Abstract
Governments and citizens of nearly every nation have been compelled to respond to COVID-19. Many measures have been adopted, including contact tracing and risk assessment algorithms, whereby citizen whereabouts are monitored to trace contact with other infectious individuals in order to generate a risk status via algorithmic evaluation. Based on 38 in-depth interviews, we investigate how people make sense of Health Code (
Introduction
The relationship between algorithms and individuals is dynamic and tempestuous in the era of Big Data. Algorithms and related technologies have been employed for multiple social purposes, including but not limited to public health efforts to fight COVID-19 (French and Monahan, 2020; Kitchin, 2020). Accordingly, an enormous commercial market has emerged for data about individuals (Fourcade and Healy, 2017; Zuboff, 2019). Additionally, state institutions have increased appetite for this data, which is useful for various algorithmic governance measures (Liu, 2019; Rona-Tas, 2020). Today, issues regarding trust, privacy, and surveillance dominate the ethical and social debates on these technologies. Examples include the fairest ownership models for data on individuals, effective trade-offs between privacy and safety, and the appropriateness of deploying algorithms with inscrutable, or black-boxed, statistical reasoning (Eubanks, 2018; Mittelstadt et al., 2016; Pasquale, 2015; Zuboff, 2019).
Scholarship in this area often focuses upon the technical function of the algorithm, attempting to open the “black box” (Pasquale, 2015). The implicit logic of these studies is that, by understanding what the algorithm does in terms of information processing, it can be altered and tweaked to mitigate undesirable social outcomes or enhance desirable ones. But algorithms are not merely lines of code or sequences of automated, executable digital rules. They are not solely digital or technical objects. Rather, algorithms are created by people, often within institutions, and constantly undergo change and development (Kitchin, 2017; Liu, 2020; Seaver, 2017). They are designed toward certain ends – these ends can shift over time in response to social, economic, cultural, or political phenomena, thereby affecting the algorithms function. Moreover, the ends of one algorithm can conflict with and be affected by other algorithmic systems targeting different ends, as well as the goals or values of other people and groups. These incentives and influences partially shape the digital operations of the algorithm. Shoshanna Zuboff, for instance, advocates thinking of algorithms as both products and expressions of the institutional logics that afforded their creation – this amounts primarily to a “logic of accumulation,” whereby “hyperscale assemblages of objective and subjective data about individuals” are used for “knowing, controlling and modifying behavior to produce new varieties of commodification, monetization and control” (Zuboff, 2019). This kind of analytical emphasis remains “technology-side” – namely large technology corporations like Google, Facebook, and Alibaba. The general public, despite being the locus of socio-ethical concerns, are homogenously framed as pliable, acquiescent, or unwitting subjects to corporate agendas. By extension, analysis of the needs and perspectives of the public on issues like privacy or surveillance protections are similarly group-based, static, and homogenous.
But the meaning of technologies is constantly formed and reformed in response to how varied individuals, groups, and institutions
Accordingly, critical algorithm scholars suggest that apt social or cultural investigations of algorithms must treat them as dynamic and unstable objects, ones that are enacted not only through an automated digital process but by the perceptions, imaginaries, and practices of the individuals who interact with them in their everyday lives (Christin, 2017; Introna, 2016; Liu, 2020; Seaver, 2017). This requires “an approach to algorithms informed by their empirical profusions and practical existence in the wild – always at the boundaries of diverse communities of practice” (Seaver, 2017: 2). Algorithms, we claim, are more accurately conceptualized as sociotechnical assemblages, whereby the technology cannot be separated from the social factors that constantly mediate it. The social is heterogenous – the public is not a monolithic bloc of “users” of an algorithm, but instead a diverse collection of individuals loosely bound by their distance from the algorithms technical components. We thus advocate for a relational view of the social, taking guidance from Pierre Bourdieu: one has to avoid turning into necessary and intrinsic properties of some group … the properties which belong to this group at a given moment in time because of its position in a determinate social space and in a determinate state of the
In this paper, we present qualitative data on the interplay of practice and sense-making by individuals using Health Code (
Perceiving algorithms in a pandemic
The perceived threat algorithms pose to individuals, including notions like privacy and surveillance, has been altered by the onset of COVID-19 – for instance, citizens of various countries all show some greater willingness to forego civil liberties in order for their governments to better attend to the pandemic, civil liberties that protect digital privacy and surveillance (Alsan et al., 2020). Public health systems rely on surveillance infrastructure and risk assessment for disease detection and intervention (Armstrong, 1995; Foucault, 1990). Since pandemics like COVID-19 are intrinsically inclusive, either directly or indirectly affecting everyone (French and Monahan, 2020), public health authorities have more latitude to deploy surveillance structures than before the pandemic. A combination of measures known as contact tracing and risk assessment has become widespread as a result. Contact tracing is a public health technology that has been used to combat infectious diseases for some decades. In short, it identifies as many infected individuals as possible, in addition to individuals they have come into contact with (Center for Disease Control, 2020). This effort helps prevent disease transmission in two ways. First, by pinpointing individuals for direct interventions (e.g. quarantine). Second, by generating macro-level data from which trends can be assessed for further public health and policy interventions (Tang, 2020).
