Privacy versus Public Health? A Reassessment of Centralised and Decentralised Digital Contact Tracing

Cultural Implications Regarding Privacy in Digital Contact Tracing Algorithms: Method Development and Empirical Ethics Analysis of a German and a Japanese Approach to Contact Tracing

BACKGROUND

Digital contact tracing algorithms (DCTAs) have emerged as a means of supporting pandemic containment strategies and protecting populations from the adverse effects of COVID-19. However, the impact of DCTAs on users' privacy and autonomy has been heavily debated. Although privacy is often viewed as the ability to control access to information, recent approaches consider it as a norm that structures social life. In this regard, cultural factors are crucial in evaluating the appropriateness of information flows in DCTAs. Hence, an important part of ethical evaluations of DCTAs is to develop an understanding of their information flow and their contextual situatedness to be able to adequately evaluate questions about privacy. However, only limited studies and conceptual approaches are currently available in this regard.

OBJECTIVE

This study aimed to develop a case study methodology to include contextual cultural factors in ethical analysis and present exemplary results of a subsequent analysis of 2 different DCTAs following this approach.

METHODS

We conducted a comparative qualitative case study of the algorithm of the Google Apple Exposure Notification Framework as exemplified in the German Corona Warn App and the Japanese approach of Computation of Infection Risk via Confidential Locational Entries (CIRCLE) method. The methodology was based on a postphenomenological perspective, combined with empirical investigations of the technological artifacts within their context of use. An ethics of disclosure approach was used to focus on the social ontologies created by the algorithms and highlight their connection to the question about privacy.

RESULTS

Both algorithms use the idea of representing a social encounter of 2 subjects. These subjects gain significance in terms of risk against the background of a representation of their temporal and spatial properties. However, the comparative analysis reveals 2 major differences. Google Apple Exposure Notification Framework prioritizes temporality over spatiality. In contrast, the representation of spatiality is reduced to distance without any direction or orientation. However, the CIRCLE framework prioritizes spatiality over temporality. These different concepts and prioritizations can be seen to align with important cultural differences in considering basic concepts such as subject, time, and space in Eastern and Western thought.

CONCLUSIONS

The differences noted in this study essentially lead to 2 different ethical questions about privacy that are raised against the respective backgrounds. These findings have important implications for the ethical evaluation of DCTAs, suggesting that a culture-sensitive assessment is required to ensure that technologies fit into their context and create less concern regarding their ethical acceptability. Methodologically, our study provides a basis for an intercultural approach to the ethics of disclosure, allowing for cross-cultural dialogue that can overcome mutual implicit biases and blind spots based on cultural differences.

["Sending a signal of solidarity via bluetooth?"-A medical ethical analysis of the public debate on the Corona-Warn-App]

Definition of the problem

In the public debate in Germany on the Corona-Warn-App, the concept of solidarity is a prominent, but contested normative reference point. Thus, different uses of the concept with heterogeneous assumptions, normative implications and practical consequences stand next to each other and require medical ethical investigation. Against this backdrop, this contribution aims firstly to illustrate the spectrum of understandings of the concept of solidarity in the public debate on the Corona-Warn-App. Secondly, it elaborates the preconditions and normative implications of these uses and evaluates them from an ethical perspective.

Arguments

Starting with an introduction of the Corona-Warn-App and a general definition of the concept of solidarity, I present four examples for different uses of the concept of solidarity from the public discourse on the Corona-Warn-App that vary regarding the underlying identification, the group of solidarity, the solidarity contribution and the normative goal. They highlight the need for further ethical standards in order to assess their legitimacy. Hence, I use four normative criteria of a context-sensitive, morally substantial conception of solidarity (openness, malleable inclusivity, adequacy of the contribution, normative dependence) to ethically evaluate the solidarity recourses presented.

Conclusion

Critical remarks can be formulated for all presented notions of solidarity. On the one hand, the potentials and limitations of solidarity recourses in public debates become apparent. On the other, criteria can be derived for a solidarity-promoting use of the Corona-Warn-App.

Sovereignty in the Digital and Contact Tracing Apps

Recently, the concept of sovereignty in the digital has attracted much attention. Several publications dealing with this concept assume that it can best be described as a network of different, overlapping exercises of power. Nevertheless, there is a need for further research on how exactly sovereignty in the digital can be understood. In order to contribute to a better understanding of this concept, I illustrate its complex structure using contact tracing apps as a paradigmatic example. I conduct a narrative review to show what sovereignty looks like in the context of these apps. In the context of digital contact tracing apps, sovereignty is best understood as a complex network of three actors-nations, (big tech) companies, and individuals-that exercise various forms of power against or on behalf of each other to claim sovereignty for themselves and to either weaken or strengthen the sovereignty claims of other actors. Since large parts of the results can be generalized from the particular context of contact tracing apps, they contribute to a better overall understanding of the concept of sovereignty in digital. This might, in turn, be helpful for discussions about this technology as well as about the regulation and governance of the digital in general.

