15360994 Security Applications for Converging Technologies

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Security Applications for Converging Technologies


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Security Applicationsfor Converging Technologies

Impact on the constitutional state and the legal order

Editors:

Wouter B. Teeuw

Anton H. Vedder

Authors:

Wouter B. Teeuw

Anton H. Vedder

Bart H.M. Custers

Brbel R. Dorbeck-Jung

Edward C.C. Faber

Sorin M. Iacob

Bert-Jaap Koops

Ronald E. Leenes

Henk J.G. de Poot

Arie Rip

Jacques N. Vudisa

Wetenschappelijk Onderzoek-en Documentatiecentrum

269Onderzoek en beleid


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Onderzoek en beleid

De reeks Onderzoek en beleid omvat de rapporten van onderzoek dat door en in

opdracht van het WODC is verricht.

Opname in de reeks betekent niet dat de inhoud van de rapporten het standpunt

van de Minister van Justitie weergeet.

Exemplaren van dit rapport kunnen worden besteld bij het distributiecentrum

van Boom Juridische uitgevers:

Boom distributiecentrum te Meppel

Tel. 0522-23 75 55

Fax 0522-25 38 64

E-mail [email protected]

Voor ambtenaren van het Ministerie van Justitie is een beperkt aantal gratis

exemplaren beschikbaar.

Deze kunnen worden besteld bij:Bibliotheek WODC

Postbus 20301, 2500 EH Den Haag

Deze gratis levering geldt echter slechts zolang de voorraad strekt.

De integrale tekst van de WODC-rapporten is gratis te downloaden van

www.wodc.nl.

Op www.wodc.nl is ook nadere inormatie te vinden over andere

WODC-publicaties.

2008 WODC

Behoudens de in of krachtens de Auteurswet van 1912 gestelde uitzonderingen mag niets uit

deze uitgave worden verveelvoudigd, opgeslagen in een geautomatiseerd gegevensbestand,

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ming van de uitgever.

Voor zover het maken van reprografische verveelvoudigingen uit deze uitgave is toegestaan

op grond van artikel 16h Auteurswet 1912 dient men de daarvoor wettelijk verschuldigde

vergoedingen te voldoen aan de Stichting Reprorecht (Postbus 3060, 2130 KB Hoofddorp,www.reprorecht.nl). Voor het overnemen van (een) gedeelte(n) uit deze uitgave in bloem-

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No part of this book may be reproduced in any form, by print, photoprint, microfilm or any

other means without written permission from the publisher.

ISBN 978 90 5454 826 3

NUR 820


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On 23 May 1921, the Supreme Court pronounced a judgment on a difcultmatter. A dentist rom The Hague had stopped his electricity meter with

a pen every time ater a meter-reading had taken place, while he had stillcontinued to use electricity. The legal question presented to the SupremeCourt was whether this made him guilty o thet. Is electricity actually tobe considered property in the sense o Article 310 o the Criminal Code?Ater lengthy consideration, the Supreme Court ruled that it is.

New technologies have always been o relevance to the Ministr y oJustice. I they are used in society, new technologies raise legal issuesand questions and the Ministry o Justice gets involved, due to itsresponsibilities with respect to laws and the legislation process. I they

are used or criminal purposes, the Ministry o Justice will act as aninvestigator and prosecutor and a new move must be determined in thenever-ending cat and mouse game between criminals and investigators.And i the new technologies can be used by the Ministr y o Justice toexercise its responsibilities, the Ministry o Justice will act as a user. Thisalmost always involves ethical questions.

It is thereore important that the Ministry o Justice careully monitorsand keeps up with technological developments. With this purpose inmind, this report has been prepared. The report confrms the original

assumption. The convergence o nano-, bio-, and neuroinormationand communication technology will aect the Ministry o Justice inthe medium term. Both the development in the individual technologiesand the convergence between these technologies provide a number oopportunities or the Ministry o Justice, but at the same time also raiseethical and legal questions and dilemmas, relating to issues such asundamental rights. This is the reason why the Ministry o Justice and theMinistry o the Interior and Kingdom Relations moved together to urtherthis investigation.

The collaborative eorts o the two ministries, the extensive supervisorycommittee and the research team that conducted the study have ledto a substantial and inormative report that is well worth reading. Thereport steers skilully around two pitalls that always occur in the case otechnological predictions or the uture. Firstly, the report has not lapsedinto science fction. Science fction generally produces exciting stories,but rarely becomes reality in the long term. (Jules Vernes ideas are theexception that confrms the rule.) Neither does the report st ick too closelyto current reality. Just a little over ten years ago, Bill Gates predicted thatthe Internet would barely gain any social signifcance. Although that

was a reasonable prediction at the time, he quickly had to revise it. Thisreport lapses into neither science fction nor unimaginative realism. Theprediction or the uture is realistic, its translation into the policy areas

Preface


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6 Security Applications for Converging Technologies

o the Ministry o Justice (and the Ministry o the Interior and KingdomRelations) is instructive, and the ethical and legal issues are analysed

thoroughly. I thereore highly recommend this report.

I would gladly like to thank all those who were involved in theproduction o the report. First and oremost, that is the ConvergingTechnologies supervisory committee, which hatched the idea or thisstudy. Furthermore, I would like to express gratitude to the authors, whowere open to and available or consultation during the realisation o thereport and patiently entered into discussions with a critical supervisorycommittee.

Stavros Zouridis


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Abbreviations used

Summary 13

1 Introduction 25

1.1 What are Converging Technologies? 251.2 Three objectives o this study 281.3 Research approach 291.4 Reading guidelines 30

2 Nanotechnology 33

2.1 Past breakthroughs 34

2.2 State-o-the-art 362.3 The next 15 years: opportunities, uncertainties,

and challenges 372.4 Discussion on nanotechnology developments 392.5 Conclusions 40

3 Biotechnology 43

3.1 Past breakthroughs 443.2 State-o-the-art 463.3 The next 15 years: opportunities, uncertainties,

and challenges 473.4 Discussion on biotechnology developments 493.5 Conclusions 50

4 Information technology 53

4.1 Past breakthroughs 534.2 State-o-the-art 544.3 The next 15 years 604.4 Discussion on inormation technology developments 634.5 Conclusions 65

5 Cognitive sciences 67

5.1 Past breakthroughs 675.2 State-o-the-art 685.3 The next 15 years 765.4 Discussion on cognitive science developments 775.5 Conclusions 78

6 NBIC convergence 79

6.1 Examples o convergence in existing technologies 79

6.1.1 Convergence between bio- and nanotechnologies 796.1.2 Convergence between cognitive sciences and ICT 806.1.3 Convergence between biotechnology and ICT 83

Table of contents


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6.1.4 Convergence between cognitive and nanotechnologies 836.1.5 Convergence between nanotechnology and ICT 84

6.1.6 Convergence between biotechnology and cognitive sciences 856.2 Expected uture convergence points 866.3 Natural convergence paths: a model or convergence 886.4 Disruptive technology developments 906.5 Conclusions 91

7 Relevance of converging technologies for security

applications 93

7.1 Case 1: Monitoring and immediate action 947.1.1 Characterising the case 94

7.1.2 Application trends 947.1.3 Relevant technologies or monitoring and immediate action 957.1.4 Expectations or the next 15 years 987.1.5 Conclusions or monitoring and immediate action 1007.2 Case 2: Forensic research 1007.2.1 Characterising the case 1007.2.2 Application trends 1017.2.3 Relevant technologies or orensic research 1017.2.4 Expectations or the next 15 years 1037.2.5 Conclusions or orensic research 104

7.3 Case 3: Proiling and identiication 1057.3.1 Characterising the case 1057.3.2 Application trends 1057.3.3 Relevant technologies or proiling and identiication 1067.3.4 Expectations or the next 15 years 1087.3.5 Conclusions or proiling and identiication 1097.4 Generalising the cases 1107.5 Conclusions 1117.6 Expectations in an international context 113

8 Scenarios for the application of converging technologiesin the security sector 115

8.1 Basic trends assumed in the scenarios 1158.2 Key uncertainties 1198.3 Scenario A: Pre-crime 1218.4 Scenario B: Social crime control 1238.5 Scenario C: Collectors mania 1258.6 Scenario D: Lab in your pocket 127

9 Major trends and social and normative impact assessment 131

9.1 Social impact 1329.1.1 Trend 1: Shits in data collection and processing 1329.1.2 Trend 2: Shits in methods o surveillance 1359.1.3 Trend 3: Shits in power relations 137