The predominant method for contact tracing for COVID-19 is algorithmic, using mainly smartphones to collect data (Collado-Borrell et al., 2020). Their ubiquity, the high likelihood that they will remain on an individual’s person, and powerful inbuilt data-capture technologies make smartphones a fairly comprehensive and systematic way of collecting contact information. Data from contact tracing is processed by algorithms to provide users with risk assessment on the same digital device. For COVID-19, risk assessment refers to the risk that an individual may be infectious and, therefore, must quarantine. Real-time automated digital deployment via algorithms means contact tracing and risk assessment in COVID-19 are tightly coupled together – both the input data and the output risk status occur via the same device. Despite the public health urgency of COVID-19, some scholars still critique the notion of digital contact tracing and risk assessment, suggesting it opens the door for civil liberties violations (Bengio et al., 2020; Kitchin, 2020; Tang, 2020). This includes country-specific critiques in the United Kingdom (Edwards et al., 2020), Poland (Nielsen, 2020), and Russia (Ilyushina, 2020).
But are these potential violations of civil liberties important to users? How do individuals perceive and make sense of these measures in their everyday contexts? To investigate this, we take China as our case. China was one of the first countries to adopt contact tracing and risk assessment algorithms in the COVID-19 pandemic (Cha, 2020; Loder, 2020). This continues a pattern of acceptance by Chinese residents of surveillance that scholars have tried to explain in a few ways. Lü (2005) suggests that, culturally speaking, privacy is an instrumental good in China (i.e. its value is in service of some higher ideal), contrasting with being an intrinsic good in the West (i.e. its importance is self-justifying). As a result, it is easier for Chinese to trade-off “privacy” with other social goods such as safety (Zhang et al., 2019) or trust (Kostka, 2019). Others have suggested that the Chinese public simply responds with a sophisticated, judicious brand of self-censorship (Shao, 2020). This is possible due to higher knowledge of surveillance technologies in China than other nations (Liang and Chang, 2006), and high awareness of liberal data-sharing between the state and private companies producing these digital goods (Hou, 2017). The SARS (2003) and MERS (2012) outbreaks also previously inculcated infrastructure and awareness of contact tracing and risk assessment for infectious disease outbreaks (Au et al., 2020; Cha, 2020) – early evidence suggests Chinese people are generically more accepting of privacy invasions for COVID-19 too (Alsan et al., 2020). These arguments have merit but are overly generalized and static for such a large and varied polity. Channeling critical algorithm studies, we believe a fuller understanding of algorithmic sense-making necessitates examining the algorithm in dynamic interplay with the practices and perceptions of the individuals who use it during the pandemic.
