J Nanopart Res (2016) 18:211 DOI 10.1007/s11051-016-3520-0

PERSPECTIVES

Science and convergence: with emphasis for -inspired convergence

William S. Bainbridge . Mihail C. Roco

Received: 14 July 2016 / Accepted: 15 July 2016 / Published online: 25 July 2016 Ó Springer Science+Business Media Dordrecht (outside the USA) 2016

Abstract Convergence offers a new universe of Keywords Nanoscale science and engineering Á discovery, , and application opportunities Convergence science Á Convergence–divergence through specific theories, principles, and methods to cycle Á Supporting theories Á Principles and be implemented in research, education, production, methods for convergence Á General purpose and other societal activities. Using a holistic approach technology Á Intelligent cognitive assistant with shared goals, convergence seeks to transcend existing human limitations to achieve improved con- ditions for work, learning, aging, physical, and cognitive wellness. This paper outlines ten key Introduction theories that offer complementary perspectives on this complex dynamic. Principles and methods are Convergence is a transformation model in the evolu- proposed to facilitate and enhance science and tech- tion of science and technology (S&T) that unites S&T nology convergence. Several convergence success fields with society. It provides a framework and stories in the first part of the 21st century—including approach for advancing not only science and engi- nanotechnology and other emerging — neering but also business and policies. Convergence is are discussed in parallel with case studies focused on a deep integration of knowledge, tools, and all relevant the future. The formulation of relevant theories, areas of human activity to allow society to answer new principles, and methods aims at establishing the questions, to create new competencies and technolo- convergence science. gies, and overall to change the respective physical or social ecosystems. Such changes in the ecosystems open new trends, pathways, and opportunities in the following divergent phase of this evolutive process This article expands on ‘‘Handbook of Science and Technology (Roco 2002; Roco and Bainbridge 2002). Convergence,’’ (W. S. Bainbridge and M. C. Roco,), Springer This paper outlines core theories governing Reference, 2016, Berlin. dynamic converge processes, as well as overarching W. S. Bainbridge Á M. C. Roco (&) principles and methods that facilitate convergence. National Science Foundation, Arlington, VA, USA Convergence may be illustrated through case studies e-mail: [email protected] of transformations in general purpose technologies well underway and on the horizon. Three case studies M. C. Roco National Nanotechnology Initiative, Washington, D.C., that have originated about 15 years ago are nanotech- USA nology-inspired convergence, 123 211 Page 2 of 19 J Nanopart Res (2016) 18:211

NBIC (nano-, bio-, information, and cognitive) If nanotechnology were a human being, after a inspired convergence, and digital society. In the quarter century it would now be a young adult, old future, opportunities for convergence include a new enough to vote and capable of playing a mature role in platform for human–technology coevolution using collaboration with all the older sciences and fields of intelligent cognitive assistants, and the expansion of engineering. Metaphors aside, there is every reason to citizen science and technology. believe that nanoscience and nanotechnology will Nanotechnology came into being through conver- continue to advance rapidly, but among the best ways gence of chemistry, physics, engineering, and many to ensure progress during maturity is to collaborate other disciplines, notably biology and materials in closely with peers who also are mature but differ which proteins and crystals are nanoscale structures, significantly in terms of their specialized expertise, in which the smallest components of access to resources, and current challenges. While the electronic circuits approach the nanoscale, and math- numbers of papers and patents have increased in ematics which is essential for all kinds of research and average by about 16 and 30 %, respectively, between design. Engineering, through its major components of 2000 and 2015, the reported revenues from products mechanical, chemical, biomedical and electrical engi- incorporating nano as the competitive component neering, played a central role, not only applying have increased by about 25 % per year between 2000 nanoscience developments to technologies, but also and 2010 (Roco 2011), and by 35–40 % per year in energizing and coordinating the collaborative efforts 2011–2015 in the US and worldwide (Lux Research across disciplines. By searching the online public 2015). The goals and means for such cooperation abstracts describing grants the National Science around nanotechnology are outlined in a recently Foundation made in the two decades 1996–2015, we published reference book, Handbook of Science and have counted fully 4233 awarded grants that contained Technology Convergence (Bainbridge and Roco 2016) the word ‘‘nanotechnology.’’ Of these, 51.6 % were which serves as the capstone to an arch of international managed from the Directorate for Engineering, and conferences and proceedings books, that spanned the another 29.8 % were managed in the Directorate for previous 15 years (Roco and Bainbridge Mathematical and Physical Sciences, which has divi- 2001, 2003, 2006a, b; Roco and Montemagno 2004; sions for Chemistry and Materials Research. Yet other Bainbridge and Roco 2006a, b; Roco et al. 2013). The fields participated as well such as computer science scope was not limited to narrow areas where technical (5.5 %), biology (2.8 %), social and behavioral challenges required multidisciplinary collaboration, sciences (2.0 %), and geosciences (0.6 %). An addi- but extended to changing the ecosystem, the societal tional 4.9 % of the grants related to education and thus implications of nanotechnology, and the general were managed by the NSF Directorate for Education convergence of science, technology, and society. The and Human Resources, while the remaining 2.8 % 2000–2020 convergence–divergence cycle for global were made through miscellaneous, cross-directorate nanotechnology development is marked by four gen- programs such as Science and Technology Centers. erations of nanotechnology products and their spin-off The first NSF grant with ‘‘nanotechnology’’ in its industries (Roco and Bainbridge 2013, see Figure 8). abstract was made by the Directorate for Engineering Recently, much discussion has been focused on way back in 1989. Statistics using ‘‘nanoscience’’ or human health. One workshop offered this vision: multiple keyword searches to describe the nanoscale ‘‘Convergence is an approach to problem solving that science and engineering field have similar broad cuts across disciplinary boundaries. It integrates knowl- distributions by NSF research and education direc- edge, tools, and ways of thinking from life and health torates (Chen and Roco 2009). Now that nanotechnol- sciences, physical, mathematical, and computational ogy has advanced toward applications, while retaining sciences, engineering disciplines, and beyond to form a its youthful discovery and innovation vigor, scientists comprehensive synthetic framework for tackling scien- and engineers in this field will have good reasons to tific and societal challenges that exist at the interfaces of collaborate with colleagues in many other fields, and a multiple fields’’(National Research Council 2014, p. 1). science of convergence is needed even more than Another workshop report ‘‘shows that an accelerated before. But the present time may be an especially Convergence research strategy can lead to truly major crucial era for science and technology more generally. advances in fighting , dementia and diseases of 123 J Nanopart Res (2016) 18:211 Page 3 of 19 211 aging, infectious diseases, and a host of other pressing realities. Exploring science and medicine in a health challenges’’ (Sharp et al. 2016, p. 8). Opportu- holistic way was a defining characteristic of the nities for progress in many areas should be explored, Renaissance. A number of social scientists have including several identified here. argued that monotheistic religion was among the factors encouraging the rise of science in Europe, and in nineteenth century America, much scien- Key theories of the era of dynamic convergence tific research was conceptualized as a pious quest to learn the will of God (Merton 1970; Evans and The present time may be an especially crucial era for Evans 2008). In the twentieth century, mathemat- science and technology because of convergence. Par- ics provided a secular framework for conceptual- ticipating in converging technologies conferences and izing the unity of nature, as illustrated by the editing the substantial reports that resulted from them example of Zipf’s law which asserts that many have called to our attention ten compatible theories kinds of data across many different sciences follow (listed in Fig. 1) that suggest that the current moment in the same frequency distribution. George Zipf history is a watershed for essentially all technical fields. (1942), a linguist who may have been inspired by Each theory must be evaluated in its own terms, but earlier work in physics, originally derived the together they make a strong case: (1) unity of nature, (2) distribution to chart the frequency of specific human interaction ecosystem, (3) complexity, (4) words; he later argued that the ubiquity of the Zipf economic growth, (5) specialization network, (6) distribution reflected the unity of nature. Evolu- reverse salient, (7) fundamental principles in conver- tionary biologist Edward O. Wilson (1999) has gence, (8) progress asymptote, (9) exogenous revolu- argued that specialization in the sciences has tion, and (10) response to social problems. Convergence obscured their natural unity, and he was one of the processes offer an integrative perspective on these leaders in promoting the application of evolution- theories and a dynamic approach of how to engineer the ary theory from biology to the social sciences. In technological and social ecosystems for added value. recent years, much work like that by Zipf and Wilson has accumulated, thus strengthening sup- 1. The Unity of Nature Theory supports realistic port for convergence at the present time. Conver- hopes that convergence can realize unity in gence aims at realizing unity in knowledge, societal systems. From ancient times, people have technology, and societal systems. Convergence debated the extent to which the world is based on a in nanotechnology, for example, is based on using unified set of principles, perhaps conceptualized as unifying structures (such as atomic clusters or a coherent set of laws established by a single God biomolecules), phenomena (such as quantum and of Nature, or represents competing, irreconcilable nanoscale confinement), processes (such as molecular self-assembling and templating), and control methods at the nanoscale (such as using external wave fields and mechanical/chemical/ biological stimuli) to create diverse families of materials, devices, and systems for industrial applications, medicine, , energy, and environment. 2. The Human Interaction Ecosystem Theory is con- ceptually related to the unity of nature and complexity theories, yet raises distinctive debates within the scientific community. In this theory, all biological and social systems have a natural tendency to interact, assemble, and act collectively, not merely achieving homeostasis but occasionally preparing the way for evolutionary leaps forward. Fig. 1 Convergence is realized in conjunction with ten theories One variant is the Gaia Hypothesis proposed by the 123 211 Page 4 of 19 J Nanopart Res (2016) 18:211