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9Table of Contents

9.1.4 Trend 4: Changes in governability 1399.2 Normative impact 140

9.2.1 Trend 5: Shits in privacy concerns 1409.2.2 Trend 6: Shits in the ocus o criminal law 1419.2.3 Trend 7: Shits in the conceptions o reedom

and responsibility 1439.2.4 Trend 8: Norms and their enorcement 1469.3 Conclusion and prospect 149

10 Conclusions 153

11 Addendum: The trends and the normative framework

of the Dutch criminal law 15711.1 The normative ramework 15811.1.1 The democratic constitutional state 15811.1.2 Constitutional rights 16011.1.3 Basic principles o criminal law 16211.2 Applying the normative ramework to the trends 16411.2.1 The democratic constitutional state 16411.2.2 Constitutional rights 16711.2.3 Basic principles o criminal law 168

Samenvatting (in Dutch) 173

References 187

Appendices on project organisation 197

Appendix 1 Advisory committee (begeleidingscommissie) 197Appendix 2 Interviewees (application group) 198Appendix 3 Interviewees (scientiic experts) 199Appendix 4 Websurvey participants Appendix 5 Participants technology workshop to discuss

websurvey results Appendix 6 Participants workshop on impact analysis 202Appendix 7 Acknowledgements

Appendices on web survey results 204

Appendix 8 Part I: Survey participants 205Appendix 9 Part II: Technological developments 207Appendix 10 Part III: Application cases 213


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CT Converging TechnologiesDBS Deep Brain Stimulation

DC Dutch Constitution (Grondwet)DCC Dutch Criminal Code (Wetboek van Strarecht)DCCP Dutch Code o Criminal Procedure (Wetboek van

Stravordering)DNA Desoxyribonucleic AcidECHR European Convention o Human Rights and Fundamental

FreedomsECtHR European Court o Human RightsEEG ElectroencephalogramMRI unctional Magnetic Resonance Imaging

GPS Global Positioning SystemICT Inormation and Communication TechnologyNBIC Nano-, Bio-, Inormation and Cognitive science and

technologyNFB NeuroeedbackRFID Radio Frequency IdentiicationSTM Scanning Tunnelling MicroscopeTMS Transcranial Magnetic Stimulation

Abbreviations used


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This study on converging technologiesis a orward looking study intendedor practitioners and policy makers in the ield o security, legislation,

crime prevention, and law enorcement. We use three selected caseswhere converging technologies may it in: monitoring and immediateaction, orensic research and proiling and identiication. This study takesthe technological developments as its starting point. Four convergingtechnologies are distinguished: nanotechnology, biotechnology, inor-mation technology and cognitive technologies. We estimated what thedevelopments in the ield o converging technologies would be, translatedthem to the application domain mentioned, and then set out to assess thetrends in the social and normative impact o those developments.In our approach, we started with the technology developments (inde-

pendent o applications), wrote scenarios based on these developments(independent o an impact analysis), and then analysed the normativeand social impacts o these scenarios in the orm o eight trends that weconsider to be important. These results may be used to start debates,either internally (the role o relevant Ministries, the impact o their policyon scenarios) or externally (social debate). In this way the technology ore-casts, scenarios and impact analysis may be used to shape new policies,which in turn will possibly inluence the technology developments.Consequently, this report consists o three parts. The irst part describesthe state-o-the-art and uture expectations on nano-, bio-, ICT and cogni-

tive science and technology, as well as their convergence. The secondpart describes the (uture) applicability o converging technologies to ourapplication domain, in particular the three cases. This part ends withscenarios that are used as a means to visualise the developments and aninput or the impact analysis. In the third part the scenarios are analysedon their ethical, legal and social implications. This part describes themajor social and normative trends we observe.

Nanotechnology

Nanotechnology is a generic term that encompasses technologies thatoperate with entities, materials and systems o which at least one charac-teristic size dimension is between 1 and 100 nm. A key aspect is the occur-rence o speciic properties because o the nanoscale (e.g., large suraceareas, quantum eects). Commonly, three main areas are distinguished: Nano-enabled materials and nano-structured suraces. Nano materials

technology is currently the most mature o the nano-technologies andhas the highest penetration in commercial products such as cosmetics,coatings, textiles, adhesives, catalysts, and reinorced materials.

Micro/nano-electronics. Nano-electronics shows a mixture o ongoingimprovements o established perormance (as with hard disks andMRAM memories), nano-enabled developments (as in large-area

Summary


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electronics) which are ready or use but do not always have the rightperormance yet, and speculations based on new discoveries and

proo-o-principle only. Bionanotechnology and nanomedicine. DNA micro arrays are available

or ast throughput analysis, and lab-on-a-chip technology is in place,even i not taken up widely. Sensors and actuators (MEMS/NEMS) arean important growth area, in particular biosensors on the spot whichwill replace taking o samples or measurement in laboratories (so-called point o care analysis). Targeted drug delivery is an importantpromise.

An interesting attempt at an overall view or uture developments is the

our-generation scheme o Mihail Roco, senior adviser to the US NationalNanotechnology Initiative. The irst generation has been the passivenanostructures. The second generation consists o reactive (smart)materials and structures, that are capable o changing their propertiesin response to dierent external changes (like temperature, electro-magnetic ields, humidity, etc.), and combine sensing and acting. Thenext step is to integrate some computing, so that choices can be made andacted upon. Nanotechnology will enable urther unctions and perorm-ances. The ourth generation will be molecular nanosystems, e.g., molec-ular devices by design.

Biotechnology

Biological technology is technology based on biology, the study o lie.Beore the 1970s, the term biotechnology has mainly been used in theood processing and agriculture industries. Since then, the term biotech-nology is also used or engineering techniques related to the medicineield, like the engineering o recombinant DNA or tissue culture.Nowadays, the term biotechnology is used in a much broader sense

to describe the whole range o methods to manipulate organic matterto meet human needs. Biotechnology has developed ar beyond seedimprovement and genetically modiied oats, rice, etcetera. Many otodays biotechnology applications have a medical or therapeutic ocus.This has also drawn the interest o criminologists to look or medicationand therapies rom a systems biological, biochemical, neurobiological, orbiopsychiatrical perspective.In the coming years, genetic analysis is likely to improve both with regardto accuracy, speed, and ease o operation. An example could be theimplementation o gene passports. Also, synthetic biology and synthetic

medicine may lead to developing agents with various unctional abilities,such as preventing pathogens rom entering the body, exploit pathogensvulnerabilities, or enhance the immune response to new pathogens.


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15Summary

Biomedical engineering will continue to advance in the direction oproducing more complex artiicially grown tissues, such as cartilage.

Gene therapy, and generally the modiication o human genes willcontinue to be a major research area. However, the extraction o personalcharacteristics rom genetic material or identiying or other purposes isar away, because DNA is a complex matter. It raises the question whethersimpler biological clues to understand behaviour, health or body unc-tioning are available.

Information technology

Inormation technology encompasses all the technologies related to thelogical and physical deinition, design and implementation o systemsand applications or data acquisition, storage, processing, transmission,and management. Since almost all aspects o the current human activitiesheavily rely on ICT solutions, it is impossible to give a comprehensive viewo all state-o-the-art applications. We considered the most relevant orthe current study.On the application layer, there is a current trend to create ambient intel-ligence through smart, context-aware surroundings, smart devices (e.g.,automatic selection o washing programs based on the type and quantity

o laundry, or the pre-tension o seat belts when an impact seems immi-nent). In camera surveillance systems there is a data explosion o an everincreasing number o sensor network calls or automatic recognition (iden-tiication or veriication) o persons based on biometric eatures, and eventdetection as a orm o pre-selection or human supervisors. Autonomyis key in uture applications. A wide adoption o household robotics isexpected. Applications are expected that allow observers o large data-sets some visualisation. The sensor networks will be spread around in theliving body, in vitroin living cells, in the air to probe the atmosphere, or onearth to sni, listen, ilm, etcetera. And the quality o the data collected,

will allow better understanding o many complex systems. For thesesystems to be really understood, these experience interaces need to beavailable.One o the bottlenecks in ICT may become the complexity o handlinglarge volumes o data. That is, the data volumes may grow aster than theprocess capacity. For example, a single human genome is already six Giga-bits o data. This volume o data is still small compared with the possi-bilities o millions o RFID tags being scanned in logistic streams, thenumber o sensors growing enormously, and persons being continuouslyon-line with human-computer interaces becoming more riendly due to

sensors, speech technology, etcetera. Quantum computing may be a solu-tion or this problem, because quantum computing power is supposedto scale in an exponential way with the number o processors (whereas


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current computers scale in a linear way). However, quantum computersare judged as a long-term and uncertain development.