China’s contact tracing and risk assessment procedure employs an algorithmic sociotechnical assemblage called Health Code; both the technology and its implementation are a conjoined effort between national and local governments and two large technology companies, Alibaba and Tencent (Fang, 2020). It is run on the ubiquitous Chinese smartphones APPs WeChat (owned by Tencent), Alipay (owned by Alibaba), or on its own. While much of the personal and demographic data used for the APP is already freely available to the government (Fang, 2020), other novel data is collected passively in real-time (e.g. location) or through mandated daily user entries (e.g. health status, symptoms). By the end of March, almost all Chinese cities had their own Health Code variant. Although nationwide in terms of coverage, Health Code is not a fully centralized system. While both Tencent and Alibaba leverage a system architecture known as Elasticsearch, each city’s contact tracing is slightly different. Today, a suite of national, provincial, and municipal-level systems co-exist and are used for slightly different ends. Officially, the government organizes the data into four categories: (1) personal data (name, gender, ID card number, phone number, etc.); (2) personal health data (temperature, symptoms, high-risk people contact history, etc.); (3) location data (visit history from provincial level to district level, commute history, etc.); and (4) health status data (health status, testing result, etc.).
A user is first required to verify his/her real name and finish a long survey to initiate Health Code. In some cities, facial data is also required. In addition to passive collection of a user’s location, Health Code requires individuals to scan QR codes strategically placed at checkpoints in public or busy spaces, such as buses, supermarkets, or residential communities (Liu, 2020). This data effectively traces the individual. When combined with health data, Health Code generates real-time risk status evaluations presented to the user after scanning a QR code checkpoint. Symbols of an individual’s “health status” come in three colors: green, yellow, or red. Green means healthy and low risk, yellow moderate risk, and red high risk or symptomatic. Individuals must produce their color code on demand for inspectors at checkpoints. For example, in some cities, a passenger needs to scan the QR code at the door and show the driver his/her color code before boarding a bus. The immediate consequences of obtaining yellow or red Health Codes vary regionally. Generally, they include isolation or quarantine, and more rigorous health reporting until they are reclassified as green.
Method
This study used qualitative data from 38 in-depth, semi-structured interviews conducted by the first author and two research assistants from late April to late June. We used diverse channels to recruit interviewees, including social media platforms and snowballing methods for contacts of those we had already interviewed. We recruited our interviewees with a poster inviting people who had used Health Code in the past two months to discuss their experiences. To ensure we captured the breadth of people’s experiences and perceptions of Health Code, we purposively diversified our sample based on gender (23 females and 15 males), location (15 provinces), age (18 to 55, mean: 29), and cross-city mobility during the past two months (21 traveled to other cities during the pandemic). We use pseudonyms to protect interviewees’ privacy.
We conducted telephone interviews via WeChat, a popular Chinese social media APP in Mandarin Chinese. Questions regarding personal experiences of the pandemic, experiences and perceptions of Health Code, and privacy concerns were asked. While questions specifically referenced “Health Code (
The first author translated the Chinese quotes to English and used MAXQDA 12 to analyze all the qualitative materials. As we aim to show a diverse range of sense-making processes, we used thematic analysis. We first familiarized ourselves with the data by unstructured coding and discussed the themes that emerged. We then reviewed, revised, and reclassified those unstructured codes into a structured codebook for analysis of the data. We adopted the abductive analysis approach (Timmermans and Tavory, 2012) in code and theme development. In this paper, we focused on three general themes of sense-making about Health Code: privacy, technology, and implementation. We do not claim to exhaustively present every type of sense-making for Health Code – instead, we order our results based on perceived importance and current literature (such as the “privacy tradeoffism” subtheme) and our interviewees’ responses (such as the reoccurrence of “Not (that) private” subtheme). These different themes and sub-themes do not necessarily map different kinds of people. As we will show, different themes are interconnected and often coexist in one person. Sometimes they are complementary, while other times they conflict with each other.
