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Google and Apple Exposure Notifications System: Exposure Notifications or Notified Exposures?

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Privacy Technologies and Policy (APF 2022)

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Abstract

On April 2020, Google and Apple announced the launch of a joint project: a system that promised to contribute to break COVID-19 contagion chains, called Exposure Notifications (EN). Countries around the world integrated EN within their public healthcare systems. This paper provides a critical inquiry on the legal and technical architecture of EN from a data protection law (DP) point of view. It is divided in two parts. In the first part we present EN as a proximity tracking tool, along with a technical description of its implementation, and a legal assessment of the contracts established between Google, Apple and governments (or public health authorities) regarding the design of national proximity tracking applications (apps). In the second part, the findings of the first part are critically discussed in light of the concepts of ‘legal by design’ and ‘legal protection by design’, building on Mireille Hildebrandt’s work. Through this conceptual approach, we examine the DP issues implied by EN’s embeddings and discuss the extent to which its design reveals a defiance to the rule of law. This contribution reiterates that the fundamental right to the protection of personal data covers both our individuality and our collective heritage of democracy, the rule of law and fundamental rights.

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Notes

  1. 1.

    World Health Organization [1] identifies three kinds of cases: suspected, probable and confirmed Covid-19 case.

  2. 2.

    According to the World Health Organization [2], a contact is anyone with the following exposures to a COVID-19 case, from 2 days before to 14 days after the case’s onset of illness: (1) face-to-face contact with a probable or confirmed case within 1 m and for more than 15 min; (2) direct physical contact with a probable or confirmed case; (3) direct care for a patient with probable or confirmed COVID-19 disease without using recommended personal protective equipment; or (4) other situations of contact in specific settings, whose risk is specifically assessed. (p. 2).

  3. 3.

    We did not find any contract model that regulates EN Express.

  4. 4.

    Google [8] states that Rolling Proximity Identifiers are derived from a Rolling Proximity Identifier Key, which is in turn derived from a Temporary Exposure Key and a discretized representation of time. (p. 5).

  5. 5.

    EDPB [17] and ICO [18] consider that RPIs are pseudonymous data. DP-3T [19] clarifies that their protocol does not rely on anonymous communication systems to provide its privacy properties. DP-3T has considered using an anonymous communication system to efficiently query the server, but have decided against it, based on three arguments: (i) it would increase the complexity of the system; (ii) anonymity requires a trade with latency and bandwidth overhead, not being clear what the best choice would be; (iii) security properties of the anonymous communication system must be considered and choices must be made).

  6. 6.

    Point 3. a. iii. GEN states that In providing the Service, Google has no role in determining the purposes for which, or manner in which, any personal data are processed by the App. A contrario, this means that Google denies its role as controller. Since Google provides the framework where EN operates, we can infer that Google qualifies itself as a processor. Apple indirectly qualifies itself as a processor at point 4 of AEN, by establishing that governments or developers on their behalf, as the legal entity responsible for any user data processed in connection with the use of their app, are solely responsible for complying with applicable data protection and privacy laws and regulations. Even if Gapple were mere processor, they would still have to comply with data protection law.

  7. 7.

    Points 1. a. GEN and 2.1. AEN.

  8. 8.

    Point 2.2. AEN.

  9. 9.

    The Entitlement Profile enables the use of the Exposure Notifications API (points 2.2. and 2.3. AEN).

  10. 10.

    Point 4. AEN.

  11. 11.

    Point 3 GEN and Sect. 3 of AEN.

  12. 12.

    Points 1. d GEN and 3.1. AEN.

  13. 13.

    Points 3. b. i. GEN and 3.1. AEN determine that a proximity tracking app may only collect the minimum amount of user data necessary for COVID-19 response efforts and may only be used for that purpose.

  14. 14.

    Points 3. c. i. GEN and 3.3. AEN.

  15. 15.

    Point 3.3. AEN.

  16. 16.

    Point 3. a. iii. GEN.

  17. 17.

    Points 3. b., i-vi GEN.

  18. 18.

    AEN contemplates several similar dispositions, such as the data to be collected, transmitted, or accessed (points 3.2., 3.3., 3.4.); the use of third-party analytics and retention period (point 3.4.); purpose, the legal basis of processing and disclosure rules (point 3.1.). It furthermore prohibits processing location data; any form of data association or correlation and the access to personally identifiable information, unless otherwise agreed by Apple (points 3.2.; 3.3 AEN).

  19. 19.

    Paul Ricœur [33] calls it productive distantiation.

  20. 20.

    EDPB [17] hypothesises about the eventual need of processing additional data, in which case such (additional) information should remain on the user terminal and only be processed when strictly necessary and with his prior and specific consent (para. 44, p. 9).

  21. 21.

    By using the term legality, we are invoking the meaning stated in [46].

  22. 22.

    World Health Organization homepage [50] explicitly states that transparency and explainability apply to the operation of apps and application programming interfaces (APIs) of COVID-19 proximity tracking technologies. (p. 3).

  23. 23.

    Each ExposureWindow instance represents up to 30 min of exposure information. As a result, longer exposures to a particular key might be split into multiple 30-min blocks.

  24. 24.

    By using the word manual, we are adopting Google’s [53] terminology. This should not be taken as implying automation absence, as risk score calculation remains an automated process. We suspect that by manual, Google means that health authorities have (more) control of the risk scoring method.

  25. 25.

    Each DailySummary contains the ExposureSummaryData for a particular day. The ExposureSummaryData takes into account the highest risk score, looking at all ExposureWindows aggregated into the summary; a sum of the risk scores and a sum of the weighted durations for all ExposureWindows.

  26. 26.

    Google [53] provides an example of how to manually compute the risk score, which considers three factors: (i) weighted minutes-at-attenuation; (ii) infectiousness weight (available only for v1.6 and later); (iii) report type weight. The method exemplified by Google iterates through the list of ExposureWindow objects retrieved from the API. For each ExposureWindow, it calculates the risk score based on how many seconds a person (i.e., the device) has been within close distance of someone (i.e., another device) that reported a case. The resulting window score is added to the corresponding day score. The result is a map of dates with user exposures, measured in seconds. The code uses a filter to remove days with less than 15 min of relevant exposure. Such method computes the risk score similarly to how the Exposure Notifications system computes daily summaries. The method iterates over the different ScanInstance objects (corresponding to a few seconds during which a beacon with the diagnosis key causing this exposure was observed) and calculates the score based on the duration of the scan and the multiplier values associated with attenuation, report type, and infectiousness.

  27. 27.

    The epithet suzerain, used as metaphor in this context, intends to stress Gapple’s lack of institutional framework, infused by an idea of personal power (in the case, concentration of power in certain categories of private entities). I took inspiration from Mireille Hildebrandt [55].

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Acknowledgements

I would like to express my deepest appreciation to Jaap-Henk Hoepman (Radboud University Nijmegen, University of Groningen) for his invaluable contribution in making a technical review of this paper, pointing out aspects that eluded me, which has majorly improved its technical rigor and soundness.

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Duarte, T. (2022). Google and Apple Exposure Notifications System: Exposure Notifications or Notified Exposures?. In: Gryszczyńska, A., Polański, P., Gruschka, N., Rannenberg, K., Adamczyk, M. (eds) Privacy Technologies and Policy. APF 2022. Lecture Notes in Computer Science(), vol 13279. Springer, Cham. https://doi.org/10.1007/978-3-031-07315-1_7

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