Location and tracking of mobile devices: Uberveillance stalks the streets

Abstract

During the last decade, location-tracking and monitoring applications have proliferated, in mobile cellular and wireless data networks, and through self-reporting by applications running in smartphones that are equipped with onboard global positioning system (GPS) chipsets. It is now possible to locate a smartphone user's location not merely to a cell, but to a small area within it. Innovators have been quick to capitalise on these location-based technologies for commercial purposes, and have gained access to a great deal of sensitive personal data in the process. In addition, law enforcement utilises these technologies, can do so inexpensively and hence can track many more people. Moreover, these agencies seek the power to conduct tracking covertly, and without a judicial warrant. This article investigates the dimensions of the problem of people-tracking through the devices that they carry. Location surveillance has very serious negative implications for individuals, yet there are very limited safeguards. It is incumbent on legislatures to address these problems, through both domestic laws and multilateral processes.

1. Introduction

Personal electronic devices travel with people, are worn by them, and are, or soon will be, inside them. Those devices are increasingly capable of being located, and, by recording the succession of locations, tracked. This creates a variety of opportunities for the people concerned. It also gives rise to a wide range of opportunities for organisations, at least some of which are detrimental to the person's interests.

Commonly, the focus of discussion of this topic falls on mobile phones and tablets. It is intrinsic to the network technologies on which those devices depend that the network operator has at least some knowledge of the location of each handset. In addition, many such devices have onboard global positioning system (GPS) chipsets, and self-report their coordinates to service-providers. The scope of this paper encompasses those already well-known forms of location and tracking, but it extends beyond them.

The paper begins by outlining the various technologies that enable location and tracking, and identifies those technologies' key attributes. The many forms of surveillance are then reviewed, in order to establish a framework within which applications of location and tracking can be characterised. Applications are described, and their implications summarised. Controls are considered, whereby potential harm to the interests of individuals can be prevented or mitigated.

2. Relevant technologies

The technologies considered here involve a device that has the following characteristics:

• it is conveniently portable by a human, and

• it emits signals that:

• enable some other device to compute the location of the device (and hence of the person), and

• are sufficiently distinctive that the device is reliably identifiable at least among those in the vicinity, and hence the device's (and hence the person's) successive locations can be detected, and combined into a trail

The primary form-factors for mobile devices are currently clam-shape (portable PCs), thin rectangles suitable for the hand (mobile phones), and flat forms (tablets). Many other form-factors are also relevant, however. Anklets imposed on dangerous prisoners, and even as conditions of bail, carry RFID tags. Chips are carried in cards of various sizes, particularly the size of credit-cards, and used for tickets for public transport and entertainment venues, aircraft boarding-passes, toll-road payments and in some countries to carry electronic cash. Chips may conduct transactions with other devices by contact-based means, or contactless, using radio-frequency identification (RFID) or its shorter-range version near-field communication (NFC) technologies. These capabilities are in credit and debit cards in many countries. Transactions may occur with the cardholder's knowledge, with their express consent, and with an authentication step to achieve confidence that the person using the card is authorised to do so. In a variety of circumstances, however, some and even all of those safeguards are dispensed with. The electronic versions of passports that are commonly now being issued carry such a chip, and have an autonomous communications capability. The widespread issue of cards with capabilities uncontrolled by, and in many cases unknown to, the cardholder, is causing consternation among segments of the population that have become aware of the schemes.

Such chips can be readily carried in other forms, including jewellery such as finger-rings, and belt-buckles. Endo-prostheses such as replacement hips and knees and heart pacemakers can readily carry chips. A few people have voluntarily embedded chips directly into their bodies for such purposes as automated entry to premises (Michael and Michael, 2009).

In order to locate and track such devices, any sufficiently distinctive signals may in principle suffice. See Raper et al. (2007a) and Mautz (2011). In practice, the signals involved are commonly those transmitted by a device in order to take advantage of wireless telecommunications networks. The scope of the relevant technologies therefore also encompasses the signals, devices that detect the signals, and the networks over which the data that the signals contain are transmitted.

In wireless networks, it is generally the case that the base-station or router needs to be aware of the identities of devices that are currently within the cell. A key reason for this is to conserve limited transmission capacity by sending messages only when the targeted device is known to be in the cell. This applies to all of:

• cellular mobile originally designed for voice telephony and extended to data (in particular those using the ‘3G’ standards GSM/GPRS, CDMA2000 and UMTS/HSPA and the ‘4G’ standard LTE)

• wireless local area networks (WLANs, commonly Wifi/IEEE 802.11x – RE, 2010a)

• wireless wide area networks (WWANs, commonly WiMAX/IEEE 802.16x – RE, 2010b).

Devices in such networks are uniquely identified by various means (Clarke and Wigan, 2011). In cellular networks, there is generally a clear distinction between the entity (the handset) and the identity it is adopting at any given time (which is determined by the module inserted in it). Depending on the particular standards used, what is commonly referred to as ‘the SIM-card’ is an R-UIM, a CSIM or a USIM. These modules store an International Mobile Subscriber Identity (IMSI), which constitutes the handset's identifier. Among other things, this enables network operators to determine whether or not to provide service, and what tariff to apply to the traffic. However, cellular network protocols may also involve transmission of a code that distinguishes the handset itself, within which the module is currently inserted. A useful generic term for this is the device ‘entifier’ (Clarke, 2009b). Under the various standards, it may be referred to as an International Mobile Equipment Identity (IMEI), ESN, or MEID.

Vendor-specific solutions also may provide additional functionality to a handset unbeknown to the end-user. For example, every mobile device manufactured by Apple has a 40-character Unique Device Identifier (UDID). This enables Apple to track its users. Not only Apple itself, but also marketers, were able to use the UDID to track devices. It has also been alleged that data emanating from these devices is routinely accessible to law enforcement agencies. Since late 2012, Apple has prevented marketers from using the UDID, but has added an Identifier for Advertisers (IFA or IDFA). This is temporary, and it can be blocked; but it is by default open for tracking, and turning it off is difficult, and is likely to result in reduced services (Edwards, 2012). In short, Apple devices are specifically designed to enable tracking of consumers by Apple, by any government agency that has authority to gain access to the data, and by all consumer-marketing corporations, although in the last case with a low-grade option available to the user to suppress tracking.

In Wifi and WiMAX networks, the device entifier may be a processor-id or more commonly a network interface card identifier (NIC Id). In various circumstances, other device-identifiers may be used, such as a phone number, or an IP-address may be used as a proxy. In addition, the human using the device may be directly identified, e.g. by means of a user-account name.

A WWAN cell may cover a large area, indicatively of a 50 km radius. Telephony cells may have a radius as large as 2–3 km or as little as a hundred metres. WLANs using Wifi technologies have a cell-size of less than 1 ha, indicatively 50–100 m radius, but in practice often constrained by environmental factors to only 10–30 m.

The base-station or router knows the identities of devices that are within its cell, because this is a technically necessary feature of the cell's operation. Mobile devices auto-report their presence 10 times per second. Meanwhile, the locations of base-stations for cellular services are known with considerable accuracy by the telecommunications providers. And, in the case of most private Wifi services, the location of the router is mapped to c. 30–100 m accuracy by services such as Skyhook and Google Locations, which perform what have been dubbed ‘war drives’ in order to maintain their databases – in Google's case in probable violation of the telecommunications interception and/or privacy laws of at least a dozen countries (EPIC, 2012).

Knowing that a device is within a particular mobile phone, WiMAX or Wifi cell provides only a rough indication of location. In order to generate a more precise estimate, within a cell, several techniques are used (McGuire et al., 2005). These include the following (adapted from Clarke and Wigan, 2011; see also Figueiras and Frattasi, 2010):

• directional analysis. A single base-station may comprise multiple receivers at known locations and pointed in known directions, enabling the handset's location within the cell to be reduced to a sector within the cell, and possibly a narrow one, although without information about the distance along the sector;

• triangulation. This involves multiple base-stations serving a single cell, at known locations some distance apart, and each with directional analysis capabilities. Particularly with three or more stations, this enables an inference that the device's location is within a small area at the intersection of the multiple directional plots;

• signal analysis. This involves analysis of the characteristics of the signals exchanged between the handset and base-station, in order to infer the distance between them. Relevant signal characteristics include the apparent response-delay (Time Difference of Arrival – TDOA, also referred to as multilateration), and strength (Received Signal Strength Indicator – RSSI), perhaps supplemented by direction (Angle Of Arrival – AOA).

The precision and reliability of these techniques varies greatly, depending on the circumstances prevailing at the time. The variability and unpredictability result in many mutually inconsistent statements by suppliers, in the general media, and even in the technical literature.

Techniques for cellular networks generally provide reasonably reliable estimates of location to within an indicative 50–100 m in urban areas and some hundreds of metres elsewhere. Worse performance has been reported in some field-tests, however. For example, Dahunsi and Dwolatzky (2012) found the accuracy of GSM location in Johannesburg to be in the range 200–1400 m, and highly variable, with “a huge difference between the predicted and provided accuracies by mobile location providers”.

The website of the Skyhook Wifi-router positioning service claims 10-m accuracy, 1-s time-to-first-fix and 99.8% reliability (SHW, 2012). On the other hand, tests have resulted in far lower accuracy measures, including an average positional error of 63 m in Sydney (Gallagher et al., 2009) and “median values for positional accuracy in [Las Vegas, Miami and San Diego, which] ranged from 43 to 92 metres… [and] the replicability… was relatively poor” (Zandbergen, 2012, p. 35). Nonetheless, a recent research article suggested the feasibility of “uncooperatively and covertly detecting people ‘through the wall’ [by means of their WiFi transmissions]” (Chetty et al., 2012).

Another way in which a device's location may become known to other devices is through self-reporting of the device's position, most commonly by means of an inbuilt Global Positioning System (GPS) chipset. This provides coordinates and altitude based on broadcast signals received from a network of satellites. In any particular instance, the user of the device may or may not be aware that location is being disclosed.

Despite widespread enthusiasm and a moderate level of use, GPS is subject to a number of important limitations. The signals are subject to interference from atmospheric conditions, buildings and trees, and the time to achieve a fix on enough satellites and deliver a location measure may be long. This results in variability in its practical usefulness in different circumstances, and in its accuracy and reliability. Civil-use GPS coordinates are claimed to provide accuracy within a theoretical 7.8 m at a 95% confidence level (USGov, 2012), but various reports suggest 15 m, or 20 m, or 30 m, but sometimes 100 m. It may be affected by radio interference and jamming. The original and still-dominant GPS service operated by the US Government was subject to intentional degradation in the US's national interests. This ‘Selective Availability’ feature still exists, although subject to a decade-long policy not to use it; and future generations of GPS satellites may no longer support it.

Hybrid schemes exist that use two or more sources in order to generate more accurate location-estimates, or to generate estimates more quickly. In particular, Assisted GPS (A-GPS) utilises data from terrestrial servers accessed over cellular networks in order to more efficiently process satellite-derived data (e.g. RE, 2012).

Further categories of location and tracking technologies emerge from time to time. A current example uses means described by the present authors as ‘mobile device signatures’ (MDS). A device may monitor the signals emanating from a user's mobile device, without being part of the network that the user's device is communicating with. The eavesdropping device may detect particular signal characteristics that distinguish the user's mobile device from others in the vicinity. In addition, it may apply any of the various techniques mentioned above, in order to locate the device. If the signal characteristics are persistent, the eavesdropping device can track the user's mobile device, and hence the person carrying it. No formal literature on MDS has yet been located. The supplier's brief description is at PI (2010b).

The various technologies described in this section are capable of being applied to many purposes. The focus in this paper is on their application to surveillance.

3. Surveillance

The term surveillance refers to the systematic investigation or monitoring of the actions or communications of one or more persons (Clarke, 2009c). Until recent times, surveillance was visual, and depended on physical proximity of an observer to the observed. The volume of surveillance conducted was kept in check by the costs involved. Surveillance aids and enhancements emerged, such as binoculars and, later, directional microphones. During the 19th century, the post was intercepted, and telephones were tapped. During the 20th century, cameras enabled transmission of image, video and sound to remote locations, and recording for future use (e.g. Parenti, 2003).

With the surge in stored personal data that accompanied the application of computing to administration in the 1970s and 1980s, dataveillance emerged (Clarke, 1988). Monitoring people through their digital personae rather than through physical observation of their behaviour is much more economical, and hence many more people can be subjected to it (Clarke, 1994). The dataveillance epidemic made it more important than ever to clearly distinguish between personal surveillance – of an identified person who has previously come to attention – and mass surveillance – of many people, not necessarily previously identified, about some or all of whom suspicion could be generated.

Location data is of a very particular nature, and hence it has become necessary to distinguish location surveillance as a sub-set of the general category of dataveillance. There are several categories of location surveillance with different characteristics (Clarke and Wigan, 2011):

• capture of an individual's location at a point in time. Depending on the context, this may support inferences being drawn about an individual's behaviour, purpose, intention and associates

• real-time monitoring of a succession of locations and hence of the person's direction of movement. This is far richer data, and supports much more confident inferences being drawn about an individual's behaviour, purpose, intention and associates

• predictive tracking, by extrapolation from the person's direction of movement, enabling inferences to be drawn about near-future behaviour, purpose, intention and associates

• retrospective tracking, on the basis of the data trail of the person's movements, enabling reconstruction of a person's behaviour, purpose, intention and associates at previous times

Information arising at different times, and from different forms of surveillance, can be combined, in order to offer a more complete picture of a person's activities, and enable yet more inferences to be drawn, and suspicions generated. This is the primary sense in which the term ‘überveillance’ is applied: “Überveillance has to do with the fundamental who (ID), where (location), and when (time) questions in an attempt to derive why (motivation), what (result), and even how (method/plan/thought). Überveillance can be a predictive mechanism for a person's expected behaviour, traits, likes, or dislikes; or it can be based on historical fact; or it can be something in between… Überveillance is more than closed circuit television feeds, or cross-agency databases linked to national identity cards, or biometrics and ePassports used for international travel. Überveillance is the sum total of all these types of surveillance and the deliberate integration of an individual's personal data for the continuous tracking and monitoring of identity and location in real time” (Michael and Michael, 2010. See also Michael and Michael, 2007Michael et al., 20082010Clarke, 2010).

A comprehensive model of surveillance includes consideration of geographical scope, and of temporal scope. Such a model assists the analyst in answering key questions about surveillance: of what? for whom? by whom? why? how? where? and when? (Clarke, 2009c). Distinctions are also needed based on the extent to which the subject has knowledge of surveillance activities. It may be overt or covert. If covert, it may be merely unnotified, or alternatively express measures may be undertaken in order to obfuscate, and achieve secrecy. A further element is the notion of ‘sousveillance’, whereby the tools of surveillance are applied, by those who are commonly watched, against those who are commonly the watchers (Mann et al., 2003).

These notions are applied in the following sections in order to establish the extent to which location and tracking of mobile devices is changing the game of surveillance, and to demonstrate that location surveillance is intruding more deeply into personal freedoms than previous forms of surveillance.

4. Applications

This section presents a typology of applications of mobile device location, as a means of narrowing down to the kinds of uses that have particularly serious privacy implications. These are commonly referred to as location-based services (LBS). One category of applications provide information services that are for the benefit of the mobile device's user, such as navigation aids, and search and discovery tools for the locations variously of particular, identified organisations, and of organisations that sell particular goods and services. Users of LBS of these kinds can be reasonably assumed to be aware that they are disclosing their location. Depending on the design, the disclosures may also be limited to specific service-providers and specific purposes, and the transmissions may be secured.

Another, very different category of application is use by law enforcement agencies (LEAs). The US E-911 mandate of 1999 was nominally a public safety measure, to enable people needing emergency assistance to be quickly and efficiently located. In practice, the facility also delivered LEAs means for locating and tracking people of interest, through their mobile devices. Personal surveillance may be justified by reasonable grounds for suspicion that the subject is involved in serious crime, and may be specifically authorised by judicial warrant. Many countries have always been very loose in their control over LEAs, however, and many others have drastically weakened their controls since 2001. Hence, in any given jurisdiction and context, each and all of the controls may be lacking.

Yet worse, LEAs use mobile location and tracking for mass surveillance, without any specific grounds for suspicion about any of the many people caught up in what is essentially a dragnet-fishing operation (e.g. Mery, 2009). Examples might include monitoring the area adjacent to a meeting-venue watching out for a blacklist of device-identifiers known to have been associated with activists in the past, or collecting device-identifiers for use on future occasions. In addition to netting the kinds of individuals who are of legitimate interest, the ‘by-catch’ inevitably includes threatened species. There are already extraordinarily wide-ranging (and to a considerable extent uncontrolled) data retention requirements in many countries.

Of further concern is the use of Automated Number Plate Recognition (ANPR) for mass surveillance purposes. This has been out of control in the UK since 2006, and has been proposed or attempted in various other countries as well (Clarke, 2009a). Traffic surveillance is expressly used not only for retrospective analysis of the movements of individuals of interest to LEAs, but also as a means of generating suspicions about other people (Lewis, 2008).

Beyond LEAs, many government agencies perform social control functions, and may be tempted to conduct location and tracking surveillance. Examples would include benefits-paying organisations tracking the movements of benefits-recipients about whom suspicions have arisen. It is not too far-fetched to anticipate zealous public servants concerned about fraud control imposing location surveillance on all recipients of some particularly valuable benefit, or as a security precaution on every person visiting a sensitive area (e.g. a prison, a power plant, a national park).

Various forms of social control are also exercised by private sector organisations. Some of these organisations, such as placement services for the unemployed, may be performing outsourced public sector functions. Others, such as workers' compensation providers, may be seeking to control personal insurance claimants, and similarly car-hire companies and insurance providers may wish to monitor motor vehicles' distance driven and roads used (Economist, 2012Michael et al., 2006b).

A further privacy-invasive practice that is already common is the acquisition of location and tracking data by marketing corporations, as a by-product of the provision of location-based services, but with the data then applied to further purposes other than that for which it was intended. Some uses rely on statistical analysis of large holdings (‘data mining’). Many uses are, on the other hand, very specific to the individual, and are for such purposes as direct or indirect targeting of advertisements and the sale of goods and services. Some of these applications combine location data with data from other sources, such as consumer profiling agencies, in order to build up such a substantial digital persona that the individual's behaviour is readily influenced. This takes the activity into the realms of überveillance.

All such services raise serious privacy concerns, because the data is intensive and sensitive, and attractive to organisations. Companies may gain rights in relation to the data through market power, or by trickery – such as exploitation of a self-granted right to change the Terms of Service (Clarke, 2011). Once captured, the data may be re-purposed by any organisation that gains access to it, because the value is high enough that they may judge the trivial penalties that generally apply to breaches of privacy laws to be well worth the risk.

A recently-emerged, privacy-invasive practice is the application of the mobile device signature (MDS) form of tracking, in such locations as supermarkets. This is claimed by its providers to offer deep observational insights into the behaviour of customers, including dwell times in front of displays, possibly linked with the purchaser's behaviour. This raises concerns a little different from other categories of location and tracking technologies, and is accordingly considered in greater depth in the following section.

It is noteworthy that an early review identified a wide range of LBS, which the authors classified into mobile guides, transport, gaming, assistive technology and location-based health (Raper et al., 2007b). Yet that work completely failed to notice that a vast array of applications were emergent in surveillance, law enforcement and national security, despite the existence of relevant literature from at least 1999 onwards (Clarke, 2001Michael and Masters, 2006).

5. Implications

The previous sections have introduced many examples of risks to citizens and consumers arising from location surveillance. This section presents an analysis of the categories and of the degree of seriousness with which they should be viewed. The first topic addressed is the privacy of personal location data. Other dimensions of privacy are then considered, and then the specific case of MDS is examined. The treatment here is complementary to earlier articles that have looked more generally at particular applications such as location-based mobile advertising, e.g. Cleff (20072010) and King and Jessen (2010). See also Art. 29 (2011).

5.1. Locational privacy

Knowing where someone has been, knowing what they are doing right now, and being able to predict where they might go next is a powerful tool for social control and for chilling behaviour (Abbas, 2011). Humans do not move around in a random manner (Song et al., 2010).

One interpretation of ‘locational privacy’ is that it “is the ability of an individual to move in public space with the expectation that under normal circumstances their location will not be systematically and secretly recorded for later use” (Blumberg and Eckersley, 2009). A more concise definition is “the ability to control the extent to which personal location information is… [accessible and] used by others” (van Loenen et al., 2009). Hence ‘tracking privacy’ is the interest an individual has in controlling information about their sequence of locations.

Location surveillance is deeply intrusive into data privacy, because it is very rich, and enables a great many inferences to be drawn (Clarke, 2001Dobson and Fisher, 2003Michael et al., 2006aClarke and Wigan, 2011). As demonstrated by Raper et al. (2007a, p. 32–3), most of the technical literature that considers privacy is merely concerned about it as an impediment to deployment and adoption, and how to overcome the barrier rather than how to solve the problem. Few authors adopt a positive approach to privacy-protective location technologies. The same authors' review of applications (Raper et al., 2007b) includes a single mention of privacy, and that is in relation to just one of the scores of sub-categories of application that they catalogue.

Most service-providers are cavalier in their handling of personal data, and extravagant in their claims. For example, Skyhook claims that it “respects the privacy of all users, customers, employees and partners”; but, significantly, it makes no mention of the privacy of the people whose locations, through the locations of their Wifi routers, it collects and stores (Skyhook, 2012).

Consent is critical in such LBS as personal location chronicle systems, people-followers and footpath route-tracker systems that systematically collect personal location information from a device they are carrying (Collier, 2011c). The data handled by such applications is highly sensitive because it can be used to conduct behavioural profiling of individuals in particular settings. The sensitivity exists even if the individuals remain ‘nameless’, i.e. if each identifier is a temporary or pseudo-identifier and is not linked to other records. Service-providers, and any other organisations that gain access to the data, achieve the capacity to make judgements on individuals based on their choices of, for example, which retail stores they walk into and which they do not. For example, if a subscriber visits a particular religious bookstore within a shopping mall on a weekly basis, the assumption can be reasonably made that they are in some way affiliated to that religion (Samuel, 2008).

It is frequently asserted that individuals cannot have a reasonable expectation of privacy in a public space (Otterberg, 2005). Contrary to those assertions, however, privacy expectations always have existed in public places, and continue to exist (VLRC, 2010). Tracking the movements of people as they go about their business is a breach of a fundamental expectation that people will be ‘let alone’. In policing, for example, in most democratic countries, it is against the law to covertly track an individual or their vehicle without specific, prior approval in the form of a warrant. This principle has, however, been compromised in many countries since 2001. Warrantless tracking using a mobile device generally results in the evidence, which has been obtained without the proper authority, being inadmissible in a court of law (Samuel, 2008). Some law enforcement agencies have argued for the abolition of the warrant process because the bureaucracy involved may mean that the suspect cannot be prosecuted for a crime they have likely committed (Ganz, 2005). These issues are not new; but far from eliminating a warrant process, the appropriate response is to invest the energy in streamlining this process (Bronitt, 2010).

Privacy risks arise not only from locational data of high integrity, but also from data that is or becomes associated with a person and that is inaccurate, misleading, or wrongly attributed to that individual. High levels of inaccuracy and unreliability were noted above in respect of all forms of location and tracking technologies. In the case of MDS services, claims have been made of 1–2 m locational accuracy. This has yet to be supported by experimental test cases however, and hence there is uncertainty about the reliability of inferences that the service-provider or the shop owner draw. If the data is the subject of a warrant or subpoena, the data's inaccuracy could result in false accusations and even a miscarriage of justice, with the ‘wrong person’ finding themselves in the ‘right place’ at the ‘right time’.

5.2. Privacy more broadly

Privacy has multiple dimensions. One analysis, in Clarke (2006a), identifies four distinct aspects. Privacy of Personal Data, variously also ‘data privacy’ and ‘information privacy’, is the most widely discussed dimension of the four. Individuals claim that data about themselves should not be automatically available to other individuals and organisations, and that, even where data is possessed by another party, the individual must be able to exercise a substantial degree of control over that data and its use. The last five decades have seen the application of information technologies to a vast array of abuses of data privacy. The degree of privacy intrusiveness is a function of both the intensity and the richness of the data. Where multiple sources are combined, the impact is particularly likely to chill behaviour. An example is the correlation of video-feeds with mobile device tracking. The previous sub-section addressed that dimension.