Visual Analytics Platform for Centralized Covid-19 Digital Contact Tracing

The Covid-19 pandemic and its dramatic worldwide impact have required global multidisciplinary actions to mitigate its effects. Mobile phone activity-based digital contact tracing (DCT) via Bluetooth Low Energy (BLE) technology has been considered a powerful pandemic monitoring tool, yet it sparked a controversial debate about privacy risks for people. In order to explore the potential benefits of a DCT system in the context of Occupational Risk Prevention, this paper presents the potential of Visual Analytics methods to summarize and extract relevant information from complex DCT data collected during a long-term experiment at our research centre. Visual tools were combined with quantitative metrics to provide insights into contact patterns among volunteers. Results showed that crucial actors such as participants acting as bridges between groups could be easily identified - ultimately allowing for making more informed management decisions aimed at containing the potential spread of a disease.

Governing digital crisis responses: platform standards and the dilemma of COVID-19 contact tracing

In response to the impact of the SARS-CoV-2 (COVID-19) pandemic, various developers turned to smartphone-based contact tracing to address the challenges of manual tracing. Due to the presence of network effects, i.e., the effectiveness of contact tracing applications increases with the number of users, information technology standards were critical to the technology's success. The standardization efforts in Europe led to a variety of trade-offs concerning the choice of an appropriate technological architecture due to the contradictory tensions resulting from the dualism between the need for contact tracing data to contain the pandemic and the need for data minimization to preserve user privacy. Drawing predominantly on the software platform and standards literature, we conduct an interpretive case study to examine the emergence and consequences of this multi-layered decision situation. Our findings reveal how Google and Apple were able to limit the individual leeway of external developers, thereby effectively resolving the European standards war. Furthermore, we identify and discuss the various short-term and long-term trade-offs associated with the standardization of contact tracing applications and translate our findings into recommendations for policy makers with respect to future crisis situations. Specifically, we propose a strategy grounded in our data that enables responsible actors to make goal-oriented and rapid decisions under time constraints.

Beyond legislation and technological design: The importance and implications of institutional trust for privacy issues of digital contact tracing

For proper implementation of digital contact tracing technologies for fighting against SARS-CoV-2, participants' privacy vulnerability and the uncertainty from the relevant institutions' side could be seen as two core elements that should be dealt with, among others. In this paper, we propose to understand the current approaches for preserving privacy, referred to as privacy by legislation and privacy by technological design, as distrusting strategies that primarily work to reduce participants' vulnerability by specifying and implementing privacy standards related to this digital solution. We point out that mere distrusting strategies are insufficient for the ethically appropriate development of this digital solution, nor can they eliminate the need for institutional trust that plays an essential role in fostering voluntary support for this solution. To reach well-grounded trust in both an ethical and epistemological sense, we argue that trust in institutions concerning personal data protection in the case of digital contact tracing ought to be built on the relevant institutions' and individuals' goodwill towards the public and their competence in improving the actual effectiveness of this solution. We conclude by clarifying three dimensions, including the purpose, procedure, and outcome, where the relevant trustees can work to signal and justify their intentions and increase their trustworthiness via an effective communication strategy. Given the complementary qualities shown by the distrusting and trusting strategies, a combined strategy including both sorts seems closer to what we expect from the responsible implementation of this digital solution, which could also improve the effectiveness of this institutional response.

User perceptions about sharing exposure notification information for communicable diseases

Background

The (GuideSafe™) Exposure Notification System (ENS) was built and deployed in (Alabama) for anonymous sending and receiving of COVID-19 exposure alerts to people who have been in close contact with someone who later reports a positive COVID-19 test. Little is known about how the demographic groups perceive recent privacy-preserving the ENS innovations, including their usability, usefulness, satisfaction, and continued interest in sharing COVID-19 exposure information. The purpose of this study was to investigate how users across the demographic groups perceive the sharing of exposure information with various types of organizations and to investigate how end-user perceptions of the ENS usability, usefulness, and satisfaction differ across the demographic groups within the context of a statewide deployment of an exposure notification system.

Methods

A survey was administered to (state residents blinded for review) (N = 1,049) to assess propensity to share COVID-19 infection data and evaluate end-user perceptions about usability, usefulness, and satisfaction with the (Alabama) ENS. The ANOVA and the Tukey's Honestly Significant Difference (HSD) post-hoc tests were conducted to assess the demographic group differences.

