201603/medixsafe-introduces-narcotic-safe-with-facial-recognition.
58 IDENTI Medical Data Sensing, 2023, “Secured Narcotics Cabinet: Medication Dispensing System for Controlled Substances and Narcotics,” https://identimedical.com/narcotics-cabinet.
59 C. Cournoyer, 2011, “Governments Abandon Fingerprinting for Food Stamps,” Governing, https://www.governing.com/archive/governments-abandon-fingerprinting-food-stamp-recipients.html.
60 C. Rodriguez, 2012, “The Clash Over Fingerprinting for Food Stamps,” NPR, https://www.npr.org/2012/01/30/145905246/the-clash-over-fingerprinting-for-food-stamps.
61 E.B. Sorrell, 2023, “Digital Authentication and Identity Proofing in Public Benefits Applications,” updated November 19, https://www.digitalbenefitshub.org/publications/digital-authentication-and-identity-proofing-data.
62 J. Buolamwimi, V. Ordóñez, J. Morgenstern, and E. Learned-Miller, 2020, Facial Recognition Technologies: A Primer, Cambridge, MA: Algorithmic Justice League, https://assets.website-files.com/5e027ca188c99e3515b404b7/5ed1002058516c11edc66a14_FRTsPrimerMay2020.pdf.
The Department of Housing and Urban Development (HUD) has used federal safety and security grants to help facilitate the purchase and installation of cameras equipped with FRT.63 Although intended to prevent crime in public and HUD-assisted housing, video footage was used to identify, punish, and evict public housing residents, sometimes for minor violations of housing rules. It can also lead to the exclusion of unrecognized family members from the premises.
Check in for a flight (current use): An airline offers an opt-in feature allowing passengers to check in for their flight at an airport kiosk using FRT instead of showing ID or entering identification numbers. At the kiosk, the passenger pushes a button to trigger the FRT feature. If they are recognized, the kiosk greets them by name and initiates the check-in procedure. If not recognized, the kiosk asks for an identity document or flier number, then offers to opt the user in to future FRT, before continuing with check-in.64
In 2021, Delta was the first airline to introduce a digital identity program for TSA PreCheck members that offered “curb-to-gate” service at Detroit and then Atlanta airports.65 The use of FRT in air travel has been extended to such functions as bag drop, security, and boarding.66 With regard to COVID-19 pandemic protocols, FRTs have been deployed to improve social distancing procedures and increase the number of contactless interactions.
Face used to withdraw cash at ATM (current use outside the United States): A customer approaches an ATM and enters their PIN. The system asks the customer to face the camera so an image can be developed. Using the photo and PIN, the system verifies and validates the identity of the client and access is granted to the customer’s accounts and cards. The customer can then withdraw cash or carry out other tasks available at the ATM. If a match is not made, the customer can present their ATM/debit card and use the ATM as normal.
Several banks, including CaixaBank (Spain), Shinhan Bank (South Korea), and Seven Bank (Japan), have rolled out facial recognition features for ATM withdrawals in
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63 D. MacMillan, 2023, “Eyes on the Poor: Cameras, Facial Recognition Watch Over Public Housing,” Washington Post, https://www.washingtonpost.com/business/2023/05/16/surveillance-cameras-public-housing.
64 New York Times, 2021, “Your Face Is, or Will Be, Your Boarding Pass,” New York Times, https://www.nytimes.com/2021/12/07/travel/biometrics-airports-security.html.
65 S. Writer, 2021, “Delta Launches First Domestic Digital Identity Test in U.S., Providing Touchless Curb-to-Gate Experience,” Delta News Hub, https://news.delta.com/delta-launches-first-domestic-digital-identity-test-us-providing-touchless-curb-gate-experience; https://news.delta.com/deltas-exclusive-partnership-tsa-stream-lines-check-security-atlanta.