Privacy of the Person, or ‘bodily privacy’, extends from freedom from torture and right to medical treatment, via compulsory immunisation and imposed treatments, to compulsory provision of samples of body fluids and body tissue, and obligations to submit to biometric measurement. Locational surveillance gives rise to concerns about personal safety. Physical privacy is directly threatened where a person who wishes to inflict harm is able to infer the present or near-future location of their target. Dramatic examples include assassins, kidnappers, ‘standover merchants’ and extortionists. But even people who are neither celebrities nor notorieties are subject to stalking and harassment (Fusco et al., 2012).

Privacy of Personal Communications is concerned with the need of individuals for freedom to communicate among themselves, without routine monitoring of their communications by other persons or organisations. Issues include ‘mail covers’, the use of directional microphones, ‘bugs’ and telephonic interception, with or without recording apparatus, and third-party access to email-messages. Locational surveillance thereby creates new threats to communications privacy. For example, the equivalent of ‘call records’ can be generated by combining the locations of two device-identifiers in order to infer that a face-to-face conversation occurred.

Privacy of Personal Behaviour encompasses ‘media privacy’, but particular concern arises in relation to sensitive matters such as sexual preferences and habits, political activities and religious practices. Some privacy analyses, particularly in Europe, extend this discussion to personal autonomy, liberty and the right of self-determination (e.g. King and Jessen, 2010). The notion of ‘private space’ is vital to economic and social aspects of behaviour, is relevant in ‘private places’ such as the home and toilet cubicles, but is also relevant and important in ‘public places’, where systematic observation and the recording of images and sounds are far more intrusive than casual observation by the few people in the vicinity.

Locational surveillance gives rise to rich sets of data about individuals' activities. The knowledge, or even suspicion, that such surveillance is undertaken, chills their behaviour. The chilling factor is vital in the case of political behaviour (Clarke, 2008). It is also of consequence in economic behaviour, because the inventors and innovators on whom new developments depend are commonly ‘different-thinkers’ and even ‘deviants’, who are liable to come to come to attention in mass surveillance dragnets, with the tendency to chill their behaviour, their interactions and their creativity.

Surveillance that generates accurate data is one form of threat. Surveillance that generates inaccurate data, or wrongly associates data with a particular person, is dangerous as well. Many inferences that arise from inaccurate data will be wrong, of course, but that won't prevent those inferences being drawn, resulting in unjustified behavioural privacy invasiveness, including unjustified association with people who are, perhaps for perfectly good reasons, themselves under suspicion.

In short, all dimensions of privacy are seriously affected by location surveillance. For deeper treatments of the topic, see Michael et al. (2006b) and Clarke and Wigan (2011).

5.3. Locational privacy and MDS

The recent innovation of tracking by means of mobile device signatures (MDS) gives rise to some issues additional to, or different from, mainstream device location technologies. This section accordingly considers this particular technique's implications in greater depth. Limited reliable information is currently available, and the analysis is of necessity based on supplier-published sources (PI, 2010a2010b) and media reports (Collier, 2011a,b,c).

Path Intelligence (PI) markets an MDS service to shopping mall-owners, to enable them to better value their floor space in terms of rental revenues, and to identify points of on-foot traffic congestion to on-sell physical advertising and marketing floor space (PI, 2010a). The company claims to detect each phone (and hence person) that enters a zone, and to capture data, including:

• how long each device and person stay, including dwell times in front of shop windows;

• repeat visits by shoppers in varying frequency durations; and

• typical route and circuit paths taken by shoppers as they go from shop to shop during a given shopping experience.

For malls, PI is able to denote such things as whether or not shoppers who shop at one establishment will also shop at another in the same mall, and whether or not people will go out of their way to visit a particular retail outlet independent of its location. For retailers, PI says it is able to provide information on conversion rates by department or even product line, and even which areas of the store might require more attention by staff during specific times of the day or week (PI, 2012).

PI says that it uses “complex algorithms” to denote the geographic position of a mobile phone, using strategically located “proprietary equipment” in a campus setting (PI, 2010a). The company states that it is conducting “data-driven analysis”, but is not collecting, or at least that it is not disclosing, any personal information such as a name, mobile telephone number or contents of a short message service (SMS). It states that it only ever provides aggregated data at varying zone levels to the shopping mall-owners. This is presumably justified on the basis that, using MDS techniques, direct identifiers are unlikely to be available, and a pseudo-identifier needs to be assigned. There is no explicit definition of what constitutes a zone. It is clear, however, that minimally-aggregated data at the highest geographic resolution is available for purchase, and at a higher price than more highly-aggregated data.

Shoppers have no relationship with the company, and it appears unlikely that they would even be aware that data about them is being collected and used. The only disclosure appears to be that “at each of our installations our equipment is clearly visible and labelled with our logo and website address” (PI, 2010a), but this is unlikely to be visible to many people, and in any case would not inform anyone who saw it.

In short, the company is generating revenue by monitoring signals from the mobile devices of people who visit a shopping mall for the purchase of goods and services. The data collection is performed without the knowledge of the person concerned (Renegar et al., 2008). The company is covertly collecting personal data and exploiting it for profit. There is no incentive or value proposition for the individual whose mobile is being tracked. No clear statement is provided about collection, storage, retention, use and disclosure of the data (Arnold, 2008). Even if privacy were not a human right, this would demand statutory intervention on the public policy grounds of commercial unfairness. The company asserts that “our privacy approach has been reviewed by the [US Federal Trade Commission] FTC, which determined that they are comfortable with our practices” (PI, 2010a). It makes no claims of such ‘approval’ anywhere else in the world.

The service could be extended beyond a mall and the individual stores within it, to for example, associated walkways and parking areas, and surrounding areas such as government offices, entertainment zones and shopping-strips. Applications can also be readily envisaged on hospital and university campuses, and in airports and other transport hubs. From prior research, this is likely to expose the individual's place of employment, and even their residence (Michael et al., 2006a,b). Even if only aggregated data is sold to businesses, the individual records remain available to at least the service-provider.

The scope exists to combine this form of locational surveillance with video-surveillance such as in-store CCTV, and indeed this is claimed to be already a feature of the company's offering to retail stores. To the extent that a commonly-used identifier can be established (e.g. through association with the person's payment or loyalty card at a point-of-sale), the full battery of local and externally acquired customer transaction histories and consolidated ‘public records’ data can be linked to in-store behaviour (Michael and Michael, 2007). Longstanding visual surveillance is intersecting with well-established data surveillance, and being augmented by locational surveillance, giving breath to dataveillance, or what is now being referred to by some as ‘smart surveillance’ (Wright et al., 2010IBM, 2011).

Surreptitious collection of personal data is (with exemptions and exceptions) largely against the law, even when undertaken by law enforcement personnel. The MDS mechanism also flies in the face of telephonic interception laws. How, then, can it be in any way acceptable for a form of warrantless tracking to be undertaken by or on behalf of corporations or mainstream government agencies, of shoppers in a mall, or travellers in an airport, or commuters in a transport hub? Why should a service-provider have the right to do what a law enforcement agency cannot normally do?

6. Controls

The tenor of the discussion to date has been that location surveillance harbours enormous threats to location privacy, but also to personal safety, the freedom to communicate, freedom of movement, and freedom of behaviour. This section examines the extent to which protections exist, firstly in the form of natural or intrinsic controls, and secondly in the form of legal provisions. The existing safeguards are found to be seriously inadequate, and it is therefore necessary to also examine the prospects for major enhancements to law, in order to achieve essential protections.

6.1. Intrinsic controls

A variety of forms of safeguard exist against harmful technologies and unreasonable applications of them. The intrinsic economic control has largely evaporated, partly because the tools use electronics and the components are produced in high volumes at low unit cost. Another reason is that the advertising and marketing sectors are highly sophisticated, already hold and exploit vast quantities of personal data, and are readily geared up to exploit yet more data.

Neither the oxymoronic notion of ‘business ethics’ nor the personal morality of executives in business and government act as any significant brake on the behaviours of corporations and governments, because they are very weak barriers, and they are readily rationalised away in the face of claims of enhanced efficiencies in, for example, marketing communications, fraud control, criminal justice and control over anti-social behaviour.

A further category of intrinsic control is ‘self-regulatory’ arrangements within relevant industry sectors. In 2010, for example, the Australian Mobile Telecommunications Association (AMTA) released industry guidelines to promote the privacy of people using LBS on mobile devices (AMTA, 2010). The guidelines were as follows:

1. Every LBS must be provided on an opt-in basis with a specific request from a user for the service

2. Every LBS must comply with all relevant privacy legislation

3. Every LBS must be designed to guard against consumers being located without their knowledge

4. Every LBS must allow consumers to maintain full control

5. Every LBS must enable customers to control who uses their location information and when that is appropriate, and be able to stop or suspend a service easily should they wish

The second point is a matter for parliaments, privacy oversight agencies and law enforcement agencies, and its inclusion in industry guidelines is for information only. The remainder, meanwhile, are at best ‘aspirational’, and at worst mere window-dressing. Codes of this nature are simply ignored by industry members. They are primarily a means to hold off the imposition of actual regulatory measures. Occasional short-term constraints may arise from flurries of media attention, but the ‘responsible’ organisations escape by suggesting that bad behaviour was limited to a few ‘cowboy’ organisations or was a one-time error that will not be repeated.

A case study of the industry self-regulation is provided by the Biometrics Code issued by the misleadingly named Australian industry-and-users association, the Biometrics ‘Institute’ (BI, 2004). During the period 2009–2012, the privacy advocacy organisation, the Australian Privacy Foundation (APF), submitted to the Privacy Commissioner on multiple occasions that the Code failed to meet the stipulated requirements and under the Commissioner's own Rules had to be de-registered. The Code never had more than five subscribers (out of a base of well over 100 members – which was itself only a sub-set of organisations active in the area), and had no signatories among the major biometrics vendors or users, because all five subscribers were small organisations or consultants. In addition, none of the subscribers appear to have ever provided a link to the Code on their websites or in their Privacy Policy Statements (APF, 2012).

The Commissioner finally ended the farce in April 2012, citing the “low numbers of subscribers”, but avoided its responsibilities by permitting the ‘Institute’ to “request” revocation, over two years after the APF had made the same request (OAIC, 2012). The case represents an object lesson in the vacuousness of self-regulation and the business friendliness of a captive privacy oversight agency.

If economics, morality and industry sector politics are inadequate, perhaps competition and organisational self-interest might work. On the other hand, repeated proposals that privacy is a strategic factor for corporations and government agencies have fallen on stony ground (Clarke, 19962006b).

The public can endeavour to exercise countervailing power against privacy-invasive practices. On the other hand, individuals acting alone are of little or no consequence to organisations that are intent on the application of location surveillance. Moreover, consumer organisations lack funding, professionalism and reach, and only occasionally attract sufficient media attention to force any meaningful responses from organisations deploying surveillance technologies.

Individuals may have direct surveillance countermeasures available to them, but relatively few people have the combination of motivation, technical competence and persistence to overcome lethargy and the natural human desire to believe that the institutions surrounding them are benign. In addition, some government agencies, corporations and (increasingly prevalent) public–private partnerships seek to deny anonymity, pseudonymity and multiple identities, and to impose so-called ‘real name’ policies, for example as a solution to the imagined epidemics of cyber-bullying, hate speech and child pornography. Individuals who use cryptography and other obfuscation techniques have to overcome the endeavours of business and government to stigmatise them as criminals with ‘something to hide’.

6.2. Legal controls

It is clear that natural or intrinsic controls have been utter failures in privacy matters generally, and will be in locational privacy matters as well. That leaves legal safeguards for personal freedoms as the sole protection. There are enormous differences among domestic laws relating to location surveillance. This section accordingly limits itself to generalities and examples.

Privacy laws are (with some qualifications, mainly in Europe) very weak instruments. Even where public servants and parliaments have an actual intention to protect privacy, rather than merely to overcome public concerns by passing placebo statutes, the draft Bills are countered by strong lobbying by government agencies and industry, to the extent that measures that were originally portrayed as being privacy-protective reach the statute books as authority for privacy breaches and surveillance (Clarke, 2000).

Privacy laws, once passed, are continually eroded by exceptions built into subsequent legislation, and by technological capabilities that were not contemplated when the laws were passed. In most countries, location privacy has yet to be specifically addressed in legislation. Even where it is encompassed by human rights and privacy laws, the coverage is generally imprecise and ambiguous. More direct and specific regulation may exist, however. In Australia, for example, the Telecommunications (Interception and Access) Act and the Surveillance Devices Act define and criminalise inappropriate interception and access, use, communication and publication of location information that is obtained from mobile device traffic (AG, 2005). On the other hand, when Google Inc. intercepted wi-fi signals and recorded the data that they contained, the Privacy Commissioner absolved the company (Riley, 2010), and the Australian Federal Police refused to prosecute despite the action – whether it was intentional, ‘inadvertent’ or merely plausibly deniable – being a clear breach of the criminal law (Moses, 2010Stilgherrian, 2012).

The European Union determined a decade ago that location data that is identifiable to individuals is to some extent at least subject to existing data protection laws (EU, 2002). However, the wording of that so-called ‘e-Privacy Directive’ countenances the collection of “location data which are more precise than is necessary for the transmission of communications”, without clear controls over the justification, proportionality and transparency of that collection (para. 35). In addition, the e-Privacy Directive only applies to telecommunications service-providers, not to other organisations that acquire location and tracking data. King and Jessen (2010) discuss various gaps in the protective regimes in Europe.

The EU's Advisory Body (essentially a Committee of European Data Protection Commissioners) has issued an Opinion that mobile location data is generally capable of being associated with a person, and hence is personal data, and hence is subject to the EU Directive of 1995 and national laws that implement that Directive (Art. 29, 2011). Consent is considered to be generally necessary, and that consent must be informed, and sufficiently granular (p. 13–8).

It is unclear, however, to what extent this Opinion has actually caused, and will in the future cause, organisations that collect, store, use and disclose location data to change their practices. This uncertainty exists in respect of national security, law enforcement and social control agencies, which have, or which can arrange, legal authority that overrides data protection laws. It also applies to non-government organisations of all kinds, which can take advantage of exceptions, exemptions, loopholes, non-obviousness, obfuscation, unenforceability within each particular jurisdiction, and extra-jurisdictionality, to operate in ways that are in apparent breach of the Opinion.

Legal authorities for privacy-invasions are in a great many cases vague rather than precise, and in many jurisdictions power in relation to specific decisions is delegated to a LEA (in such forms as self-written ‘warrants’), or even a social control agency (in the form of demand-powers), rather than requiring a decision by a judicial officer based on evidence provided by the applicant.

Citizens in many countries are subject to more or less legitimate surveillance of various degrees and orders of granularity, by their government, in the name of law enforcement and national security. However, many Parliaments have granted powers to national security agencies to use location technology to track citizens and to intercept telecommunications. Moreover, many Parliaments have failed the public by permitting a warrant to be signed by a Minister, or even a public servant, rather than a judicial officer (Jay, 1999). Worse still, it appears that these already gross breaches of the principle of a free society are in effect being extended to the authorisation of a private organisation to track mobiles of ordinary citizens because it may lead to better services planning, or more efficient advertising and marketing (Collier, 2011a).

Data protection legislation in all countries evidences massive weaknesses. There are manifold exemptions and exceptions, and there are intentional and accidental exclusions, for example through limitations in the definitions of ‘identified’ and ‘personal data’. Even the much vaunted European laws fail to cope with extraterritoriality and are largely ignored by US-based service-providers. They are also focused exclusively on data, leaving large gaps in safeguards for physical, communications and behavioural privacy.

Meanwhile, a vast amount of abuse of personal data is achieved through the freedom of corporations and government agencies to pretend that Terms imposed on consumers and citizens without the scope to reject them are somehow the subject of informed and freely given consent. For example, petrol stations, supermarkets and many government agencies pretend that walking past signs saying ‘area subject to CCTV’ represents consent to gather, transmit, record, store, use and disclose data. The same approach is being adopted in relation to highly sensitive location data, and much vaunted data protection laws are simply subverted by the mirage of consent.

At least notices such as ‘you are now being watched’ or ‘smile, you are being recorded’ inform customers that they are under observation. On the other hand, people are generally oblivious to the fact that their mobile subscriber identity is transmitted from their mobile phone and multilaterated to yield a reasonably precise location in a shopping mall (Collier, 2011a,b,c). Further, there is no meaningful sense in which they can be claimed to have consented to providing location data to a third party, in this case a location service-provider with whom they have never had contact. And the emergent combination of MDS with CCTV sources becomes a pervasive view of the person, an ‘über’ view, providing a set of über-analytics to – at this stage – shopping complex owners and their constituents.

What rights do employees have if such a system were instituted in an employment setting (Michael and Rose, 2007, p. 252–3)? Are workplace surveillance laws in place that would protect employees from constant monitoring (Stern, 2007)? A similar problem applies to people at airports, or on hospital, university, industrial or government campuses. No social contract has been entered into between the parties, rendering the subscriber powerless.

Since the collapse of the Technology Assessment movement, technological deployment proceeds unimpeded, and public risks are addressed only after they have emerged and the clamour of concern has risen to a crescendo. A reactive force is at play, rather than proactive measures being taken to ensure avoidance or mitigation of potential privacy breaches (Michael et al., 2011). In Australia, for example, safeguards for location surveillance exist at best incidentally, in provisions under separate legislative regimes and in separate jurisdictions, and at worst not at all. No overarching framework exists to provide consistency among the laws. This causes confusion and inevitably results in inadequate protections (ALRC, 2008).

6.3. Prospective legal controls

Various learned studies have been conducted, but gather dust. In Australia, the three major law reform commissions have all reported, and all have been ignored by the legislatures (NSWLRC, 2005ALRC, 2008VLRC, 2010).

One critical need is for the fundamental principle to be recovered, to the effect that the handling of personal data requires either consent or legal authority. Consent is meaningless as a control over unreasonable behaviour, however, unless it satisfies a number of key conditions. It must be informed, it must be freely given, and it must be sufficiently granular, not bundled (Clarke, 2002). In a great many of the circumstances in which organisations are claiming to have consent to gather, store, use and disclose location data, the consumer does not appreciate what the scope of handling is that the service-provider is authorising themselves to perform; the Terms are imposed by the service-provider and may even be varied or completely re-written without consultation, a period of notice or even any notice at all; and consent is bundled rather than the individual being able to construct a pattern of consents and denials that suit their personal needs. Discussions all too frequently focus on the specifically-US notion of ‘opt-out’ (or ‘presumed consent’), with consent debased to ‘opt-in’, and deprecated as inefficient and business-unfriendly.

Recently, some very weak proposals have been put forward, primarily in the USA. In 2011, for example, two US Senators proposed a Location Privacy Protection Bill (Cheng, 2011). An organisation that collected location data from mobile or wireless data devices would have to state explicitly in their privacy policies what was being collected, in plain English. This would represent only a partial implementation of the already very weak 2006 recommendation of the Internet Engineering Task Force for Geographic Location/Privacy (IETF GEOPRIV) working group, which decided that technical systems should include ‘Fair Information Practices’ (FIPs) to defend against harms associated with the use of location technologies (EPIC, 2006). FIPs, however, is itself only a highly cut-down version of effective privacy protections, and the Bill proposes only a small fraction of FIPs. It would be close to worthless to consumers, and close to legislative authorisation for highly privacy-invasive actions by organisations.

Two other US senators tabled a GPS Bill, nominally intended to “balance the needs of Americans' privacy protections with the legitimate needs of law enforcement, and maintains emergency exceptions” (Anderson, 2011). The scope is very narrow – next would have to come the Wi-Fi Act, the A-GPS Act, etc. That approach is obviously unviable in the longer term as new innovations emerge. Effective legislation must have appropriate generality rather than excessive technology-specificity, and should be based on semantics not syntax. Yet worse, these Bills would provide legal authorisation for grossly privacy-invasive location and tracking. IETF engineers, and now Congressmen, want to compromise human rights and increase the imbalance of power between business and consumers.

7. Conclusions

Mobile device location technologies and their applications are enabling surveillance, and producing an enormous leap in intrusions into data privacy and into privacy of the person, privacy of personal communications, and privacy of personal behaviour.

Existing privacy laws are entirely incapable of protecting consumers and citizens against the onslaught. Even where consent is claimed, it generally fails the tests of being informed, freely given and granular.

There is an urgent need for outcries from oversight agencies, and responses from legislatures. Individual countries can provide some degree of protection, but the extra-territorial nature of so much of the private sector, and the use of corporate havens, in particular the USA, mean that multilateral action is essential in order to overcome the excesses arising from the US laissez fairetraditions.

One approach to the problem would be location privacy protection legislation, although it would need to embody the complete suite of protections rather than the mere notification that the technology breaches privacy. An alternative approach is amendment of the current privacy legislation and other anti-terrorism legislation in order to create appropriate regulatory provisions, and close the gaps that LBS providers are exploiting (Koppel, 2010).

The chimeras of self-regulation, and the unenforceability of guidelines, are not safeguards. Sensitive data like location information must be subject to actual, enforced protections, with guidelines and codes no longer used as a substitute, but merely playing a supporting role. Unless substantial protections for personal location information are enacted and enforced, there will be an epidemic of unjustified, disproportionate and covert surveillance, conducted by government and business, and even by citizens (Gillespie, 2009Abbas et al., 2011).

Acknowledgements

A preliminary version of the analysis presented in this paper appeared in the November 2011 edition of Precedent, the journal of the Lawyers Alliance. The article has been significantly updated as a result of comments provided by the referees and editor.

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K. Michael, M.G. Michael, Innovative automatic identification and location-based services: from bar codes to chip implants, IGI Global (2009)

M.G. Michael, K. Michael, Towards a state of uberveillance, IEEE Technology and Society Magazine, 29 (2) (Summer 2010), pp. 9-16, at, http://works.bepress.com.ezproxy.uow.edu.au/kmichael/187

Michael K, McNamee A, Michael MG, Tootell H., Location-based intelligence – modeling behavior in humans using GPS. In: Proc. int'l symposium on technology and society, New York, 8–11 June 2006; 2006a, at http://ro.uow.edu.au/cgi/viewcontent.cgi?article=1384&context=infopapers.

Michael K, McNamee A, Michael MG. The emerging ethics of humancentric GPS tracking and monitoring. In: Proc. int'l conf. on mobile business, Copenhagen, Denmark. IEEE Computer Society; 2006b, at http://ro.uow.edu.au/cgi/viewcontent.cgi?article=1384&context=infopapers.

M.G. Michael, S.J. Fusco, K. Michael, A research note on ethics in the emerging age of uberveillance, Computer Communications, 31 (6) (2008), pp. 1192-1199, at http://works.bepress.com.ezproxy.uow.edu.au/kmichael/32/

Michael and Masters, 2006, K. Michael, A. Masters, Realized applications of positioning technologies in defense intelligence, H. Hussein Abbass, D. Essam (Eds.), Applications of information systems to homeland security and defense, Idea Group Publishing (2006), at http://works.bepress.com.ezproxy.uow.edu.au/kmichael/2

K. Michael, G. Rose, Human tracking technology in mutual legal assistance and police inter-state cooperation in international crimes, K. Michael, M.G. Michael (Eds.), From dataveillance to überveillance and the realpolitik of the transparent society. 1st ed, University of Wollongong, Wollongong (2007), pp. 241-256.

K. Michael, G. Roussos, G.Q. Huang, R. Gadh, A. Chattopadhyay, S.Prabhu, et al.Planetary-scale RFID services in an age of uberveillance, Proceedings of the IEEE, 98 (9) (2010), pp. 1663-1671

K. Michael, M.G. Michael, R. Abbas, The importance of scenarios in the prediction of the social implications of emerging technologies and services, Journal of Cases on Information Technology (JCIT) 13.2 (2011), pp. i-vii

A. Moses, Google escapes criminal charges for Wi-Fi snooping, The Sydney Morning Herald (6 December 2010) at http://www.smh.com.au/technology/security/google-escapes-criminal-charges-for-wifi-snooping-20101206-18lot.html

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C. Parenti, The soft cage: surveillance in America from slavery to the war on terror, Basic Books (2003)

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RE WiMAX IEEE 802.16 technology tutorial, Radio-Electronics.com (2010), apparently of 2010, at http://www.radio-electronics.com/info/wireless/wimax/wimax.php

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Keywords: Location-based systems (LBS), Cellular mobile, Wireless LAN, GPS, Mobile device signatures (MDS), Privacy, Surveillance, Überveillance

Citation: Katina Michael and Roger Clarke, "Location and tracking of mobile devices: Überveillance stalks the streets", Computer Law & Security Review, Vol. 29, No. 3, June 2013, pp. 216-228, DOI: https://doi.org/10.1016/j.clsr.2013.03.004

Social Implications of Technology: The Past, the Present, and the Future

Abstract

The social implications of a wide variety of technologies are the subject matter of the IEEE Society on Social Implications of Technology (SSIT). This paper reviews the SSIT's contributions since the Society's founding in 1982, and surveys the outlook for certain key technologies that may have significant social impacts in the future. Military and security technologies, always of significant interest to SSIT, may become more autonomous with less human intervention, and this may have both good and bad consequences. We examine some current trends such as mobile, wearable, and pervasive computing, and find both dangers and opportunities in these trends. We foresee major social implications in the increasing variety and sophistication of implant technologies, leading to cyborgs and human-machine hybrids. The possibility that the human mind may be simulated in and transferred to hardware may lead to a transhumanist future in which humanity redesigns itself: technology would become society.