chemist James Lovelock and the microbiologist in the system (Holland 2006). Full understanding Lynn Margulis, which argues that nature is a self- requires convergence of sciences from the nanos- regulating complex system that is entirely compat- cale of complex up to and perhaps ible with and automatically supports ethical human beyond the atmosphere that covers the entire civilization (Lovelock and Margulis 1974). A planet. Given understanding of the complex related perspective that gives meaning to the systems in which they live, human beings may adjective ‘‘ethical’’ when applied to civilization is undertake actions that add value and improve appropriate technology, as influentially presented adaptation, based on awareness of the long-term in Ernst Schumacher’s (1973) book, Small is consequences. The spatial–temporal interactions Beautiful. Schumacher argued that the appropriate of a large number of at the nanoscale technologies for developing nations might not be typically lead to emergence of new properties in the most technologically advanced alternatives, but the respective complex systems as a function of those that best harmonized with environmental and the number of compounds, atoms, or molecules. economic conditions, but this perspective was soon Self-organized size criticality in nanostructured applied to advanced nations as well, with the matter has been identified as an essential concept implication that at this point in history, we may need in many natural and human-made systems. It often to abandon some advanced technologies in favor of manifests itself in the form of dynamic simpler ones that harmonize better with nature. This metastable patterns leading to new properties was not an argument against technological progress and functions that are not attributable to any but for proper guidance of it, as illustrated by the constituent element of the system (Gimzewski fact that Lovelock favored efforts to terraform the et al. 2016). The modular ‘‘nano-grain’’ structure planet Mars to make it suitable for human colo- of materials has similarities to modular structures nization (Allaby and Lovelock 1984). If we in large organizations or in brain functions. consider the material nano-particulate systems, 4. The Economic Growth Theory observes that the behavior at the nanoscale is determined by modern society is prosperous enough to afford particle-to-particle interactions and their overall research or development projects that would have dynamics with the surrounding media. The material been prohibitively complex and costly in earlier interactions evolve qualitatively with the hierarchi- periods. Faster economic growth is made possible cal system level, in a manner similar to biological by concurrence of knowledge areas and invest- and social systems. ment efforts to introduce new technologies and 3. The Complexity Theory observes that most natural products. One person gazing through a simple and manmade systems are large and heteroge- telescope was revolutionary in Galileo’s day, and neous, possess nonlinear interaction networks and in the nineteenth century and early twentieth hierarchical architectures that evolve under exter- century, many of the world’s increasingly large nal constrains at various spatial and temporal telescopes were funded by individual wealthy scales, and often reach emergent order. Of course, donors, and used by individual astronomers and if an unstable system fails to adapt, it is likely to small teams. A century ago, when Slipher (1917) disintegrate, so complex adaptive systems may reported measurements showing that galaxies survive through a natural selection process akin to were receding, the first ‘‘redshift’’ evidence for biological evolution (Levin 2005). Some purely the expansion of the universe, he was the sole natural factors may stabilize complex systems author of the publication, and he worked at an through, for example, a form of entropy. Yet observatory funded by Percival Lowell, a busi- today, so much of human life is dependent upon nessman with a passion for astronomy. But when dynamic complex systems that our future is quite the first evidence of gravitational waves was uncertain, potentially much better or much worse discovered in 2015, there were 1011 authors of the than today. Understanding such systems is diffi- report (Abbott 2016), and the Interferom- cult, but today several alternative scientific eter Gravitational-Wave Observatory (LIGO) that methodologies exist, for example, computational detected it had been funded by the National means for analyzing the form that feedback takes Science Foundation at a cost estimated well above 123 J Nanopart Res (2016) 18:211 Page 5 of 19 211