Cognitive technology

For the purposes o this document, the most relevant aspects o cognitivesciences are the study o structures, unctions, and processes that deine,implement, or describe the perception and interpretation o stimuli, deci-sion making, and experiencing o mental states.Computational theories o cognition propose mathematical or algorith-mic description o neural processes. The development o these theo-

ries is based upon observed in-vivoanalysis o reactions to stimuli andex-vivoanalysis o neural structures. Brains, however, are complex tomodel. Empirical theories o cognition start rom observed behaviours(or subjects sel-reports) and psychological assessments, and proposemodels that logically explain the observed behaviours and psychologicalproperties. The theories concerning higher-level cognitive processes, suchas mind states, experience, and consciousness, are mostly empirical, andsome quite speculative. Within the artiicial intelligence (AI) ield manyanalytical, logical, statistical, and algorithmic models have been proposedor learning, reasoning, categorization and clustering, pattern discovery

and recognition, data correlation, etc. But there are ew agreements as tohow they are sound models or biological intelligence.Futurists believe in unravelling the secrets o human cognition andconsciousness beore 2020, but cognitive scientists are more sceptical. It isunlikely that the high-level cognitive unctions (such as intentions orma-tion, creative problem solving, and consciousness) will be ully explained.The general opinion is that brain reading is over exaggerated. Tech-niques like MRI and EEG are very valuable or pathological purposes, andbrain stimulation is used or medical purposes as well, but there is toomuch noise in brain signals to a llow the interpretation o, e.g., thoughts.

Nonetheless, in the cognitive area there seems to be a lot o low-hangingruit to be applied or security purposes. Probably much more can bedone with acial expressions. We know a great deal about emotions. Iner-ring emotions rom acial expressions is likely to become accurate enoughor using in a wide range o applications.

NBIC Convergence

All our NBIC ields are multidisciplinary in their own. Thereore, conver-

gence is a process and not a property o this collection o technologies.The process leads to new paradigms in application areas. These shits can


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17Summary

not be orecasted, but we argue that convergence occurs naturally alongtwo dimensions: structures and unctionalities, as ollows (see Figure S1):

1 Nanotechnology and biotechnology deal with structuresthat have a di-erent underlying nature, but evolve toward comparable architecturalcomplexity.

2 Cognitive sciences and ICT deal with functionalitiesimplemented onstructures o a dierent nature, but evolve toward comparable algorith-mic complexity.

Figure S1 A model for natural convergence along two dimensions

Structural

Artificial Natural

Functional

Nano

ICT Cogno

Bio

The main eect o these convergence processes is the achievement oreciprocal compatibility between the converging technologies.

Application of convergent technologies

Since convergence is a process, it becomes visible through applications.To ocus the discussion on the meaning o convergent technologies orour application domain (i.e., the area o security and crime control), werestrict ourselves to three cases:


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Case 1: Monitoring and ollowing objects or persons and remote inter-vention in case o undesired movements and relocations (in short:

Monitoring and immediate action); Case 2: Improving and developing orensic trace analysis (in short:

Forensic research); Case 3: Proiling, identiying and observing persons with an assumed

security risk (in short: Profiling and identification).

For each case, we look into the expectations or the short (5 years), mid(10 years) and long term (15 years).Monitoring and immediate action deals with, e.g., positioning and/orcommunication technologies like GPS, or RFID tags can be used to track

and trace objects or persons. A special case is the tagging o persons ascurrently happens in experiments with prisoners. Besides monitoringpeople to prevent them rom doing wrong, one may also monitor personsto protect them. The general belie is that people are wil ling to give upprivacy in avour o individual or collective security. However, that doesnot necessarily mean that privacy becomes less important. Currently,mainly ICT technology seems to be used or monitoring and (remote)immediate action. Convergent technologies will allow the online registra-tion o many variables (e.g., body sensors), advanced r isk assessment bythe combination o bio-, cognitive and ICT indicators, and restraining

persons in well-deined cases. Besides, we have to deal with the issue otampering. In our orecast, we suggest that the ollowing applications inmonitoring and immediate action will be technically easible by 2022: Individually worn sensors, in particular tagging prisoners or persons

being detained during her majestys pleasure (the Dutch TBS) with animplanted RFID chip (short term).

Wearable personal monitoring devices with data recording and onlinecommunications capability (short term).

Tracking and tracing individuals in public civic areas. Implants (or prostheses) that mimic or even augment human biological

unctions, but no selective memory erasure and no behaviour manipu-lation by brain implants.

Blocking cars automatically based on sensor inormation (short term). Objects (e.g., clothes) that respond to external stimuli (like location,

heart beat). Wireless Internet available worldwide (short term).

In orensic research, new technologies make it possible to establish newor radically enhanced ways o producing evidence. An example is usingDNA material or identiication. New technologies may even be required

because o the necessity to analyse minute traces (level o molecules).NBIC technology may completely change the way o working. For exam-ple, due to lab-on-a-chip technology the analysis results may steer the


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19Summary

search or traces. The miniaturising and commodiication also meansthat techniques that used to be available to large institutions only,

become available to individuals, who can do the same analyses. Socialsotware may be used to involve larger communities or collecting inor-mation. Relevant technologies or the coming years include portableanalysis instruments, large-scale databases, single molecule detection,biomarkers, DNA proiling and 3D imaging o crime scenes. In our ore-cast, we suggest the ollowing applications in orensic research will betechnically easible by 2022: Rapid orensic evaluations rom very small ragments o materials

(short term). The use o new kinds o (miniaturized) highly selective, accurate and

sensitive biological sensors. Computational devices like lab-on-a-chip becoming commercially

available. Objects (e.g., clothes) that respond to external stimuli like the availabil-

ity o speciic (biological) substances. Powerul wearable computers / laboratories (short term). 3D visualisation o crime scenes. Resistant textiles, showing hardly any trace (long term).

To search or persons with an assumed risk or society, proiling can be

used. A risk analysis may be based on available inormation rom anyintelligence applications. Then, proiling also becomes the prediction o(or anticipation on) expected behaviour based on all available inorma-tion. Identiication also deals with looking or a speciic person whoseidentity is known in the crowd. In general, people leave more and moretraces in the virtual world by browsing on Internet, using their mobilephone, carrying RFID tags, or being observed by cameras. The amount odata registered about persons and objects is growing enormously. For thiscase, inormation processing applications are expected and ace recog-nition is important. Brain reading applications are ar o, and it is not

expected or the coming 15 years to derive behaviour rom a gene struc-ture. Nonetheless, combining inormation rom all kinds o bodysensorsand cognitive analyses may make it possible to predict risk actors. In ourorecast, we suggest the ollowing applications in proiling and identiica-tion will be technically easible by 2022: Widespread use o (real-time) surveillance and monitoring o humans

and environments / presence o sensors in public areas. Increasingly smaller-sized unobtrusive camera surveillance and sensor

networks. Widespread use o RFID tags (e.g., in the retail sector) that can be used

to track persons (short term). Massive databases, e.g., holding genomic inormation (short term).


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Coupling o databases/sensor inormation, improved search capabili-ties and artiicial intelligence to logically process collected inorma-

tion. Biometrics probably combined with other available (context) inor-

mation widely applied or security unctions (but no brain reading). Hands-ree human-computer interaction enabled by input devices with

ast and unobtrusive data capturing. Genetic screening or, e.g., clinical pictures, but not or predicting

behaviour. Secure personal data transer, like anonymous transactions or identi-

ier removal.

Scenarios

We have sketched our scenarios to visua lise the uture application oconverging technologies within our application domain. The scenarioshave been based on the expected (realistic) technology developments orthe coming 15 years. The scenarios have been written rom a technologypoint o view and are a means to allow an impact analysis o convergingtechnologies. We used two uncertainties to sketch our typical and relatedscenarios:

1 The degree o inormation sharing that can be realised between stake-holders involved in the security enorcement chain.

2 The degree o inormation processing: the capacity to store and analysethe growing amount o collected data.

In all scenarios the technology becomes invisible, which results in amove towards what we have labelled ambient intelligent public securityenorcement. Depending on how the two uncertainties develop in theuture (or the scenarios we choose the extremes limited versus extensive),our dierent scenarios are possible (see Figure S2). We have character-

ised these scenarios with the terms Pre-crime, Social crime control,Lab in your pocket and Collectors mania. In Collectors mania weobserve reactive authorities, collecting inormation and evidence to beused on purpose. In Pre-crime we observe a shit rom a reactive towardsa proactive government, using technology to anticipate on and preventcrime. The technology is enabling in the sense o supporting the develop-ments in society towards prevention. The two other scenarios ocus onspeciic applications and show how converging technologies may be adriving orce or new paradigms in the security application ield. Theysketch a more participatory role o citizens in orensic research (Lab in

your pocket) or surveil lance and law enorcement (Social crime control).