SECTION I. Introduction

“Scientists think; engineers make.” Engineering is fundamentally an activity, as opposed to an intellectual discipline. The goal of science and philosophy is to know; the goal of engineering is to do something good or useful. But even in that bare-bones description of engineering, the words “good” and “useful” have philosophical implications.

Because modern science itself has existed for only 400 years or so, the discipline of engineering in the sense of applying scientific knowledge and principles to the satisfaction of human needs and desires is only about two centuries old. But for such a historically young activity, engineering has probably done more than any other single human development to change the face of the material world.

It took until the mid-20th century for engineers to develop the kind of self-awareness that leads to thinking about engineering and technology as they relate to society. Until about 1900, most engineers felt comfortable in a “chain-of-command” structure in which the boss—whether it be a military commander, a corporation, or a wealthy individual—issued orders that were to be carried out to the best of the engineer's technical ability. Fulfillment of duty was all that was expected. But as the range and depth of technological achievements grew, engineers, philosophers, and the public began to realize that we had all better take some time and effort to think about the social implications of technology. That is the purpose of the IEEE Society on Social Implications of Technology (SSIT): to provide a forum for discussion of the deeper questions about the history, connections, and future trends of engineering, technology, and society.

This paper is not focused on the history or future of any particular technology as such, though we will address several technological issues in depth. Instead, we will review the significant contributions of SSIT to the ongoing worldwide discussion of technology and society, and how technological developments have given rise to ethical, political, and social issues of critical importance to the future. SSIT is the one society in IEEE where engineers and allied professionals are encouraged to be introspective—to think about what they are doing, why they are doing it, and what effects their actions will have. We believe the unique perspective of SSIT enables us to make a valuable contribution to the panoply of ideas presented in this Centennial Special Issue of the Proceedings of the IEEE.

 

SECTION II. The Past

A. Brief History of SSIT

SSIT as a technical society in IEEE was founded in 1982, after a decade as the Committee on Social Responsibility in Engineering (CSRE). In 1991, SSIT held its first International Symposium on Technology and Society (ISTAS), in Toronto, ON, Canada. Beginning in 1996, the Symposium has been held annually, with venues intentionally located outside the continental United States every few years in order to increase international participation.

SSIT total membership was 1705 as of December 2011. Possibly because SSIT does not focus exclusively on a particular technical discipline, it is rare that SSIT membership is a member's primary connection to IEEE. As SSIT's parent organization seeks ways to increase its usefulness and relevance to the rapidly changing engineering world of the 21st century, SSIT will both chronicle and participate in the changes taking place both in engineering and in society as a whole. for a more detailed history of the first 25 years of SSIT, see [1].

B. Approaches to the Social Implications of Technology

In the historical article referred to above [1], former SSIT president Clint Andrews remarked that there are two distinct intellectual approaches which one can take with regard to questions involving technology and society. The CSIT and the early SSIT followed what he calls the “critical science” approach which “tends to focus on the adverse effects of science and technical change.” Most IEEE societies are organized around a particular set of technologies. The underlying assumption of many in these societies is that these particular technologies are beneficial, and that the central issues to be addressed are technical, e.g., having to do with making the technologies better, faster, and cheaper. Andrews viewed this second “technological optimism” trend as somewhat neglected by SSIT in the past, and expressed the hope that a more balanced approach might attract a larger audience to the organization's publications and activities. It is important to note, however, that from the very beginning, SSIT has called for a greater emphasis on the development of beneficial technology such as environmentally benign energy sources and more efficient electrical devices.

In considering technology in its wider context, issues that are unquestionable in a purely technical forum may become open to question. Technique A may be more efficient and a fraction of the cost of technique B in storing data with similar security provisions, but what if a managed offshore shared storage solution is not the best thing to do under a given set of circumstances? The question of whether A or B is better technologically (and economically) is thus subsumed in the larger question of whether and why the entire technological project is going to benefit anyone, and who it may benefit, and who it may harm. The fact that opening up a discussion to wider questions sometimes leads to answers that cast doubt on the previously unquestioned goodness of a given enterprise is probably behind Andrews' perception that on balance, the issues joined by SSIT have predominantly fallen into the critical-science camp. Just as no one expects the dictates of conscience to be in complete agreement with one's instinctive desires, a person seeking unalloyed technological optimism in the pages or discussions hosted by SSIT will probably be disappointed. But the larger aim is to reach conclusions about technology and society that most of us will be thankful for some day, if not today. Another aim is to ensure that we bring issues to light and propose ways forward to safeguard against negative effects of technologies on society.

C. Major Topic Areas of SSIT

In this section, we will review some (but by no means all) topics that have become recurring themes over the years in SSIT's quarterly peer-reviewed publication, the IEEE Technology & Society Magazine. The articles cited are representative only in the sense that they fall into categories that have been dealt with in depth, and are not intended to be a “best of” list. These themes fall into four broad categories: 1) war, military technology (including nuclear weapons), and security issues, broadly defined; 2) energy technologies, policies and related issues: the environment, sustainable development, green technology, climate change, etc.; 3) computers and society, information and communications technologies (ICT), cybersystems, cyborgs, and information-driven technologies; and 4) groups of people who have historically been underprivileged, unempowered, or otherwise disadvantaged: Blacks, women, residents of developing nations, the handicapped, and so on. Education and healthcare also fit in the last category because the young and the ill are in a position of dependence on those in power.

1. Military and Security Issues

Concern about the Vietnam War was a strong motivation for most of the early members of the Committee for Social Responsibility in Engineering, the predecessor organization of SSIT. The problem of how and even whether engineers should be involved in the development or deployment of military technology has continued to appear in some form throughout the years, although the end of the Cold War changed the context of the discussion. This category goes beyond formal armed combat if one includes technologies that tend to exert state control or monitoring on the public, such as surveillance technologies and the violation of privacy by various technical means. In the first volume of the IEEE Technology & Society Magazine published in 1982, luminaries such as Adm. Bobby R. Inman (ret.) voiced their opinions about Cold War technology [2], and the future trend toward terrorism as a major player in international relations was foreshadowed by articles such as “Technology and terrorism: privatizing public violence,” published in 1991 [3]. Opinions voiced in the Magazine on nuclear technology ranged from Shanebrook's 1999 endorsement of a total global ban on nuclear weapons [4] to Andrews' thorough review of national responses to energy vulnerability, in which he pointed out that France has developed an apparently safe, productive, and economical nuclear-powered energy sector [5]. In 2009, a special section of five articles appeared on the topic of lethal robots and their implications for ethical use in war and peacekeeping operations [6]. And in 2010, the use of information and communication technologies (ICT) in espionage and surveillance was addressed in a special issue on “Überveillance,” defined by authors M.G. Michael and K. Michael as the use of electronic means to track and gather information on an individual, together with the “deliberate integration of an individual's personal data for the continuous tracking and monitoring of identity and location in real time” [7].

2. Energy and Related Technologies and Issues

from the earliest years of the Society, articles on energy topics such as alternative fuels appeared in the pages of the IEEE Technology & Society Magazine. A 1983 article on Brazil's then-novel effort to supplement imported oil with alcohol from sugarcane [8] presaged today's controversial U.S. federal mandate for the ethanol content in motor fuels. The Spring 1984 issue hosted a debate on nuclear power generation between H. M. Gueron, director of New York's Con Edison Nuclear Coal and Fuel Supply division at the time [9], and J. J. MacKenzie, a senior staff scientist with the Union of Concerned Scientists [10]. Long before greenhouse gases became a household phrase and bandied about in debates between Presidential candidates, the Magazine published an article examining the need to increase the U.S.'s peak electrical generating capacity because the increase in average temperature due to increasing atmospheric carbon dioxide would increase the demand for air conditioning [11]. The larger implications of global warming apparently escaped the attention of the authors, focused as they were on the power-generating needs of the state of Minnesota. By 1990, the greenhouse effect was of sufficient concern to show up on the legislative agendas of a number of nations, and although Cruver attributed this to the “explosion of doomsday publicity,” he assessed the implications of such legislation for future energy and policy planning [12]. Several authors in a special issue on the social implications of systems concepts viewed the Earth's total environment in terms of a complex system in 2000 [13]. The theme of ISTAS 2009 was the social implications of sustainable development, and this theme was addressed in six articles in the resulting special issue of the IEEE Technology & Society Magazine for Fall 2010. The record of speculation, debate, forecasting, and analysis sampled here shows that not only has SSIT carried out its charter by examining the social implications of energy technology and related issues, but also it has shown itself a leader and forerunner in trends that later became large-scale public debates.

3. Computing, Telecommunications, and Cyberspace

Fig. 1. BRLESC-II computer built by U.S. Army personnel for use at the Ballistics Research Lab, Aberdeen Proving Grounds between about 1967 and 1978, A. V. Kurian at console. Courtesy of U.S. Army Photos.

In the early years of SSIT, computers were primarily huge mainframes operated by large institutions (Fig. 1). But with the personal computer revolution and especially the explosion of the Internet, SSIT has done its part to chronicle and examine the history, present state, and future trends of the hardware, software, human habits and interactions, and the complex of computer and communications technologies that are typically subsumed under the acronym of ICT.

As we now know, the question of intellectual property has been vastly complicated by the ready availability of peer-to-peer software, high-speed network connections, and legislation passed to protect such rights. In a paper published in 1998, Davis addressed the question of protection of intellectual property in cyberspace [14]. As the Internet grew, so did the volume of papers on all sorts of issues it raised, from the implications of electronic profiling [15] to the threats and promises of facial recognition technology [16]. One of the more forward-looking themes addressed in the pages of the Magazine came in 2005 with a special issue on sustainable pervasive computing [17]. This issue provides an example of how both the critical science and the technological optimism themes cited by Andrews above can be brought together in a single topic. And to show that futuristic themes are not shirked by the IEEE Technology and Society Magazine authors, in 2011 Clarke speculated in an article entitled “Cyborg rights” on the limits and problems that may come as people physically merge with increasingly advanced hardware (implanted chips, sensory enhancements, and so on) [18].

4. Underprivileged Groups

Last but certainly not least, the pages of the IEEE Technology & Society Magazine have hosted articles inspired by the plight of underprivileged peoples, broadly defined. This includes demographic groups such as women and ethnic minorities and those disadvantaged by economic issues, such as residents of developing countries. While the young and the ill are not often formally recognized as underprivileged in the conventional sense, in common with other underprivileged groups they need society's help in order to survive and thrive, in the form of education and healthcare, respectively. An important subset of education is the theme of engineering ethics, a subject of vital interest to many SSIT members and officials since the organization's founding.

In its first year, the Magazine carried an article on ethical issues in decision making [19]. A special 1998 issue on computers and the Internet as used in the K-12 classroom explored these matters in eight focused articles [20]. The roles of ethics and professionalism in the personal enjoyment of engineering was explored by Florman (author of the book The Introspective Engineer) in an interview with the Magazine's managing editor Terri Bookman in 2000 [21]. An entire special issue was devoted to engineering ethics in education the following year, after changes in the U.S. Accreditation Board for Engineering and Technology's policies made it appear that ethics might receive more attention in college engineering curricula [22].

The IEEE Technology & Society Magazine has hosted many articles on the status of women, both as a demographic group and as a minority in the engineering profession. Articles and special issues on themes involving women have on occasion been the source of considerable controversy, even threatening the organization's autonomy at one point [1, p. 9]. In 1999, ISTAS was held for the first time in conjunction with two other IEEE entities: the IEEE Women in Engineering Committee and the IEEE History Center. The resulting special issue that came out in 2000 carried articles as diverse as the history of women in the telegraph industry [23], the challenges of being both a woman and an engineering student [24], and two articles on technology and the sex industry [25], [26].

Engineering education in a global context was the theme of a Fall 2005 special issue of the IEEE Technology and Society Magazine, and education has been the focus of several special issues and ISTAS meetings over the years [27]–[28][29]. The recent development termed “humanitarian engineering” was explored in a special issue only two years ago, in 2010 [30]. Exemplified by the U.S.-based Engineers without Borders organization, these engineers pursue projects, and sometimes careers, based not only on profit and market share, but also on the degree to which they can help people who might not otherwise benefit from their engineering talents.

SECTION III. The Present

Fig. 2.  Cow bearing an Australian National Livestock Identification System (NLIS) RFID tag on its ear. The cow's identity is automatically detected as it goes through the drafting gates and the appropriate feed is provided for the cow based on historical data on its milk yields. Courtesy of Adam Trevarthen.

Fig. 2. Cow bearing an Australian National Livestock Identification System (NLIS) RFID tag on its ear. The cow's identity is automatically detected as it goes through the drafting gates and the appropriate feed is provided for the cow based on historical data on its milk yields. Courtesy of Adam Trevarthen.

Emerging technologies that will act to shape the next few years are complex in their makeup with highly meshed value chains that resemble more a process or service than an individual product [31]. At the heart of this development is convergence: convergence in devices, convergence in applications, convergence in content, and convergence in infrastructure. The current environment is typified by the move toward cloud computing solutions and Web 2.0 social media platforms with ubiquitous access via a myriad of mobile or fixed devices, some of which will be wearable on people and animals (Fig. 2) or embedded in systems (e.g., vehicles and household appliances).

Simultaneous with these changes are the emergence of web services that may or may not require a human operator for decision making in a given business process, reliance upon data streams from automatic identification devices [e.g., radio-frequency identification (RFID) tags], the accuracy and reliability of location-based services [e.g., using Global Positioning Systems (GPS)] and condition monitoring techniques (e.g., using sensors to measure temperature or other physiological data). Most of this new technology will be invisibly located in miniaturized semiconductors which are set to reach such economies of scale, that it is commonly noted by technology evangelists that every single living and nonliving thing will come equipped with a chip “on board.”

Fig. 3. Business woman checking in for an interstate trip using an electronic ticket sent to her mobile phone. Her phone also acts as a mobile payment mechanism and has built-in location services features. Courtesy of NXP Semiconductors 2009.

The ultimate vision of a Web of Things and People (WoTaP)—smart homes using smart meters, smart cars using smart roads, smart cities using smart grids—is one where pervasive and embedded systems will play an active role toward sustainability and renewable energy efficiency. The internetworked environment will need to be facilitated by a fourth-generation mobility capability which will enable even higher amounts of bandwidth to the end user as well as seamless communication and coordination by intelligence built into the cloud. Every smart mobile transaction will be validated by a precise location and linked back to a subject (Fig. 3).

In the short term, some of the prominent technologies that will impact society will be autonomous computing systems with built-in ambient intelligence which will amalgamate the power of web services and artificial intelligence (AI) through multiagent systems, robotics, and video surveillance technologies (e.g., even the use of drones) (Fig. 4). These technologies will provide advanced business and security intelligence. While these systems will lead to impressive uses in green initiatives and in making direct connections between people and dwellings, people and artifacts, and even people and animals, they will require end users to give up personal information related to identity, place, and condition to be drawn transparently from smart devices.

Fig. 4.  A facial recognition system developed by Argus Solutions in Australia. Increasingly facial recognition systems are being used in surveillance and usually based on video technology. Digital images captured from video or still photographs are compared with other precaptured images. Courtesy of Argus Solutions 2009.

Fig. 4. A facial recognition system developed by Argus Solutions in Australia. Increasingly facial recognition systems are being used in surveillance and usually based on video technology. Digital images captured from video or still photographs are compared with other precaptured images. Courtesy of Argus Solutions 2009.

The price of all of this will be that very little remains private any longer. While the opportunities that present themselves with emerging technologies are enormous with a great number of positive implications for society—for instance, a decrease in the number of traffic accidents and fatalities, a reduction in the carbon emission footprint by each household, greater social interconnectedness, etc.—ultimately these gains too will be susceptible to limitations. Who the designated controller is and what they will do with the acquired data is something we can only speculate about. We return then, to the perennial question of “who will guard the guards themselves”: Quis custodiet ipsos custodes? [32]

A. Mobile and Pervasive Computing

In our modern world, data collection from many of our most common activities begins from the moment we step out our front door in the morning until we go to sleep at night. In addition to near-continual data collection, we have become a society of people that voluntarily broadcasts to the world a great deal of personal information. Vacation photos, major life events, and trivialities such as where we are having dinner to our most mundane thoughts, all form part of the stream of data through which we electronically share our inner lives. This combination of the data that is collected about us and the data that is freely shared by us could form a breathtakingly detailed picture of an individual's life, if it could ever all be collected in one place. Most of us would consider ourselves fortunate that most of this data was historically never correlated and is usually highly anonymized. However, in general, it is becoming easier to correlate and deanonymize data sets.

1. Following Jane Doe's Digital Data Trail

Let us consider a hypothetical “highly tracked” individual [33]. Our Jane Doe leaves for work in the morning, and gets in her Chevrolet Impala, which has OnStar service to monitor her car. OnStar will contact emergency services if Jane has an accident, but will also report to the manufacturer any accident or mechanical failure the car's computer is aware of [34]. Jane commutes along a toll road equipped with electronic toll collection (ETC). The electronic toll system tracks where and at what time Jane enters and leaves the toll road (Fig. 5).

Fig. 5. Singapore's Electronic Road Pricing (ERP) system. The ERP uses a dedicated short-range radio communication system to deduct ERP charges from CashCards. These are inserted in the in-vehicle units of vehicles before each journey. Each time vehicles pass through a gantry when the system is in operation, the ERP charges are automatically deducted. Courtesy of Katina Michael 2003.

When she gets to work, she uses a transponder ID card to enter the building she works in (Fig. 6), which logs the time she enters and by what door. She also uses her card to log into the company's network for the morning. Her company's Internet firewall software monitors any websites she visits. At lunch, she eats with colleagues at a local restaurant. When she gets there, she “checks in” using a geolocation application on her phone—for doing so, the restaurant rewards her with a free appetizer [35].

 

Fig. 6. Employee using a contactless smart card to gain entry to her office premises. The card is additionally used to access elevators in the building, rest rooms, and secure store areas, and is the only means of logging into the company intranet. Courtesy of NXP Semiconductors 2009.

She then returns to work for the afternoon, again using her transponder ID badge to enter. After logging back into the network, she posts a review of the restaurant on a restaurant review site, or maybe a social networking site. At the end of the work day, Jane logs out and returns home along the same toll road, stopping to buy groceries at her local supermarket on the way. When she checks out at the supermarket, she uses her customer loyalty card to automatically use the store's coupons on her purchases. The supermarket tracks Jane's purchases so it can alert her when things she buys regularly are on sale.

During Jane's day, her movements were tracked by several different systems. During almost all of the time she spent out of the house, her movements were being followed. But Jane “opted in” to almost all of that tracking; it was her choice as the benefits she received outweighed her perceived costs. The toll collection transponder in her car allows her to spend less time in traffic [36]. She is happy to share her buying habits with various merchants because those merchants reward her for doing so [37]. In this world it is all about building up bonus points and getting rewarded. Sharing her opinions on review and social networking sites lets Jane keep in touch with her friends and lets them know what she is doing.

While many of us might choose to allow ourselves to be monitored for the individual benefits that accrue to us personally, the data being gathered about collective behaviors are much more valuable to business and government agencies. Clarke developed the notion of dataveillance to give a name to the “systematic use of personal data systems in the investigation or monitoring of the actions or communications of one or more persons” in the 1980s [38]. ETC is used by millions of people in many countries. The more people who use it, as opposed to paying tolls at tollbooths, the faster traffic can flow for everyone. Everyone also benefits when ETC allows engineers to better monitor traffic flows and plan highway construction to avoid the busiest times of traffic. Geolocation applications let businesses reward first-time and frequent customers, and they can follow traffic to their business and see what customers do and do not like. Businesses such as grocery stores or drug stores that use customer loyalty cards are able to monitor buying trends to see what is popular and when. Increasingly shoppers are being introduced to the near-field communication (NFC) capability on their third-generation (3G) smartphone (Fig. 7).

Fig. 7. Purchasing grocery items effortlessly by using the near-field communication (NFC) capability on your 3G smartphone. Courtesy of NXP Semiconductors 2009.

Some of these constant monitoring tools are truly personal and are controlled by and report back only to the user [39]. for example, there are now several adaptive home thermostat systems that learn a user's temperature preferences over time and allow users to track their energy usage and change settings online. for the health conscious, “sleep monitoring” systems allow users to track not only the hours of sleep they get per night, but also the percentage of time spent in light sleep versus rapid eye movement (REM) sleep, and their overall “sleep quality” [40].

Fig. 8. Barcodes printed on individual packaged items on pallets. Order information is shown on the forklift's on-board laptop and the driver scans items that are being prepared for shipping using a handheld gun to update inventory records wirelessly. Courtesy AirData Pty Ltd, Motorola Premier Business Partner, 2009.

Businesses offer and customers use various mobile and customer tracking services because the offer is valued by both parties (Fig. 8). However, serious privacy and legal issues continue to arise [41]. ETC records have been subpoenaed in both criminal and civil cases [42]. Businesses in liquidation have sold their customer databases, violating the privacy agreements they gave to their customers when they were still in business. Geolocation services and social media that show a user's location or allow them to share where they have been or where they are going can be used in court cases to confirm or refute alibis [43].

 

Near-constant monitoring and reporting of our lives will only grow as our society becomes increasingly comfortable sharing more and more personal details (Fig. 9). In addition to the basic human desire to tell others about ourselves, information about our behavior as a group is hugely valuable to both governments and businesses. The benefits to individuals and to society as a whole are great, but the risks to privacy are also significant [44]. More information about group behaviors can let us allocate resources more efficiently, plan better for future growth, and generate less waste. More information about our individual patterns can allow us to do the same thing on a smaller scale—to waste less fuel heating our homes when there is no one present, or to better understand our patterns of human activity.

 

Fig. 9. A five step overview of how the Wherify location-based service works. The information retrieved by this service included a breadcrumb of each location (in table and map form), a list of time and date stamps, latitude and longitude coordinates, nearest street address, and location type. Courtesy of Wherify Wireless Location Services, 2009.

 

B. Social Computing

When we think of human evolution, we often think of biological adaptions to better survive disease or digest foods. But our social behaviors are also a product of evolution. Being able to read facial expressions and other nonverbal cues is an evolved trait and an essential part of human communication. In essence, we have evolved as a species to communicate face to face. Our ability to understand verbal and nonverbal cues has been essential to our ability to function in groups and therefore our survival [45].

The emoticon came very early in the life of electronic communication. This is not surprising, given just how necessary using facial expressions to give context to written words was to the casual and humor-filled atmosphere of the Internet precursors. Many other attempts to add context to the quick, casual writing style of the Internet have been made, mostly with less success. Indeed, the problem of communication devolving from normal conversations to meaningless shouting matches has been around almost as long as electronic communication itself. More recently, the “anonymous problem”—the problem of people anonymously harassing others without fear of response or retribution—has come under discussion in online forums and communities. And of course, we have seen the recent tragic consequences of cyberbullying [46]. In general, people will be much crueler to other people online than they would ever be in person; many of our evolved social mechanisms depend on seeing and hearing who we are communicating with.

The question we are faced with is this: Given that we now exist and interact in a world that our social instincts were not evolved to handle, how will we adapt to the technology, or more likely, how will the technology we use to communicate with adapt to us? We are already seeing the beginning of that adaptation: more and more social media sites require a “real” identity tied to a valid e-mail address. And everywhere on the Internet, “reputation” is becoming more and more important [177].

Reference sites, such as Wikipedia, control access based on reputation: users gain more privileges on the site to do things such as editing controversial topics or banning other users based on their contributions to the community—writing and editing articles or contributing to community discussions. On social media and review sites, users that are not anonymous have more credibility, and again reputation is gained with time and contribution to the community.