half a billion dollars. While LIGO interferometers to develop internal structure if they function over are based on coated mirrors with precisions in the time, rather than briefly as in a laboratory nanometer range, each of the two detectors is experiment. Galesik et al. (2016) conclude that 4 km on a side, and the two are 3000 km apart. if members of an evaluation committee are The huge team was necessary in great measure selected randomly from a larger crowd, they can because of the wide diversity of expertise required achieve higher average accuracy across all tasks and organized to converge on a very specific goal. than either larger groups or individuals. There is a Another illustration is how the National Nan- striking similarity to fundamental behavior of otechnology Initiative (NNI), begun in 2000, nanostructures that have specific properties established a large, flexible infrastructure and because of collective effects of the atoms and research and education programs across the molecules that are different from individual United States, and how this effort is reflected in or or from larger assembly structures. sustained R&D investments worldwide that 6. The Reverse Salient Theory applies a concept reached over $15 billion annually by 2010. The from military strategy to science and technology NNI alone, cumulatively totaling about $22 and potentially any other field, as was most billion for R&D in 2016 since its inception in influentially applied to understand the early 2001, is the second-largest coordinated multiyear history of the electric power and appliance program in the world after the Apollo program. industries (Hughes 1983). In conventional war- 5. The Specialization Network Theory observes that fare, armies face each other along a wide front. If the dynamics of teams or communities change as one army advances at a particular point, that their numbers of members increase, and the same incursion into enemy territory is called a salient.If is true for the proliferation of subdisciplines that one army advances all along the front, except in must cooperate with each other (Massey 2002). one particular sector where it has stalled, that is a The theorized effects are enhanced by conver- reverse salient. If sciences and fields of engineer- gence processes. The formula estimating the ing are advancing without much convergence number of relationships in a system is simple between them, some areas that are between but effectively exponential. If N is the number of disciplines will fail to advance and are akin to individuals or subdisciplines, and C is the number reverse salients. Thus, convergence presents great of connections between them: C = N (N - 1)/2. opportunities for progress only if the relevant Social network research has shown that most disciplines improve cooperation with each other. social groups in modern society have incomplete In research, it is essential to networks, missing many of the potential connec- investigate nanoscale phenomena and process in tions, and that the implications of incompleteness ensemble—in a convergent way—including their are a mixture of good and bad. High density of nonlinear dependences, because the nanoscale social connections within a subdiscipline can phenomena are simultaneous and cannot be energize collective efforts and converge on con- separated as they can at larger scales. sensus, but more diffuse networks can reach far 7. The Fundamental Principles Theory can be beyond their subdiscipline and serve to promote derived from the fact that science and engineering divergent innovation by sharing information more depend very heavily upon mathematics, and some widely and rapidly (Burt 2004; Granovetter 2005). of the same mathematical principles apply to a Thus, the socioeconomic dynamism of the present wide range of phenomena. This theory has time, which is perceived by many people as chaos, relevance to higher level multidomain languages can cause pulsations in the geometry of social needed in convergence. Also, science is a human networks in science and engineering, combining endeavor, and we use the same brain to perform the advantages of both convergence and diver- astronomical research as we do to create nan- gence into a dynamic feedback system. The otechnology, so some of our fundamental human structure or relations between individuals in a modes of thought provide a framework for community (such an evaluation committee) understanding in all fields. As some fields relates to the size of a group, because groups tend advance, they may therefore develop systems of 123 211 Page 6 of 19 J Nanopart Res (2016) 18:211

concepts that can be applied to other fields, not were delayed more than a thousand years, despite merely as rough metaphors, but rigorously with the progress in mathematics and the natural appropriate adjustments based on careful analysis sciences prior to consolidation of the Roman of data (Bainbridge 2004, 2006). For example, in Empire (Gibbon 1776–1788; cf. White 1959). nanoscience, one has to formulate new funda- Based on the history of the Copernican revolution mental concepts and methods for the specific in astronomy, which the ancient Greeks had ecosystem of nanoscale phenomena to allow for nearly achieved, Thomas Kuhn (1957, 1962) relevant and efficient solutions of problems that developed a theory of scientific revolutions that are essentially different from the micro- and postulated that every mature science would pose a macro-scales. stable paradigm, resistant to change. Yet societal 8. The Progress Asymptote Theory postulates that shifts, such as economic changes favoring growth there exist natural limits to what can be discovered in a new industry, or unexpected developments in by science, and created by engineering. This is an adjacent field, can break the stasis into which important in setting the vision and goals of one discipline has frozen, thus liberating it to convergent processes. It is difficult to measure achieve new progress, through an unexpected the rate of progress, because the natures of convergence from outside forces. In an example, discoveries, , and change, the nanotechnology and NBIC convergences have but at least some competent observers have said reached recognition and societal support in the that physics and some other sciences might be past 15 years with significant progress in areas reaching their limits (Horgan 1996). A recent such as science, medicine, electronics, environ- massive study by highly respected economist, ment, energy, and space. Gordon (2016), documents that technological 10. The Response to Social Problems Theory observes development and economic growth were unusu- that science and technology are occasionally ally powerful in the United States during the enlisted in a public response to an acute social century 1870–1970, but both have been much problem, such as war, epidemic disease, or eco- weaker since then. If indeed we are approaching nomic depression, and each problem may require a the natural limits of science and technology, then specific new partnership among disciplines that had the last few advances may require unusually great not already converged. It is easy to think of investment not only of money but also of diversity convergent examples from the Second World War of technical expertise, as in the LIGO discovery that contributed to subsequent peaceful technolo- mentioned above. In another illustration, using the gies, such as civilian nuclear power from nuclear Landauer (1961) fundamental limit of energy weapons, and such things as rockets to launch dissipation at the nanoscale under the laws of satellites and radars. Yet it is hard to assess thermodynamics, the Science and Engineering the overall costs versus benefits of military research Center at Berkeley (Hong et al. 2016) has proven efforts, given that resources are taken from the that magnetic computing is possible promising civilian sector and that secrecy deters intellectual multiple orders of magnitude of energy consump- convergence (Poole and Bernard 1992). To monitor tion reduction in computing. environmental problems, nanotechnology is work- 9. The Exogenous Revolution Theory notes that ing in partnership with other disciplines to develop science and engineering are societal institutions, sensors (Porter et al. 2009). Bone fracture is a whose histories are significantly affected by all common medical problem with diverse causes, other human institutions, such that a radical notably accident, aging and warfare, and nanoscale transformation elsewhere can trigger transforma- methods may prove more effective than traditional tions in technical fields. Convergence processes methods in repairing the damage (Venugopal et al. among initially distinct domains become impor- 2010). A social problem contemplated by the most tant. The most familiar evidence for this theory recent converging technologies conferences is the concerns its opposite, namely the failure of the possibility that advances in classical civilization of Greece and Rome to are reducing jobs available for human beings achieve the industrial or scientific revolutions that (Brynjolfsson and McAfee 2011; Frey and Osborne 123 J Nanopart Res (2016) 18:211 Page 7 of 19 211