The pre-crime scenario is closely related to the proiling and identiica-tion case. It shows a shit towards prevention, rom a reactive towards an


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21Summary

inormation-driven proactive environment. Sensors are available every-where and the inormation can be processed to take the right decisions.

The government policy is anticipation on and prevention o criminality.Characteristics o the uture situation are: Persons with an assumed security risk are monitored; The widespread use o RFID tags in or on the body or monitoring and

identiication purposes;

Figure S2 Using two key uncertainties to build four related scenarios

Extensive

Information processing

capacity

Limited

Limited

Extensive

Information

sharing capacity

Social crime control

Reactive and

networked

security enforcement

Collectors mania

Reactive

and centralised


Lab in your pocket

Information-driven

and centralised


Pre-crime

Information-driven

and networked


The use o sensors (video surveillance, body sensors, brain scans, etc.)or, e.g., aggression detection;

The coupling o public and private inormation sources or an all-embracing analysis o a persons behaviour and relationships;

Actuators that restrict persons in their movements.

The social crime control scenario is closely related to the monitoringand immediate action case. The scenario shows a paradigm shit withrespect to (public-private) collaboration. Due to collaboration with privatepartners or citizens, small-scale, individual monitoring is possible inthis scenario. It enables therapy close to someones home environment(prison without walls). Characteristics o the uture situation are: Individual tracking and tracing o persons with a smooth transition

(seamless handover) rom outdoor (GPS) to indoor (camera surveil-lance) or rom public to private systems;

The entire population is assessed or tendencies toward criminalbehaviour;

Blurring borders between virtual and physical behaviour;


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Citizens participate in tracing criminals and law enorcement; mutualobservation and social control o citizens.

The lab in your pocket scenario is closely related to the orensic researchcase. The scenario shows a paradigm shit with respect to the availabilityo specialised equipment or the common man. The scenario has beenbased on (trace) analysis tools becoming small, quick, accurate, low-priced and handy. Herewith their results steer and change the (orensic)research process. Also, these tools become a commodity and thereore areused by private researchers (or criminals) as well. Characteristics o theuture situation are: Nano sprayers to detect the smallest traces;

3D reconstruction o crime scenes; Lab-on-a-chip technology available to everyone; Global sensor inormation becomes available as a service to citizens

(tracking locations, camera data, etc.); Real-time analysis o data, e.g., or database matches (DNA, ace recog-

nition), trace analysis, etc.

In the collectors mania scenario, none o the three application caseshas a preerence. The scenario extrapolates the current, somewhat reac-tive (rather than anticipatory) processes towards the uture. This does

not mean, however, that the scenario is less advanced, because the NBICtechnologies still advance. Characteristics o the uture situation are: Much inormation is collected, arranged, presented etc. In particular,

the data are used or searching aterwards; Tasks shit rom public partners to private partners (services) and even-

tually to citizens, but more on a service rather than a collaboration base; Enhanced camera surveillance, e.g., it is possible to distinguish volun-

tary or orced behaviour.

Impact analysis

Obviously, the technological developments, applications, and scenariosare closely related to social and normative issues. Eight possible social andnormative, i.e., moral and legal, trends may condition the impact o theuse o converging technologies or security tasks and law enorcement. Thesocial trends are concerned with implications o increasing polycentric andmulti-actor crime surveillance and challenges to governability. The norma-tive ones ocus on new privacy concerns, issues o sel-control versus con-trol by others, the moral oundations o the law and the legitimacy o new

orms o regulation. It should be noted that these trends will oten overlapand intertwine in real practice. In order to highlight possible salient devel-opments, it is, however, useul to distinguish them in abstracto.The approach with regard to the impact analysis and assessment in thisreport is one o several possible alternatives. We have projected a certain


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23Summary

uture technological perormance, in order to consider possible impacts.In discussing such impacts and assessing them, we had to quasireiy that

technological uture; assume that it would be there, somehow, withouturther discussion. The implication is that a discussion o social, moraland legal impacts, here o converging technologies, will have an exem-plary character rather than oering a picture o the uture world. Still, thiscan draw attention to issues and challenges that deserve to be paid atten-tion to in the here and now.Eight trends have been distinguished:1 Shits in data collection and data processing: More and more data are

being created; they are disseminated more widely, to a larger numbero parties; access to data is made easier or the government, and con-

trol over these data is becoming increasingly diicult or data subjects.The consequence o this trend is that, even with the same investigativepowers, governmental authorities are in a position to collect and usesigniicantly more data about citizens than beore, and this increaseis not only quantitative, but also qualitative. This in turn enables thegovernment, in principle, to know better than ever beore what citizens,including criminals and terrorists but also the man in the street, aredoing.

2 Shits in methods o surveillance: Increasing possibilities o surveil-lance will induce more normalising eects on conduct, sel-perception,

personality, and world-view, than ever beore.3 Shits in power relations: Regulation will be delegated more rom per-

sons to technology and rom public, governmental parties to privateorganizations and citizens.

4 Changes in the governability o technologies themselves: Growinguncertainty and complexity will increasingly complicate the govern-ance o the emerging technologies and their applications.

5 Shits in privacy concerns: As new possibilities o observation and sur-veillance show both centralising and decentralising tendencies (that donot mutually neutralise each other) and instruments or observation

and surveillance become increasingly unobtrusive, both the perceptionand the nature o privacy invasions will change.

6 Shits in the ocus o criminal law, away rom reaction, retribution andrehabilitation, towards prevention and risk control.

7 Shits in the conceptions o reedom and personal responsibility: Thesemay aect the ways in which persons perceive their own and oth-ers identities; they need not automatically undermine conceptions omorality and law that take personal responsibility and ree will as theirstarting points.

8 Growing usion o norms and enorcement: The inclusion o norms

in technology that inluences behaviour will involve increasing chal-lenges to moral outlooks in which the ree choice to act morally or


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legally right is primordial, and new challenges regarding the legitimacyo arrangements or regulation and enorcement.

As the world changes and technology develops, normative outlooks can beexpected to change as well. Some o these changes have been indicated inthe description o the trends. It is nonetheless important to note that thetrends could also be seen as explicating a necessary additional elementin the scenarios. Impacts occur in context, and are co-produced throughtechnological developments and social and normative developments.Impact assessment has to take this into account, up to the urther possi-bility o normative outlooks changing in the course o this co-evolution.I the scenarios (and their background considerations) are combined with

the present discussion o trends, key issues (and trends, and challenges)seem to be poly-centric governance, particularly in relation to inrastruc-tures, the role o private actors in the new governance structures and sel-control versus control by others. An important general challenge or theuture wil l not be about government actors, but about the role o privateactors and their accountability.There is a general role o government vis--vis new and emerging tech-nologies: to stimulate exploration and exploitation o new and emergingscience and technology or what they can do and mean; but also to setboundaries to such developments because o possible negative impacts

and the opening up o urther, possibly undesirable applications. Here,co-evolution returns, now o technology, society and normative outlooks,including the expectations that norms and values might shit.One should be very careul not to engage in an evaluation o the scenarioson the basis o the trends that were sketched. Nonetheless, in a kindoaddendumto the report, the scenarios and the trends have beenconronted with the principles and starting points that orm the norma-tive ramework o the current Dutch criminal law system.Eliciting the principles that lie at the heart o the Dutch constitutionalstate can help to assess the boundaries o the adoption o converging

technologies or the purposes o monitoring people, improving oren-sic techniques, and proiling, identiying and monitoring potentiallydangerous individuals or groups. These principles are not set in stoneor eternity, however. They are co-evolving with the social and technicaldevelopments and with the changes in the relation between the interestso society at large and those o the individual. The inventory o princi-ples and current (undamental) rights merely clariies where choices andtrade-os could be made.


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In this document we investigate the possible impact o converging tech-nologies on practices o regulation and law enorcement. It is a orward

looking study intended or practitioners and policy makers in the ield osecurity, legislation, crime prevention, and law enorcement. We use threeselected cases where converging technologies may it in.This study takes the technological developments as its starting point. Weestimated what the developments in the ield o converging technologieswould be, mapped them out on the application domains mentioned andthen set out to assess the trends in the social and normative impact othose developments.