It is now becoming standard practice for social media of all forms to allow users to control who can contact them and make it very easy to block unwanted contact. In the future, these trends will be extended. Any social media site with a significant amount of traffic will have a way for users to build and maintain a reputation and to control access accordingly. The shift away from anonymity is set to continue and this is also evident in the way search engine giants, like Google, are updating their privacy statements—from numerous policies down to one. Google states: “When you sign up for a Google Account, we ask you for personal information. We may combine the information you submit under your account with information from other Google services or third parties in order to provide you with a better experience and to improve the quality of our services” [47].

Fig. 10. Wearable high-definition video calling and recording attire. Courtesy of Xybernaut 2002.

When people use technology to socialize, they are often doing it on mobile platforms. Therefore, the futures of social and mobile computing are inevitably intertwined. The biggest change that is coming to the shared mobile/social computing space is the final spread of WiFi and high-density mobile phone networks. There are still huge geographical areas where there is no way of wirelessly connecting to the Internet or where the connection is so slow as to be unusable. As high-speed mobile Internet spreads, extra bandwidth could help the problems inherent in communicating without being able to see the other person. High-definition (HD) video calling on mobile phones will make person-to-person communications easier and more context rich (Fig. 10). HD video calling and conferencing will make everything from business meetings to long-distance relationships easier by allowing the participants to pick up on unspoken cues.

 

As more and more of our social interactions go online, the online world will be forced to adapt to our evolved human social behaviors. It will become much more like offline communication, with reputation and community standing being deeply important. True anonymity will become harder and harder to come by, as the vast majority of social media will require some proof of identity. for example, this practice is already occurring in countries like South Korea [48].

While we cannot predict all the ways in which our online interactions will become more immersive, we can say for certain that they will. The beauty of all of these changes will be that it will become as easy to maintain or grow a personal relationship on the other side of the world as it would be across town. As countries and regions currently without high-speed data networks come online, they can integrate into a new global community allowing us all to know each other with a diverse array of unknown consequences.

C. Wearable Computing

Fig. 11. The prototype GPS Locator for Children with a built-in pager, a request for 911, GPS technology, and a key fob to manually lock and unlock the locator. This specific device is no longer being marketed, despite the apparent need in some contexts. Courtesy of Wherify Wireless Location Services, 2003.

According to Siewiorek [49, p. 82], the first wearable device was prototyped in 1961 but it was not until 1991 that the term “wearable computer” was first used by a research group at Carnegie Mellon University (Pittsburgh, PA). This coincided with the rise of the laptop computer, early models of which were known as “luggables.” Wearable computing can be defined as “anything that can be put on and adds to the user's awareness of his or her environment …mostly this means wearing electronics which have some computational power” [50, p. 2012]. While the term “wearables” is generally used to describe wearable displays and custom computers in the form of necklaces, tiepins, and eyeglasses, the definition has been broadened to incorporate iPads, iPods, personal digital assistants (PDAs), e-wallets, GPS watches (Fig. 11), and other mobile accessories such as smartphones, smart cards, and electronic passports that require the use of belt buckles or clip-on satchels attached to conventional clothing [51, p. 330]. The iPlant (Internet implant) is probably not far off either [52].

 

Wearable computing has reinvented the way we work and go about our day-to-day business and is set to make even greater changes in the foreseeable future [53]. In 2001, it was predicted that highly mobile professionals would be taking advantage of smart devices to “check messages, finish a presentation, or browse the Web while sitting on the subway or waiting in line at a bank” [54, p. 44]. This vision has indeed been realized but devices like netbooks are still being lugged around instead of worn in the true sense.

The next phase of wearables will be integrated into our very clothing and accessories, some even pointing to the body itself being used as an input mechanism. Harrison of Carnegie Mellon's Human–Computer Interaction Institute (HCII) produced Skinput with Microsoft researchers that makes the body that travels everywhere with us, one giant touchpad [55]. These are all exciting innovations and few would deny the positives that will come from the application of this cutting-edge research. The challenge will be how to avoid rushing this technology into the marketplace without the commensurate testing of prototypes and the due consideration of function creep. Function or scope creep occurs when a device or application is used for something other than it was originally intended.

Early prototypes of wearable computers throughout the 1980s and 1990s could have been described as outlandish, bizarre, or even weird. for the greater part, wearable computing efforts have focused on head-mounted displays (a visual approach) that unnaturally interfered with human vision and made proximity to others cumbersome [56, p. 171]. But the long-term aim of researchers is to make wearable computing inconspicuous as soon as technical improvements allow for it (Fig. 12). The end user should look as “normal” as possible [57, p. 177].

 

Fig. 12. Self-portraits of Mann with wearable computing kit from the 1980s to the 1990s. Prof. Mann started working on his WearComp invention as far back as his high school days in the 1970s. Courtesy of Steve Mann.

New technologies like the “Looxcie” [58] wearable recorders have come a long way since the clunky point-of-view head-mounted recording devices of the 1980s, allowing people to effortlessly record and share their life as they experience it in different contexts. Mann has aptly coined the term sousveillance. This is a type of inverse panopticon, sous (below) and veiller (to watch) stemming from the French words. A whole body of literature has emerged around the notion of sousveillance which refers to the recording of an activity by a participant in the activity, typically by way of small wearable or portable personal technologies. The glogger.mobi online platform demonstrates the great power of sousveillance. But there are still serious challenges, such as privacy concerns, that need to be overcome if wearable computing is to become commonplace [59]. Just like Google has created StreetView, can the individual participate in PersonView without his neighbor's or stranger's consent [7] despite the public versus private space debate? Connected to privacy is also the critical issue of autonomy (and if we were to agree with Kant, human dignity), that is, our right to make informed and uncoerced decisions.

While mass-scale commercial production of wearable clothing is still some time away, some even calling it the unfulfilled pledge [60], shirts with simple memory functions have been developed and tested. Sensors will play a big part in the functionality of the smartware helping to determine the environmental context, and undergarments closest to the body will be used for body functions such as the measurement of temperature, blood pressure, heart and pulse rates. for now, however, the aim is to develop ergonomically astute wearable computing that is actually useful to the end user. Head-mounted displays attached to the head with a headband may be practical for miners carrying out occupational health and safety (OH&S) but are unattractive for everyday consumer users. Displays of the next generation will be mounted or concealed within eyeglasses themselves [61, p. 48].

Mann [57, p. 31] predicts that wearable computing will become so common one day, interwoven into every day clothing-based computing, that “we will no doubt feel naked, confused, and lost without a computer screen hovering in front of our eyes to guide us,” just like we would feel our nakedness without the conventional clothing of today.

1. Wearables in the Medical Domain

Unsurprisingly, wearables have also found a niche market in the medical domain. In the mid-1990s, researchers began to describe a small wearable device that continuously monitored glucose levels so that the right amount of insulin was calculated for the individual reducing the incidence of hypoglycemic episodes [62]. The Glucoday [63] and GlucoChip [64] are just two products demonstrating the potential to go beyond wearables toward in vivo techniques in medical monitoring.

Medical wearables even have the capability to check and monitor products in one's blood [65, p. 88]. Today medical wearable device applications include: “monitoring of myocardial ischemia, epileptic seizure detection, drowsiness detection …physical therapy feedback, such as for stroke victim rehabilitation, sleep apnea monitoring, long-term monitoring for circadian rhythm analysis of heart rate variability (HRV)” [66, p. 44].

Some of the current shortcomings of medical wearables are similar to those of conventional wearables, namely the size and the weight of the device which can be too large and too heavy. In addition, wearing the devices for long periods of time can be irritating due to the number of sensors that may be required to be worn for monitoring. The gel applied for contact resistance between the electrode and the skin can also dry up, which is a nuisance. Other obstacles to the widespread diffusion of medical wearables include government regulations and the manufacturers' requirement for limited liability in the event that an incorrect diagnosis is made by the equipment.

But much has been improved in the products of wearables over the past ten years. Due to commensurate breakthroughs in the miniaturization of computing components, wearable devices are now usually quite small. Consider Toumaz Technology's Digital Plaster invention known as the Sensium Life Pebble TZ203002 (Fig. 13). The Digital Plaster contains a Sensium silicon chip, powered by a tiny battery, which sends data via a cell phone or a PDA to a central computer database. The Life Pebble has the ability to enable continuous, auditable acquisition of physiological data without interfering with the patient's activities. The device can continuously monitor electrocardiogram (ECG), heart rate, physical activity, and skin temperature. In an interview with M. G. Michael in 2006, Toumazou noted how the Digital Plaster had been applied in epilepsy control and depression. He said that by monitoring the electrical and chemical responses they could predict the onset of either a depressive episode or an epileptic fit; and then once predicted the nerve could be stimulated to counter the seizure [67]. He added that this truly signified “personal healthcare.”

Fig. 13. Prof. Christofer Toumazou with a patient wearing the “digital plaster”; a tiny electronic device meant to be embedded in ordinary medical plaster that includes sensors for monitoring health-related metadata such as blood pressure, temperature, and glucose levels. Courtesy of Toumaz Technology 2008.

 

D. Robots and Unmanned Aerial Systems and Vehicles

Fig. 14. Predator Drone aircraft: this plane comes in the armed and reconnaissance versions and the models are known as RQ-1 and MQ-1.

Autonomous systems are those which are self-governed. In practice, there are many degrees of autonomy ranging from the highly constrained and supervised to unconstrained and intelligent. Some systems are referred to as “semiautonomous” in order to suggest that the machines are tasked or supervised by a human operator. An unmanned vehicle may be a remotely piloted “dumb” vehicle or an autonomous vehicle (Fig. 14). Robots may be designed to perform repetitive tasks in a highly constrained environment or with intelligence and a high level of autonomy to make judgments in a dynamic and unpredictable environment. As technology advancements allow for a high level of autonomy and expansion from industrial applications to caregiving and warfighting, society is coming to grips with the present and the future of increasingly autonomous systems in our homes, workplaces, and battlefields.

 

Robot ethics, particularly with respect to autonomous weapons systems, has received increasing attention in the last few years [68]. While some call for an outright stop to the development of such technology [69], others seek to shape the technology with ethical and moral implications in mind [6], [70]–[71][72][73]. Driving robotics weapons development underground or refusing to engage in dialog over the ethical issues will not give ethicists an opportunity to participate in shaping the design and use of such weapons. Arkin [6] and Operto [74], among others, argue that engineers must not shy away from these ethical challenges. Furthermore, the technological cat is out of the bag: “Autonomy is subtle in its development—it is occurring in a step-by-step process, rather than through the creation of a disruptive invention. It is far less likely that we will have a sudden development of a ‘positronic brain’ or its equivalent, but rather a continual and gradual relinquishment of authority to machines through the constant progress of science, as we have already seen in automated trains, elevators, and numerous other examples, that have vanished into the background noise of civilization. Autonomy is already here by some definitions” [70].

The evolution of the development and deployment of unmanned aerial vehicles and other autonomous or semiautonomous systems has outpaced the analysis of social implications and ethics of their design and use [70], [75]. Sullivan argues that the evolution of unmanned vehicles for military deployment should not be confused with the more general trend of increasing autonomy in military applications [75]. Use of robots often provides a tactical advantage due to sensors, data processing, and physical characteristics that outperform humans. Robots can act without emotion, bias, or self-preservation influencing judgment, which may be a liability or advantage. Risks to robot deployment in the military, healthcare industry, and elsewhere include trust of autonomous systems (a lack of, or too much) and diffusion of blame or moral buffering [6], [72].

for such critical applications in the healthcare domain, and lethal applications in weapons, the emotional and physical distance of operating a remote system (e.g., drone strikes via video-game style interface) may negatively influence the moral decision making of the human operator or supervisor, while also providing some benefit of emotional protection against post-traumatic stress disorder [71], [72]. Human–computer interfaces can promote ethical choices in the human operator through thoughtful or model-based design as suggested by Cummings [71] and Asaro [72].

for ethical behavior of the autonomous system itself, Arkin proposes that robot soldiers could be more humane than humans, if technologically constrained to the laws of war and rules of engagement, which they could follow without the distortions of emotion, bias, or a sense of self-preservation [6], [70]. Asaro argues that such laws are not, in fact, objective and static but rather meant for human interpretation for each case, and therefore could not be implemented in an automated system [72]. More broadly, Operto [74] agrees that a robot (in any application) can only act within the ethics incorporated into its laws, but that a learning robot, in particular, may not behave as its designers anticipate.

Fig. 15. Kotaro, a humanoid roboter created at the University of Tokyo (Tokyo, Japan), presented at the University of Arts and Industrial Design Linz (Linz, Austra) during the Ars Electronica Festival 2008. Courtesy of Manfred Werner-Tsui.

Robot ethics is just one part of the landscape of social implications for autonomous systems. The field of human–robot interaction explores how robot interfaces and socially adaptive robots influence the social acceptance, usability, and safety of robots [76] (Fig. 15). for example, robots used for social assistance and care, such as for the elderly and small children, introduce a host of new social implications questions. Risks of developing an unhealthy attachment or loss of human social contact are among the concerns raised by Sharkey and Sharkey [77]. Interface design can influence these and other risks of socially assistive robots, such as a dangerous misperception of the robot's capabilities or a compromise of privacy [78].

 

Autonomous and unmanned systems have related social implication challenges. Clear accountability and enforcing morality are two common themes in the ethical design and deployment of such systems. These themes are not unique to autonomous and unmanned systems, but perhaps the science fiction view of robots run amok raises the question “how can we engineer a future where we can benefit from these technologies while maintaining our humanity?”

 

SECTION IV. The Future

Great strides are being taken in the field of biomedical engineering: the application of engineering principles and techniques to the medical field [79]. New technologies such as prospective applications of nanotechnology, microcircuitry (e.g., implantables), and bionics will heal and give hope to many who are suffering from life-debilitating and life-threatening diseases [80]. The lame will walk again. The blind will see just as the deaf have heard. The dumb will sing. Even bionic tongues are on the drawing board. Hearts and kidneys and other organs will be built anew. The fundamental point is that society at large should be able to distinguish between positive and negative applications of technological advancements before we diffuse and integrate such innovations into our day-to-day existence.

The Bionics Institute [81], for instance, is future-focused on the possibilities of bionic hearing, bionic vision, and neurobionics, stating: “Medical bionics is not just a new frontier of medical science, it is revolutionizing what is and isn't possible. Where once there was deafness, there is now the bionic ear. And where there was blindness, there may be a bionic eye.” The Institute reaffirms its commitment to continuing innovative research and leading the way on the proposed “world-changing revolution.”

A. Cochlear Implants—Helping the Deaf to Hear

Fig. 16. Cochlear's Nucleus Freedom implant with Contour Advance electrode which is impervious to magnetic fields up to 1.5 Tesla. Courtesy of Cochlear Australia.

In 2000, more than 32 000 people worldwide already had cochlear implants [82], thanks to the global efforts of people such as Australian Professor Graeme Clark, the founder of Cochlear, Inc. [83]. Clark performed his first transplant in Rod Saunder's left ear at the Royal Eye and Ear Hospital in Melbourne, Australia, on August 1, 1978, when “he placed a box of electronics under Saunders's skin and a bundle of electrodes in his inner ear” [84]. In 2006, that number had grown to about 77 500 for the nucleus implant (Fig. 16) alone which had about 70% of the market share [85]. Today, there are over 110 000 cochlear implant recipients, about 30 000 annually, and their personal stories are testament enough to the ways in which new technologies can change lives dramatically for the better [86]. Cochlear implants can restore hearing to people who have severe hearing loss, a form of diagnosed deafness. Unlike a standard hearing aid that works like an amplifier, the cochlear implant acts like a microphone to change sound into electronic signals. Signals are sent to the microchip implant via radio frequency (RF), stimulating nerve fibers in the inner ear. The brain then interprets the signals that are transmitted via the nerves to be sound.

 

Today, cochlear implants (which are also commonly known as bionic ears) are being used to overcome deafness; tomorrow, they may be open to the wider public as a performance-enhancing technique [87, pp. 10–11]. Audiologist Steve Otto of the Auditory Brainstem Implant Project at the House Ear Institute (Los Angeles, CA) predicts that one day “implantable devices [will] interface microscopically with parts of the normal system that are still physiologically functional” [88]. He is quoted as saying that this may equate to “ESP for everyone.” Otto's prediction that implants will one day be used by persons who do not require them for remedial purposes has been supported by numerous other high profile scientists. A major question is whether this is the ultimate trajectory of these technologies.

for Christofer Toumazou, however, Executive Director of the Institute of Biomedical Engineering, Imperial College London (London, U.K.), there is a clear distinction between repairing human functions and creating a “Superman.” He said, “trying to give someone that can hear super hearing is not fine.” for Toumazou, the basic ethical paradigm should be that we hope to repair the human and not recreate the human [67].

B. Retina Implants—On a Mission to Help the Blind to See

Fig. 17. Visual cortical implant designed by Prof. Mohamad Sawan, a researcher at Polystim Neurotechnologies Laboratory at the Ecole Polytechnique de Montreal (Montreal, QC, Canada). The basic principle of Prof. Sawan's technology consists of stimulating the visual cortex by implanting a silicon microchip on a network of electrodes, made of biocompatible materials, wherein each electrode injects a stimulating electrical current in order to provoke a series of luminous points to appear (an array of pixels) in the field of vision of the blind person. This system is composed of two distinct parts: the implant and an external controller. Courtesy of Mohamad Sawan 2009, made available under Creative Commons License.

The hope is that retina implants will be as successful as cochlear implants in the future [89]. Just as cochlear implants cannot be used for persons suffering from complete deafness, retina implants are not a solution for totally blind persons but rather those suffering from aged macular degeneration (AMD) and retinitis pigmentosa (RP). Retina implants have brought together medical researchers, electronic specialists, and software designers to develop a system that can be implanted inside the eye [90]. A typical retina implant procedure is as follows: “[s]urgeons make a pinpoint opening in the retina to inject fluid in order to lift a portion of the retina from the back of the eye, creating a pocket to accommodate the chip. The retina is resealed over the chip, and doctors inject air into the middle of the eye to force the retina back over the device and close the incisions” [91] (Fig. 17).

 

Brothers Alan and Vincent Chow, one an engineer, the other an ophthalmologist, developed the artificial silicon retina (ASR) and began the company Optobionics Corporation in 1990. This was a marriage between biology and engineering: “In landmark surgeries at the University of Illinois at Chicago Medical Center …the first artificial retinas made from silicon chips were implanted in the eyes of two blind patients who have lost almost all of their vision because of retinal disease.” In 1993, Branwyn [92, p. 3] reported that a team at the National Institutes of Health (NIH) led by Dr. Hambrecht, implanted a 38-electrode array into a blind female's brain. It was reported that she saw simple light patterns and was able to make out crude letters. The following year the same procedure was conducted by another group on a blind male resulting in the man seeing a black dot with a yellow ring around it. Rizzo of Harvard Medical School's Massachusetts Eye and Ear Infirmary (Boston, MA) has cautioned that it is better to talk down the possibilities of the retina implant so as not to give false hopes. The professor himself had expressed that they are dealing with “science fiction stuff” and that there are no long-term guarantees that the technology will ever fully restore sight, although significant progress is being made by a number of research institutes [93, p. 5].

Among these pioneers are researchers at The Johns Hopkins University Medical Center (Baltimore, MD). Brooks [94, p. 4] describes how the retina chip developed by the medical center will work: “a kind of miniature digital camera…is placed on the surface of the retina. The camera relays information about the light that hits it to a microchip implanted nearby. This chip then delivers a signal that is fed back to the retina, giving it a big kick that stimulates it into action. Then, as normal, a signal goes down the optic nerve and sight is at least partially restored.” In 2009, at the age of 56, Barbara Campbell had an array of electrodes implanted in each eye [95] and while her sight is nowhere near fully restored, she is able to make out shapes and see shades of light and dark. Experts believe that this approach is still more realistic in restoring sight to those suffering from particular types of blindness, even more than stem cell therapy, gene therapy, or eye transplants [96] where the risks still outweigh the advantages.

C. Tapping Into the Heart and Brain

Fig. 18. An artificial pacemaker from St. Jude Medical (St. Paul, MN), with electrode 2007. Courtesy of Steven Fruitsmaak.

If it was possible as far back as 1958 to successfully implant two transistors the size of an ice hockey puck in the heart of a 43 year old man [97], the things that will become possible by 2020 are constrained by the imagination as much as by technological limitations. Heart pacemakers (Fig. 18) are still being further developed today, but for the greater part, researchers are turning their attention to the possibilities of brain pacemakers. In the foreseeable future brain implants may help sufferers of Parkinson's, paralysis, nervous system problems, speech-impaired persons, and even cancer patients. The research is still in its formative years and the obstacles are great because of the complexity of the brain; but scientists are hopeful of major breakthroughs in the next 20 years.

 

The brain pacemaker endeavors are bringing together people from a variety of disciplines, headed mainly by neurosurgeons. By using brain implants electrical pulses can be sent directly to nerves via electrodes. The signals can be used to interrupt incoherent messages to nerves that cause uncontrollable movements or tremors. By tapping into the right nerves in the brain, particular reactions can be achieved. Using a technique that was discovered almost accidentally in France in 1987, the following extract describes the procedure of “tapping into” the brain: “Rezai and a team of functional neurosurgeons, neurologists and nurses at the Cleveland Clinic Foundation in Ohio had spent the next few hours electronically eavesdropping on single cells in Joan's brain attempting to pinpoint the precise trouble spot that caused a persistent, uncontrollable tremor in her right hand. Once confident they had found the spot, the doctors had guided the electrode itself deep into her brain, into a small duchy of nerve cells within the thalamus. The hope was that when sent an electrical current to the electrode, in a technique known as deep-brain stimulation, her tremor would diminish, and perhaps disappear altogether” [98]. Companies such as Medtronic Incorporated of Minnesota (Minneapolis, MN) now specialize in brain pacemakers [98]. Medtronic's Activa implant has been designed specifically for sufferers of Parkinson's disease [93].

More recently, there has been some success with ameliorating epileptic attacks through closed-loop technology, also known as smart stimulation. The implant devices can detect an onset of epileptiform activity through a demand-driven process. This means that the battery power in the active implant lasts longer because of increased efficiency, i.e., it is not always stimulating in anticipation of an attack, and adverse effects of having to remove and install new implants more frequently are forgone [99]. Similarly, it has been said that technology such as deep brain stimulation, which has physicians implant electrodes in the brain and electrical pacemakers in the patient's clavicle for Parkinson's Disease, may well be used to overcome problems with severely depressed persons [100].

Currently, the technology is being used to treat thousands of people who are severely depressed or suffering from obsessive compulsive disorder (OCD) who have been unable to respond to other forms of treatment such as cognitive behavioral therapy (CBT) [101]. It is estimated that 10% of people suffering from depression do not respond to conventional methods. Although hard figures are difficult to obtain, several thousands of depressed persons worldwide have had brain pacemakers installed that have software which can be updated wirelessly and remotely. The trials have been based on decades of research by Prof. Helen Mayberg, from Emory University School of Medicine (Atlanta, GA), who first began studying the use of subcallosal cingulate gyrus deep brain stimulation (SCG DBS) for depression in 1990.

In her research, Mayberg has used a device that is no larger than a matchbox with a battery-powered generator that sits in the chest and produces electric currents. The currents are sent to an area deep in the brain via tiny wires which are channeled under the skin on either side of the neck. Surprisingly the procedure to have this type of implant installed only requires local anesthetic and is an outpatient procedure. In 2005, Mayberg told a meeting at the Science Media Centre in London: “This is a very new way to think about the nature of depression …We are not just exciting the brain, we are using electricity to retune and remodulate…We can interrupt or switch off an abnormally functioning circuit” [102].

Ongoing trials today continue to show promising results. The outcome of a 20-patient clinical trial of persons with depression treated with SCG DBS published in 2011, showed that: “At 1 year, 11 (55%) responded to surgery with a greater than 50% reduction in 17-item Hamilton Depression Scale scores. Seven patients (35%) achieved or were within 1 point of achieving remission (scores < 8). Of note, patients who responded to surgery had a significant improvement in mood, anxiety, sleep, and somatic complains related to the disease. Also important was the safety of the procedure, with no serious permanent adverse effects or changes in neuropsychological profile recorded” [103].

Despite the early signs that these procedures may offer long-term solutions for hundreds of thousands of people, some research scientists believe that tapping into the human brain is a long shot. The brain is commonly understood to be “wetware” and plugging in hardware into this “wetware” would seem to be a type mismatch, at least according to Steve Potter, a senior research fellow in biology working at the California Institute of Technology's Biological Imaging Center (Pasadena, CA). Instead Potter is pursuing the cranial route as a “digital gateway to the brain” [88]. Others believe that it is impossible to figure out exactly what all the millions of neurons in the brain actually do. Whether we eventually succeed in “reverse-engineering” the human brain, the topic of implants for both therapeutic and enhancement purposes has aroused significant controversy in the past, and promises to do so even more in the future.