Making sense of privacy
Privacy tradeoffism
With only two exceptions, the majority of our interviewees agree that contact tracing surveillance and risk assessment are necessary. As the country first-hit by the COVID-19 pandemic, and having experienced prior social panic during the SARS and epidemics, the Chinese public is generally cooperative with the state’s strict disease control strategy (Au et al., 2020). Most people understand the potential privacy invasions of Health Code, rendering the use of it as a trade-off. “Nothing is absolute” is a common response (n = 6) from older interviewees (above 35 years old) on the issue of privacy. “There is no absolute freedom” Cuiping, a bank manager said, “A society is filled with more and more people and thoughts, facing a pandemic like this, how to manage them if freedom is absolute?” Some people consider using Health Code as a trade-off between privacy and personal safety. As Qiangzi put explicitly, “It’s not really a time to discuss privacy. Nothing matters when it comes to life.” Others consider the trade-off as being between privacy and collective safety. Haiyan further elaborated: Health Code is an invasion of
Privacy fatalism
A more cynical response to the privacy concern is what we call “privacy fatalism,” a belief that privacy concerns are irrelevant because people cannot and will not have privacy in China in the era of Big Data. This fatalism is a response to the power nexus of the authoritarian state and surveillance capitalism of large technology corporations. Many interviewees believed there was simply no need to discuss the privacy problem of contact tracing at all when probed by the interviewer about their concern on privacy of Health Code. Aimi, an avid supporter of the Health Code, argued that “worries about privacy are useless. Why? Because in China
The Chinese government has imposed a variety of intensive surveillance and censorship systems on its citizens (Hou, 2017; Liang and Chang, 2006; Liu, 2019). Public monitors are prevalent in urban spaces. One needs to use their ID card for practically all civic activities, from purchasing a long-distance bus ticket to booking a hotel room. Using the Chinese internet demands use of your real name. Runze, a journalist locked down in his hometown of Hubei, therefore did not hesitate to submit all information requested by Health Code and was unsurprised when the police immediately contacted him by phone and then went to his home for information checking. “There are no new problems here […] everyone is naked now; you just simply don’t have privacy in front of this state. […] What’s the point of worry when you cannot change it?”
Meanwhile, the intensive surveillance of citizens by large technology companies before the pandemic also generated fatalism. Alibaba and Tencent, the two most influential technology companies in China, have huge user bases and thus influence in every aspect of Chinese life (Chen et al., 2018). As Haiyan joked, “It is impossible to not using them. They did give me lots of convenience. I cannot uninstall them all and live like a primate.” The Chinese government’s relatively weak legislation and enforcement of public data privacy protections has fueled frenzied collection of personal data. People are accustomed to it and, more importantly, are unable to contest it. As Jianguo mentioned, “Alibaba and Tencent are so powerful like monsters. An individual is powerless in front of them.”
Privacy protectionism
Although almost all interviewees express some degree of dissatisfaction with Health Code’s surveillance, most of them make sense of it either through tradeoffism or fatalism. Only a small fraction (n = 5) outright refuses to justify its invasion of privacy. Sociodemographically, these people are mostly below 30, live in big cities (Beijing, Shanghai, and Guangzhou), have been educated at elite institutions, and often have studied abroad. Their responses to the indifference or defenses of the surveillance from Health Code by others vary. For example, When Wutong was asked “why should a good person care about privacy” – a common response from the people who are indifferent to this issue – he joked, “It’s like people have to use the toilet. It’s normal and nothing wrong but I just don’t want the world to know where I shit.” Ningning argued, “it is like watching porn – of course, it is not bad, but do you want others to know your Pornhub browse history?” These positions did not necessarily exist before Health Code was released – some were realized and articulated alongside its implementation. For example, Jianguo thought: Health Code brought the state’s surveillance system from the background to the front. In the past, it looks at you silently. Wherever you go and whatever you say, some kinds of surveillance are there. Yet the surveillance became the front stage now (during the use of the Health Code), and you have to accept it to maintain the normal social interactions […] this makes me feel quite uncomfortable.
Not (that) private
The three subsections above show people’s different sense-making processes regarding Health Code’s invasion of privacy. Yet, for some, data collected by Health Code is considered general information insufficiently private to warrant protection. Some interviewees, particularly older ones, say that it does not matter that Health Code collects this data as a leak would be inconsequential to them. Caixia, a community government staffer expressed this idea: Interviewer: Do you think there are some privacy issues here? Caixia: I don’t think so! Privacy … I am just a Interviewer: How about data leaking? Caixia: That’s for rich or famous people, we Interviewer: Have you ever received any fraud message with your accurate personal information or something? Caixia: Yes, but if you don’t covet things you don’t deserve, then you should not fall into fraud.