66 Newsdesk, 2021, “Delta Reveals First Dedicated TSA Precheck Lobby, Bag Drop,” Travel Agent Central, https://news.delta.com/delta-reveals-first-ever-dedicated-tsa-precheckr-lobby-bag-drop.
recent years.67,68 Although this technology has not yet been deployed by U.S. banks, the technology is readily available, and infrastructure is already in place to use facial recognition in lieu of PINs or, possibly, debit cards at ATMs. Facial recognition as a mechanism in lieu of passwords to access bank accounts on mobile devices has already been implemented as an opt-in convenience feature, utilizing the mobile device’s facial recognition system. Hypothetically, this use case could be extended to include “self-check-out” purchases at a grocery store69 or picking up prescriptions from a pharmacy.70,71
Amusement park season pass enforcement (current use outside the United States): An amusement park sells annual passes. Pass holders have the option of entering the park through a special entrance, which uses FRT to check each entrant against a database of pass holders. In case of a non-match, the person is asked to use the public entrance where they will be asked to show ID.
Shanghai Disneyland72 and Universal Studios in Singapore73 have launched an opt-in facial recognition park entry app for its seasonal pass holders. Similar programs have been proposed at amusement parks in the United States but, as of the date of this report, none have been deployed.
PERSONAL DEVICE ACCESS
Facial recognition for use in security and access control for personal devices, such as smartphones, tablets, and laptop computers, has become increasingly common, allowing individuals to unlock their devices without having to type in their password. This ability is an opt-in feature, and the user can provide a non-biometric means for authentication and access.
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67 K. Flinders, 2020, “CaixaBank Introduces Facial Recognition ATMs,” Computer Weekly, https://www.computerweekly.com/news/252484427/Caixabank-introduces-facial-recognition-ATMs.
68 M. Borak, 2023, “South Korean Bank Rolls out ATM Withdrawals with Alchera Facial Recognition,” Biometric Update, https://www.biometricupdate.com/202306/south-korean-bank-rolls-out-atm-withdrawals-with-alchera-facial-recognition.
69 F. McFarland, 2023, “Huge Change Could Be Coming to Self-Checkout with Tech Used by Border Protection,” The U.S. Sun, updated February 22, https://www.the-sun.com/money/7459309/shopping-facial-recognition-technology-border-protection.
70 L. Biscaldi, ed., 2022, “Is Automated Prescription Pickup the Future of Pharmacy?” Drug Topics 166(3), https://www.drugtopics.com/view/is-automated-prescription-pickup-the-future-of-pharmacy-.
71 J. Lee, 2017, “National Pharmacies Intros Facial Recognition at Australian Stores,” Biometric Update, https://www.biometricupdate.com/201710/national-pharmacies-intros-facial-recognition-at-australian-stores.
72 Shanghai Disney Resort, “Annual Pass Online Redemption and Facial Recognition Park Entry,” https://www.shanghaidisneyresort.com/en/guest-services/facialrecognition, accessed November 17, 2023.
73 Resorts World Sentosa Singapore, “Attractions Ticketing Terms and Conditions,” https://www.rwsentosa.com/en/attractions/attractions-ticketing-terms-and-conditions, accessed November 17, 2023.
Unlock personal phone (current use): A person opts in to using FRT to unlock their personal phone. Biometric references derived from images of their face are stored only in a secure area on the phone and will be deleted if the person later disables this feature.
An analogous scenario includes use of FRT to unlock and start a car, most notably implemented in the Genesis GV60.74 Implementation of FRTs for use in personal device access is notable because it does not require interoperability—that is, both images are collected on the same camera and all components of the operation are specified and programmed by the developer. In this case, most attempts at recognition will be from the legitimate holder of the device, very few from an impostor. FNs will lead to a rejection and a prompt to retry. Consecutive FNs will often result in the phone prompting for authentication using an alternative modality (e.g., entry of a PIN or password); too many consecutive failures of the biometric and the alternative modality may result in the device being locked pending execution of an account recovery procedure that may need to be executed on a different device. A false positive would lead to unauthorized access to the phone, as FRT would incorrectly identify an individual as the legitimate device holder.