D. Attempting to Overcome Paralysis

In more speculative research, surgeons believe that brain implants may be a solution for persons who are suffering from paralysis, such as spinal cord damage. In these instances, the nerves in the legs are still theoretically “working”; it is just that they cannot make contact with the brain which controls their movement. If somehow signals could be sent to the brain, bypassing the lesion point, it could conceivably mean that paralyzed persons regain at least part of their capability to move [104]. In 2000, Reuters [105] reported that a paralyzed Frenchman (Marc Merger) “took his first steps in 10 years after a revolutionary operation to restore nerve functions using a microchip implant…Merger walks by pressing buttons on a walking frame which acts as a remote control for the chip, sending impulses through fine wires to stimulate legs muscles…” It should be noted, however, that the system only works for paraplegics whose muscles remain alive despite damage to the nerves. Yet there are promising devices like the Bion that may one day be able to control muscle movement using RF commands [106]. Brooks [94] reports that researchers at the University of Illinois in Chicago (Chicago, IL) have “invented a microcomputer system that sends pulses to a patient's legs, causing the muscles to contract. Using a walker for balance, people paralyzed from the waist down can stand up from a sitting position and walk short distances…Another team, based in Europe…enabled a paraplegic to walk using a chip connected to fine wires in his legs.” These techniques are known as functional neuromuscular stimulation systems [107]. In the case of Australian Rob Summers, who became a paraplegic after an accident, doctors implanted an epidural stimulator and electrodes into his spinal cord. “The currents mimic those normally sent by the brain to initiate movement” [108].

Others working to help paraplegics to walk again have invested time in military technology like exoskeletons [109] meant to aid soldiers in lifting greater weights, and also to protect them during battle. Ekso Bionics (Berkeley, CA), formerly Berkeley Bionics, has been conducting trials of an electronic suit in the United States since 2010. The current Ekso model will be fully independent and powered by artificial intelligence in 2012. The Ekso “provides nearly four hours of battery power to its electronic legs, which replicate walking by bending the user's knees and lifting their legs with what the company claims is the most natural gait available today” [110]. This is yet another example of how military technology has been commercialized toward a health solution [111].

E. Granting a Voice to the Speech Impaired

Speech-impairment microchip implants work differently than cochlear and retina implants. Whereas in the latter two, hearing and sight is restored, in implants for speech impairment the voice is not restored, but an outlet for communication is created, possibly with the aid of a voice synthesizer. At Emory University, neurosurgeon Roy E. Bakay and neuroscientist Phillip R. Kennedy were responsible for critical breakthroughs early in the research. In 1998, Versweyveld [112] reported two successful implants of a neurotrophic electrode into the brain of a woman and man who were suffering from amyotrophic lateral sclerosis (ALS) and brainstem stroke, respectively. In an incredible process, Bakay and Kennedy's device uses the patient's brain processes—thoughts, if you will—to move a cursor on a computer screen. “The computer chip is directly connected with the cortical nerve cells…The neural signals are transmitted to a receiver and connected to the computer in order to drive the cursor” [112]. This procedure has major implications for brain–computer interfaces (BCIs), especially bionics. Bakay predicted that by 2010 prosthetic devices will grant patients that are immobile the ability to turn on the TV just by thinking about it and by 2030 to grant severely disabled persons the ability to walk independently [112], [113].

F. Biochips for Diagnosis and Smart Pills for Drug Delivery

It is not unlikely that biochips will be implanted in people at birth in the not too distant future. “They will make individual patients aware of any pre-disposition to susceptibility” [114]. That is, biochips will be used for point-of-care diagnostics and also for the identification of needed drugs, even to detect pandemic viruses and biothreats for national security purposes [115]. The way that biosensors work is that they “represent the technological counterpart of our sense organs, coupling the recognition by a biological recognition element with a chemical or physical transducer, transferring the signal to the electrical domain” [116]. Types of biosensors include enzymes antibodies, receptors, nucleic acids, cells (using a biochip configuration), biomimetic sequences of RNA (ribonucleic) or DNA (deoxyribonucleic), and molecularly imprinted polymers (MIPs). Biochips, on the other hand, “automate highly repetitive laboratory tasks by replacing cumbersome equipment with miniaturized, microfluidic assay chemistries combined with ultrasensitive detection methodologies. They achieve this at significantly lower costs per assay than traditional methods—and in a significantly smaller amount of space. At present, applications are primarily focused on the analysis of genetic material for defects or sequence variations” [117].

with response to treatment for illness, drug delivery will not require patients to swallow pills or take routine injections; instead chemicals will be stored on a microprocessor and released as prescribed. The idea is known as “pharmacy-on-a-chip” and was originated by scientists at the Massachusetts Institute of Technology (MIT, Cambridge, MA) in 1999 [118]. The following extract is from The Lab[119]: “Doctors prescribing complicated courses of drugs may soon be able to implant microchips into patients to deliver timed drug doses directly into their bodies.”

Microchips being developed at Ohio State University (OSU, Columbus, OH) can be swathed with chemical substances such as pain medication, insulin, different treatments for heart disease, or gene therapies, allowing physicians to work at a more detailed level [119]. The breakthroughs have major implications for diabetics, especially those who require insulin at regular intervals throughout the day. Researchers at the University of Delaware (Newark, DE) are working on “smart” implantable insulin pumps that may relieve people with Type I diabetes [120]. The delivery would be based on a mathematical model stored on a microchip and working in connection with glucose sensors that would instruct the chip when to release the insulin. The goal is for the model to be able to simulate the activity of the pancreas so that the right dosage is delivered at the right time.

Fig. 19. The VeriChip microchip, the first microchip implant to be cleared by the U.S. Food and Drug Administration (FDA) for humans, is a passive microchip that contains a 16-digit number, which can be used to retrieve critical medical information on a patient from a secure online database. The company that owns the VeriChip technology is developing a microscopic glucose sensor to put on the end of the chip to eliminate a diabetic's need to draw blood to get a blood glucose reading. Courtesy of PositiveID Corporation.

Beyond insulin pumps, we are now nearing a time where automated closed-loop insulin detection (Fig. 19) and delivery will become a tangible treatment option and may serve as a temporary cure for Type I diabetes until stem cell therapy becomes available. “Closed-loop insulin delivery may revolutionize not only the way diabetes is managed but also patients' perceptions of living with diabetes, by reducing the burden on patients and caregivers, and their fears of complications related to diabetes, including those associated with low and high glucose levels” [121]. It is only a matter of time before these lab-centric results are replicated in real-life conditions in sufferers of Type 1 diabetes.

 

 

G. To Implant or Not to Implant, That Is the Question

There are potentially 500 000 hearing impaired persons that could benefit from cochlear implants [122] but not every deaf person wants one [123]. “Some deaf activists…are critical of parents who subject children to such surgery [cochlear implants] because, as one charged, the prosthesis imparts ‘the non-healthy self-concept of having had something wrong with one's body’ rather than the ‘healthy self-concept of [being] a proud Deaf’” [124]. Assistant Professor Scott Bally of Audiology at Gallaudet University (Washington, DC) has said, “Many deaf people feel as though deafness is not a handicap. They are culturally deaf individuals who have successfully adapted themselves to being deaf and feel as though things like cochlear implants would take them out of their deaf culture, a culture which provides a significant degree of support” [92]. Putting this delicate debate aside, it is here that some delineation can be made between implants that are used to treat an ailment or disability (i.e., giving sight to the blind and hearing to the deaf), and implants that may be used for enhancing human function (i.e., memory). There are some citizens, like Amal Graafstra of the United States [125], who are getting chip implants for convenience-oriented social living solutions that would instantly herald in a world that had keyless entry everywhere (Fig. 20). And there are other citizens who are concerned about the direction of the human species, as credible scientists predict fully functional neural implants. “[Q]uestions are raised as to how society as a whole will relate to people walking around with plugs and wires sprouting out of their heads. And who will decide which segments of the society become the wire-heads” [92]?

 

Fig. 20. Amal Graafstra demonstrating an RFID-operated door latch application he developed. Over the RFID tag site on his left hand is a single steristrip that remained after implantation for a few days. His right hand is holding the door latch.

 

SECTION V. Überveillance and Function Creep

Section IV focused on implants that were attempts at “orthopedic replacements”: corrective in nature, required to repair a function that is either lying dormant or has failed altogether. Implants of the future, however, will attempt to add new “functionality” to native human capabilities, either through extensions or additions. Globally acclaimed scientists have pondered on the ultimate trajectory of microchip implants [126]. The literature is admittedly mixed in its viewpoints of what will and will not be possible in the future [127].

for those of us working in the domain of implantables for medical and nonmedical applications, the message is loud and clear: implantables will be the next big thing. At first, it will be “hip to get a chip.” The extreme novelty of the microchip implant will mean that early adopters will race to see how far they can push the limits of the new technology. Convenience solutions will abound [128]. Implantees will not be able to get enough of the new product and the benefits of the technology will be touted to consumers in a myriad of ways, although these perceived benefits will not always be realized. The technology will probably be first tested where there will be the least effective resistance from the community at large, that is, on prison inmates [129], then those suffering from dementia. These incremental steps in pilot trials and deployment are fraught with moral consequences. Prisoners cannot opt out from jails adopting tracking technology, and those suffering from cognitive disorders have not provided and could not provide their consent. from there it will conceivably not take long for it to be used on the elderly and in children and on those suffering from clinical depression.

The functionality of the implants will range from passive ID-only to active multiapplication, and most invasive will be the medical devices that can upon request or algorithmic reasoning release drugs or electrically stimulate the body for mental and physical stability. There will also be a segment of the consumer and business markets who will adopt the technology for no clear reason and without too much thought, save for the fact that the technology is new and seems to be the way advanced societies are heading. This segment will probably not be overly concerned with any discernible abridgement of their human rights or the fine-print “terms and conditions” agreement they have signed, but will take an implant on the promise that they will have greater connectivity to the Internet, for example. These consumers will thrive on ambient intelligence, context-aware pervasive applications, and an augmented reality—ubiquity in every sense.

But it is certain that the new technology will also have consequences far greater than what we can presently envision. Questions about the neutrality of technology are immaterial in this new “plugged-in” order of existence. for Brin [130, p. 334], the question ultimately has to do with the choice between privacy and freedom. In his words, “[t]his is one of the most vile dichotomies of all. And yet, in struggling to maintain some beloved fantasies about the former, we might willingly, even eagerly, cast the latter away.” And thus there are two possibilities, just as Brin [130] writes in his amazingly insightful book, The Transparent Society, of “the tale of two cities.” Either implants embedded in humans which require associated infrastructure will create a utopia where there is built-in intelligence for everything and everyone in every place, or implants embedded in humans will create a dystopia which will be destructive and will diminish one's freedom of choice, individuality, and finally that indefinable essence which is at the core of making one feel “human.” A third possibility—the middle-way between these two alternatives—would seem unlikely, excepting for the “off the grid” dissenter.

In Section V-A, we portray some of the attractions people may feel that will draw them into the future world of implanted technologies. In Section V-B, we portray some of the problems associated with implanting technology under the skin that would drive people away from opting in to such a future.

A. The Positive Possibilities

Bearing a unique implant will make the individual feel special because they bear a unique ID. Each person will have one implant which will coordinate hundreds of smaller nanodevices, but each nanodevice will have the capacity to act on its own accord. The philosophy espoused behind taking an implant will be one of protection: “I bear an implant and I have nothing to hide.” It will feel safe to have an implant because emergency services, for example, will be able to rapidly respond to your calls for help or any unforeseen events that automatically log problems to do with your health.

Fewer errors are also likely to happen if you have an implant, especially with financial systems. Businesses will experience a rise in productivity as they will understand how precisely their business operates to the nearest minute, and companies will be able to introduce significant efficiencies. Losses in back-end operations, such as the effects of product shrinkage, will diminish as goods will be followed down the supply chain from their source to their destination customer, through the distribution center and retailer.

It will take some years for the infrastructure supporting implants to grow and thrive with a substantial consumer base. The function creep will not become apparent until well after the early majority have adopted implants and downloaded and used a number of core applications to do with health, banking, and transport which will all be interlinked. New innovations will allow for a hybrid device and supplementary infrastructure to grow so powerful that living without automated tracking, location finding, and condition monitoring will be almost impossible.

B. The Existential Risks

It will take some years for the negative fallout from microchip implants to be exposed. At first only the victims of the fallout will speak out through formal exception reports on government agency websites. The technical problems associated with implants will pertain to maintenance, updates, viruses, cloning, hacking, radiation shielding, and onboard battery problems. But the greater problems will be the impact on the physiology and mental health of the individual: new manifestations of paranoia and severe depression will lead to people continually wanting reassurance about their implant's functionality. Issues about implant security, virus detection, and a personal database which is error free will be among the biggest issues facing implantees. Despite this, those who believe in the implant singularity (the piece of embedded technology that will give each person ubiquitous access to the Internet) will continue to stack up points and rewards and add to their social network, choosing rather to ignore the warnings of the ultimate technological trajectory of mind control and geoslavery [131]. It will have little to do with survival of the fittest at this point, although most people will buy into the notion of an evolutionary path toward the Homo Electricus [132]: a transhumanist vision [133] that we can do away with the body and become one with the Machine, one with the Cosmos—a “nuts and bolts” Nirvana where one's manufactured individual consciousness connects with the advanced consciousness evolving from the system as a whole. In this instance, it will be the ecstatic experience of being drawn ever deeper into the electric field of the “Network.”

Some of the more advanced implants will be able to capture and validate location-based data, alongside recordings (visual and audio capture). The ability to conduct überveillance via the implant will be linked to a type of blackbox recorder as in an airplane's cockpit. Only in this case the cockpit will be the body, and the recorder will be embedded just beneath the translucent layer of the skin that will be used for memory recollection and dispute resolution. Outwardly ensuring that people are telling the full story at all times, there will be no lies or claims to poor memory. Überveillance is an above and beyond, an exaggerated, an omnipresent 24/7 electronic surveillance (Fig. 21). It is a surveillance that is not only “always on” but “always with you.” It is ubiquitous because the technology that facilitates it, in its ultimate implementation, is embedded within the human body. The problem with this kind of bodily invasive surveillance is that omnipresence in the “material” world will not always equate with omniscience, hence the real concern for misinformation, misinterpretation, and information manipulation [7]. While it might seem like the perfect technology to aid in real-time forensic profiling and criminalization, it will be open to abuse, just like any other technique, and more so because of the preconception that it is infallible.

 

Fig. 21.The überveillance triquetra as the intersection of surveillance, dataveillance, and sousveillance. Courtesy of Alexander Hayes.

 

SECTION VI. Technology Roadmapping

According to Andrews cited in [1], a second intellectual current within the IEEE SSIT has begun to emerge which is more closely aligned with most of the IEEE technical societies, as well as economics and business. The proponents of this mode participate in “technology foresight” and “roadmapping” activities, and view technology more optimistically, looking to foster innovation without being too concerned about its possible negative effects [1, p. 14]. Braun [134, p. 133] writes that “[f]orecasts do not state what the future will be…they attempt to glean what it might be.” Thus, one with technology foresight can be trusted insofar as their knowledge and judgment go—they may possess foresight through their grasp of current knowledge, through past experiences which inform their forecasts, and through raw intuition.

Various MIT Labs, such as the Media Lab, have been engaged in visionary research since before 1990, giving society a good glimpse of where technology might be headed some 20–30 years ahead of time. It is from such elite groups that visionaries typically emerge whose main purpose is to envision the technologies that will better our wellbeing and generally make life more productive and convenient in the future. Consider the current activities of the MIT Media Lab's Affective Computing Research Group directed by Prof. Rosalind W. Picard that is working hard on technology aids encapsulating “affect sensing” in response to the growing problem of autism [135]. The Media Lab was founded in 1985 by Nicholas Negroponte and Jerome Wiesner to promote research into novel uses of computer technology. The work of Picard's group was made possible by the foundations laid by the Media Lab's predecessor researchers.

On the global technological roadmap we can now point to the following systems which are already under development but have not yet been widely diffused into the market:

  • alternative fuels heralding in innovations like electric cars which are self-driving, and ocean-powered energy, as well as rise of biofuels;

  • the potential for 3-D printing which will revolutionize prototyping and manufacturing practices and possibly reconstruct human tissue;

  • hologram projections for videoconferencing and televisions that respond to gestures as well as pen-sized computing which will do away with keyboards and screens;

  • quantum computing and cryptography;

  • next-generation prosthetics (Fig. 22);

  • cognitive machines such as robot humanoids;

  • carbon nanotubes and nanotech computing which will make our current silicon chips look gargantuan;

  • genetic engineering breakthroughs and regenerative health treatment such as stem cell treatment;

  • electronic banking that will not use physical cash for transactions but the singularity chip (e.g., implant);

  • ubiquitous high-speed wireless networks;

  • crowdsourced surveillance toward real-time forensic profiling and criminalization;

  • autogeneration visual life logs and location chronicles;

  • enhanced batteries that last longer;

  • body power to charge digital equipment [136];

  • brainwave-based technologies in health/gaming;

  • brain-reading technology for interrogation [137].

 

Fig. 22. Army Reserve Staff Sgt. Alfredo De Los Santos displays what the X2 microprocessor knee prosthetic can do by walking up a flight of stairs at the Military Advanced Training Center at Walter Reed Army Medical Center (Washington, DC), December 8, 2009. Patients at Walter Reed are testing next-generation prosthetics. Courtesy of the U.S. Army.

It is important to note that while these new inventions have the ability to make things faster and better for most living in more developed countries, they can act to increase the ever-widening gap between the rich and the poor. New technologies will not necessarily aid in eradicating the poverty cycle in parts of Africa and South America. In fact, new technologies can have the opposite effect—they can create an ever greater chasm in equity and access to knowledge.

Technology foresight is commonly held by one who is engaged in the act of prediction. Predictive studies more often than not are based on past and present trends and use this knowledge for providing a roadmap of future possibilities. There is some degree of imagination in prediction, and certainly the creative element is prevalent. Predictions are not meant to be wild, but calculated wisely with evidence that shows a given course or path is likely in the future. However, this does not mean that all predictions come true. Predictive studies can be about new inventions and new form factors, or the recombination of existing innovations in new ways (hybrid architectures, for example), or the mutation of an existing innovation. Some elements of predictive studies have heavy quantitative forecasting components that use complex models to predict the introduction of new innovations, some even based on historical data inputs.

Before an invention has been diffused into the market, scenario planning is conducted to understand how the technology might be used, who might take it up, and what percentage of society will be willing to adopt the product over time (i.e., consumption analysis). “Here the emphasis is on predicting the development of the technology and assessing its potential for adoption, including an analysis of the technology's market” [138, p. 328].

Even the founder of Microsoft Bill Gates [139, p. 274] accepted that his predictions may not come true. But his insights in the Road Ahead are to be commended, even though they were understandably broad. Gates wrote, “[t]he information highway will lead to many destinations. I've enjoyed speculating about some of these. Doubtless I've made some foolish predictions, but I hope not too many.” Allaby [140, p. 206] writes, “[f]orecasts deal in possibilities, not inevitabilities, and this allows forecasters to explore opportunities.”

for the greater part, forecasters raise challenging issues that are thought provoking, about how existing inventions or innovations will impact society. They give scenarios for the technology's projected pervasiveness, how they may affect other technologies, what potential benefits or drawbacks they may introduce, how they will affect the economy, and much more.

Kaku [141, p. 5] has argued, “that predictions about the future made by professional scientists tend to be based much more substantially on the realities of scientific knowledge than those made by social critics, or even those by scientists of the past whose predictions were made before the fundamental scientific laws were completely known.” He believes that among the scientific body today there is a growing concern regarding predictions that for the greater part come from consumers of technology rather than those who shape and create it. Kaku is, of course, correct, insofar that scientists should be consulted since they are the ones actually making things possible after discoveries have occurred. But a balanced view is necessary and extremely important, encompassing various perspectives of different disciplines.

In the 1950s, for instance, when technical experts forecasted improvements in computer technology, they envisaged even larger machines—but science fiction writers predicted microminiaturization. They “[p]redicted marvels such as wrist radios and pocket-sized computers, not because they foresaw the invention of the transistor, but because they instinctively felt that some kind of improvement would come along to shrink the bulky computers and radios of that day” (Bova, 1988, quoted in [142, p. 18]). The methodologies used as vehicles to predict in each discipline should be respected. The question of who is more correct in terms of predicting the future is perhaps the wrong question. for example, some of Kaku's own predictions in Visions can be found in science fiction movies dating back to the 1960s.

In speculating about the next 500 years, Berry [142, p. 1] writes, “[p]rovided the events being predicted are not physically impossible, then the longer the time scale being considered, the more likely they are to come true…if one waits long enough everything that can happen will happen.”

 

SECTION VII.THE NEXT 50 YEARS: BRAIN–COMPUTER INTERFACE

When Ellul [143, p. 432] in 1964 predicted the use of “electronic banks” in his book The Technological Society, he was not referring to the computerization of financial institutions or the use of automatic teller machines (ATMs). Rather it was in the context of the possibility of the dawn of a new entity: the conjoining of man with machine. Ellul was predicting that one day knowledge would be accumulated in electronic banks and “transmitted directly to the human nervous system by means of coded electronic messages…[w]hat is needed will pass directly from the machine to the brain without going through consciousness…” As unbelievable as this man–machine complex may have sounded at the time, 45 years later visionaries are still predicting that such scenarios will be possible by the turn of the 22nd century. A large proportion of these visionaries are cyberneticists. Cybernetics is the study of nervous system controls in the brain as a basis for developing communications and controls in sociotechnical systems. Parenthetically, in some places writers continue to confuse cybernetics with robotics; they might overlap in some instances, but they are not the same thing.

Kaku [141, pp. 112–116] observes that scientists are working steadily toward a brain–computer interface (Fig. 23). The first step is to show that individual neurons can grow on silicon and then to connect the chip directly to a neuron in an animal. The next step is to mimic this connectivity in a human, and the last is to decode millions of neurons which constitute the spinal cord in order to interface directly with the brain. Cyberpunk science fiction writers like William Gibson [144] refer to this notion as “jacking-in” with the wetware: plugging in a computer cable directly with the central nervous system (i.e., with neurons in the brain analogous to software and hardware) [139, p. 133].

 

Fig.&nbsp;23.&nbsp; Brain–computer interface schema. (1) Pedestal. (2) Sensor. (3) Electrode. Courtesy of Balougador under creative commons license.

Fig. 23. Brain–computer interface schema. (1) Pedestal. (2) Sensor. (3) Electrode. Courtesy of Balougador under creative commons license.

In terms of the current state of development we can point to the innovation of miniature wearable media, orthopedic replacements (including pacemakers), bionic prosthetic limbs, humanoid robots (i.e., a robot that looks like a human in appearance and is autonomous), and RFID implants. Traditionally, the term cyborg has been used to describe humans who have some mechanical parts or extensions. Today, however, we are on the brink of building a new sentient being, a bearer of electricity, a modern man belonging to a new race, beyond that which can be considered merely part man part machine. We refer here to the absolute fusion of man and machine, where the subject itself becomes the object; where the toolmaker becomes one with his tools [145]. The question at this point of coalescence is how human will the new species be [146], and what are the related ethical, metaphysical, and ontological concerns? Does the evolution of the human race as recorded in history come to an end when technology can be connected to the body in a wired or wireless form?

A. From Prosthetics to Amplification

Fig.&nbsp;24.&nbsp; Cyborg 2.0 Project. Kevin Warwick with wife Irena during the Cyborg 2.0 project. Courtesy of Kevin Warwick.

Fig. 24. Cyborg 2.0 Project. Kevin Warwick with wife Irena during the Cyborg 2.0 project. Courtesy of Kevin Warwick.

While orthopedic replacements corrective in nature have been around since the 1950s [147] and are required to repair a function that is either lying dormant or has failed altogether, implants of the future will attempt to add new functionality to native human capabilities, either through extensions or additions. Warwick's Cyborg 2.0 project [148], for instance, intended to prove that two persons with respective implants could communicate sensation and movement by thoughts alone. In 2002, the BBC reported that a tiny silicon square with 100 electrodes was connected to the professor's median nerve and linked to a transmitter/receiver in his forearm. Although, “Warwick believe[d] that when he move[d] his own fingers, his brain [would] also be able to move Irena's” [104, p. 1], the outcome of the experiment was described at best as sending “Morse-code” messages (Fig. 24). Warwick [148] is still of the belief that a person's brain could be directly linked to a computer network [149]. Commercial players are also intent on keeping ahead, continually funding projects in this area of research.