Indeed, the boundary between private and general information is not absolute or fixed. Nor is it considered a binary. Many people define privacy as personal data that could be used to harm them. The critical reason why the variety of the data matters is that only certain data can be used for other, consequential purposes. As Dawei expressed, “I don’t think the location data is privacy – what’s the harm I can receive from these?” Yet, when we discussed the facial data that some Health Code systems collect, he was more concerned: “I heard that frauds could use your facial data to apply for loans from different financial APPs, that would be very dangerous. So that’s privacy.”
Yet merging different databases allows data of seemingly limited variety to be combined into a thick bundle that opens new possibilities for problems and profiteering, transforming “non-private” information into information directly pertaining to privacy concerns. For many, this concern applied to private companies specifically. As Ningning said: It is just unsafe for companies to have too much data. At least the state just collects data without using them (for other purposes). Yet companies collect, sell, and combine different databases to harass you constantly. […] All the private companies are interconnected, and I don’t know where my data in one APP will be shared to another and form a full profile of myself. It feels different if this information is handed to the government, at least it will not use my data to sell stuff […] Companies are so unreliable. We often get some spam messages or phones with our personal information used; I believe most of them are leaked from different companies.
Making sense of technology
Trust in technology
“It is big data!” was the common refrain (n = 13) when we asked, “how do you think the Health Code determines your risk status?” Yet for our inevitable follow-up question – “what is big data?” – drew long pauses, hesitation, and uncertain answers like “just … big data?” Clearly, most people do not intimately understand how Health Code collects, organizes, and processes data to determine risk status. But this did not stop people from trusting and revering Health Code. As Jianguo expressed: People are very accepting of these new things in China. Big data, AI, or cloud computing […] they are inevitable to be used and are in fact dominating some aspects of our life. Also, we did see how much these technologies could do, and that explains the admiration. I don’t believe the algorithms (
Trust in the technology generates a sense of safety for people who use Health Code, which accordingly enhances people’s trust in it further. From the simple three-color system, people are classified as healthy and risky. The green code is not a clinical confirmation of an individual’s healthiness. Nevertheless, it relieves a cognitive burden and gives the appearance of safety when the majority of a society is also green and safe. As Caixia put it “no matter if it is scientific or not, psychologically I feel safer when I see my code green and knowing people around me on the street is green.” This type of mindset explains the refrain of “better safe than sorry” paraphrased by many of our interviewees, indicating a strong preference for false positives over false negatives in risk assessment from Health Code. For example, Yuejin argued: Yes, staying at home for two weeks might be an inconvenience for those people who were misjudged. Yet we should all have a scale in our heart: is this personal inconvenience worse than letting those positive and risky people go? My city was closed because of a new outbreak. And now everyone stays at home.
Doubting the algorithm
Although often promoted as a reliable technology based on Big Data and artificial intelligence, cloud computing, and blockchain, Health Code never fully discloses its mechanism. Ordinary people have only a vague idea about what kind of information Health Code collects, and an even vaguer idea about how it handles data and assesses risk. While many people trust the generic technologies that support Health Code, some also challenge it due to their experiences using it. The most common reason for doubt and mistrust is experiencing or hearing anecdotes of noteworthy algorithmic misjudgments (n = 6), which were common especially during the first month of release. Qiangzi was misjudged in March; it happened unexpectedly when trying to enter his residential community. Having been turned away by security, he jumped the wall to re-enter his home. When he called a government representative to appeal, they did not offer a clear reason why it happened: I was pretty sure I didn’t go anywhere risky […] The representative said she can only help me file the appeal and wait for other staff and algorithms to check and did not tell me what was wrong or why this happened. I know I cannot go out, if I am not green then I cannot go anywhere anyway. […] I waited and waited, until 2 am, it suddenly became green again.