Results

The ENS survey participants had a high awareness of contact tracing, exposure notifications, and the (GuideSafe™) ENS and reported having downloaded the app. Survey results revealed the majority of participants rated the app as useful (n = 490, 79%), easy to use (n = 490, 79%), and reported satisfaction with its use (n = 546, 88%). Other results suggest that ethnicity and age may be important factors for trust in sharing exposure information.

Conclusion

The (GuideSafe™) system was one integrated component of comprehensive education and work re-entry strategy across (Alabama) that reached a broad user base. Users across the different demographic groups perceive the sharing of information about their communicable disease exposures differently. Furthermore, demographic factors play a role in which types of organizations individuals are willing to share their communicable disease exposure information. Public health institutions, employers, schools, healthcare providers, and technology designers may want to consider these findings as they construct technologies and perform outreach campaigns aimed at reducing infection rates with the ENS and related technologies.

Tracing app technology: an ethical review in the COVID-19 era and directions for post-COVID-19

We conducted a systematic literature review on the ethical considerations of the use of contact tracing app technology, which was extensively implemented during the COVID-19 pandemic. The rapid and extensive use of this technology during the COVID-19 pandemic, while benefiting the public well-being by providing information about people's mobility and movements to control the spread of the virus, raised several ethical concerns for the post-COVID-19 era. To investigate these concerns for the post-pandemic situation and provide direction for future events, we analyzed the current ethical frameworks, research, and case studies about the ethical usage of tracing app technology. The results suggest there are seven essential ethical considerations-privacy, security, acceptability, government surveillance, transparency, justice, and voluntariness-in the ethical use of contact tracing technology. In this paper, we explain and discuss these considerations and how they are needed for the ethical usage of this technology. The findings also highlight the importance of developing integrated guidelines and frameworks for implementation of such technology in the post- COVID-19 world.

Supplementary Information

The online version contains supplementary material available at 10.1007/s10676-022-09659-6.

Lessons Learned in Piloting a Digital Personalized COVID-19 "Radar" on a University Campus

Health authorities encouraged the use of digital contact tracing mobile applications (apps) during the COVID-19 pandemic, but the level of adoption was low because apps offered few direct benefits to counterbalance risks to personal privacy. Adoption of such apps could improve if they provided benefits to users. NOVID (COVID-19 Radar), a smartphone app, provided users with personalized data on social proximity of COVID-19 cases and exposed contacts. We analyzed uptake of NOVID at the Georgia Institute of Technology (Georgia Tech) during the 2020-2021 academic year. Data included anonymous NOVID users who self-identified with Georgia Tech and their first- and second-degree network contacts. NOVID achieved 13%-30% adoption at Georgia Tech. Because of technical challenges, adoption waned after an initial peak. The largest increases in adoption (from 41 to 3704) followed administrative promotion of NOVID. Adoption increased modestly (from 2512 to 2661) after faculty- and student-led promotion, such as distribution of door hangers and a public seminar. Two-thirds of on-campus NOVID users were connected to a large network of other users, enabling them to receive data on social proximity of COVID-19 cases and exposed contacts. Network cohesion was observed to emerge rapidly when adoption rates passed just 10%, consistent with estimates from network theory. The key lesson learned in this case study is that top-down administrative promotion outperforms bottom-up grassroots promotion. Relatively high levels of adoption and network cohesion, despite technical challenges during the Georgia Tech pilot of NOVID, illustrate the promise of digital contact tracing when apps provide privacy and inherently beneficial personalized data to their users, especially in regions where Google Apple Exposure Notification is not available.

Public Attitudes Regarding Trade-offs Between the Functional Aspects of a Contact-Confirming App for COVID-19 Infection Control and the Benefits to Individuals and Public Health: Cross-sectional Survey

BACKGROUND

It is expected that personal health information collected through mobile information terminals will be used to develop health strategies that benefit the public. Against this background, several countries have actively attempted to use mobile phones to control infectious diseases. These collected data, such as activity logs and contact history, are countermeasures against diseases such as COVID-19. In Japan, the Ministry of Health, Labor, and Welfare has developed and disseminated a contact-confirming app (COVID-19 Contact-Confirming Application [COCOA]) to the public, which detects and notifies individuals whether they have been near someone who had subsequently tested positive for COVID-19. However, there are concerns about leakage and misuse of the personal information collected by such information terminals.

OBJECTIVE

This study aimed to investigate the possible trade-off between effectiveness in preventing infectious diseases and infringement of personal privacy in COCOA. In addition, we analyzed whether resistance to COCOA would reduce if the app contributed to public health or if a discount was provided on mobile phone charges.

METHODS

A cross-sectional, quantitative survey of Japanese citizens was conducted using Survey Monkey, a general-purpose web-based survey platform. When developing the questions for the questionnaire, we included the installation status of COCOA and recorded the anxiety stemming from the potential leakage or misuse of personal information collected for COVID-19 infection control. The respondents were asked to rate various factors to determine their perceptions on a 5-point scale.

