ICT Policy, Research, and Innovation Perspectives and Prospects for EU-US Collaboration

A comprehensive discussion of the findings of the PICASSO initiative on ICT policy

ICT Policy, Research, and Innovation: Perspectives and Prospects for EU-US Collaboration provides a clearly readable overview of selected information and communication technology (ICT) and policy topics. Rather than deluge the reader with technical details, the distinguished authors provide just enough technical background to make sense of the underlying policy discussions.

The book covers policy, research, and innovation topics on technologies as wide-ranging as:

• Internet of Things
• Cyber physical systems
• 5G
• Big data

ICT Policy, Research, and Innovation compares and contrasts the policy approaches taken by the EU and the US in a variety of areas. The potential for future cooperation is outlined as well. Later chapters provide policy perspectives about some major issues affecting EU/US development cooperation, while the book closes with a discussion of how the development of these new technologies is changing our conceptions of fundamental aspects of society.

SVETLANA KLESSOVA is Director at inno TSD. She Klessova has been with the company for 20 years, during which time she has had leading roles in over 50 science and innovation projects of the company on world-wide level. She was editor of the open source volume Innovation Strategy in R&D Projects: A Step by Step Guide and authored numerous analytical reports.

SEBASTIAN ENGELL is Professor of Process Dynamics and Operations at Technische Universität Dortmund. He has led and co-led several European projects in the areas of cyber-physical systems and management and control of production systems in the process industries. He is a co-author of the Wiley title Resource Efficiency of Processing Plants: Monitoring and Improvement (2018) and editor of the Wiley title Logistic Optimization of Chemical Production Processes (2008).

MAARTEN BOTTERMAN is an independent policy analyst, as well as the Director at the ICANN Board, Chairman of the IGF Dynamic Coalition of the Internet of Things, Board Member of the Institute for Accountability in the Digital Age, and Chairman of the Supervisory Board of the NLnet Foundation. He is also former Chairman of the Board of the Public Interest Registry, , and Senior Advisor in the Dutch Ministry of Transport, Public Works and Water Management.

JONATHAN CAVE is an Associate at GNKS Consult, Senior Fellow in the Economics Department at the University of Warwick, a Turing Fellow and member of the Digital Ethics Research Group and Data Ethics Committee of the Alan Turing Institute and Economist Member of the UK’s Regulatory Policy Committee. He also serves on a number of advisory boards, including the Cyber Civilisation Research Centre at Keio University.