2013; Kristal 2013), yet it is difficult to be sure if that is happening, let alone find an adequate solution for the problem (Elsby et al. 2013). A good illustration for science, technology, and innovation (STI) response to societal problems is the use of nanotechnology and other emerging and converg- ing technologies in the first part of this century for global healthcare, international competitiveness, and national defense programs. These ten theories make heavy use of the social, economic, and physical sciences, although and fields of scholarship like history are also major components. These theories increasingly con- nected and working together explain why convergence Fig. 2 Convergence of knowledge, technology, and society is now is such an opportunity. The concurrence of guided by six general principles (a–f) developments enabled by internet, social networking, unifying science and technology, and other factors A. Exploiting interdependence among domains in create a watershed moment in increasing connection nature and society: Convergence methods associ- of these theories toward a transformative socioeco- ated with this principle include integrating origi- nomic ecosystem. nally distinct domains and databases of science and If indeed information technology is costing jobs, technology. A main goal is forming efficient can nanotechnology in convergence with computer science and production networks and ecosystems science and other disciplines produce sufficient new with synergistic effects. Specific approaches are industries of whatever kind to cause a net increase in changing local interactions and guiding self-orga- employment and better paying jobs? We cannot begin nization within socio-technical–economic systems to answer such difficult and important questions to enable and reward desired outcomes and gover- without a comprehensive intellectual preparation nance improvements. This may be encouraged using convergence concepts, principles, and methods through supporting system science, team science, that would enable changes. and interpersonal and intrapersonal education (Cooke and Hilton 2015; Olson 2016; Kolodner 2016; Fisher 2016). Interdependence determines system changes by changing the links, nodes, and Overarching principles and methods to facilitate overall networked system in time (Roco 2016a). convergence For illustration, we envision changing the nanomanufacturing enterprise from vertical pro- Convergence of science and technology means more duction and large to more distributed and special- than simply the creation of multidisciplinary teams ized because of the connectivity. Because of with effective . It also requires chang- interdependence, we have new types of research ing the respective ecosystems by advancing specific and education organizations, such as the Network concepts and methodologies for research, design, for Computational Nanotechnology (with 1.4 mil- production, and collaboration that bridge across fields lion visitors for lectures and tutorials, 13,000 users and generate new competencies in time. This section running interactive computer simulations, and over will summarize principles and methods to improve 3000 authored archival publications in 2015, all and expedite convergence, with the aim of enabling served by a cyber portal nanoHUB.org at Purdue people to more readily use convergence-enabled University) (Klimeck et al. 2008; Madhavan et al. competencies and adding value in the convergence 2013). Another example is the Nanoelectronics process. The methods are based on applying six Research Initiative (NRI) network (Welser et al. principles of convergence, listed in Fig. 2: 2008). The NRI has 30 collaborating universities,

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six major companies, and three federal agencies and Biocognitive evolution (Peck 2016) implies a major has been driven by a nanocomponent-based next shift from competitive achievement of individuals in generation computing vision-inspired program disciplines to collaborative success in networks of beginning with 2005 (see Fig. 3). interdisciplinary interactive teams. Such shifts occur by transcending while including previous cultures. Earlier works on a holistic approach (Wilson 1999) The mainstream of scientific culture shifts to embrace and development of a technology-driven society (Kurz- the complex over the simple, new theory that encom- weil 1999) have been used as references. Wilson passes worldviews from East and West, attention to extended the meaning of consilience to convergence personality as a facet of team success, and tools that between different areas of knowledge. His aim was the reshape human interaction. There will be an increased unification of the realms of learning through a web of need for advanced convergence tools and a wider cause-and-effect explanation. With the increase of public participation in science and technology. computational power, big data (OSTP 2012), and pro- liferation of new strategies enabled by evolutionary B. Improving the convergence–divergence evolu- algorithms and network research, innovative problem tionary cycle: Knowledge and technology pushes solving in one domain can quickly affect others from the convergence stage are combined with (Segerstrale 2016). societal pulls from the divergence stage and Interdependences among larger systems can lead to scaling up knowledge and technology diffusion systemic risk, i.e., to the emergence of unforeseen in the divergence stage. Methods associated with behavior that could have not been predicted from the this principle include integrated support for the understanding of the single systems (D’Agostino and four phases of the convergence–divergence pro- Scala 2016). Topologies of systemic interdependencies cess: creative, integration, innovation, and spin- such as pooled (star topology), hierarchical (tree topol- off, via a cross-domain creativity and innovation ogy), distributed (graph topology), and network of spiral path. Convergence of disciplines to sys- networks is a main factor in system over all behavior tematic control of matter at the nanoscale fol- and risk. lowed by divergence of applications in all