For people who did not experience or hear about misjudgment incidents, they analogized from their experiences with other “big data and artificial intelligence” algorithms to challenge Health Code. When being asked about her trust in artificial intelligence used in Health Code, Lingling said that: Big data and artificial intelligence are just bragging. After I bought something from Taobao (an online shopping website owned by Alibaba), it immediately recommended me to other similar stuff. But I just bought that thing. Why would I need the same thing right now again? […] Artificial intelligence … I say it is artificial intelligently challenged. You cannot judge someone’s risk status simply based on the place he or she went. What if he or she just passed by that place? With a mask on all the time? With a normal temperature? The Health Code is too crude, too simple, and too naïve. Quarantine based on it is a waste of time.
Doubting the data
Even when people believe Health Code When I arrived, the staff started to ask you to initiate two Health Codes, one is the State Council’s, and another is the Chongqing one. It was so annoying. My phone was slow, and people are lining up, so I just filled something right and made some random others up to save time.
Another concern is missing data. As many interviewees understood, once initiated, the main information Health Code collects are location via scanning QR codes at the entrance of various spaces. People quickly realized that inspectors at many checkpoints do not scrutinize people entering sufficiently. Feng recalled that: The security of my office building stands at the revolving door checking people’s Health Code. In the morning, most people must go through the same door, so it was always overcrowded. The security cannot handle so many people at the same time so he will just let people go.
Alternatively, people attempt to game Health Code’s surveillance, such as using green screenshots (of either themselves or another person) to pass checkpoints without launching Health Code itself. These easy bypasses further undermine people’s faith in Health Code’s accuracy. Ningning said “it cannot trace everyone all the time and thus will not work as it claimed. It just offers some false confidence.” These two kinds of doubt about Health Code data are interconnected. Aimi took a bus in April and found the bus driver did not really check her Health Code. She asked why, to which the driver responded, “What’s the point for doing this? People made the information up.” The perception of the false data is interconnected with the practice that results in missing data, creating a vicious loop of mistrust in Health Code data.
Making sense of implementation
Paternalistic intervention
People’s trust and mistrust in the Health Code is not only about how it detects risk but also how it is implemented. The first part of the implementation considers how surveillance measures ensure data is collected and analyzed. The second part is about what comes next after a risk is detected: contact people who are classified as risky, enforce strict quarantine for risky individuals, and punish those who break the quarantine. Implementing Health Code meant a broader reorganization of Chinese society (Liu, 2020). For example, entry points to different spaces are either blocked or equipped with checkpoints, where inspectors stop people to check their Health Code status. People deemed risky were asked to quarantine and put under closer surveillance. Some might argue this to be an invasion of privacy and a constraint of civil liberty. But for many people, this amounted to a kind of caring paternalism. Yuejin, a retired high school teacher who kindly urged the interviewer to be careful in the US, said: These Western countries give people too much freedom, but they also don’t care about their people, you see what people got there? […] The implementation of the Health Code also has a ‘side effect’ – so many outlaws are arrested because they cannot go anywhere without a Health Code!
Doubting the implementation
For many people, even if the Health Code could accurately surveil everyone and correctly assess risk status, the technology is still unreliably enforced. On the one hand, lax execution of disease control and people’s gaming of the system could mean a high-risk individual freely moving around a city undetected. Linda’s father mistakenly received a red code once. Yet, he was still able to enter a supermarket as “business wants everyone to get in and buy things.” This incident made Linda lose confidence in Health Code, “If people didn’t use this seriously enough, it is totally unreliable.”
What further triggered people’s dissatisfaction is when implementation of Health Code was replaced by other disease control approaches that people locally considered more effective. Ningning observed that: “Before Health Code came out, staff in the public transportation will take the real-time temperature of passengers, which is more accurate and useful. But now they only use this Health Code that relied on self-reported data.” For Ningning and many others, Health Code seems to be gradually diverging from its stated ends of disease control. After months of zero new cases in her city, Ningning observed that “no one asked people to wear a mask, but we are still required to scan the Health Code every time and everywhere, which really makes you wonder: what is this really for?” Lisha found similar practices in her city, and worried Health Code excused a reduced level of accountability for the government. “they just set up the Health Code and only focus on its implementation, claiming that they have fulfilled all the responsibility. Whatever happened next is not their problem.”