1.1 What are Converging Technologies?

Currently, the ield o converging technologies gets a great deal oscientiic and public attention (Doorn, 2006; Schmidt, 2006; Silberglitt etal., 2006). During the debate some uturistic visions show up, includingthe idea o enhancing human perormance (Roco and Bainbridge, 2002;Bainbridge and Roco, 2006). That is, we meet high expectations withrespect to the application o converging technologies and their impact.But what exactly are converging technologies, how realistic are theexpected technology developments, and what do they mean or a speciic

application domain, in our case the ield o security, legislation, crimeprevention, and law enorcement? This question has been the startingpoint o this study.In general, our converging technologies are distinguished, namelynanotechnology, biotechnology, inormation technology (or ICT) andcognitive technologies (in short NBIC technologies).1 O course morescience and technology ields exist, but the NBIC technologies areexpected to deeply in luence application ields, are developing in a astpace, and more and more in luence each other. The NBIC technologiescome closer to each other, leading to synergetic eects that accelerate the

developments and supposedly lead to breakthroughs in all these ields.Thereore, one generally reers to these our technologies as convergingtechnologies.NBIC convergence its in the inormation revolution and already exists.In IMECs Human++ project (Gyselinckxet al., 2005), or example, keytechnologies and components or uture wireless body area networksor health monitoring applications are developed. Prototypes aim atmaking EEG devices wearable in the sense o low-power wireless sensors,micro-power generation devices (using body temperature) and minia-turised processing unit (1 cm3). This can be extended to entire body area

1 The term converging technologies refers to both technology and science, e.g., nanotechnology andnanoscience, etc.

1 Introduction


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networks (see Figure 1). This project ocuses on brain signals (cognitivetechnology), but also deals with miniaturisation to make products wear-

able or to solve the energy problem (area o nanotechnology), with healthcare and the human body, i.e., measurements on organic matter (relates tobiotechnology) and in particular a lot o inormation processing (inorma-tion technology). In interaction, these technologies result in arteacts andprocesses that could never have been obtained by applying the technolo-gies individually.

Figure 1 The technology vision for the year 2010*: people will

be carrying their personal body area network and be

connected with service providers regarding medical, life-

style, assisted living, sports and entertainment functions

NETWORK

EEG

VISIONHEARING

ECG

BLOOD

PRESSURE

TOXINS

IMPLANTS

DNAPROTEIN

WLAN

CELLULAR

POTS

GLUCOSE

POSITIONING

* Note that this future vision of Gyselinckx et al. is close to realisation indeed.

Figure printed with permission from IMEC

Many more examples can be provided, such as: Regenerative medicine: directed growth o bone cells2 or neuronal tis-

sue3 on carbon nanotube scaolding. Injecting molecules designed tosel-assemble into nano-structure has been proposed as an alternativeway o stimulating neural tissue growth.4 It is an area where nano- andbiotechnology meet each other.

Lab-on-a-chip technology: small devices that allow a quick analysisor, e.g., medical or orensic research purposes. This development in

2 Zanello, Hui Hu & Haddon, 2006.3 Elsevier Health Sciences (2007, May 21). Nanomedicine Opens the Way for Nerve Cell Regeneration.4 United States Patent 20060247165.


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27Introduction

nanotechnology may use biosensors and obviously relates to inorma-tion processing.

Gene chip micro-arrays integrate semiconductor abrication tech-niques, solid phase chemistry, combinatorial chemistry, molecularbiology, and robotics in a photolithographic manuacturing processthat produces GeneChip arrays with millions o probes on a small glasschip5.

Direct implants (nano-wire arrays) that collect neural signals romindividual neurons6 can be urther used to generate simple computercommands.

One critical point in a study on converging technologies is a proper deini-

tion o the ield. The convergence is deined in Roco and Bainbridge (2002)as a synergistic combination o our major NBIC (nano-bio-ino-cogno)provinces o science and technology []. The synergistic combination isindeed the key to understanding why and how convergence is dierentrom a mere combination o two or more technologies. Rocco and Bain-bridge proposed the nano, bio, ino, and cognitive technologies as the keytechnologies that could contribute to improving human perormance. Intheir view, these our technologies are converging in the sense that eachcould and should be used or modelling and solving parts o the complexproblem o improving human abilities, societal outcomes, the nations

productivity, and the quality o li e. They coined the term convergenttechnologies to describe the interplay o these technologies in their uturedevelopment. Nordmann (2004) deines this as ollows: Converging tech-nologies are enabling technologies and knowledge systems that enableeach other in the pursuit o a common goal. These deinitions show thatconvergence is a means, not an objective, and mainly shows up in applica-tionso technology.According to the v iew o Roco and Bainbridge (2002), nanoscience andnanotechnology are the catalysts o convergence, since the buildingblocks o matter that are undamental to all sciences originate at the

nanoscale.7 From an ICT point o view, however, this last assertion isarguable and inormation technology will be claimed as being the gluebetween al l technologies. Convergence is thereore a process, and not aproperty o this collection o technologies. The NBIC technologies growtowards each other, which may result in new, additional technology ieldsthat use the NBIC technologies together. Like in the ICT sector the tech-nologies on telephony, internet and television (media) used together. Themain eect o the convergence processes is the achievement o reciprocalcompatibility between the converging technologies.

5 http://www.affymetrix.com/technology/manufacturing/index.affx.6 Patolsky, Timko, Ying Fang, Greytak, Zheng & Lieber, 2006.7 p. ix, op. cit.


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Moreover, the individual ields o nano-, bio-, inormation and cognitivesciences are multidisciplinary as well. Take or instance the inormation

technology, the roots o which can (with a bit o imagination) be tracedback to the musical boxes and mechanical calculators, to the Aristoteliantertium non datur, the Korean trigrams, and Boolean algebra, and tothe macro-magnetism and triodes. However, these can only be related tomodern computers in retrospect. From the perspective o, say, the mid-19th century (ater the publication in 1854 o Booles monograph TheLaws o Thought), the most daring mind could not have predicted the useo binary logic-based computers or playing 3D games, or inding yourway in an unknown city, or or the creation o the Internet. Also, by deini-tion the biotechnology combines disciplines like genetics, molecular biol-

ogy, biochemistry, embryology and cell biology, which are in turn linkedto practical disciplines like chemical engineering, inormation technol-ogy, orensics and robotics.Consequently, in this document we irst explore the developments o theour (multidisciplinary) NBIC ields o science and technology separately.Next, we address the new technologies resulting rom the convergence othe our ields by sketching application scenarios in which convergencecan be recognised.

1.2 Three objectives of this study

This study starts rom a technology viewpoint. So the irst objective o thisdocument is to provide an initial assessment o the evolution, maturity,and perspectives o the nano-, bio-, inormation and cognitive technolo-gies. Main attention is paid to the ollowing questions:1 Which are the most important scientiic and technological break-

throughs that led to the current state o the our technology ields?2 What is the current state-o-the-art and which o the existing NBIC

technologies are mature enough and relevant or our application ield,

i.e., will aect the constitutional state, legal order, and tasks o theMinistries o the Interior and Kingdom Relations and Justice?

3 What are the expected technology developments or the next 5 to 15years, how realistic are these expectations and what are the main chal-lenges?

Since answering these questions is an endless task, we expect that thisliterature scan will only provide a partial answer to these questions, andthat some answers may still be aected by hypes (too high expectations)or counter-hypes (too high ears). For the purpose o this study, however,

we do not want to orecast the uture (as ar as possible anyway) but onlyindicate the main developments in terms o easibility and uncertaintiesregarding the development and convergence o the our NBIC ields.


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29Introduction

The second objective o this study is to indicate the meaning o thesetechnology developments or the policy areas related to regulation and

enorcement. How can the government make use o these technologies?And what are the consequences or governmental tasks i third parties usethese technologies? To delimit our scope, we ocus on three speciic cases:1 Monitoring and ollowing o objects and persons, and remote interven-

tion in case o undesirable movements and relocations.2 Improving and developing orensic trace analysis.3 Proiling, identiying and monitoring persons with an assumed secu-

rity risk.

Convergence o the NBIC technologies wil l show up in these applications.

The time rame on which convergence will likely occur is estimated in theNSF report to be 2000-2020 (Roco and Bainbridge, 2002). Future scenarioso 5, 10, and 15 years ahead are thereore justiied. For this reason, andbecause o the nature o some o the application areas such as brain andbehaviour inluence making a time horizon o 5 or 10 years would prob-ably be too short, or our study a time horizon o 15 years has been chosenas well.The third objective is an assessment o the social and normative, i.e.,moral and legal impacts o the emergence o converging technologies inthe application domains mentioned. New technologies oer new opportu-

nities as well as risks with regard to regulation and enorcement. Insightinto the choices and dilemmas which the progress in the convergence oNBIC technologies may make necessary is essential or our constitutionalstate. Thereore, this impact analysis is also part o this study.