NONCONSENSUAL COMMERCIAL AND OTHER PRIVATE PURPOSES
Screening entrants to a venue based on a professional affiliation (current use): The owner of a concert venue has legal conflict with a particular organization. They use FRT at all affiliated venue entrances to deny entrance to employees or legal representatives of this organization.75
Madison Square Garden and Radio City Music Hall have been reported to use FRT to identify lawyers who work at firms with pending litigation against them.76 Lawyers have reported being escorted out of the venue, despite having purchased tickets and having never been involved in litigation against these venues. Although state and local regulations may vary, this is currently a legal practice in terms of federal law, as long as the venue does not discriminate against a class of explicitly protected citizens (e.g., age, race, gender, disability, religion, pregnancy, veteran status). Occupation and political affiliation, for instance, are not protected classes.
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74 C.J. Hubbard, 2022, “Genesis Launches Face Recognition for Cars,” CAR Magazine, https://www.carmagazine.co.uk/car-news/tech/facial-recognition-key.
75 K. Rhim, 2022, “Suing Madison Square Garden? Forget About Your Knicks Tickets,” New York Times, https://www.nytimes.com/2022/10/13/sports/lawsuit-msg-lawyers-banned-knicks-rangers.html.
76 K. Hill and C. Kilgannon, 2022, “Madison Square Garden Uses Facial Recognition to Ban Its Owner’s Enemies,” New York Times, updated January 3, https://www.nytimes.com/2022/12/22/nyregion/madison-square-garden-facial-recognition.html.
Personalized ads based on in-store browsing (hypothetical): A store places cameras at the entrance to capture the faces of entering customers. The store uses FRT to compare these images to stored customer profiles. When FRT identifies a match, the store uses its customer profile to generate personalized ads based on the customer’s purchasing history.
Store identifies “high-value customers” (hypothetical): A luxury-goods store uses FRT at the store entrance to recognize “high-value customers” and dispatch a senior salesperson to assist each such customer.
Analogously, banks and other financial institutions outside of the United States have used FRTs to recognize their premium customers—identifying these customers upon entrance and providing them with premium services.77 Facial recognition allows the banks to tailor their services specifically with their best customers in mind,78,79 making a long-term association with the bank more likely. This use case can be easily extended to include car dealerships and upscale restaurants. Unless prohibited, it seems likely that it will only be a matter of time before stores will scan customers upon entry in order to personalize shopping experiences and marketing.
Individuals identified entering a health care facility (hypothetical): A third party uses a hidden camera and FRT to identify individuals entering a psychiatric clinic or a substance abuse treatment center, and the information is used to harass or blackmail individuals seeking treatment at the facility.
Concerns arise when surveillance FRT is used for private purposes to identify individuals who are present at a particular location. Although FRT systems are generally not available to individuals, there are services such as PimEyes that make it possible to identify individuals whose photos appear on the Internet. The resulting information could be sold to anyone, including private investigators, stalkers, foreign governments, or terrorist groups. Similar circumstances where unregulated facial recognition identification could be particularly problematic include, but are not limited to, attendees of a religious service at a synagogue, mosque, or church; protestors at a political rally; individuals under witness protection; or individuals seeking oncological, reproductive, or gender-affirming care.
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77 NEC, 2018, “NEC’s Facial Recognition System Elevates Customer Experience at OCBC Bank,” https://www.nec.com/en/press/201802/global_20180214_02.html#top.
78 PYMNTS, 2023, “Mashreq Deploys Facial Recognition for Paperless Onboarding,” updated July 6, https://www.pymnts.com/news/biometrics/2023/mashreq-deploys-electronic-facial-recognition-allow-paperless-onboarding.
79 K. Flinders, 2023, “JP Morgan Pilots Palm and Face-Recognition Technology in U.S.,” ComputerWeekly, March 27, https://www.computerweekly.com/news/365534158/JP-Morgan-pilots-palm-and-face-recognition-technology-in-US.
