Date of Award

5-2021

Document Type

Dissertation

Degree Name

Doctor of Philosophy (PhD)

Department

Computer Engineering and Sciences

First Advisor

Michael C. King

Second Advisor

Kevin W. Bowyer

Third Advisor

William H. Allen

Fourth Advisor

Vanessa Edkins

Abstract

Automated face recognition (AFR) is an important tool used in national security and public safety operations. Numerous cases exist in which AFR was successfully used to search large repositories containing millions of face images, such as identifying a suspect in a mass shooting, a victim of a crime, or even a person attempting to acquire a driver’s license under an assumed identity fraudulently. However, concerns have been raised about how this technology impacts privacy and civil liberty. The studies from the Georgetown Law Center on Privacy and Technology and the American Civil Liberties Union (ACLU) have noted different rates of face recognition accuracy for individuals with darker skin. The New York Times article “Facial Recognition Is Accurate if You’re a White Guy” also raises concerns about differences in face recognition accuracy of persons with different skin types. Since AFR is a powerful technology widely deployed in many security and privacy applications, identifying and addressing the challenges is necessary. The current state-of-the-art face recognition system demonstrated difficulties in recognizing faces with high inter-class similarity (often leading to false matches) and high intra-class variations (often leading to false non-matches). We hypothesize that facial searches leveraging demographics are one of the best avenues for performance improvement in face recognition applications. In this dissertation, we conduct a study of face recognition accuracy variations relative to different demographic factors such as race, gender, and skin tone. The first step characterizes variations in face recognition false match and false non-match errors relative to race. The initial results from this study suggest that African Americans have a higher false match rate and Caucasians have a higher false non-match rate at a given threshold. The second step characterizes variations in face recognition error rates relative to gender. Our results showed a higher false match rate and false non-match rate for women than men, with African American women being the most disadvantaged group assessed. Many recent news reports and research articles suggest that dark skin tone is a cause of increased facial recognition errors. To address the dearth of data available to support meaningful research on face recognition accuracy varying with skin tone, we took two approaches to annotate images with Fitzpatrick skin tone ratings. The first approach was to use human raters to provide an assessment of skin tones from a face image. These human ratings were used to isolate the effect of skin tones on false match rates. The results of these experiments do not support a general conclusion that darker skin tone causes an increased false match rate. In the second approach, we propose and provide an implementation of automated skin type labeling of face images. The effort to automate the process of skin tone assessment from images for which there is no color calibration source present in the image is quite challenging. These characterizations contribute to foundational knowledge to solve problems in the domain of biometrics and face recognition.

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