 

If Warwick is right, then terminals like telephones would eventually become obsolete if thought-to-thought communication became possible. Warwick describes this as “putting a plug into the nervous system” [104] to be able to allow thoughts to be transferred not only to another person but to the Internet and other media. While Warwick's Cyborg 2.0 may not have achieved its desired outcomes, it did show that a form of primitive Morse-code-style nervous-system-to-nervous-system communication is realizable [150]. Warwick is bound to keep trying to achieve his project goals given his philosophical perspective. And if Warwick does not succeed, he will have at least left behind a legacy and enough stimuli for someone else to succeed in his place.

 

B. The Soul Catcher Chip

The Soul Catcher chip was conceived by former Head of British Telecom Research, Peter Cochrane. Cochrane [151, p. 2] believes that the human body is merely a carcass that serves as a transport mechanism just like a vehicle, and that the most important part of our body is our brain (i.e., mind). Similarly, Miriam English has said: “I like my body, but it's going to die, and it's not a choice really I have. If I want to continue, and I want desperately to see what happens in another 100 years, and another 1000 years…I need to duplicate my brain in order to do that” [152]. Soul Catcher is all about the preservation of a human, way beyond the point of physical debilitation. The Soul Catcher chip would be implanted in the brain, and act as an access point to the external world [153]. Consider being able to download the mind onto computer hardware and then creating a global nervous system via wireless Internet [154] (Fig. 25). Cochrane has predicted that by 2050 downloading thoughts and emotions will be commonplace. Billinghurst and Starner [155, p. 64]predict that this kind of arrangement will free up the human intellect to focus on creative rather than computational functions.

 

Fig. 25. Ray Kurzweil predicts that by 2013 supercomputer power will be sufficient for human brain functional simulation and by 2025 for human brain neural simulation for uploading. Courtesy of Ray Kurzweil and Kurzweil Technologies 2005.

Cochrane's beliefs are shared by many others engaged in the transhumanist movement (especially Extropians like Alexander Chislenko). Transhumanism (sometimes known by the abbreviations “> H” or “H+”) is an international cultural movement that consists of intellectuals who look at ways to extend life through the application of emerging sciences and technologies. Minsky [156] believes that this will be the next stage in human evolution—a way to achieve true immortality “replacing flesh with steel and silicon” [141, p. 94]. Chris Winter of British Telecom has claimed that Soul Catcher will mean “the end of death.” Winter predicts that by 2030, “[i]t would be possible to imbue a newborn baby with a lifetime's experiences by giving him or her the Soul Catcher chip of a dead person” [157]. The philosophical implications behind such movements are gigantic; they reach deep into every branch of traditional philosophy, especially metaphysics with its special concerns over cosmology and ontology.

 

SECTION VIII. The Next 100 Years: Homo Electricus

A. The Rise of the Electrophorus

Fig.&nbsp;26.&nbsp; Drawing showing the operation of an Electrophorus, a simple manual electrostatic generator invented in 1762 by Swedish Professor Johan Carl Wilcke. Image by Amédée Guillemin (died 1893).

Fig. 26. Drawing showing the operation of an Electrophorus, a simple manual electrostatic generator invented in 1762 by Swedish Professor Johan Carl Wilcke. Image by Amédée Guillemin (died 1893).

Microchip implants are integrated circuit devices encased in RFID transponders that can be active or passive and are implantable into animals or humans usually in the subcutaneous layer of the skin. The human who has been implanted with a microchip that can send or receive data is an Electrophorus, a bearer of “electric” technology [158]. The Macquarie Dictionary definition of “electrophorus” is “an instrument for generating static electricity by means of induction,” and refers to an instrument used in the early years of electrostatics (Fig. 26).

 

We have repurposed the term electrophorus to apply to humans implanted with microchips. One who “bears” is in some way intrinsically or spiritually connected to that which they are bearing, in the same way an expecting mother is to the child in her womb. The root electro comes from the Greek word meaning “amber,” and phorus means to “wear, to put on, to get into” [159, p. 635]. When an Electrophorus passes through an electromagnetic zone, he/she is detected and data can be passed from an implanted microchip (or in the future directly from the brain) to a computer device.

To electronize something is “to furnish it with electronic equipment” and electrotechnology is “the science that deals with practical applications of electricity.” The term “electrophoresis” has been borrowed here, to describe the “electronic” operations that an electrophorus is involved in. McLuhan and Zingrone [160, p. 94] believed that “electricity is in effect an extension of the nervous system as a kind of global membrane.” They argued that “physiologically, man in the normal use of technology (or his variously extended body) is perpetually modified by it and in turn finds ever new ways of modifying his technology” [161, p. 117].

The term “electrophorus” seems to be much more suitable today for expressing the human-electronic combination than the term “cyborg.” “Electrophorus” distinguishes strictly electrical implants from mechanical devices such as artificial hips. It is not surprising then that these crucial matters of definition raise philosophical and sociological questions of consciousness and identity, which science fiction writers have been addressing creatively. The Electrophorus belongs to the emerging species of Homo Electricus. In its current state, the Electrophorus relies on a device being triggered wirelessly when it enters an electromagnetic field. In the future, the Electrophorus will act like a network element or node, allowing information to pass through him or her, to be stored locally or remotely, and to send out messages and receive them simultaneously and allow some to be processed actively, and others as background tasks.

At the point of becoming an Electrophorus (i.e., a bearer of electricity), Brown [162] makes the observation that “[y]ou are not just a human linked with technology; you are something different and your values and judgment will change.” Some suspect that it will even become possible to alter behavior of people carrying brain implants, whether the individual wills it or not. Maybury [163]believes that “[t]he advent of machine intelligence raises social and ethical issues that may ultimately challenge human existence on earth.”

B. The Prospects of Transhumanism

Fig.&nbsp;27.&nbsp; The transhumanism symbol. Courtesy of Antonu under Creative Commons license.

Fig. 27. The transhumanism symbol. Courtesy of Antonu under Creative Commons license.

Thought-to-thought communications may seem outlandish today, but it is only one of many futuristic hopes of the movement termed transhumanism. Probably the most representative organization for this movement is the World Transhumanist Association (WTA), which recently adopted the doing-business-as name of “Humanity+” (Fig. 27). The WTA's website [164] carries the following succinct statement of what transhumanism is, penned originally by Max More in 1990: “Transhumanism is a class of philosophies of life that seek the continuation and acceleration of the evolution of intelligent life beyond its currently human form and human limitations by means of science and technology, guided by life-promoting principles and values.” Whether transhumanism yet qualifies as a philosophy, it cannot be denied that it has produced its share of both proponents and critics.

 

Proponents of transhumanism claim that the things they want are the things everyone wants: freedom from pain, freedom from suffering, freedom from all the limitations of the human body (including mental as well as physical limitations), and ultimately, freedom from death. One of the leading authors in the transhumanist movement is Ray Kurzweil, whose 652-page book The Singularity Is Near [165] prophesies a time in the not-too-distant future when evolution will accelerate exponentially and bring to pass all of the above freedoms as “the matter and energy in our vicinity will become infused with the intelligence, knowledge, creativity, beauty, and emotional intelligence (the ability to love, for example) of our human-machine civilization. Our civilization will then expand outward, turning all the dumb matter and energy we encounter into sublimely intelligent—transcendent—matter and energy” [165, p. 389].

Despite the almost theological tone of the preceding quote, Kurzweil has established a sound track record as a technological forecaster, at least when it comes to Moore's-Law-type predictions of the progress of computing power. But the ambitions of Kurzweil [178] and his allies go far beyond next year's semiconductor roadmap to encompass the future of all humanity. If the fullness of the transhumanist vision is realized, the following achievements will come to pass:

  • human bodies will cease to be the physical instantiation of human minds, replaced by as-yet-unknown hardware with far greater computational powers than the present human brain;

  • human minds will experience, at their option, an essentially eternal existence in a world free from the present restrictions of material embodiment in biological form;

  • limitations on will, intelligence, and communication will all be overcome, so that to desire a thing or experience will be to possess it.

The Transhumanist Declaration, last modified in 2009 [166], recognizes that these plans have potential downsides, and calls for reasoned debate to avoid the risks while realizing the opportunities. The sixth item in the Declaration, for example, declares that “[p]olicy making ought to be guided by responsible and inclusive moral vision, taking seriously both opportunities and risks, respecting autonomy and individual rights, and showing solidarity with and concern for the interests and dignity of all people around the globe.” The key phrase in this item is “moral vision.” While many self-declared transhumanists may agree on the moral vision which should guide their endeavors, the movement has also inspired some of the most vigorous and categorically critical invective to be found in the technical and public-policy literature.

Possibly the most well known of the vocal critics of transhumanism is Francis Fukuyama, a political scientist who nominated transhumanism as his choice for the world's most dangerous idea [167]. As with most utopian notions, the main problem Fukuyama sees with transhumanism is the transition between our present state and the transhumanists' future vision of completely realized eternal technological bliss (Fig. 28). Will some people be uploaded to become immortal, almost omniscient transhumans while others are left behind in their feeble, mortal, disease-ridden human bodies? Are the human goods that transhumanists say are basically the same for everyone really so? Or are they more complex and subtle than typical transhumanist pronouncements acknowledge? As Fukuyama points out in his foreign Policy essay [167], “Our good characteristics are intimately connected to our bad ones… if we never felt jealousy, we would also never feel love. Even our mortality plays a critical function in allowing our species as a whole to survive and adapt (and transhumanists are about the last group I would like to see live forever).”

 

Fig.&nbsp;28.&nbsp; Brain in a vat with the thought: “I'm walking outside in the sun” being transmitted to the computer. Image reproduced under the Creative Commons license.

Fig. 28. Brain in a vat with the thought: “I'm walking outside in the sun” being transmitted to the computer. Image reproduced under the Creative Commons license.

Transhumanists themselves admit that their movement performs some of the functions of a religion when it “offers a sense of direction and purpose.” But in contrast to most religions, transhumanists explicitly hope to “make their dreams come true in this world” [168]. Nearly all transhumanist programs and proposals arise from a materialist–reductionist view of the world which assumes that the human mind is at most an epiphenomenon of the brain, all of the human brain's functions will eventually be simulated by hardware (on computers of the future), and that the experience known as consciousness can be realized in artificial hardware in essentially the same form as it is presently realized in the human body. Some of the assumptions of transhumanism are based less on facts and more on faith. Just as Christians take on faith that God revealed Himself in Jesus Christ, transhumanists take on faith that machines will inevitably become conscious.

Fig.&nbsp;29.&nbsp; The shadow dextrous hand shakes the human hand. How technology might become society—a future agreement. Courtesy of Shadow Robot Company 2008.

Fig. 29. The shadow dextrous hand shakes the human hand. How technology might become society—a future agreement. Courtesy of Shadow Robot Company 2008.

In keeping with the transhumanists' call for responsible moral vision, the IEEE SSIT has been, and will continue to be, a forum where the implications for society of all sorts of technological developments can be debated and evaluated. In a sense, the transhumanist program is the ultimate technological project: to redesign humanity itself to a set of specifications, determined by us. If the transhumanists succeed, technology will become society, and the question of the social implications of technology will be moot (Fig. 29). Perhaps the best attitude to take toward transhumanism is to pay attention to their prophecies, but, as the Old Testament God advised the Hebrews, “if the thing follow not, nor come to pass…the prophet hath spoken it presumptuously…” [169].

 

 

SECTION IX. Ways forward

In sum, identifying and predicting what the social implications of past, present and future technologies might be can lead us to act in one of four ways, which are not mutually exclusive.

First, we can take the “do nothing” approach and meekly accept the risks associated with new techniques. We stop being obsessed by both confirmed and speculative consequences, and instead, try to see how far the new technologies might take us and what we might become or transform into as a result. While humans might not always like change, we are by nature, if we might hijack Heraclitus, in a continual state of flux. We might reach new potentials as a populace, become extremely efficient at doing business with each other, and make a positive impact on our natural environment by doing so. The downside to this approach is that it appears to be an all or nothingapproach with no built-in decision points. for as Jacques Ellul [170] forewarned: “what is at issue here is evaluating the danger of what might happen to our humanity in the present half-century, and distinguishing between what we want to keep and what we are ready to lose, between what we can welcome as legitimate human development and what we should reject with our last ounce of strength as dehumanization.”

The second option is that we let case law determine for us what is legal or illegal based on existing laws, or new or amended laws we might introduce as a result of the new technologies. We can take the stance that the courts are in the best position to decide on what we should and should not do with new technologies. If we break the law in a civil or criminal capacity, then there is a penalty and we have civil and criminal codes concerning workplace surveillance, telecommunications interception and access, surveillance devices, data protection and privacy, cybercrime, and so on. There is also the continual review of existing legislation by law-reform commissions and the like. New legislation can also be introduced to curb against other dangers or harms that might eventuate as a result of the new techniques.

The third option is that we can introduce industry regulations that stipulate how advanced applications should be developed (e.g., ensuring privacy impact assessments are done before commercial applications are launched), and that technical expectations on accuracy, reliability, and storage of data are met. It is also important that the right balance be found between regulations and freedom so as not to stifle the high-tech industry at large.

Finally, the fourth option would be to adopt the “Amish method”: complete abandonment of technology that has progressed beyond a certain point of development. This is in some respect “living off the grid” [171].

Although obvious, it is important to underline that none of these options are mutually exclusive or foolproof. The final solution may well be at times to introduce industry regulations or codes, at other times to do nothing, and in other cases to rely on legislative amendments despite the length of time it takes to develop these. In other cases, the safeguards may need to be built into the technology itself.

 

SECTION X. Conclusion

If we put our trust in Kurzweil's [172] Law of Accelerating Returns, we are likely headed into a great period of discovery unprecedented in any era of history. This being the case, the time for inclusive dialog is now, not after widespread diffusion of such innovations as “always on” cameras, microchip implants, unmanned drones and the like. We stand at a critical moment of decision, as the mythological Pandora did as she was about to open her box. There are many lessons to be learned from history, especially from such radical developments as the atomic bomb and the resulting arms race. Joy [173] has raised serious fears about continuing unfettered research into “spiritual machines.” Will humans have the foresight to say “no” or “stop” to new innovations that could potentially be a means to a socially destructive scenario? Implants that may prolong life expectancy by hundreds if not thousands of years may appeal at first glance, but they could well create unforeseen devastation in the form of technological viruses, plagues, or a grim escalation in the levels of crime and violence.

To many scientists of the positivist tradition anchored solely to an empirical world view, the notion of whether something is right or wrong is in a way irrelevant. for these researchers, a moral stance has little or nothing to do with technological advancement but is really an ideological position. The extreme of this view is exemplified by an attitude of “let's see how far we can go”, not “is what we are doing the best thing for humanity?” and certainly not by the thought of “what are the long-term implications of what we are doing here?” As an example, one need only consider the mad race to clone the first animal, and many have long suspected an “underground” scientific race continues to clone the first human.

In the current climate of innovation, precisely since the proliferation of the desktop computer and birth of new digital knowledge systems, some observers believe that engineers, and professionals more broadly, lack accountability for the tangible and intangible costs of their actions [174, p. 288]. Because science-enabled engineering has proved so profitable for multinational corporations, they have gone to great lengths to persuade the world that science should not be stopped, for the simple reason that it will always make things better. This ignores the possibility that even seemingly small advancements into the realm of the Electrophorus for any purpose other than medical prostheses will have dire consequences for humanity [175]. According to Kuhns, “Once man has given technique its entry into society, there can be no curbing of its gathering influence, no possible way of forcing it to relinquish its power. Man can only witness and serve as the ironic beneficiary-victim of its power” [176, p. 94].

Clearly, none of the authors of this paper desire to stop technological advance in its tracks. But we believe that considering the social implications of past, present, and future technologies is more than an academic exercise. As custodians of the technical means by which modern society exists and develops, engineers have a unique responsibility to act with forethought and insight. The time when following orders of a superior was all that an engineer had to do is long past. with great power comes great responsibility. Our hope is that the IEEE SSIT will help and encourage engineers worldwide to consider the consequences of their actions throughout the next century.

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Keywords

Technology forecasting, Social implications of technology, History, Social factors, Human factors, social aspects of automation, human-robot interaction, mobile computing, pervasive computing, IEEE society, social implications of technology, SSIT, society founding, social impacts, military technologies, security technologies, cyborgs, human-machine hybrids, human mind, transhumanist future, humanity redesigns, mobile computing, wearable computing, Überveillance, Corporate activities, engineering education, ethics, future of technology, history,social implications of technology, sociotechnical systems

Citation: Karl D. Stephan, Katina Michael, M. G. Michael, Laura Jacob, Emily P. Anesta, 2012, "Social Implications of Technology: The Past, the Present, and the Future", Proceedings of the IEEE, Volume: 100, Issue: Special Centennial Issue, May 13 2012, 1752-1781. 10.1109/JPROC.2012.2189919

RFID-Enabled Inventory Control Optimization

Abstract

This study examines the impact of radio-frequency identification (RFID) technology on the inventory control practices of a small-to-medium retailer using a proof of concept (PoC) approach. The exploratory study was conducted using a single case study of a hardware retailer stocking 5000 product lines provided by 110 active suppliers. To analyze the present mode of operation, procedural documents, semi-structured interviews and a participant observation was conducted. The basis for the proof of concept was a future mode of operation using a quasi-experimental design. Results indicate that in a small-to-medium retail environment, RFID technology could act as a loss prevention mechanism, an enabler for locating misplaced stock, and make a significant contribution to the overall improvement of the delivery process.

Section I

Introduction

Radio-frequency identification (RFID), which is defined as a wireless automatic identification and data capture (AIDC) technology [1], is increasingly considered by many scholars as the “missing link” in the supply chain management [2], [3]. For example, the technology could allow the identification of any tagged item in real-time in a given supply chain with minimum human intervention [4] [5] [6] [7]. When integrating into a firm's business processes [5], the RFID technology allows “any tagged entity to become a mobile, intelligent, communicating component of the organization's overall information infrastructure” (p. 88), thus improving supply chain information flow [8], [9] and supply chain efficiency [3]. A basic RFID system is composed of a tag containing a microprocessor, a reader and its antennas, and a computer equipped with a middleware program, in which business rules are configured to automate some decisions [10]. Despite the high potential of the technology as an enabler of the supply chain transformation, the current adoption rate is still fairly low mainly because many technological and business questions are still to be answered. In order to reduce this knowledge gap, this study draws on the current RFID agenda [5] to answer the following questions: What is the impact of RFID on loss prevention? What is the impact of RFID technology on the delivery process in a small-to-medium retailer store? How can RFID help to locate misplaced stock? How may the RFID reading rate be influenced by the physical characteristics of items? More precisely, the objective of this paper is to document the results of a proof of concept (PoC) that examines the impact of RFID on inventory control. The PoC consists of RFID simulations and re-engineered business processes that demonstrate whether the RFID technology can operate within the small-to-medium retail industry and illustrates the anticipated impact of RFID on business operations.

Section 2 presents related works. In section 3, the methodology used in this study, including all simulation of RFID enabled scenarios are presented. Finally, section 4 presents the discussion and conclusion.

Section II

Background and Context of the Study

The current study uses the proof of concept approach to assess the feasibility of RFID technology in a small-to-medium retail store. Most early studies on the feasibility of RFID technology have mostly been conducted using this approach or pilots projects (e.g. [11] [12] [13]). A proof of concept is used to illustrate whether a proposed system or application is likely to operate or function as expected [14]. Using, data from “Wal-Mart RFID-enabled stores” over a period of 29 weeks, the conclusion was reached that RFID-enabled stores were 63% more efficient in replenishing out-of-stocks than stores without RFID, thus leading to a reduction of out-of-stocks by 16% over that 29 week period [12]. In a more recent study, [15] examined data collected over a period of 23 weeks from eight test stores equipped with a new “RFID-based perpetual inventory adjustment tool” and a corresponding set of eight control stores (without RFID), and found that “RFID is making a difference. Understated perpetual inventory inaccuracy declined by about 13% in the test stores, relative to control stores, with no additional labour. Furthermore, manual adjustments declined in the test stores” (p. 55). Finally, the outcome of a study by [11], who used a PoC in a laboratory setting, was that process optimization can be achieved when the RFID technology is integrated in intra- and inter-organizational information systems applications. All these studies have been largely conducted in large firms, but very few of them are concerned with RFID adoption within small-to-medium firms.

Section III

Methodology

The research study documented in this paper involves a case examining a single small-to-medium retailer. A case study method has been employed as it is ideal for investigating contemporary events and is able to take into account a wide variety of evidence [16]. For this study data have been gathered through the collection of procedural documents, semistructured interviews and a participant observation. This paper presents the data collected from the semistructured interviews conducted with employees of the organization, as well as revealing the business process flows (through flowcharts) of the organization in order to determine whether RFID is a feasible automated data capture technology for small-to-medium retailers. An observational study was also conducted over a period of two weeks in 2007. A daily diary was kept by the participant and this data was analyzed together with full-length transcripts. A single small-to-medium hardware retailer is focused on in this paper in order to analyze and present inventory control practices.

3.1. Research design

As the main objective of the overall study is to improve our understanding of RFID impacts in the context of a small-to-medium retailer, the research design is clearly an exploratory research initiative. A case study method has been conducted as it is ideal for investigating contemporary events and is able to take into account a wide variety of evidence [16].

3.2. Research sites

The organization examined in this study is located on the south coast of New South Wales, approximately 128 kilometers from the centre of Sydney. The company employs ten staff including casuals and is classified as a small-to-medium hardware retailer. The current proprietors have operated the business since 2003. The premises of the retailer measures approximately 2000 square meters, with about 550 square meters of this area making up the internal shop floor. The shop floor is composed of four sheds, each with independent access. There are two small internal offices, one designed to deal with customer purchasing and point-of-sale (POS) transactions while the other is used by managers and bookkeepers for ordering, accounting and other administrative practices. The external perimeter of the organization is surrounded by an eight foot high barbed wire fence.

The retailer currently possesses between 400,000 worth of inventory which is kept on the premises. The inventory held by the organization is estimated to consist of 5000 product lines, which are provided by 110 active suppliers. Products and other inventory are stored or displayed before purchase inside the store or outside within the confines of the premises. Items and stock within the store are positioned based on the type of product as well as the supplier. Most items kept inside the store are also shelved on racks that measure 2.1m in height. The shop floor is divided into five separate areas that include general hardware, timber, gardening, cement and building supplies. Products stored outside are generally unaffected by environmental and weather conditions such as landscaping supplies, cement blocks, treated pine sleepers and sheets of steel reinforcing. Stock is usually delivered to the store packaged at pallet, crate, carton or item level.

The retailer provides many services to its customers primarily through the selling of hardware and other building related supplies. The organization provides a delivery service to its customers if they purchase products that are too large to be transported or products that they wish to be delivered on a certain day. Products are delivered to customers in one of the three vehicles the organization owns. A flat top truck is used for steel deliveries, a tip truck is used for landscaping supplies and a utility vehicle is used for general deliveries. The organization also has a front-end loader that it uses to load landscaping supplies on vehicles. The organization offers accounts for customers that purchase products frequently.

The retailer currently has limited Information Technology (IT) infrastructure and does not utilize a server, as the current operations of the business do not require a large volume storage device. The organization utilizes two desktop computers in their administration office that are primarily used to manage customer accounts through the software package MYOB Premier Version 10. At the end of each month, the organization uses the MYOB software to generate invoices which are sent out to account holding customers, requesting that they pay for the items they have purchased. The organization has another desktop computer which is used by employees to search a program that acts as an index of paint colors provided by different paint suppliers. All computers within the organization are able to access the Internet.

3.3. Data collection

For this study data have been gathered through the collection of procedural documents, semi-structured interviews and a participant observation. This paper presents the data collected from the semi-structured interviews conducted with employees of the organization, as well as revealing the business process flows (through flowcharts) of the organization in order to determine whether RFID is a feasible automated data capture technology for small-to-medium retailers. An observational study was also conducted over a period of two weeks in 2007. A daily diary was kept by the participant and this data was analyzed together with full-length transcripts. A single small-to-medium hardware retailer is focused on in this paper in order to analyze and present inventory control practices.