RESULTS

In total, 1058 participants were included in the final analysis. In response to the question of whether the spread of the disease was being controlled by the infection control measures taken by the government, 25.71% (272/1058) of the respondents answered that they strongly agreed or agreed. One-quarter of the respondents indicated that they had already installed COCOA. This study found that the sense of resistance to government intervention was not alleviated by the benefits provided to individuals when using the app. The only factors that were positively associated with the response absolutely opposed to use of the app, even with a discount on mobile phone use charges, were those regarding leaks and misuse of personal information, which was true for all functions (function A: odds ratio [OR] 1.8, 95% CI 1.3-2.4; function B: OR 1.9, 95% CI 1.5-2.6; function C: OR 1.8, 95% CI 1.4-2.4).

CONCLUSIONS

Public organizations need to emphasize the general benefits of allowing them to manage personal information and assure users that this information is being managed safely rather than offering incentives to individuals to provide such personal information. When collecting and using citizens' health information, it is essential that governments and other entities focus on contributing to the public good and ensuring safety rather than returning benefits to individual citizens.

Digitizing health data for public health protection in the context of European and international coordination

BACKGROUND

The health sector has long been affected by programs, actions, plans to digitize data and care processes with a view to better protecting individual health, as well as public health, resulting in a slow and uneven development of different and often incompatible national services.

OBJECTIVE

This paper aims to explore the grounds behind the urgency of turning the digital priority into concrete actions, as acknowledged by political leaders in the Rome Declaration, by explaining the capacity of digital tools to enhance healthcare management and the current obstacles.

METHODS

It considers the progressive extension of the EU institutions' scope of action during the pandemic, the related supporting financial strategies launched and some examples of digital contact tracing systems.

RESULTS

It emerged that the pandemic highlighted the inadequacy of purely national policies and the advantages of leveraging the digital health data processing for governance, surveillance and response to cross-border and global threats.

CONCLUSIONS

Considering what emerged during the pandemic and the solemn commitment of the world's major political leaders, the solution to the still existing technical and organizational interoperability issues will no longer be postponed.

Evaluating the Dynamics of Bluetooth Low Energy Based COVID-19 Risk Estimation for Educational Institutes

COVID-19 tracing applications have been launched in several countries to track and control the spread of viruses. Such applications utilize Bluetooth Low Energy (BLE) transmissions, which are short range and can be used to determine infected and susceptible persons near an infected person. The COVID-19 risk estimation depends on an epidemic model for the virus behavior and Machine Learning (ML) model to classify the risk based on time series distance of the nodes that may be infected. The BLE technology enabled smartphones continuously transmit beacons and the distance is inferred from the received signal strength indicators (RSSI). The educational activities have shifted to online teaching modes due to the contagious nature of COVID-19. The government policy makers decide on education mode (online, hybrid, or physical) with little technological insight on actual risk estimates. In this study, we analyze BLE technology to debate the COVID-19 risks in university block and indoor class environments. We utilize a sigmoid based epidemic model with varying thresholds of distance to label contact data with high risk or low risk based on features such as contact duration. Further, we train multiple ML classifiers to classify a person into high risk or low risk based on labeled data of RSSI and distance. We analyze the accuracy of the ML classifiers in terms of F-score, receiver operating characteristic (ROC) curve, and confusion matrix. Lastly, we debate future research directions and limitations of this study. We complement the study with open source code so that it can be validated and further investigated.

[On the ethics of corona apps]

Definition of the problem

In spring 2020, as much of the world was emerging from widespread "lockdowns" as an emergency measure to combat the spread of SARS-CoV‑2, there was sustained discussion about how to lift measures while preventing further waves of the virus and the need for further lockdowns. One strategy that attracted significant attention was the use of digital contact-tracing apps to quickly alert users of possible exposure to the virus, and to direct them into quarantine. The initially high expectations placed upon this strategy were not met-despite the implementation of a digital contact-tracing app in Germany, further restrictions have been placed on the general population in response to further waves of the virus. We consider how digital contact tracing might have been made more effective.

Arguments

We argue that there is a conflict between collecting as little data as possible, and more effective epidemic control. In contrast to the "Corona-Warn-App" that was implemented in Germany, an app that stored more information on a central server (a so-called "centralized" app) had the potential to significantly decrease viral spread. We then look at the privacy-based arguments against the centralized storage of information, suggesting that "decentralized" systems have privacy problems of their own.

Results

The German debate on digital contact tracing apps was quickly dominated by privacy concerns, to the detriment of other ethical factors such as enhancing potential effectiveness. Furthermore, the potential problems with privacy inherent in decentralized apps were obscured in the discussion. Once we recognize these two aspects, we can see that there is an argument to be made for preferring centralized digital contact-tracing apps.