Fig. 3 Nanoelectronics Research Initiative (NRI)- funded universities by Semiconductor Research Corporation (SRC), Semiconductor Industry Association (SIA), National Science Foundation (NSF), and National Institute of Science and Technology (NIST) in 2014: Partnerships with 30 collaborating universities in 20 states (modified after NRI chart)

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domains of the material world is an example of C. System-logic deductive decision making and this process. Another illustration of the conver- problem solving: Convergence methods associ- gence–divergence process enabled by progress in ated with this principle include a holistic approach miniaturization and nanotechnology is the cell to problem solving in complex hierarchical sys- phone platform. It began with the creative tems, combining deduction with lateral and time assembling of a wide range of technologies and evolution approaches in decision making, and cognitive and human–computer interface balancing bottom-up research with top-down sciences, all of which converged to create the vision. Use knowledge mapping, network visual- ‘‘smart phone’’ about 2005. With over 10 billion ization, and fractal analysis help to identify the estimated subscriptions in 2016, cell phone relevant cause-and-effect system patterns. An enables now imagers, gyroscopes, microelec- illustration of this principle is creating hierarchi- tromechanical devices, speakers, and micro- cal logic systems for decision making in R&D phones and the immensely complex set of funding programs for nanotechnology regulatory technologies, to name a few. Smart phones rely aspects. Governance functions apply to four levels on convergence of high-frequency communica- of governance: (a) adapting existing regulation tion technologies and packet switching protocols; and organizations; (b) establishing new programs, and nanoelectronics for logic regulations, and organizations; (c) building capac- units, data storage, touch screens, antennas, etc., ity for addressing these issues in national polices and cognitive science and human–computer inter- and institutions; and (d) advancing international face technologies. This technology has at its turn agreements and partnerships (Roco 2008). unanticipated spin-off technology developments Decision making in a convergent society (Linkov that are beginning to appear. Examples include et al. 2016) is a tool for progress in an increasingly new services such as Uber, wearable round-the- interdependent environment with multiple options. clock networked personal health monitoring Multicriteria decision analysis is suggested as an devices, and mechanisms to connect automobiles approach for system-logic deductive decisions to to smart transportation grids in various ways. facilitate convergence. It provides research organiza- tions with the ability to trade-off between criteria to Convergence–divergence process (Roco 2016b) provide practical and decision-relevant guidelines for is a typical cycle in science and technology (S&T) individual scientific organizations to follow. development. It consists of four phases: (i) creative assembling of contributions from multiple fields D. Creating and applying high-level cross-domain leading to new concepts or ideas, (ii) system languages to facilitate transfer of knowledge and integration leading to a new assembly or new solutions: convergence methods associated for known uses, (iii) technological innovation with this principle include using universal lan- outputs leading to new products and applications, guages such as mathematical abstraction, music, and (iv) spin-off outcomes that lead to solutions not and general system architectures. A second group possible before and that produce new competencies, of methods focus on: essential aspects through tools, and applications. The convergence–diver- ‘‘simplicity’’ for efficient and timely solutions, gence cycle is a reference in good governance of promoting technology integrators and bench- science and technology. marking to facilitate introduction of emerging Self-organization and emergence of dynamic sys- technologies in multiple areas, and creating and tems (Gimzewski et al. 2016) are results of the sharing large multidomain databases and trading evolutionary convergence–divergence process. Self- zones between areas of research and education in organized criticality and emergence seem to sponta- distinct areas. For illustration, the NNI is creating neously appear with a plethora of spatial–temporal a network of centers for nanoinformatics sharing fluctuations on all scales. Understanding of these large multidomain databases toward a general phenomena requires a convergent effort of the nanomaterials and nanosystems database, which sciences, arts, and humanities both in research and further supports multidomain benchmarking of education. nanoscale devices and systems. 123 211 Page 10 of 19 J Nanopart Res (2016) 18:211

Mathematical ‘‘modeling and simulation’’ (Oden research noted that graphing adoption over time 2016) provide an effective approach for connecting (or comparable variables) typically approximates various R&D fields and creating an infrastructure for a logistic curve, also called sigmoid or S-shaped, transdisciplinary research in knowledge society. Com- but the exact mathematical function is not crucial putational science and engineering is seen as a central (Bain 1963; Meade and Islam 1998). The key focus in building suitable research, education, and observation is that transformative innovations production programs. tend to occur in surges, and interaction of several The convergence of curation (Lesk 2016) deals of them can appear chaotic or result in a very with integration of digital resources developed significant unified surge. Concurrence of efforts through a sequence of technical, economic, legal, driven by the same opportunities and influencing and social steps. The computer problems have been each other is a characteristic of convergence in the solved first; now one can digitize and store images, fast ascend section of the S-curve of development. sounds, and even 3-D objects. The economic problems For example, the Government Accountability are still serious but less so as the processes of Office in its GAO-14-181SP report to the US digitization and delivery become less expensive. Legal Congress estimated that the fast ascendant section issues are currently at the forefront, but even for of the level of economic importance and societal objects old enough to pose few copyright problems, impact curve for nanotechnology in the US began social obstacles are most important to the convergence about 2010 (GAO 2014). of cultural institutions. Libraries, museums, and All four areas of Nano-Bio-Information-Cognitive archives all have their own traditions of collecting, technologies (Roco 2016c) have simultaneous growth cataloging, preservation, user relationships, fund rais- because of synergism of concepts, transformative ing, and now Web presentations. approaches, and areas of application. Each of these Big data and data analytics provide integration and four foundational S&T fields (a) has a basic building the ability to get insights in multiple domains at block, that is, an atom, gene, information bit, or various spatial and temporal scales. In 2012, the US neuronal synapse; (b) interacts with other fields within Office of Science and Technology Policy announced the NBIC system at all length and time scales and the Big Data Initiative to levels of complexity; (c) has a similar computational advance technologies needed to collect, store, pre- architecture building from its respective elements up serve, manage, analyze, and share huge quantities of to macroscopic systems; and (d) leads to conceptually data. Subsequent Big Data research grants and work- new opportunities for knowledge, technology, and shops have aggressively explored how to accelerate socioeconomic advancement. Unifying concepts of the pace of discovery in science and engineering, NBIC that were first introduced in 2001 by Roco and transform teaching and learning and expand the Bainbridge (2002) lead to better understanding of economy and workforce, all for human benefits nature, concurrent investments in convergence driven (Markus and Topi 2015). S&T platforms, creating new products and services, E. Confluence of resources for system changes and improving human potential in activities such as (yielding the S-curve of development outcomes working, learning, and aging vs investments): Convergence is not simply mul- Convergence of nanotechnology and tidisciplinary interactions or making connections; (Choi and Montemagno 2016) is the strongest scien- it is about changing the system (new things) and tific convergence of two foundational fields in the last creating added value in current systems (increased two decades. The union of nanotechnology and efficiency). A major specific innovation, or a biotechnology has culminated in a new discipline, phase change in a system, can produce a pattern of nanobiotechnology, through the synergistic leverag- change that starts slow as early adopters in the ing of fundamental control of chemical, physical, and social system implement novelties, then acceler- biological processes. Nanobiotechnology has, in turn, ates as they influence others to follow their enabled both biologists to explore biochemical net- example, then slows again as the innovation works to develop a better understanding of life approaches full adoption. Traditional innovation processes and engineers to propose an alternative