3.3.1. Interviews-interviewees

Insights into the current inventory control practices at the small-to-medium retailer are based on semi-structured interviews carried out on four employees of the organization. The roles and duties of these employees are documented in Table 1.

Table 1.&nbsp;EMPLOYEE ROLES AND DUTIES

Table 1. EMPLOYEE ROLES AND DUTIES

As can be seen from Table 1, employees of the organization have minimal job specialization, which reinforces [17] observations of small businesses. The proprietor/manager and proprietor/part-time manager are responsible for the overall running of the business whereas the store manager is specifically responsible for shop maintenance and management. The delivery truck driver is primarily responsible for making outbound deliveries. The store manager and delivery truck driver are answerable to both of the proprietor/managers.

3.3.2. Interview questions and the inventory cycle

Inventory control as defined by [18] involves “coordinating the purchasing, manufacturing and distribution functions to meet marketing needs”. Coordinating these functions requires many discrete activities including ordering stock or materials and shelving or putting it in the correct position so that customers have access to it. In this section, the inventory control process has been broken down so that the inventory practices of the small-to-medium retailer can be explored in greater detail. Figure 1 illustrates the inventory cycle. It should be noted that the inventory flow cycle is focused on the flow of raw materials to their finished state, while this inventory control cycle has been developed based on a retailer that sells finished goods (p. 21) [19].

Figure 1.&nbsp;The Inventory Cycle

Figure 1. The Inventory Cycle

 

As can be seen in Figure 1, customer demand triggers the ordering or re-ordering of stock. Stock then arrives at the retailer, where it is checked and sorted before being shelved in the correct position. Stock is then purchased by a customer and delivered by the retailer if necessary.

The inventory cycle demonstrated in Figure 1 was considered when developing questions for the semistructured interviews. The majority of the questions asked related to the six different processes that were identified in the inventory control cycle. There were a total of twenty-eight questions included in the original semi-structured interview protocol but additional probing sub-questions were asked where the respondent was able to expand their response due to their knowledge of operations. The questions covered the background of the company case, the role of the employee in the organization, questions related to the current mode of operation to gauge the current inventory control practices and set-up, and more speculative questions regarding the transition of the organization from a manual-based system to barcode and/or RFID. For instance the proprietor was asked:

Can you describe the process that you use to check that orders have been delivered with the correct contents?

  1. Do you keep any sort of record of how much stock you carry, either in physical or electronic form?
  2. How would you describe the theft prevention measures in your workplace?
  3. What triggers your organization to reorder or order stock?
  4. Are there any issues affecting your adoption of automated data capture technology?
  5. Do you think that RFID could be used within your business to improve inventory control?

The interview transcripts were analyzed using a qualitative approach and the findings were presented using a modular narrative style based on the steps in the inventory control cycle. The following sections summarize the findings of the semi-structured interviews.

3.3.3. Participant observation

A participant observation requires the researcher to become a direct participant in the social process being studied by becoming a member of an organization. The participant observation was carried out over a two week period with the intention of recording observations relating to the inventory control practices used within the small-to-medium retailer. This study utilizes an overt participant observation as members of the organization were already aware of the researcher's presence due to interviews being carried out at an earlier date. The overt approach was perceived to have had minimal influence on the behavior of the organization's members as they were informed that the purpose of the study was to examine inventory control practices of the retailer, not their personal behaviors. During the participant observation annotations and issues were documented through the use of a diary. Field notes were recorded during each day, and were formalized at the end of the day.

3.3.4. Procedural documentation

The small-to- medium retailer's procedural documents were used to complement the semi-structured interviews and participant observation. Documentary secondary data, such as an organization's communications, notes, and other policy and procedural documents have been examined.

Table 2.&nbsp;THE FOUR RFID-ENABLED SCENARIOS

Table 2. THE FOUR RFID-ENABLED SCENARIOS

Official documents, like procedural documents can be treated as unproblematic statements of how things are or were (p. 104) [20]. The procedural documents have been used as evidence to support the determination of the inventory control practices of the small-to-medium retailer. The interviews conducted, participant observation and the collection of procedural documents were combined to develop the business process flows of the organization. A narrative presentation is used to bring together participant observational data and interviewee responses.

3.4. Simulation of RFID-enabled scenarios

Eight simulations have been developed which are aimed at examining different aspects of inventory control and known RFID issues that have been documented in the literature. However, within the scope of this paper, we'll only present and discuss four RFID-enabled scenarios (Table 2): (i) RFID-enabled loss prevention, (ii) RFID-enabled delivery portal, (iii) RFID tag environment simulation and (iv) RFID-enabled locating misplaced stock.

The results of the simulations are documented qualitatively, discussing read rates as well as any other technical issues experienced in the following section.

3.4.1. RFID enabled-loss prevention simulation-method

Exhibit 1.&nbsp;An RFID armed entry/exit

Exhibit 1. An RFID armed entry/exit

A fixed RFID reader with one and then two antennas will be placed above or around the entry/exit of the store with the aim of identifying any tagged item or product that passes through the entry/exit. Items that have been tagged with RFID labels will be moved past the reader in order to determine if the tag is interrogated and identified successfully. The tagged product will be concealed by the participant carrying it so the effect of this can be gauged. Multiple items will also be carried out by the participant to test if the reader identifies multiple tagged items.

In the initial part of this simulation a fixed reader was set up with one antenna which was positioned above the entry/exit, 2.1 metres off the ground.

The antenna was orientated at a 45 degree angle, sloping inwards towards the interior of the store. The participant walked towards the entry/exit with an RFID tagged item held 1.5 meters off the ground. Five different items of stock were used in this simulation, each being RFID tagged in a different configuration. Two of the items had tags wrapped around them so the tag was overlapping itself, one item had its tag wrapped around it but was not overlapping, another item was labelled with a tag that was folded in half and the final item had a tag applied to it in a general flat configuration. The tagged items were passed through the RFID monitored entry/exit individually in plain view of the reader, then concealed under the jumper of the participant and finally all items were passed through the entry/exit simultaneously in a plastic basket.

The results revealed that items which had RFID tags wrapped around them and were overlapping could not be detected by the reader when passed through the entry/exit. It was also found that concealing items had an effect on whether they would read or not with a single concealed product being identified compared to the three tagged items which were identified when they were passed through the entry/exit in plain sight. Table 3 summarises the results of the simulation = read successfully, = not able to be read).

Figure 2.&nbsp;Configuration of the loss prevention portal

Figure 2. Configuration of the loss prevention portal

Once this simulation was carried out another antenna was attached to the fixed reader and a small portal was created to see whether it was more accurate to identify tagged products from side-on than from above. Figure 2 illustrates the configuration of the portal.

The participant once again walked through the doorway with items held 1.5 metres from the ground. The items that had RFID tags wrapped around so they overlapped were still not able to be read in this variation of the simulation, but three tagged items that had been concealed were identified compared to the one item identified in the previous variation. The range of the antennas was also tested with items being passed through the portal held above (1.8 metres from the ground) and below them (30 centimetres from the ground). The three tagged items that were identified initially were also read when they were passed above and below the antennas at the entry/exit to the store.

Table 3.&nbsp;LOSS PREVENTION SIMULATION RESULTS

Table 3. LOSS PREVENTION SIMULATION RESULTS

The results of this simulation revealed that RFID experienced poor to average read rates when implemented for loss prevention. It is perceived that if RFID was applied in the small-to-medium retailer for loss prevention purposes, theft may be reduced but the reliability of the technology could not be guaranteed; unless orientation issues are resolved and read rates are improved.

 

3.4.2. RFID-enabled delivery portal simulation-method

This simulation involves RFID tagged items being placed on a pallet then onto a delivery vehicle at the loading dock of the hardware store. A portal will be created at the loading dock, equipped with two antennas originating from an RFID reader which will be used to identify the products and stock that are moving in and out of the premises.

Exhibit 2.&nbsp;Tagged RFID products on pallet (top); the flat top truck being reversed into the loading dock (middle); the utility vehicle in the RFID portal (bottom)

Exhibit 2. Tagged RFID products on pallet (top); the flat top truck being reversed into the loading dock (middle); the utility vehicle in the RFID portal (bottom)

To test the RFID delivery portal, a flat top truck is reversed into the loading bay of the organisation. Seven products that are commonly delivered to or by the organisation are RFID tagged, including a wooden pallet which the items are placed on. The truck is reversed in and out of the loading bay on five occasions and the read rates are recorded each time.

Three of the tagged items including a piece of treated pine, a roll of foam joint and the pallet are successfully interrogated on each of the five times the truck is reversed.

A tagged piece of treated pine is also identified on the first and the last time the vehicle is backed into the loading dock.

The other three items on the truck are unable to be identified at all, most likely due to the back tray of the truck, sitting higher than the antenna (all the RFID tagged products on the truck were situated above the antenna).

Another vehicle, a utility that is used by the organisation to deliver products is then employed in the simulation with the same products and pallet being placed in the vehicle's tray. The tray of this vehicle is at a more suitable height for the RFID antennas, as it sits 80 centimetres off the ground. Exhibit 2 demonstrates the RFID portal with the utility vehicle reversed into the loading dock.

The read rates experienced when products were placed on the utility were far superior to those experienced when the flat top truck was employed, with read rates ranging from 71% to 100% of all items and products tagged. Table 4 reveals the read rates of the tagged items and products on the utility vehicle (= read successfully, = not able to be read). This simulation illustrated that if an RFID portal was constructed appropriately by considering the conditions and vehicle used by the small-to-medium retailer it could effectively monitor stock being delivered to the business and stock being delivered to customers of the business.

Table 4.&nbsp;READ RATES OF RFID TAGGED ITEMS ON THE UTILITY VEHICLE

Table 4. READ RATES OF RFID TAGGED ITEMS ON THE UTILITY VEHICLE

3.4.3. RFID tag environment simulation-method

This simulation involves trying to identify RFID tagged products of various compositions using the mobile RFID reader. Items composed of wood, metal, plastic, stone and those containing liquids were tagged and attempted to be read. Items left outside and exposed to the elements were also tagged and attempted to be read, along with other items that are stored in dirty manufacturing type environments.

Ten products composed of varying materials were RFID tagged and attempted to be read by the mobile RFID reader. The compositions of the ten items tagged varied greatly with some of them being made or packaged from metal, plastic, cardboard, paper, wood and stone. Some of the items such as the container of nails and the bag of cement were also dusty and dirty. The mobile RFID reader was used to make six attempts to read data from all of the tagged products individually. Table 5 reveals the results of the six attempts for each product (= read successfully, = not able to be read).

Exhibit 3.&nbsp;An RFID tagged treated pine sleeper (top); An RFID tagged pipe (bottom)

Exhibit 3. An RFID tagged treated pine sleeper (top); An RFID tagged pipe (bottom)

As can be seen in Table 5 all items could be read by the mobile reader, but objects made of metal took around 5 or 6 attempts to be read successfully. It should also be noted that dirty and dusty products were interrogated successfully by the reader on every attempt.

In order to further test the effect the environment had on the readability of tags, four items that were regularly kept outside were RFID tagged. These items included a treated pine sleeper, a stone paver, a bale of sugar cane mulch wrapped in plastic and a 6 metre length galvanised pipe (Exhibit 3).

Table 5.&nbsp;READ RATES OF THE ENVIRONMENT SIMULATION

Table 5. READ RATES OF THE ENVIRONMENT SIMULATION

After being tagged with RFID labels these items were left outside for five nights. It rained quite heavily over the time the items were left outside and upon examining the products and RFID tags after the fifth night had elapsed, they were saturated.

This however did not have any effect on the readability of tags, with all items being successfully identified in all six of the scans except for the metal item (the 6 metre length of galvanised pipe) which was only interrogated successfully on the sixth attempt.

To compare the robustness of RFID tags and barcodes, a cardboard box with a barcode imprinted on it in ink was also left outside over the same period as the RFID tagged items. Like the RFID tags and products the cardboard box was saturated after the fifth night outside. The barcode on the box was able to be scanned successfully, but when the researcher applied some friction to the barcode it was damaged. Once the barcode was damaged it could not be identified by the barcode reader. Unlike the barcode the RFID tags were not affected or damaged by friction in this simulation.

This simulation revealed that the readability of RFID tags was not affected when applied to products of varying compositions, except for products composed of metal which resulted in these products only being identified in about one out of six attempts. It was also revealed that RFID tags were able to function after being stored outdoors and exposed to the elements over five nights. To further test the robustness of RFID tags it is recommended that they are exposed to the same environmental conditions for longer periods of time in a future study.

3.4.4. RFID-enabled- locating misplaced stock simulation-method

An RFID tagged product will be positioned so that it can be read by an antenna attached to a fixed RFID reader. Once data have been read from the tagged item it will then be moved around the shop to another location so it is within range of another antenna. The results of this simulation will focus on the ‘tag reads’ at each of the antennas. After one tagged item has been tested the read rates of multiple items will be observed.

A fixed RFID reader was set up with two antennas situated 10 metres apart. RFID tagged items were initially positioned in front of an antenna then put on a trolley and moved outside the range of the antenna and into the range of a second antenna to simulate stock being misplaced within the retailer. Exhibit 4 shows RFID tagged products that have been moved past an antenna on a trolley.

Exhibit 4.&nbsp;RFID tagged cartons of nails within the read range of an antenna

Exhibit 4. RFID tagged cartons of nails within the read range of an antenna

A plastic 5 kilogram carton of galvanised bullet head nails was RFID tagged and moved from the read range of the first antenna to within the read range of the second antenna which resulted in it being detected by both antennas. Once a single RFID tagged carton was tested more were introduced to further examine the accuracy of the antennas. Table 6 illustrates the results of this simulation. It should be noted that in the table, tags which were identified by both antennas (at the first antenna prior to being ‘misplaced’ and or the second antenna after being ‘misplaced’) were recorded as being read successfully (✓=read successfully,= not able to be read).

Table 6.&nbsp;PRODUCTS IDENTIFIED IN THE LOCATING MISPLACED STOCK SIMULATION

Table 6. PRODUCTS IDENTIFIED IN THE LOCATING MISPLACED STOCK SIMULATION

The results revealed read rates ranging from 67% to 100% for the five tests conducted in this simulation. When products were placed on the trolley and transported between antennas they were placed in a random configuration which meant that the RFID tags applied to them were not presented to the reader in the same arrangement for each of the tagged cartons of nails.

It was noted that tagged cartons that were not detected when moved between antennas, had tags orientated perpendicular to them or had tags that were applied to the opposite side of products. Figure 3 illustrates where RFID tags were applied on products that were not identified by the antennas.

Figure 3.&nbsp;The position of RFID tags that were not identified

Figure 3. The position of RFID tags that were not identified

Apart from the orientation issues that were encountered, this simulation illustrated that RFID could be used within the small-to-medium retailer to monitor the positioning of products within the store. If RFID was employed in the store and appropriate backend software was developed it is highly likely that misplaced items that had been tagged within the store could be registered on the system, and found thereafter.

Section IV

Discussion and Conclusion

The simulations revealed that items with overlapping RFID tags wrapped around them could not be detected by the reader when they passed through the entry/exit. It was also found that concealing items had an effect on whether they would read or not with a single concealed product being identified, as compared to the three tagged items which were identified when passing through the entry/exit in plain sight. Moreover, the results showed that RFID experienced poor to average read rates when implemented for loss prevention. It is perceived that if RFID was applied in the small-to-medium retailer for loss prevention purposes, theft may be reduced but the reliability of the technology could not be guaranteed, unless orientation issues were resolved and the read rates improved. Also, if an RFID portal were constructed appropriately, taking into account the conditions and the vehicle used by the small-to-medium retailer, it could effectively monitor the stock being delivered to the business and the one delivered to the customers of the business. In addition, the study revealed that the readability of RFID tags was not affected when applied to products of varying compositions, except for metal products - which were identified only once on six attempts. Moreover, the RFID tags were able to function after being stored outdoors and exposed to the elements over five nights. These results provide strong support to previous studies on RFID technology [11], [12] and highlight the fact that RFID technology is mostly product driven, and therefore, the best performance of the system heavily depends on the type of product, the context of implementation, the level of tagging, etc.

Consequently, a scenario building, validation and demonstration of RFID-enabled process optimization is highly recommended prior to any large RFID technology deployment [13]. To our knowledge, this study is among the first studies to illustrate that RFID technology could be used within a small-to-medium retailer in real-life settings to monitor the positioning of products within the store, to help small-to-medium retailer prevent in-store stock losses, enhance delivery process and improve the process of locating misplaced stock within the store. Nevertheless, these findings are consistent with results of prior research by [15] at Wal-Mart stores, which are mainly large stores. Despite these encouraging results, further tests on the robustness of RFID tags should be conducted when they are exposed to the same environmental conditions for longer periods of time. Moreover, given that the more recent RFID tags have a tag reading accuracy of almost 100%, their use is highly recommended [21]. The study was conducted in a single store of a small-to-medium retailer situated almost at the last node of the retail supply chain, and therefore was not able to capture the network effects of RFID technology.

Therefore, further works need to be done to assess the impact of RFID technology at the supply chain level in a real-life setting and to develop different models of cost sharing between stakeholders involved in RFID-enabled projects.

References

1. S. Fosso Wamba, L. A. Lefebvre, Y. Bendavid, and É. Lefebvre, "Exploring the impact of RFID technology and the EPC network on mobile B2B eCommerce: a case study in the retail industry," International Journal of Production Economics (112:2), 2008, 614-629.

2. R. Roman and J. Donald, "Impact of RFID technology on supply chain management systems," in 19th Annual Conference of the National Advisory Committee on Computing Qualifications (NACCQ 2006) Wellington, New Zealand, 2006.

3. C. Loebbecke, J. Palmer, and C. Huyskens, "RFID's potential in the fashion industry: a case analysis," in 19th Bled eConference, eValues Bled, Slovenia, 2006.

4. C. Poirier and D. McCollum, RFID Strategic Implementation and ROI: a Practical Roadmap to Success. Florida: J. ROSS Publishing, 2006.

5. J. Curtin, R. J. Kauffman, and F. J. Riggins, "Making the most out of RFID technology: a research agenda for the study of the adoption, usage and impact of RFID," Information Technology and Management (8:2), 2007, 87-110.

6. N. Huber and K. Michael, "Minimizing product shrinkage across the supply chain using radio frequency identification: A case study on a major Australian retailer," in IEEE Computer Society of the Seventh International Conference on Mobile Business Toronto, Canada, 2007.

7. B. D. Renegar and K. Michael, "The RFID value proposition," in CollECTeR Iberoamérica Madrid, Spain, 2008.

8. F. J. Riggins and K. T. Slaughter, "The role of collective mental models in IOS adoption: opening the black box of rationality in RFID deployment," in Proceedings of the 39th Hawaii International Conference on System Sciences Hawaii, 2006.

9. S. Fosso Wamba and H. Boeck, "Enhancing information flow in a retail supply chain using RFID and the EPC network: a proof-of-concept approach," Journal of Theoretical and Applied Electronic Commerce Research (3:1), 2008, 92-105.

10. Z. Asif and M. Mandviwalla, "Integrating the supply chain with RFID: a technical and business analysis," Communications of the Association for Information Systems (15), 2005, 393-427.

11. Y. Bendavid, S. Fosso Wamba, and L. A. Lefebvre, "Proof of concept of an RFID-enabled supply chain in a B2B e-commerce environment," in The Eighth International Conference on Electronic Commerce (ICEC) Fredericton, New Brunswick, Canada, 2006, 564-568.

12. B. C. Hardgrave, M. Waller, and R. Miller, " Does RFID reduce out of stocks? a preliminary analysis," 2005.

13. S. Fosso Wamba, E. Lefebvre, Y. Bendavid, and L. A. Lefebvre, From automatic identification and data capture (AIDC) to "smart business process": a proof of concept integrating RFID: CRC Press, Taylor & Francis Group, 2008.

14. W. E. Solutions, "Appendix A: Glossary," 1996.

15. B. C. Hardgrave, J. Aloysius, and S. Goyal, "Does RFID improve inventory accuracy? a preliminary analysis," International Journal of RF Technologies: Research and Applications (11:1), 2009, 44-56.

16. R. K. Yin, Case Study Research: Design and Methods. Newbury Park, CA: Sage, 1994.

17. J. Diamond and G. Pintel, Retailing. Upper Saddle River: Prentice Hall, 1996.

18. T. Wild, Best Practice in Inventory Management. New York: John Wiley & Sons, 1997.

19. R. Tersine, Principles of Inventory and Material Management. Upper Saddle River: Prentice Hall, 1998.

20. P. Knight, Small-Scale Research. London: Sage, 2002.

21. M. H. M. News, "UHF Gen 2 RFID delivers 100% read accuracy for item tagging," 2009.

IEEE Keywords: Australia, Business process re-engineering, Hardware, Humans, Inventory control, Radio frequency, Radiofrequency identification, Supply chain management, Supply chains, Testing

INSPEC: optimisation, radiofrequency identification, retail data processing, small-to-medium enterprises, stock control, RFID-enabled inventory control optimization, delivery process, hardware retailer, participant observation, procedural documents, proof of concept approach, quasi experimental design, radio-frequency identification technology, semi structured interviews, small-to-medium retailer

Citation: Dane Hamilton, Katina Michael, Samuel Wamba, 2010, "RFID-Enabled Inventory Control Optimization: A Proof of Concept in a Small-to-Medium Retailer", 2010 43rd Hawaii International Conference on System Sciences (HICSS), Date of Conference: 5-8 Jan. 2010, DOI: 10.1109/HICSS.2010.473

Legal Ramifications of Microchipping People in the United States of America

Abstract

The ability to microchip people for unique positive identification, and for tracking and monitoring applications is becoming increasingly scrutinized by the legal profession, civil libertarians, politicians in positions of power, human rights advocates, and last but not least, citizens across jurisdictions. The United States is among the few nations internationally, that have moved to enact state-level legislation, regarding the microchipping of people in a variety of contexts. This paper provides an overview of nine state laws/bills in the United States of America that have either enacted anti-chipping legislation or have recently proposed bills regarding the enforced chipping of persons. The aim of the paper is to highlight excerpts of legislation, to identify relevant stakeholders the legislation is directed toward and to briefly describe how it may affect their chipping practices. As a final outcome, the paper seeks to broadly compare state legislation, identifying differences in penalties and fines, and to show the complexity of this kind of approach to protecting the rights of citizens against unscrupulous uses of advanced information technologies.

Section 1.

Introduction

The capability to implant people with microchips has its roots in the field of medicine as far back as the innovation of pacemakers in the late 1950s [1][2]. Embedded chip-on-a-card technology, that could identify the cardholder, commonly known as smart cards or integrated circuit cards, was patented and prototyped for the first time in France by Roland Moreno in 1974 [3]. But it was not until 1998, that official reports of the first demonstrated microchip implantation in a human for identification and tracking purposes was achieved by Professor Kevin Warwick of the University of Reading in the Cyborg 1.0 experiment [4]. While United States patents date back to the 1970s, regarding apparatus allowing subcutaneous implants, such as guns for dispensing “pellets” comprising a case with a hollow needle attached to it [5], it was not until later that patents pertaining to medical devices stipulated a unique identification mechanism allowing for the collection of individual patient diagnostic data.

In 1987, beyond unique ID, a location tracking device was patented by a plastic surgeon Dr Daniel Man [6], residing in Florida in the United States. The abstract description of the patent reads: “[a] new apparatus for location and monitoring of humans has been developed. The device employs a unique programmable signal generator and detection system to locate and monitor the movement of individuals. It additionally utilizes a physiological monitoring system to signal a warning for the necessity for immediate help. The device is small enough to be implanted in young children as well as adults. The power supply and signal generator are designed to function at a low duty cycle for prolonged periods before recharging” [7].

Section 2.

Advancements in Implantable Technology and the Law

The challenges brought about by implantable technology, outside the biomedical arena, were for the greater part ignored until the mid-1990s. Few could debate against the obvious benefits brought about by the advancement of medical-related technologies to patients suffering from curable diseases or illnesses, and the lifestyle enhancements they promised and delivered, especially in the area of prosthesis. Even today, few could argue that implants for genuine therapeutic purposes pose any real danger to society at large if applied correctly; in fact they act to prolong life and aid sufferers to go about living as normal life as possible.

We can point to medical breakthroughs, such as those by Alfred Mann, that are likely to help hundreds of thousands of people in the future, to better cope with the treatments of diabetes, cancer, autoimmune and inflammatory diseases via automated drug delivery technologies [8]. Implantable technologies have already helped the deaf hear, and are likely to help the blind see, and to correct functional neural deficits using electrostimulation techniques and much more. The promise of nanotechnology, has brought with it the prospect of implantable treatments for Parkinson's Disease, epilepsy, Tourette's syndrome (which is now beyond the experimental stage), and even obsessive compulsive disorder (OCD).