1.3 Research approach

This research starts rom a technology viewpoint: what are the develop-ments and what is realistic or the next 15 years? Thereore, starting point

is a state-o-the-art survey which has been based on a study o the litera-ture and some interviews. In our attempt to give a technological view onthe progress and perspectives o NBIC technologies and convergence,we disregard at a irst stage as ar as possible the statements concerningsocietal, ethical, legislative and economical impact (be it beneicial ordetrimental).Our expectations or the coming 15 years have been discussed withan expert orum in two ways. Firstly, a selected group o 16 expertsresponded on statements posed via a survey on Internet. Secondly, agroup o 12 experts discussed in an expert session the results o this web

survey (the overlap between these groups was three persons). The expertsare all either ull proessors or experts rom a technology or applicationdomain. Still reasoning rom a technology point o view, we mapped the


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technology expectations on the application domain to investigate theirmeaning or the three selected cases. The central question being: what is

realistic in 5-10-15 years with respect to the application o technology inthese cases?Convergence o NBIC technologies may lead to new technology areas orparadigm shits in application ields. Paradigm shits, however, cannot bepredicted in advance. Nonetheless, we want to sketch some examples ohow convergence may appear in our application domain, in particular thethree cases o monitoring, orensic research, and proiling and identiica-tion. To do so, we use a traditional scenario approach using certaintiesand uncertainties to identiy a number o application domain scenarios.This approach is urther explained and elaborated in Chapter 8. The

resulting scenarios are a means to visualise the convergence o technolo-gies or the application domain and herewith can be used as input or animpact analysis.Only ater the scenarios have been deined, we view the developmentsrom other viewpoints besides the technology viewpoint only. Thescenarios (and herewith the technology developments) are analysed roma moral, legal, and social viewpoint. In the context o this document itis impossible to study the moral, legal, and social impacts in depth. Weocus on the main issues and again an expert session is used to discussand validate the results.

O course, in reality technology on the one hand and society and itsnormative outlook on the other hand, do not evolve separately and inisolation. This study, thereore, should be looked upon as a thoughtexperiment. The co-evolution o technology and society will, or the timebeing, be put aside. When the developments in technologies that can beused or surveillance, or instance, are sketched, possible limitations onthose developments motivated by legal or moral privacy concerns will notbe taken into account. The technological developments will be drawn asi merely motivated by internal dynamics itsel. The possible social andnormative impacts o those developments will be illustrated separately. In

this way, the developments that may call or policy choices can be high-lighted more clearly.

1.4 Reading guidelines

This document consists o three parts and a number o appendices. Theirst part, rom Chapter 2 to Chapter 5, describes the state-o-the-art anduture expectations on nano-, bio-, ICT and cognitive science and technol-ogy, as well as their convergence. This part is independent o any appli-

cation domain. Though it has been written to be accessible to a broadaudience, parts o it may be very technological by nature. Seeking thebalance between on the one hand describing a very broad technology ield


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31Introduction

in a ew pages, and on the other hand not being supericial, some proes-sional jargon cannot always be prevented.

The second part, rom Chapter 7 to Chapter 8, describes the (uture)applicability o converging technologies to our application domain, i.e.,the acting ield o the ministries who have commissioned this study. Asrequested, we ocus on the three cases o monitoring and immediateaction, orensic research and proiling and identiication. Though theorecasts in this application part have been well-ounded on the technol-ogy expectations o the irst part, it can be read independently. This partends with scenarios that are used as a means to visualise the develop-ments.The third part, Chapter 9, is an impact analysis o the second part. The

scenarios are analysed on their ethical, legal and social implications. Thispart describes the major social and normative trends we observe. In anaddendum to this chapter, we also place these trends in the context othe current normative ramework o the Dutch law. Obviously, this partrequently reers to the scenarios or technology developments, but none-theless or those readers who are, e.g., mainly interested in legal issues it has been written in a way that it can be read rather independently romthe other parts.


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Nanotechnology is a generic term that encompasses technologies thatoperate with entities, materials and systems o which at least one char-

acteristic size dimension is between 1 and 100 nm. Oten, the term alsoincludes scientiic research at the nanoscale. A common shorteneddescription o nanotechnology is: the study and manipulation o novelproperties arising rom matter on the nanoscale. A key aspect, alsoemphasised in the deinition used in the US National NanotechnologyInitiative, is the occurrence o novel properties because o the nanoscale(e.g., large surace areas, quantum eects). Otherwise, large areas o phys-ics, chemistry and molecular biology could be said to all under the labelnanotechnology.Nanotechnology, as an umbrella term, contains various areas o emerg-

ing knowledge and innovative technologies, with dierent mixes oopen/generic activities on the one hand and emerging linkages to othersciences, technologies and applications, and directions to ollow on theother hand. In top-down areas in nanotechnology, where micro-levelphenomena and technologies are scaled down to nano-level (e.g., in lab-on-a-chip), there are oten already linkages with application domains. Inso-called bottom-up areas where nano-level phenomena are the startingpoint (spintronics, nanotubes), the open and generic character is empha-sised.Nanotechnology is still at an early stage, which implies that it lives on

promises (and disappointments) rather than actual perormances. Theoverall promises o nanotechnology, such as nanoscale devices andtailor-made materials with speciied perormances, are programmaticallytranslated in products and services, rom better chemical and biologicalanalysis to sun screeners to drug delivery. Although most o these prod-ucts and services are still in their inancy, they create speciic agendas orurther development o nanotechnology.Commonly, three main areas are distinguished: Nano-enabled materials and nano-structured suraces Micro/nano-electronics

Bionanotechnology and nanomedicine

In addition, there is instrument and technical inrastructure development(up to clean rooms). And there is nanoscience, exploring phenomena atthe nanoscale in their own right.The transition rom micro to nano is a continuum rather than a clearbreak (unless novel phenomena appear). This is deinitely the case inthe miniaturisation thrust in electronics. Starting at the other side, thebottom-up route, say when using quantum dots (a nano-particle that canbe programmed to emit light), still the eects are realized in a micro-

system. Nanotechnology enables better perormance, and cannot realisethis by itsel.

2 Nanotechnology


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2.1 Past breakthroughs

A brie overview (also drawing on an article in The Economist, March2003) is shown in Table 1.

Table 1 Fundamental breakthroughs in nanotechnology

1980 Binnig & Rohrer (IBMs Zrich Research Lab) file a patent for a scanning

tunnelling microscope (STM). Nobel Prize in 1986.

1984 Binnig invents the atomic force microscope (AFM), which (like STM) also

allows manipulation of atoms.

1985 Smalley, Curl and Kroto discover carbon-60, or Buckyball, raising scientific

interest (also more generally, in fullerenes). Both nicknames derived from

Richard Buckminster Fuller, who invented geodesic domes of similar shape.Smalley won a Nobel Prize in 1996.

1986 Eric Drexler writes Engines of Creationin which he posits miniature self-

assembling machines (and other fantastic notions as The Economistphrased

it), all linked to the term nanotechnology.

1988 Three chemists at AT&Ts Bell Labs show that gold emits light differently at

the atomic level. That quantum-effect experiment is now seen as a landmark

in the development of nanotechnology. It proves unequivocally that atoms

behave differently from the way that classical physics would predict. But the

researchers at the time do not think of it as nanotechnology.

1990 Then comes nanotechs eureka moment. In 1990, Don Eigler, a researcher at

IBMs Almaden Research Laboratory in San Jose, California, forms the IBM

logo out of xenon atoms. A parlour trick, good for nothing practical. But it

galvanises other scientists, who have never before seen atoms manipulated

so completely.

1990 Kratschmer (MPI Germany) and Huffman (Univ. Arizona): show how to make

buckyballs in large quantities, so that they can be studied properly.

1993 Iijima (NEC, Japan) and Bethune (IBM Almaden) discover carbon

nanotubes.

1998 Giant Magneto-resistive (GMR) effect (1998) enabling dense hard-disk

memories, and Tunnel Magneto-resistive (TMR) Effect (Moodera and

Mathon, 1999) enabling dense solid state MRAM memories.

Late 1990s Supramolecular chemistry (Lehn, 1990) becomes involved: layers of oriented

molecules, (supra-)molecular machines and molecular motors (cf. Browne

and Feringa, 2006).

Ater the turn o the century, both nanoscience and nanotechnologyexpanded rapidly. From the many interesting new possibilities wemention just two examples.

Firstly, the active use o scanning probing instruments (rather than the

passive scanning and imaging o the nanoscale). Tips can be used to makenano-pores in regular patterns, to create artiicial membranes and sieves.Arrays o cantilevers can be used or ast analysis o compounds


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35Nanotechnology

Figure 2 Dip pen nanolithography

By courtesy of NanoInk, Inc. (www.nanoink.net/ )

(including DNA) on a chip. Dip-pen nanolithography (see Figure 2) can

be used for drawing masks in the production of chips, particularly poly-

meric rather than silicon-based chips. (Semi-conducting polymers are the

basis for various applications, especially so-called large-area electronics(system-on-a-foil), which are already used for low-performance tasks, but

are seen as promising for a new generation of ambient intelligence.)