123 J Nanopart Res (2016) 18:211 Page 11 of 19 211 approach to conventional fabrication technology. 2016). Crucial for progress in all other institutions is Because nanobiotechnology employs knowledge from the educational system. Constantly improving norms both engineering and life science, methodology in and standards in education are needed for correlated, both disciplines must be adapted to take full advantage synergistic investments before the fast ascendant of the opportunity to develop and demonstrate new section of the S-development curve (Murday 2016). ideas. Science and engineering technical education is only Space exploration (Launius 2016) and astrosociol- part of the equation. At the same time, education must ogy (Pass and Harrison 2016) show that development develop skills such as problem solving, critical was possible by innovation concurrence in many thinking, design, communication, collaboration, and fields, including economic, technical, and political. self-management, e.g., skills that can be transferred or Two twentieth century superpowers believed that applied in new situations. space exploration was an important investment and F. Using ‘‘vision-inspired’’ basic research to made systematic investments in various areas of address long-term challenges: Convergence science and technology, commerce, and national methods associated with this principle include security to serve the respective space programs to and scenario development, promoting launch , spacecraft, and spacecraft payloads. a culture of convergence based on common goals, An increased attention currently is given to robotic anticipatory measures for preparing people, tools, solar system exploration, nanobio solutions, and self- organizations, and infrastructure for the future sustained crewed missions to space addressing overall technologies and relationships; and reverse map- challenges that are technical, political, social, and ping and planning. A recommended approach is to economic in nature. work backward from the vision to investigate Science and technology globalization (Bainbridge intermediate research steps and approaches. This 2016b): Convergence of science and technology with approach was used in researching and writing the society entails globalization, but will not necessarily NNI nanotechnology research directions reports lead to uniformity across nations or institutions of beginning with the ‘‘Nanotechnology Research society. In the past, technologies differed from one Direction: Vision for the Next Decade’’ (Roco place to another not only because societies differed in et al. 2000). terms of their level of development but also because of contrasting natural conditions, historical accidents, and In order to understand discovery and innovation, cultural values. Discoveries and inventions do tend to social scientists and historians have developed several spread from their points of origin to other locations, and systems for mapping kinds of thought and action, extensive research and theorizing have identified a large especially to learn where the convergence of multiple number and variety of factors that shape this diffusion. factors may achieve unusual progress (Bainbridge Innovation has tended to be localized, for example, in 2016a). The admonition that scientists and engineers the familiar ‘‘Silicon Valley’’ phenomenon, in which a should ‘‘think outside the box’’ has become a cliche´, relatively small number of scientists and engineers yet given adequate preparation, it can be a good communicated intensively with each other, as they advice. Convergence urges us to think outside any one collectively progressed. Thus, we cannot be assured disciplinary box, but there also exist more general that all parts of the globe will be equally creative in conceptual boxes that we may also need to escape. innovating, even as they all are affected by it. More There are at least three dimensions of research effort should be invested on understanding diffusion of innovation. First, vision-inspired discovery transcends innovating (versus innovation), in which the ability to the traditional distinction between pure and applied discover and invent spreads beyond its currently limited research, but does not explain how to escape old habits geographic homes. Over time, cycles of convergence of thought. Second, there may be some truth to the and divergence can ensure dynamism on the global popular stereotype that a scientific genius has an scale. unusual personality, which raises a whole array of Institutional transformations in various societal research questions for cognitive science and social areas need to be correlated and synergistic to reach psychology. Third, socio-technical divergence allows converge development and welfare goals (Mason creative division of labor in which different scientists 123 211 Page 12 of 19 J Nanopart Res (2016) 18:211 and engineers can work within alternative frame- Convergence concepts and methods provide an works, while finding common ground for cooperation enhanced cross-domain understanding, vision-in- (Powell and Snellman 2004). spired research, and added value productive actions. Science and through futur- Three general purpose technologies have made sig- ism has historically been characterized by a lack of nificant progress on this basis: both focus and accuracy (Rejeski et al. 2016). – Nanotechnology has provided the integration of Reflexive governance may be capable of addressing disciplines and technology sectors at the nanoscale the limitations that often cause forecasting failures. of the material world building on new knowledge Now it may be the critical time for implementation of a of the nanoscale (Roco et al. 2000, 2011; Roco and policy that effectively and adequately addresses Bainbridge 2006a, b). The same nanostructures, cutting-edge scientific issues in a complex world. nanoscale phenomena, and processes are investi- Yet is also true that improved rigor must be balanced gated and applied in a variety of fields of by increased imagination, which can be inspired by relevance, from advanced materials and nanoelec- visionary scenario development of emerging fields. tronics to biotechnology and medicine. Nanotech- Science fiction in conjunction with general science nology currently continues its quasi-exponential and engineering background offers a means to explore growth by advancing its scientific depth, science- possibilities and test ideas (Street et al. 2016). It can be to-technology transition in areas such as nano- used to drive scientific and technological imaginative electonics and , expansion to new discoveries; foment an interdisciplinary landscape to areas such as in agriculture and constructions, and identify and address the global, complex challenges establishing new frontiers such as in nanophoton- ahead; and facilitate the dialog between scientists and ics and . The main drivers for pro- the general public to reduce barriers to acceptance of gress are scientific discoveries and convergence science concepts and technologies, including nano- with other fields. bio-info cognitive technology convergence. – Convergence of nanotechnology, biotechnology, S&T convergence has the potential to transform the information, and cognitive (NBIC) technologies education, research, and production ecosystems. A (Roco and Bainbridge 2003) connects emerging challenge in proactively guiding the convergence technologies based on their shared elemental process is to deliberately encourage public and private components such as atoms, DNA, bits, and efforts that currently contribute to the unguided synapses, all with shared abstractions from infor- convergence of knowledge and technology to use a mation technology and system theory, hierarchi- systematic approach to convergence that may amplify cally integrated across technology domains, and the most beneficial endeavors in the knowledge scales. NBIC already has made inroads with society. Illustrations of applying the methods for emergent results in areas such as , convergence to research, development, and education in nanoelectronics; in biomedical research at governance are discussed below. confluence of biology, medicine, physical sciences and engineering; and in bio-nano-. In Case studies: three general purpose technologies response to the international interest, OECD under way (2015) has created a Working Party on Bio-, Nano- and Converging Technologies (BNCT) to Convergence has a strong impact on general purpose address convergence of biotechnology, nanotech- technologies when there are large intersections of nology, and other technologies. production methods, of communities, a core common – Digital society has immediate relevance to the foundation, and a common vision. After establishing digital economy (Ansip 2016), digital manufac- of new ecosystems of general purpose technologies, turing, cyber-physical-social systems, large data- the following divergence phase leads to multiple bases, and (SIA 2015). Digital application areas, increase in productivity, and over- relationships and networking are expected to lapping with other complementary technology and change the respective ecosystems for production, business platforms (Evans and Gawer 2016). learning, trading, and other areas. Digital