On the other hand, the extreme enforcement of disease control may also generate mistrust and doubt in Health Code. During March and April, controlling the transmission of the virus became extremely politicized. Government officials were punished if a new outbreak happened in their district. Accordingly, many local authorities used additional criteria to identify people’s risk status besides Health Code. Runze’s Health Code turned green while staying at home in a small town in Hubei province for the month of March. However, the local authority still demanded he stay at home as “the Health Code is green, but that was produced by ‘big data.’ It will still depend on local policy and interpretation to determine if one can go out.” After he went to another city where he worked, people still required him to fill in extra documents and certifications to prove his “low-riskiness” beyond his green Health Code, often simply rejecting his interview requests because he was from Hubei province. These experiences significantly compromised his trust in Health Code, as the legitimacy of its risk status was denied by the same authorities who enforce it.
In addition, ethical concerns were raised about demanding a reliance on digital technology in order to move freely. Health Code excludes or adds a significant amount of inconvenience to those who do not have a smartphone, particularly poor and elderly people. Lisha’s grandma cannot take the subway because she doesn’t have a mobile phone to show her Health Code. Nana’s grandpa stayed at home for months because she was confused about how to use Health Code, despite having a phone. She was concerned that “Some people who have to get out and now they are excluded. […] Eventually, the Health Code only applies for people with good economic and educational status. It is discrimination.”
Worries about normalization
While the state of emergency has faded as the pandemic comes under control in China, many places still enforce strict Health Code inspections, which concerns people regarding the normalization of Health Code surveillance in the post-pandemic society, alongside a routinization of expanded government power. Although claims that no freedom is absolute, people like Cuiping firmly disagree with the continued use of Health Code after the COVID-19: “If my life is not threatened by the disease, why would it be necessary to leave my trace all the time?” For those living in cities that were never impacted heavily by the pandemic, this worry is accentuated. Longzi complained when being asked about current Health Code use: I understand when the outbreak was a problem in my city, we need to use the Health Code. But now everyone is back to work, all schools are reopened, and we haven’t had any cases for months, why are we still using it? What is the data it collected really for?
These worries were accelerated by Hangzhou municipal government in May, who proposed to reform Health Code for post-pandemic use. This new Health Code system sought to collect data beyond location information, such as medical records, physical examination reports, and lifestyle data such as food, drink, exercise, and sleep cycles. The proposal expanded risk classification from the crude tripartite healthy/risky colors into a more granular score-based system that quantifies people’s health and subsequently ranks them. Hangzhou government’s move caused huge controversies. Although it later clarified that it was just a “thought” instead of an actual plan, many suspected that this augured the system the government wants to build eventually. When being asked about the opinions on the Hangzhou Health Code, Xiangzi commented that: The Hangzhou government was just too impatient. Look at all the government platforms in recent years, what that plan was proposing has been on the same road for a while […] But unlike what they usually do like ‘boiling frog in warm water,’ they are now trying to boil the frog with boiling water directly!
Discussion
In this paper, we examine how Chinese people make sense of Health Code, the algorithmic contract tracing and risk assessment sociotechnical assemblage. Echoing a growing scholarly focus on people’s perception of algorithms in practice (Amelang and Bauer, 2019; Brayne and Christin, 2020; Bucher, 2017; Christin, 2017), we demonstrate how people perceive Health Code along three axes: privacy issues, technology use, and implementation. We show that people’s concerns over COVID-19 contact tracing and risk assessment algorithms are multifaceted, intertwined, and dynamic. It is thus inappropriate to divide people into a simple support/reject binary for contact tracing and risk assessment, as individuals commonly have differing and contradictory stances on different aspects of it. For example, Linda trusted in the technical configuration of Health Code and was willing to trade-off her privacy for safety. Yet, this trust was lost when she found out that people do not check Health Code as diligently as they should, despite little change on the “technology-side” of Health Code.