Second, the return of molecular assembly (Sun et al. 2000, Tripp et al.

2003). The notion of molecular assembly used to be associated with Eric

Drexlers projection of the development of a universal assembler capable

of producing virtually anything out of individual atoms (Drexler, 2003a;

Drexler 2003b). This projection has been criticised from the late 1990s

onward, when nanotechnology came in for serious government funding

(Smalley 2001, Smalley 2003a, and Smalley 2003b). The general opinion is

that the original idea of a universal assembler (and the attendant possi-bility of run-away nanobots turning the earth into Grey Goo) belong to

the realm of speculation.

In the meantime, however, possibilities to manipulate at the molecular

level, and to isolate and/or create molecular assemblies which can do

work, have increased8. There is no way (yet) to turn this into macro-level

8 An intriguing example is the rotaxane molecular switch. Rotaxane is a molecule with a dumbbell-shaped

component, made up of a slim section surrounded by a ring and ending in two stoppers . The molecule

can act as a switch, provided the ring can be induced to move from one side to the other, and thus bethe base of a storage device. Thus, there is a link with ICT. Availability for commercial use is expected

around the year 2020. (http://news.softpedia.com/news/The-Molecular-Computer-by-2020-45346.

shtml).


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eects, but there is a lot o interest, and visualisations are produced omolecular motors, and even a nano-car (Figure 3).

Figure 3 A nano-car on a gold surface

By courtesy of Y. Shirai/Rice University

2.2 State-of-the-art

Nanotechnology covers many dierent technologies and developments.In the rame o this report, it is impossible to give a real overview. Inaddition, what is state-o-the-art always includes an assessment o howpresent possibilities might evolve and deliver in the uture. Thus, thenotion o state-o-the-art is an ambiguous one.Nano materials technology is currently the most mature o the nano-tech-nologies and with the highest penetration in commercial products such as

cosmetics, coatings, textiles, adhesives, catalysts, and reinorced materi-als. The mix o old and new is visible in the use o nano-clay particles toreinorce certain materials which was done already, but now beneitsrom the better understanding o the eects.Nano-electronics shows a mixture o ongoing improvements o estab-lished perormance (as with hard disks and MRAM memories), nano-enabled developments (as in large-area electronics) which are ready oruse but do not always have the right perormance yet, and speculationsbased on new discoveries and proo-o-principle only. While Moore,i.e., developments in micro-electronics (speciically CMOS technolo-

gies) driven by expectations o ever higher perormance as predictedby Moores Law, has set the agenda or a long time, and continues to do


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37Nanotechnology

so (more Moore), there is now a lot o work beyond Moore, with otenuncertain prospects.

DNA micro arrays are available or ast throughput analysis, and lab-on-a-chip technology is in place, even i not taken up widely.Sensors and actuators (MEMS/NEMS)9 are an important growth area, inparticular biosensors on the spot which will replace taking o samples ormeasurement in laboratories (so-called point o care analysis). Implantsare being developed (improved cochlear implants, new retina implants).Nano-enabled precise brain stimulation is explored, and appears to oerpositive eects, e.g., or patients with Park insons disease.Nanotechnology enables the creation o biocompatible suraces, impor-tant or implants and biomedical engineering.

Targeted drug delivery is an important promise, and various combina-tions o a drug (or active component) carrier (a nano-particle, a liposome),coated with unctional groups which link to the target tissue (e.g., cancercells), and ways o releasing the drug or inducing the eect (as when ironparticles are to be heated by electromagnetic waves so as to kill cancercells) are explored.

2.3 The next 15 years: opportunities, uncertainties, and challenges

There are many oresight exercises and more speciic roadmaps or areaswithin nanotechnology. The International Technology Roadmap orSemiconductors, going back to the early 1990s, is now addressing beyondMoore developments, and has to come to terms with the open-endednature o these recent developments. While these are actively explored,they do not lend themselves yet to roadmapping exercises. In bionano-technology, there is no earlier tradition. There are now ad-hoc exercises,and attempts, as by the European Technology Platorm Nanomedicine, tocreate an overall strategic view. All these remain close to the state-o-the-art (c. section 2.2).

The December 2003 Chemical Industry Roadmap or Nanomaterials ByDesign is interesting, because it identiies the challenge o predictiveunderstanding o structure-property relationships so that nano-enabledmaterials can be designed to have desired perormances. This will take20 years, however. Within 15 years, rules or synthesis and assembly,based on understanding o chemistry at the nanoscale will be available,as well as heuristics to create necessary building blocks, and to governsel-assembly. Earlier (5-10 years), high-throughput screening o trial-and-error designing o materials will allow eicient choices in practice.

9 Micro-Electro-Mechanical Systems (MEMS) is the integration of mechanical elements, sensors, actua-tors, and electronics on a common silicon substrate through microfabrication technology. Nano-Electro-Mechanical Systems include (enabling) nanotechnology.


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An interesting attempt at an overall view is the our-generation scheme oMihail Roco, senior adviser to the US National Nanotechnology Initiative

(Renn and Roco, 2006; Roco, 2007a; see Figure 4).

Figure 4 Timeline for beginning of industrial prototyping and nano-

technology commercialisation: Four overlapping genera-

tions of products and processes

1st: Passive nanostructures (1st generation products)

a.Dispersed and contact nanostructures.

b.Products incorporating nanostructures.

reinforced composites; nanostructured metals, polymers, ceramics

2nd: Passive nanostructures

a.Bio-active, health effects. Ex: targeted drugs, biodevices

b.Physico-chemical active. Ex. 3D transistors, amplifiers,

actuators, adaptive structures

3rd: Systems of nanosystems

Ex: guided assembling; 3D networking and new

hierarchical architectures, robotics, evolutionary

4th: Molecular nanosystems

Ex: molecular devices by design,atomic design, emerging functions

RiskGovernanceFrame2

Frame1

Ex: aerosols, colloids

Ex: coatings; nanoparticle

~2000

~2005

~2010

~2015-2020

By courtesy of Mihail Roco (2007a)

The second generation, reactive (smart) materials and structures, arecapable to change their properties in response to dierent externalchanges (like temperature, electro-magnetic ields, humidity, etc.), andcombine sensing and acting. The next step is to integrate some comput-

ing, so that choices can be made and acted upon. This is already visible inmicro-systems, e.g., driver attendants that may block the driver switch-ing to another lane on the highway. Nanotechnology will enable urtherunctions and perormances. Smart devices or the battleield are beingdeveloped, and there is concern about the possibility o them getting outo control.The challenge o assembly, how to aggregate what is possible at the nano-scale into perormance at the macro-scale, is increasingly recognized (c.Figure 5).


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39Nanotechnology

Figure 5 Convergent assembly of complex nanosystems

(schematic side view)

Macroscopic output

Molecular inputs

Bulk

Chemistry

Mechanosynthesis and

Positionally controlled

assembly

By courtesy of Ralph Merkle (www.zyvex.com/nanotech/convergent.html)

Another critical challenge is the evaluation o health and environmentalrisks, now particularly ocused on nanoparticles. Concerns about theserisks might block urther development. This is recognized by nanotech-nology promoters as well as by regulatory agencies, and research intosuch risks is promoted ater earlier signals (e.g., Oberdrster, 2004) thatthere is indeed cause or concern. Current health and environmental riskregulation may not be suicient because it is based on dosage in terms

o weight or chemical composition. Nanoparticles may have additionaleects because o their large surace area and novel properties. This couldbe accommodated in the current regulation (including the upcoming EUREACH regulation) by taking nanoparticles, say o gold, as a new entity,rather than an instance o the macroscopic compound.

2.4 Discussion on nanotechnology developments

We posed our expert panel on the Internet the ollowing question: In

what time rame are the ollowing nanotechnologies mature enough to beapplied in the security domain? Reactive (smart) materials capable to change their properties in

response to dierent external changes (like temperature); Micro-chip technology with sub 10 nm structures o active compo-

nents; Nano-manipulators or nano-molecular assembly; Nano-imaging tools or visualisation o nano-scale structures.The possible answers are within 5 years, within 10 years, within 15 years,more than 15 years, and no opinion. Figure 6 shows the answers o the

experts who elt conident enough to answer this question.