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convergence facilitates dissemination and replica- most effectively and efficiently assist individuals, tion of results, establishment of ubiquitous digital businesses, and society at large, communicating via platforms, and multicontribution patents and prod- natural languages. No solution currently is known. ucts. One facet of it is digital government (Foun- Convergence is an approach to bring the known tain 2016), which refers to the use of information concepts and methods together to create a fundamen- and communication technologies in governance. It tally new system. The increase in human productivity encompasses citizen participation and engage- and opening of new fields of activity will be indicators ment. Digital convergence within government of success. has a focus on coordination and collaboration One main component of intelligent cognitive across boundaries to create ‘‘virtual agencies.’’ In assistants is brain-like computing: ‘‘a new type of spite of seemingly intractable challenges to pri- computer that can interpret and learn from data, solve vacy, security, and inequality, digital government unfamiliar problems using what it has learned, and appears to continue to hold enormous potential to identify and solve problems without being asked, advance well-being for individuals and while operating with the energy efficiency of the governments. human brain’’ (Whitman et al. 2015). In order to serve as an effective advisor to a human user, however, such a neuromimetic computer would need to perceive the environment and communicate with other sources of Case study: intelligent cognitive assistant information in real time, in a way compatible with human perception and social interaction, but aug- This endeavor to create intelligent cognitive assistants menting them. Such assistants therefore may be is at the confluence of three national priorities in the locally instantiated collective intelligence systems, US: brain-like computing (a Grand Challenge in the which provide an alternative to relational databases, National Nanotechnology Initiative, NNI), National e-mail networks, conventional websites, and social Strategic Computing Initiative (NSCI), and BRAIN media. Collective intelligence has been defined as an research. Even more importantly, this topic is respond- emergent property from synergies among data–infor- ing to the accelerating and increasingly important mation–knowledge, software–hardware, and experts process of human–technology coevolution. A general and others with insight that continually learns from goal is creating human-centered engineered cognitive feedback to produce just-in-time knowledge for better systems. At a recent SRC-NSF workshop at IBM decisions than any of these elements acting alone Almaden, participants identified intellectual cognitive (Glenn 2016). Artificial intelligence personal assis- assistants as a key feature of this framework. Current tants may serve as mediators between the person and computers would be replaced by another general all human knowledge, an advanced form of cognitive purpose technology to create modular intelligent technology that connects the user to a new form of cognitive assistants for various tasks. We envision human cognitive society (Olds 2016; Oliva and Teng creation of ‘‘ intelligence’’ with versatile 2016). cognitive capabilities (such as solving new problems Now is the opportunity for convergence research to using higher level languages) acting as an interface address this challenge in 10–20 years at the conflu- between humans and their environments. They would ence of several factors, such as reaching the limits of provide perception, data, and information insights, Moore’s law in computation, difficulties in handling calculations, and guidance for problems that cannot be big data, opportunities in neuromorphic engineering handled by the unaided mind or by computers alone. A and neural networking, the promise of quantum key research challenge is to create the system archi- communication and , as well as tecture with respective devices, and optimize this more interacting and demanding communities. Exten- collaborative interaction between humans and these sive and multidisciplinary research will be needed ‘‘intelligent’’ , where respective cognitive from these disparate scientific and research commu- assistants have creative capabilities and evolve in time nities, which should hopefully serve as a useful guide as they are learning. The research purpose is to create for academia, industry and government in working the foundation for future intelligent systems that can together toward such ‘‘intelligent cognitive 123 211 Page 14 of 19 J Nanopart Res (2016) 18:211 assistants.’’ A first goal is to explore the functions to be Probably the best-known examples of contempo- accomplished by such assistants, and then developing rary citizen science are eBird and Galaxy Zoo. novel algorithms, architectures, and supportive tech- Drawing upon the existing community of bird watcher nologies for implementation. This will require collab- hobbyists, eBird has developed into a system for oration of experts from nanoelectronics, photonics, collecting vast data about the current geographic , computer architecture, biomimetics, distribution of bird species, valuable not only for brain visualization, neural networks, neuromorphic understanding their behavioral diversity and complex engineering, artificial intelligence, psychology, relations with the changing environment, but also human–machine interface, systems theory, nanosen- providing very direct measures of the changing sors, and sensorial systems, to name the most relevant. climate (Wood et al. 2011). Galaxy Zoo’s initial This topic has the promise to capture the imagination project was enlisting volunteers, usually amateur of public, industry, and governments because of its astronomers, to classify images of 900,000 galaxies, revolutionary objectives and general implications for through methods that achieved increasing reliability human productivity and quality of life. and built strong collaborations between professionals and amateurs (Lintott et al. 2011). Galaxy Zoo evolved into Zooniverse, not only adding many other kinds of Case study: citizen science and technology astronomical data, but venturing into other fields, such as transcribing ancient Greek papyrus manuscripts, The societal implications of scientific discovery and developing an historical understanding of the experi- technological innovation have often been conceptual- ence of soldiers in the First World War from ized in such a way that society passively responds to documents such as diaries, analyzing the communi- change, following a technological determinist theory cations between whales, modeling the Serengeti lion that at best gives society a period in which to adjust, population, and—most relevant to nanotechnology— traditionally called cultural lag (Ogburn 1922). Yes, it classifying images of cancer cells, as part of a project is important