These shifting, self-contradictory sense-making processes illustrate the multiplex, dynamic imaginaries of the algorithm as it is perceived by individuals over time. When people talk about an “algorithm,” they are often talking about an algorithmic sociotechnical assemblage, engaged and entangled with diverse sociomaterial actors that contribute to its ontological status through their performances, beliefs, and interpretations (Introna, 2016; Kitchin, 2017; Seaver, 2017). The technical part of an algorithm, i.e. pre-defined codes that articulate and specify steps and procedures to assess inputs, comprise only part of what an algorithm does, how it is perceived, and what it ultimately is. None of our interviewees know how Health Code
Building on relational sociology’s emphasis on interdependent, processual analysis and its rejection of voluntarism and determinism (Bourdieu, 1998; Dépelteau, 2008; Emirbayer, 1997), we argue that people’s sense-making of algorithms is a form of relational perception. Depending on who designs or implements the algorithm, people’s imagination and sense-making of the same technical solution could be dramatically different. These differences are related, but the relationship is contextual not deterministic. None of the Chinese public, Health Code, or people’s perceptions and attitudes toward Health Code are predetermined, fixed, or categorically consistent. Our study shows people’s sense-making of algorithms connects to their biographies and prior experiences with other algorithmic systems. It is informed by the future applications they foresee – such as how Health Code uses their data, and whether Health Code will be normalized. More importantly, making sense of algorithms is a dynamic, co-constitutive process as a diverse set of human and non-human actors form part of the algorithmic sociotechnical assemblage through interaction. We show how encounters with Health Code inspectors, other users, or smartphones effect this sense-making process. This local variability is nested in social surroundings, and broader perceptions of disease control strategies at the national and global level. For example, many people attribute a necessity to Health Code because other societies’ lack an equivalent, or have controlled COVID-19 incompetently, fitting the accelerating the Chinese nationalist “civilizational competition” discourse (Wu, 2020), thereby unexpectedly legitimizing the scope of expanded surveillance and Chinese authority.
This relational and co-constitutive understanding of algorithmic sociotechnical assemblages sheds light on why many Chinese people favor state surveillance over private companies during the pandemic. The Chinese state’s power matters. While the state relies on private companies’ technical capacity to enforce algorithmic governance, they nevertheless exert strong control over key decision-making and agenda-setting (Fourcade and Gordon, 2020; Hou, 2017). Similar to Chinese people’s high support and low concern for the new social credit systems’ privacy invasions (Kostka, 2019), people’s overall sense of fatalism and acceptance of Health Code’s surveillance acknowledges a dearth of options of choice under the state-run compulsory system. However, this question cannot only be explained by demonstrated Chinese state coercion, overreaching cultural preference or a generalized sense of security in China as previous studies indicate (Liang and Chang, 2006; Lü, 2005; Zhang et al., 2019). We show a key factor that impacts people’s perception of Health Code is not that they are being surveilled or that their privacy is being invaded, but their perception of
We conclude with two methodological reflections. The first is regarding conducting qualitative research on algorithms during the COVID-19. The ongoing pandemic brings many challenges, such as social distancing, forcing reliance upon digital platforms for conducting research. These platforms allow researchers to reach more people but also generate systematic limitations. We show how people’s knowledge of those who are excluded by Health Code will change their perception of the system, yet our sample did not capture people who were themselves systematically marginalized, such as the elderly and technophobic. These exclusions, ironically, mirror a common criticism of Health Code. During the pandemic, digital inclusion has become more essential across a wider array of contexts (Fourcade and Gordon, 2020), requiring scholars’ special attention.
The second reflection is regarding the extent of generalizability in the Chinese case. China is special in terms of its authoritarian governance regime, one-party system, prevalent censorship, etc. These “Chinese characteristics (
Footnotes
Acknowledgements
We are grateful to all our study participants that accepted our interviews during this difficult time. John Evans, Lilly Irani, and reviewers from
Declaration of conflicting interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of this article.