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Figure 6 Expected applicability of nanotechnology in the security

domain

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Nano-imaging

Nano-manipulators

Microchips

Smart materials


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41Nanotechnology

applications, nanotechnology is an enabling technology which improvesperormance, and sometimes adds another perormance dimension (as

when nano-particles change the properties o sun screens).Present and immediate uture applications are visible in nano-enabledmaterials and suraces, and in some nano-medicine applications (sensors,imaging). In urther miniaturization in micro-electronics, the nanoscaleis reached. In the exploration o the world beyond Moore, nanoscalephenomena are important, but they still have to be aggregated to delivermeso- and macro-unctionalities. That aggregation step is one o the keychallenges.Still, an enabling technology may make a big dierence, because it maylower thresholds or urther unctionalities. Radio requency identiica-

tion devices (RFID) are a case in point. They will become smaller andcheaper, and can thereore be used more widely (to tag products, to beused in implants) and become a constitutive part o ambient intelligenceand security inrastructure. In addition, they may get their own power,and so be able to send inormation, rather than wait to be read. O course,the overall impact depends on the devices which are enabled by nano-technology, and the systems o which the devices are a part.


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Biotechnology3

Biological technology is technology based on biology, the study o lie.Beore the 1970s, the term biotechnology has mainly been used in the

ood processing and agriculture industries. Since then, the term bio-technology is also used or engineering techniques related to the medi-cine ield, like the engineering o recombinant DNA or tissue culture.Recombinant DNA is a orm o artiicial DNA which is engineered throughthe combination or insertion o one or more DNA strands. It includes theisolation, manipulation and reintroduction o DNA into cells, usually withthe aim to introduce new characteristics (genetic modiication). Tissueculture reers to the growth o tissues and/or cells separate rom theorganism. Nowadays, the term biotechnology is used in a much broadersense to describe the whole range o methods to manipulate organic mat-

ter to meet human needs.OECD (2005) uses two deinitions or biotechnology. First the single dei-nition: biotechnology is the application of (bio)science and technology toliving or non-living materials for the production of knowledge, goods, and

services. Second a list-based deinition that unctions as an interpreta-tive guideline to the single deinition. The list is indicative rather thanexhaustive and is expected to change over time as biotechnology activitiesevolve: DNA/RNA: Genomics, pharmacogenomics, gene probes, genetic engi-

neering, DNA/RNA sequencing/synthesis/ampliication, gene expres-

sion proiling, and use o antisense technology. Proteins and other molecules: Sequencing/synthesis/engineering o

proteins and peptides (including large molecule hormones); improveddelivery methods or large molecule drugs; proteomics, protein isola-tion and puriication, signalling, identiication o cell receptors.

Cell and tissue culture and engineering: Cell/tissue culture, tissueengineering (including tissue scaolds and biomedical engineering),cellular usion, vaccine/immune stimulants, embryo manipulation.

Process biotechnology techniques: Fermentation using bioreactors,bioprocessing, bioleaching, biopulping, biobleaching, biodesulphurisa-

tion, bioremediation, bioiltrat ion and phytoremediation. Gene and RNA vectors: Gene therapy, viral vectors. Bioinormatics: Construction o databases on genomes, protein

sequences; modelling complex biological processes, including systemsbiology.

Nanobiotechnology: Applies the tools and processes o nano/microab-rication to build devices or studying biosystems and applications indrug delivery, diagnostics etc.

In their biotechnology trend analysis, the CBD/COGEM/Gezondheidsraad

(2007) adds to this list biouels, emerging diseases, vaccination issues,pre-birth and pre-implantation diagnostics, molecular diagnostics, largescale screening, diagnostic DNA research.


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Biotechnology combines disciplines like genetics, molecular biology,biochemistry, embryology and cell biology, which are in turn linked to

practical disciplines like chemical engineering, inormation technology,and robotics.Since our target cases ocus on monitoring and inluencing people, in thissection we mainly address bio engineering and lie sciences applications.

3.1 Past breakthroughs

Biotechnology has a long history, but its present proile, also in relation toour question about converging technologies, emphasizes genetic manipu-

lation and urther ways o inluencing processes in living organisms andproit rom them.In 1953, James D. Watson and Francis Crick elucidated the double helixstructure o DNA based on earlier X-ray measurements o Rosalind Frank-lin. This proved to be a key actor to the understanding o the molecularmechanisms behind genetics and the working o the undamental ACTG-genetic code or amino-acids in peptides.From 1971, cell biology got an impulse with the signal hypothesis explain-ing the inner organisation and transport o cell secretes (Blobel andSabatini, 1971).10

In 1982, the irst transgenic mice were created. The micro-injection ogenetic material duringin-vitroertilisation allowed or speciic selectionand orms o embryonic cloning. From 1989 on these animals were engi-neered to produce blood or secretions (e.g., milk) with a certain concen-tration o a wanted protein with therapeutic value in human medicine.In 1985, Peter Gill, Alec J. Jereys and David J. Werrett described new anal-yses o blood and semen samples in Nature(Gill et al., 1985). This earliestmethod analysed the distribution o the hyper-variable mini-satelliteregions (Jereys et al., 1985a; Jereys et al., 1985b). These segments inhuman DNA vary among individuals.

The discovery o the PCR (Polymerase Chain Reaction) technique by KaryMullis in 1983 enabled exponential multiplication o minute amountso DNA into manipulatable and analysable quantities. This allowed thetechnique o chemically cutting up DNA at known gene sequences andater PCR multiplication o the ragments and isolation to localise genes.The analysis o the characteristic distribution o ragments o a piece oDNA (DNA ingerprints) became also available or various applicationdomains. DNA Fingerprinting methods turned to STR (Short TandemRepeat patterns) analysis (Kimpton et al., 1993) which, thanks to PCR, caneven be applied on the DNA o a single cell. STR analysis is now a well-

established technique. Fingerprints have become an important biometricto the ield o orensic analysis.

10 See also http://nobelprize.org/nobel_prizes/medicine/laureates/1999/press.html.


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45Biotechnology

Table 2 A selection of breakthroughs in biotechnology

1973 Shih and Martin publish their General Method of Gene Isolation, a precursorof the PCR method.

1973 David Goldenberg demonstrates that radio-labelled antibodies against a

human tumour antigen (CEA) could target and image human tumours in

animals.

1975 Khler, Milstein, and Jerne invent a technique to produce monoclonal

antibodies

1982 Palmiter and colleagues create transgenic mighty mouse with rats growth

hormone (Palmiter, 1982).

1985 Alec Jeffreys, Victoria Wilson and Swee Lay Thein show the first viablemethod for DNA fingerprinting based on mini-satellite regions offering a new

forensic identification method.

1986 Kary Mullis addresses the Polymerase Chain Reaction for amplifying

DNA strands which speeds up the biotechnology revolution with genetic

fingerprints from small DNA samples and the human genome project as a

result (Mullis et al., 1986).

1986 Steen Willadsen publishes the first successful technique for embryonic

cloning, primarily proven to work on sheep embryos, but tested for a wide

range of species soon after (Willadsen, 1986).

1989 Behringer and colleagues show the principle of the animal as biologicalfactory by synthesizing functional human haemoglobin in transgenic mice

(Behringer, 1989).

1989 Two independent teams publish techniques to breed for gene knock-out

animals (Capecchi, 1989; Kolleret al., 1989).

1990 Kyle and colleagues conduct gene therapy on mice to cure MPS (Kyle et al.,

1990).

1992 Silva and colleagues show the use of knock out mice to reveal the role of

kinase II a phosphorylisation enzyme in the central nervous system to

enable the long-term potentiation of neurotransmitter release, i.e., to enable

long term memory function (Silva et al., 1992).

1996 Shoemaker and colleagues publish the gene chip to study functional

genomics by the observation of the activity of genes in parallel rather than

through gene knock-outs (Shoemakeret al., 1996).

1997 Scottish scientists report non-embryonic cloning of a sheep, using DNA from

adult sheep cells.

2007 Stroes presents a successful clinical trial of gene therapy for LPL deficient

patients (Stroes, 2007).

In the 1980s, breeding techniques or gene knockout animals were devel-oped. The gene knock-out technique opened up the way to a better under-standing and curing o genetic diseases as well as understanding the


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working o the healthy organism by comparison to the knock-out alterna-tive.

The irst gene therapies, which are currently pioneered in human medi-cine, were conducted on mice successully as early as 1990. Today weexperience the dawn o the age o lie sciences where the knowledge romgenetics, cell biology, etc., come together in new ields such as unctionalgenomics, synthetic biology, proteomics, and gene therapy. In Table 2 welist some precursors.

3.2 State-of-the-art

I we ollow the earlier deinition o biotechnology, the application o bio-

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