to perform ,in involving and protein expression (dos Reis which social scientists study the human effects of et al. 2015). engineering innovations, including possible unin- Unlike birds and even galaxies and cancer cells, tended negative consequences. But today, conver- phenomena at the nanoscale are far from the direct gence offers a very different and potentially much experience of ordinary human beings, so developing more optimistic perspective, which allows ordinary significant citizen nanoscience would seem more citizens to be partners in the achievement of progress challenging. However, a few other examples do (Kleinman et al. 2009; Cobb 2011). The examples already exist, and we might want to invent some given here only mark the beginning of a period of high-quality citizen science projects precisely to societal-technical partnership, and a much greater educate and involve in decisions the general public diversity of examples may be available for discussion about nanoscience and nanotechnology. Perhaps, the in a few years. most famous citizen nanoscience project is Foldit, a Recently, the term citizen science has become remarkably successful convergence between bio- popular, redolent with meaning and suggesting that chemistry and computer game science, in which amateurs may play very significant roles in scientific online players of a game actually achieved advances discovery. Of course, prior to the proliferation of in the scientific understanding of protein folding science departments in universities during the twen- (Khatib et al. 2011). A subsequent project by an tieth century, many scientists were amateurs, in the expanded version of the Foldit team created Nanocraf- sense that they were not paid for their work and did not ter, ‘‘a citizen science platform for the discovery of possess higher academic degrees. The diversity of novel nanoscale devices built out of self-assembling people who contributed to scientific progress in the strands of DNA’’ (Barone et al. 2015). past may have been rather greater than we commonly The technological equivalent of citizen science imagine, such as discoveries of previously unknown would logically be called citizen engineering, but a fossils by amateur paleontologists (Lipscomb 1995; term like this has not yet become popular. Yet, the McCoy et al. 2016). related Maker Movement has received considerable 123 J Nanopart Res (2016) 18:211 Page 15 of 19 211 government support. The Maker Movement already range of products adapted to local markets. (2) has clear implications for education. The period Promoters of creative ideas and emerging technolo- beginning in England two and a half centuries ago gies will introduce nanotechnology, modern biology, has long been referred to as the , automated machines, new information, and cognitive a time marked by inventions such as the steam engine developments, to name a few, in various bottom-up and by the transfer of from small craft and distributed projects using the increasingly avail- workshops to large factories, although there is much able information about research breakthroughs, tools, room to debate how sudden or complete this transition and general databases. (3) Hobbyists in the Maker really was (Nef 1943). Already Jevons (1931) referred Movement, learning the needed skills at workshops set to a Second Industrial Revolution, in which the union up at public libraries or colleges, will cooperate locally of science and technology markedly strengthened (cf. and with local investors, perhaps guided by volunteer Atkeson and Kehoe 2007). One can define the Second nonprofit organizations but not affiliated with any Industrial Revolution by the introduction of electrical large-scale corporation. Perhaps, each model will be power, or a century later by the introduction of Internet common, either in different areas of manufacturing, or and other computer-based technologies, yet we tend to directly competing for the same customers. The use the term revolution for a radical change in citizen science approach is likely to be utilized in the direction, rather than moderate acceleration in the Maker Movement and in training skilled workers in same direction. the franchises. An Industrial Counter-Revolution may be occur- ring today, most visibly as Internet allows much greater variety in how people can do work, and who Conclusions can contribute. For many years, new computer tech- nologies, in hardware as well as software, have often Convergence of knowledge and technology for the come from small groups of enthusiasts, who were benefit of society (CKTS) is the core opportunity for amateurs until their start-ups became major corpora- progress in the twenty-first century (Roco et al. 2013; tions, as in the cases of Microsoft, Apple, and Bainbridge and Roco 2016). Convergence is as Facebook. The open-source software movement has essential to our future knowledge society as engines become a model for innovative forms of work that were to the industrial revolution, using several foun- dissolve the distinction between professional and dational theories, principles, and methods as they were amateur (Crowston 2016), as networks of people with outlined in this paper. Based on these principles, one varying degrees of professionality took on specific may suggest solutions for key societal challenges in subtasks in creating new software systems, of which the next decade, including accelerating progress in the Linux computer operating system was an early foundational emerging technologies and creating new influential example. When computer systems manage industries and jobs at their frontiers and interfaces in the actual production of physical products, we have the economic, human scale, Earth scale, and societal what NSF calls cyber manufacturing, and this can scale. It is about a strategy to increase productivity and include a wide variety of productivity designed to fit outcomes in research, education, and at the working local or specialized markets, whether commercial or place. amateur as in the Maker Movement (Ciao et al. 2013; The most comprehensive analysis of the conver- Lindtner 2014; Buehler et al. 2015). gence of science, technology, and society was con- We cannot confidently predict which direction ducted at a series of regional conferences in five distributed manufacturing will take, but perhaps three nations: Brazil, Belgium, China, the Republic of different structures will combine to define its trajec- Korea, and the United States—with representatives tory. (1) Large manufacturing corporations may adopt from many more (Roco et al. 2013). Convergence in the franchise system, currently used by fast-food nanotechnology development was used as a key businesses and auto repair shops, in which locally illustration. One specific example of activity is the owned workshops affiliate with a corporation that establishment of a convergence office to monitor provides the technology for production of a specific government research and development decisions in

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