Responsible, well-tested, and regulated applications of nanotechnology within the biomedical domain can only have positive impacts on the individual who is a recipient of an implant [9]. But in today's commercial context, even biomedical technologies can serve dual purposes, opening up a number of critical moral questions [10] regarding who is actually in control [11] and at what cost [12]. For as Mark N. Gasson writes regarding information and communication technology (ICT) implantable devices, “[a] number of wider moral, ethical and legal issues stem from enhancement applications and it is difficult to foresee the social consequences, the fundamental changes on our very conception of self and the impact on our identity of adoption long term. As a result, it is necessary to acknowledge the possibilities and is timely to have debate to address the wider implications these possibilities may bring” [13].

It is the “legal issues” pertaining to ICT implants which have been addressed only by a few researchers and their respective groups. As there are now several commercial organizations marketing a variety of applications using ICT implants for IDentification and location tracking purposes, some states in the USA have acted as ‘first movers’ to quell citizen concerns over the potential for enforced chipping, and to safeguard the individual's human rights. Of course, this is all set against a backdrop at a national level concerned about national security, and consecutive governments that have introduced widespread radio-frequency identification (RFID) and tracking and monitoring capabilities in passports, driver's licenses, toll-ways etc.

Section 3.

Seminal Works

Of the scant research that has been written addressing legal dilemmas of ICT implants, two can be considered landmark and representative of the literature. Elaine M. Ramesh, from the Franklin Pierce Law School wrote in anticipation of human microchip implants and offered initial insights on the legal implications even before Warwick's Cyborg 1.0 experiment [14]. Almost a decade later, a second paper by William A. Herbert, member of the New York State Public Employment Relations Board, wrote a paper addressing the legal issues related to advanced technologies like Global Positioning Systems (GPS), biometrics, and RFID implants [15]. To date, this article serves to be the most complete on the topic at large.

Ramesh uses a qualitative approach and discusses the rights that may be infringed by humancentric microchip implants in the areas of common law, constitutional rights, the Fourth Amendment, the Fifth Amendment and property rights. The scenarios and results with cases relating to the above laws provided by Ramesh were limited to the point that commercial diffusion of RFID implants only occurred in 2003, with pre-registration beginning in 2002 [16]. Ramesh explains that the human body is not generally accepted as “property” which is her rationale behind the gap in the legal system. If property ownership of one's body could be confirmed, (that is we can claim ownership of one's body and do what we will with it) then property law would apply as protection giving an individual the right to refuse of implantation of the microchip without any consequences as the individuals body is his or her ‘owned property’ (Ramesh, 1997). However this same legislation would bring with it a mine-field of other problems to do with ownership and the rights associated with “selling” one's body or individual body parts.

After the events of September 11, 2001 and the enactment of the USA PATRIOT Act, Herbert [15] analyzed current State and Federal laws within the context of employer practices across the United States. Herbert describes the laws and relevant cases in his paper, along with potential solutions. Herbert justifies his research by addressing the concern over American Labor Laws granting employers greater powers over most employee privacy expectations. Herbert's findings indicate that, “[t]he scope and nature of current legal principles regarding individual privacy are not sufficient to respond to the rapid development and use of human tracking technology” [15]. It is this very disproportionate “power” relationship that could be further propagated and exploited by ICT implants, that Michael and Michael have termed “uberveillance” [17].

Since Herbert's seminal paper, a number of states have enacted what has come to be known in the popular sense as anti-chipping legislation. The rest of this paper is dedicated to providing excerpts of laws and bills for nine U.S. states related to ICT implants for humans [18]. Seven state laws/bills were collected during the main study period in 2007, with two additional laws/bills found in 2009. It must be underscored that this list of states should not be considered an exhaustive list of legislation.

For the states investigated during the main study period in 2007, a legislative excerpt is presented, stakeholders pertaining to the law are identified, and a brief description of how chipping practices in that state may be affected is provided. For the two additional acts/bills found in 2009, only an excerpt is presented with no further analysis. As a final outcome, the paper seeks to broadly compare seven state acts/bills, identifying differences in penalties and fines, and to show the complexity of this kind of approach to protecting the rights of citizens against unscrupulous uses of advanced information technologies. The main contribution of this paper is bringing the state laws together to make identifying similarities and differences easier, and to allow for future research opportunities between United States federal and state legislative comparisons towards harmonization and conflict.

Section 4.

State of California

4.1 SB 362, Identification Devices: Subcutaneous Implanting

SECTION 1. Section 52.7 is added to the Civil Code, to read:

Except as provided in subdivision  person shall not require, coerce, or compel any other individual to undergo the subcutaneous implanting of an identification device.
(1) Any person who violates subdivision  may be assessed an initial civil penalty of no more than ten thousand dollars (1,000) for each day the violation continues until the deficiency is corrected.
This section shall not in any way modify existing statutory or case law regarding the rights of parents or guardians, the rights of children or minors, or the rights of dependent adult.

4.2 Definition

The language used to define the implant; “subcutaneous implanting of an identification device” (2007 California SB 362) provides longevity for the legislation as it can be used for any device that can be implanted and used for identification rather than specifically stating a microchip, RFID tag, or commercial product name [19].

4.3 Who it affects?

“Except as provided in subdivision (g), a person shall not require” (2007 California SB 362) prevents an individual to force the implantation of the device on another, however it does allow the Government of California and the Government of the United States to use the technology as they see fit.

4.4 Exceptions

Section G as stated in the above extract of bill 362 refers to the “existing statutory or case law regarding the rights of parents or guardians” (2007 California SB 362). Because of this clause, a parent and/or a legal guardian may sign the written consent form for any child under the age of 15 under California Family Law to receive an implant.

‘A minor may only consent to the minor's medical care or dental care if all of the following conditions are satisfied: (1) The minor is 15 years of age or older. (2) The minor is living separate and apart from the minor's parents or guardian, whether with or without the consent of a parent or guardian and regardless of the duration of the separate residence. (3) The minor is managing the minor's own financial affairs, regardless of the source of the minor's income.” (California Family Code §6922(a)) If these clauses are not satisfied then the parent or guardian has the right over the child and the right to implant the child.

A minor may sign his/her own consent for the use of a implantable microchip if used for the sole purpose of aiding in the treatment of a psychological disability under California Family Code §6924.

“A minor who is 12 years of age or older may consent to mental health treatment … if both of the following requirements are satisfied: (1) The minor, in the opinion of the attending professional person, is mature enough to participate intelligently in the outpatient services or residential shelter services. (2) The minor  would present a danger of serious physical or mental harm to self or to others without the mental health treatment or counseling or residential shelter services, or  is the alleged victim of incest or child abuse” (California Family Code §6924).

Section 5.

State of Colorado

5.1 HB 07–1082, a Bill for an Act Concerning a Prohibition On Requiring an Individual To Be Implanted with a Microchip

A person may not require an individual to be implanted with a microchip.
A violation of this section is a Class 3 Misdemeanor punishable as provided in section 18–1.3–501. Each day in which a person violates this section shall constitute a separate offence.

5.2 Definition

The term “microchip” is used to describe the device however no formal definition is provided therefore any device containing a microchip or device of similar or advanced capabilities is included within the definition of a ‘microchip’ and therefore must adhere to this Bill.

The crime of forcing the implantation of a microchip is defined as a “Class 3 Misdemeanor” (2007 Colorado HB 1082) which according to Colorado Revised Statutes results in a minimum sentence of 750 fine per offence [20].

5.3 Who it affects?

“A person may not require an individual” (2007 Colorado HB 1082) prevents all individuals within the state of Colorado, however does not protect against United States federal legislation.

5.4 Exceptions

The bill does not outline any clause by where the legislation is void and therefore no loop holes exist. However this then allows the judicial branch to make decisions with each individual based on their specific circumstances, and they have the power to put previous legislation, statute or constitution above HB 1082 deeming it null and void for the case in question. The judicial branch is defined as the branch of the courts whereby the court determines the application of which law is applicable for each specific case and enforces it and determines the sentence/punishment based upon the law written by the legislative branch [21]. The same exception is applied to the majority of the states presented below.

Section 6.

State of Florida

6.1 SB 2220, an Act Relating To Implanted Microchips; Prohibiting the Implanting Of a Microchip or Similar Monitoring Device

It is a felony of the third degree, punishable as provided in . 775.082, . 775.083, or . 775.084, Florida Statutes, to knowingly implant, for tracking or identification purposes a microchip or similar monitoring device into a person without providing full disclosure to that person regarding the use of the device and obtaining the person's informed written consent.

6.2 Definition

The implantable microchip in Florida SB 2220 is defined as “a microchip or similar monitoring device” (2007 Florida SB 2220) which therefore validates the legislation (if enacted) for any technology used for the purpose of monitoring, tracking, tracing and identification.

The crime of forcing the implantation of a microchip is defined as a “felony of the third degree” (2007 Florida SB 2220) which according to Florida Criminal Code §775.082 (penalties) and §775.083 (fines) “For a felony of the third degree, by a term of imprisonment not exceeding 5 years” (Florida Criminal Code §775.082) and a fine of “$5,000, when the conviction is of a felony of the third degree” (Florida Criminal Code §775.083).

6.3 Who it affects?

“Into a person without providing full disclosure to that person regarding the use of the device and obtaining the person's informed written consent” (2007 Florida SB 2220) prevents all individuals within the state of Florida, however does not protect against United States federal legislation. The use of the device must also be outlined to the individual and recognition of the individuals understanding of the implants use must be received prior to the implantation and operation of the device.

Section 7.

State of North Dakota

7.1 SB 2415, an Act Relating To Implanted Microchips in Individuals; and To Provide a Penalty

SECTION 1. A new section to chapter 12.1–15 of the North Dakota Century Code is created and enacted as follows: Implanting microchips prohibited. A person may not require that an individual have inserted into that individual's body a microchip containing a radio frequency identification device. A violation of this section is a class A misdemeanor.

7.2 Definition

The implantable microchip in North Dakota SB 2415 is defined as a “microchip containing a radio frequency identification device” (2007 North Dakota SB 2415). This legislation is therefore limited by its definition and allows the use of devices by which their main technology to achieve its purpose is not radio frequency. Therefore utilization of innovations such as microwaves and barcodes may be argued as immune to the legislation.

The crime of forcing the implantation of a microchip is defined as a “class A misdemeanor” (2007 North Dakota SB 2415). Which according to North Dakota Century Code §12.1–32 “Class A misdemeanor: up to one year in prison, $2000 fine or both” (North Dakota Century Code §12.1–32).

7.3 Who it affects?

“A person may not require that an individual have inserted into that individual's body” (2007 North Dakota SB 2415). Therefore any individual does not have to agree to the implantation of a microchip regardless of status.

Section 8.

State of Ohio

8.1 SB 349 a Bill To Prohibit an Employer From Requiring an Employee Of the Employer To the Employee's Body a Radio Frequency Identification Tag

Sec. 4113.81. No employer shall require an employee of the employer to have inserted into the employee's body a radio frequency identification tag. Any employer who violates this section shall be subject to a fine of not more than one hundred fifty dollars per violation.
As used in this section:
“Radio frequency identification tags” mean a silicon chip containing an antenna that stores data and transmits that data to a wireless receiver.
“Employer” means the state, any political subdivision of the state, or any person employing one or more individuals in the state.

8.2 Definition

The implantable microchip is defined as a “radio frequency identification tag” (2006 Ohio SB 349) in the main text which may seem open to the use of other technologies, however definition (A) states; “Radio frequency identification tags mean a silicon chip containing an antenna that stores data and transmits that data to a wireless receiver” (2006 Ohio SB 349). Therefore the legislation is in relation to any technology that achieves its purpose by the above method.

The preamble of this bill is a proposal for amendment of Ohio Code 4113. Ohio Code 4113 is the Miscellaneous Labor Provisions Code which provides legislation from dismissal laws, to wages to whistle blowing (Ohio Code §4113). This is a clear indication that there was no intention to have the bill / legislation protect every individual of the state, rather to protect an employee from an employer.

8.3 Who it affects?

Ohio's proposed legislation is very unique in the subject affected by it. “No employer shall require an employee” (2006 Ohio SB 349). Unlike the other states, Ohio only proposes the legislation against employer's therefore protecting an employee over an unfair dismissal due to refusing implantation.

8.4 Exceptions

The 2006 Ohio SB 349 leaves itself open for attack. By only referencing an employee to employer relationship the legislation does not prevent state government, hospitals, doctors, parents or any other individual to be microchipped unless the individuals lawyer can prove a violation of §2903.13 of the Ohio Code (assault) whereby “No person shall knowingly cause or attempt to cause physical harm to another or to another's unborn” (Ohio Code §2903.13) whereby the coercion and physical act of microchipping could be classed as assault.

The punishment outlined in 2006 Ohio SB 349 does not reference any Ohio Code section or specify it in a misdemeanour or felony class, instead an exact figure of 150 in addition to the original price of purchasing and using a commercial implant product. If an organisation wants to utilise the technology for convenience and security $150 per employee (or per violation) may be considered an investment rather than a crime,

Section 9.

State of Oklahoma

9.1 HB 2092, SB 47 an Act Prohibiting the Forced Implantation Of a Microchip

No person shall require an individual to undergo the implanting of a microchip.
Any person convicted of violating the provisions of this section shall be subject to a fine of not more than Ten Thousand Dollars ($10,000.00). Each day of continued violation shall constitute a separate offense.

9.2 Definition

The term “microchip” is used to describe the implantable microchip, however no formal definition is provided therefore any device containing a microchip or device of similar or advanced capabilities is included within the definition of a ‘microchip’ and must adhere to this bill.

9.3. Who it affects?

“No person shall require an individual” (2007 Oklahoma HB 2092) prevents all individuals within the state of Oklahoma however does not protect against United States federal legislation.

Section 10.

State of Wisconsin

10.1 2005 Wisconsin Act 482 Prohibiting the Required Implanting Of Microchip in an Individual and Providing a Penalty

The people of the state of Wisconsin, represented in senate and assembly, do enact as follows: SECTION 1. 146.25 of the statutes is created to read: 146.25 Required implanting of microchip prohibited.
No person may require an individual to undergo the implanting of a microchip.
Any person who violates sub. (1)may be required to forfeit not more than $10,000. Each day of continued violation constitutes a separate offense.

10.2 Definition

The term microchip is used however no definition is provided therefore any device containing a microchip or device of similar or advanced capabilities is included within the definition of a ‘microchip.’

10.3 Who it affects?

“No person may require an individual to undergo the implanting of a microchip” (2005 Wisconsin Act 482) prevents all individuals within the state of Wisconsin however does not protect against United States federal legislation.

Section 11.

State of Georgia

11.1 HB 38, Microchip Consent Act

SECTION 2… 1) ‘Implantation’ includes any means intended to introduce a microchip internally, beneath the skin, or applied to the skin of a person.(2) ‘Microchip’ means any microdevice, sensor, transmitter, mechanism, electronically readable marking, or nanotechnology that is passively or actively capable of transmitting or receiving information. This definition shall not include pacemakers.(3) ‘Person’ means any individual, irrespective of age, legal status, or legal capacity.(4) ‘Require’ includes physical violence, threat, intimidation, retaliation, the conditioning of any private or public benefit or care on consent to implantation, including employment, promotion, or other benefit, or by any means that causes a. person to acquiesce to implantation when he or she otherwise would not.  No person shall be required to be implanted with a microchip. This Code section shall be subject to a two-year statute of limitations beginning from the date of discovery that a microchip has been implanted.  Any person required to have a microchip implanted in violation of this Code section shall be entitled to pursue criminal charges in addition to filing a civil action for damages. Each day that a microchip remains implanted shall be subject to damages of not less than $10,000.00 per day and each day shall be considered a separate violation of this Code section.  The voluntary implantation of any microchip or similar device may only be performed by a physician and shall be regulated under the authority of the Composite State Board of Medical Examiners.”

Section 12.

State of Missouri

285.035.1. No employer shall require an employee to have personal identification microchip technology implanted into an employee for any reason.

For purposes of this section, “personal identification microchip technology” means a subcutaneous or surgically implanted microchip technology device or product that contains or is designed to contain a unique identification number and personal information that can be non-invasively retrieved or transmitted with an external scanning device. Any employer who violates this section is guilty of a class A misdemeanor.

Section 13.

Cross-case comparison

From the seven (7) states studied in 2007, it is clear that there are subtle yet possibly detrimental differences between the legislation enacted (e.g. in the case of North Dakota and Wisconsin) and the legislation pending enactment.

13.1 Stakeholder & Other Definitions

Citizen: Refers to any other citizen within the state of the (enacted / pending) legislation other than the subject (oneself).

Employer: Refers to the manager, management, owner, franchiser or CEO of an organization by where the subject is currently employed on any basis (full time, casual, part time, or probation).

Government: Refers to the state government and anyone employed by the state government including law enforcement personnel.

Hospitals (Doctors): Refers to any healthcare practitioner including, general practitioners and psychologists, psychiatrists, social workers and nurses of the subject who may be deemed suffering a mental illness.

Parents:Refers to the parents and guardians of a minor as defined by the state and the carer / guardian / solicitor of a subject deemed mentally ill or elderly.

Yourself: Refers to the subject, an individual wishing to approve the implantation of a microchip into their body.

Fine: Refers to a monetary fine payable for the offence of coercing an individual to be chipped. If a period of time (day(s), month(s), year(s)) is including in this field then jail time for that period indicated is part of the maximum sentence for the crime.

Consecutive Day: Refers to the punishment (jail time / momentary fine) applicable for each day in which the crime occurs.

13.2 Fines and Punishment

The following section provides a breakdown of the key elements within the Acts and Bills for each state and shows what is permitted by law and what is disallowed with regards to ICT implants states of the U.S.A. Section 13.2 should be read together with Table 1.

Table 1.&nbsp;U.S. State Anti-Chipping Laws/Bills Comparison Chart as of October 2007

Table 1. U.S. State Anti-Chipping Laws/Bills Comparison Chart as of October 2007

The yellow colored sections of the table represent a fine or punishment which can be seen as too light in comparison to the other states. In California for each day the offence occurs after the initial offence a 10,000) is charged. According to the United States Census Bureau, a citizen of California on average earns 6.666% more than an average American and 17.7% more than the average citizen of North Dakota [22] and yet the proposed fine in California is only 10% of the fine quoted in North Dakota's enacted legislation (2007 North Dakota SB 2415).

Ohio put in place a maximum penalty of 150 is not too much of an added expense to the $200 outlay per microchip [23]. This fine is not comparable to any of the other states and may oppose a risk rather than a benefit if it becomes enacted and employers act on the proposed $350.00 ‘investment.’

The peach colored section of Table 1 outlines the three states (Colorado, Florida and North Dakota) proposing jail time part of the maximum sentence if an individual is in breach of the legislation. These jail times come about by the classification of the offence as a felony or a misdemeanor and of a particular class. These classifications are then cross referenced to the State Code in order to determine the maximum sentence. Even though these states vary with punishment and do not have a monetary fine comparable with Oklahoma and Wisconsin, the fact they reference a classification under a criminal code protects the legislation for many generations. The fine attached to a classification may be changed if the legislative or judicial assembly makes a proposal and these changes often occur in a change in inflation or the Consumer Price Index (CPI), making the fine comparable in years to come. States that propose a fixed fine do not allow for inflation or CPI and may become a more relaxed punishment during the development of society over subsequent decades.

The green colored sections of Table 1 outline who is allowed to enforce the implantation of a microchip upon an individual without direct punishment in reference to the enacted or proposed bill of that state. In the case of Ohio only an employer who is a citizen of Ohio is prevented from chipping an employee of an Ohio state registered firm (2006 Ohio SB 349). California is the only state out of the seven that included clauses by which an exemption from punishment could be applied. Section (g) of 2007 California SB 362 allows the parents and guardians of minors to enforce the implantation of a device under certain circumstances outlined in §6922 and §6924 of the California Family Code. This clause does not mean that this does not apply to the other six states. The judiciary has the power to veto the legislation if they feel other legislation such as a Family Act is more relevant to the case or superior to the microchipping legislation and the defendant's lawyer has the ability to utilize these acts or codes to refute the microchipping legislation.

Section 14. 

Conclusion

As the development and deployment of the implantable microchip continues to gather momentum across markets and jurisdictions, the greater the propensity for case law to emerge related to the specific ICT implantable technology. The problem with state laws, as demonstrated in the U.S.A is that legislation is not uniform, at least at the state level, and even more anomalous is a comparison between state and federal legislation, which will be the focus of a forthcoming study.

References

1. C. M. Banbury, Surviving Technological Innovation in the Pacemaker Industry 1959-1990. New York: Garland Publishing, 1997.

2. J. H. Schulman, "Human Implantable Technologies," in Career Development in Bioengineering and Biotechnology, G. Madhavan, Ed., 2009, pp. 167-172.

3. R. A. Lindley, Smart Card Innovation. Australia: Saim, 1997.

4. K. Warwick, I, Cyborg. UK: Century, 2002.

5. J. B. Wyatt, P. D. George, and K. Van Dyck, "Implant Gun, Pfizer Inc.," in Appl. No.: 05/046,159 United States Patent, 15 June 1970.

6. D. Man, "Dr. Man Plastic Surgery," 2009.

7. D. Man, "Implantable homing device," in United States Patent: 4,706,689. Boca Raton, Florida: USPTO, 8 January 1987.

8. A. Mann, "Where Technology and Life Unite," Alfred Mann Foundation, 2009.

9. M. Treder, "Radical Prosthetic Implants," Institute for Ethics and Emerging Technologies, 2009.

10. K. Michael and M. G. Michael, "Microchipping People: The Rise of the Electrophorus," Quadrant, vol. 414, pp. 22-33, 2005.

11. K. Michael, M. Michael, and R. Ip, "Microchip Implants for Humans as Unique Identifiers: a Case Study on VeriChip," presented at 3TU: Ethics, Identity and Technology, The Hague, The Netherlands, 2007.

12. M. G. Michael and K. Michael, "Uberveillance: Microchipping People and the Assault on Privacy," Quadrant, vol. LIII, pp. 85-89, 2009.

13. M. N. Gasson, "ICT Implants: the Invasive Future of Identity," in IFIP International Federation for Information Processing: The Future of Identity in the Information Society;, vol. 262, S. Fischer-Hübner, P. Duquenoy, A. Zuccato, and L. Martucci, Eds. Boston: Springer: Springer, 2008, pp. 287-295.

14. E. M. Ramesh, "Time Enough? Consequences of Human Microchip Implantation," Franklin Pierce Law Centre, vol. 8, 1997.

15. W. A. Herbert, "No Direction Home: Will The Law Keep Pace With Human Tracking Technology to Protect Individual Privacy and Stop Geoslavery?," I/S - A Journal of Law and Policy for the Information Society, vol. 2, pp. 409-472, 2006.

16. ADSX, "Get Chipped™: VeriChip™ preregistration program," in Applied Digital Solutions, 2002.

17. K. Michael and M. G. Michael, Innovative Auto-ID and Location-Based Services: from Bar Codes to Chip Implants. Hershey: Information Science Reference, 2009.

18. W. Kluwer, "States regulate use of microchips as tracking device," CCH® Internet Research NetWork, 2009.

19. C. E. Lyon, "California Bans Mandatory Implanting of Identification Devices," Morrison & Foerster, November 2007.

20. F. L. College, "Colorado Revised Statutes, Fort Lewis College," 2007.

21. US Library of Congress, "Federal Judiciary Branch," 21 July 2007.

22. US Census Bureau, "Current Population Survey (CPS): Annual Social and Economic Supplement," 2007.

23. T. Chin, "Tiny Implant Puts Portable Medical," in American Medical News, April 24 2006.

IEEE Keywords: Law, Legal factors, Implants, Legislation, Monitoring, Humans, Medical diagnostic imaging, Signal generators, Diseases, Pharmaceutical technology

INSPEC: public administration, legislation, rights protection, legal ramification, microchipping people, United States of America, state legislation,state law, state bill, antichipping legislation

Citation: Angelo Friggieri, Katina Michael and M.G. Michael, 2009, The legal ramifications of microchipping people in the United States of America- A state legislative comparison, ISTAS09, IEEE International Symposium on Technology and Society, ISTAS '09. 18-20 May, Tempe, Arizona, DOI: 10.1109/ISTAS.2009.5155900.

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