Contributors

Acknowledgements

List of Acronym

A Note from the Series Editor

Chapter 1

1 (Introduction): Collaboration in a Globally Networked Knowledge Society 1

1.1 ICT Topics of Focus 4

1.2 The Policy Aspect 7

1.3 International Collaborations—EU/US Partnerships 9

1.4 About This Volume 12

Chapter 2

2 Industrial Drivers, Barriers, and Societal Needs: EU and US Perspectives 1

2.1 Introduction and Overview 2

2.2 Industrial Drivers and Societal Needs 4

2.2.1 Smart Cities 4

2.2.2 Smart Energy and Smart Grid 7

2.2.3 Smart Transportation 12

2.2.4 Automation 21

2.2.5 Diagnostics and Plant Monitoring 23

2.2.6 Information Technology 24

2.2.7 Wireless and Telecommunications 25

2.2.8 Software Development and Tools 28

2.2.9 Research Organizations and Networks 28

2.2.10 Standardization 29

2.2.11 Recruitment 30

2.2.12 Summary of Key Recommendations 31

2.3 Barriers 32

2.3.1 Cross-cutting Barriers 33

2.3.2 Barriers in Smart Cities 37

2.3.3 Barriers in Smart Energy and the Smart Grid 39

2.3.4 Barriers in Smart Transportation 40

2.3.5 Barriers for Large and Small Companies 42

2.4 Concluding Remarks 42

2.5 References 43

Chapter 3

3. Research and Innovation Programs as a Mechanism to Support Collaborative Efforts 1

3.1. Introduction 1

3.2. EU Research and Innovation Framework Programme 2

3.2.1. Coupling Research and Innovation 2

3.2.2. Collaborative, Inter-organizational Projects 3

3.2.3. ICT Priorities and Opportunities in Horizon 2020 6

3.2.4. The Framework Programme 2021-2027: Horizon Europe 8

3.3. EU-US Collaboration in Horizon 2020 9

3.3.1. The EU-US Research and Innovation Collaboration Framework 9

3.3.2. USA Participation in the EU Research and Innovation Framework Programmes 10

3.3.3. USA Industry Participation in the European Union ICT-related Work Programme 11

3.4. US Programs for Collaborative Research 14

3.4.1. The Federal R&D Funding Landscape 14

3.4.2. The National Science Foundation (NSF) 15

3.4.3. The National Institutes of Health (NIH) 17

3.4.4. Department of Defense (DoD) 19

3.4.5. Department of Energy (DoE) 20

3.4.6. NITRD—A Programmatic Umbrella Covering ICT 21

3.5. Conclusion 22

3.6. References 24

3.1. Annex 1: About PICASSO Project 24

Chapter 4

4. International Context and the Specific Value of EU/US Collaboration 1

4.1. Introduction 1

4.2. Advantages of EU-US Collaboration 2

4.2.1. General Aspects 2

4.2.2. Collaboration along Technology, Market and Policy Life-cycles 3

4.2.3. Specific Activities to Foster Collaboration 4

4.3. Overview 5

4.3.1. A Summary of Challenges and Opportunities 5

4.3.2. EU-US Comparisons 10

4.3.3. Differences and Co-operation 11

4.4. Research and Innovation Priorities in the EU and the US 11

4.5. Barriers to Policy-driven R&I Collaboration 12

4.6. References 13

Chapter 5

5 Challenges and Potential for EU-US Collaboration at the Intersection of the Internet of Things and Cyber-physical Systems 1

5.1 Introduction 2

5.1.1 IoT-enabled Cyber-physical Systems 2

5.1.2 Objectives of this Chapter 4

5.2 Research and Innovation Priorities in the EU and the US 5

5.2.1 Cross-domain Drivers and Needs 6

5.2.2 Enabling Technologies 7

5.2.3 Cyber-physical Systems (CPS) 8

5.2.4 The Internet of Things (IoT) 14

5.2.5 Application Sectors: Drivers and Needs 17

5.2.6 Synthesis of the Findings 22

5.3 Technology Themes for EU-US Collaboration 28

5.3.1 Autonomy and Humans in the Loop 29

5.3.2 Model-based Systems Engineering 29

5.3.3 Trust, (Cyber-)Security, Robustness, Resilience, and Safety 30

5.3.4 Integration, Interoperability, Flexibility, and Reconfiguration 31

5.3.5 Situational Awareness, Diagnostics, and Prognostics 31

5.3.6 Closing the Loop in IoT-enabled Cyber-physical Systems 32

5.4 Key Recommendations: Enabling EU-US Collaboration for IoT-enabled Cyber-physical Systems 33

5.4.1 Joint EU-US Knowledge Exchange Initiative 34

5.4.2 Joint NSF-EC Program on Autonomous IoT-enabled Cyber-physical Systems in Horizon Europe 35

5.5 Conclusions and Outlook 36

5.6 References 37

Chapter 6

6. Challenges and Potential for EU-US Collaboration in 5G and Beyond Networks 1

6.1. Introduction 3

6.2. Research and Innovation Priorities of 5G Networks in the EU and the US 4

6.2.1. Cross-domain Drivers and Needs 4

6.2.2. 5G and its Enabling Technologies 5

6.2.3. Research and Innovation Priorities in the EU 6

6.2.4. Research and Innovation Priorities in the US 8

6.2.5. Vertical Sectors: Drivers and Needs 11

6.2.6. EU-US Research Collaboration in 5G Network 15

6.3. 5G Beyond and Technology Themes for EU-US Collaboration 17

6.3.1. Connecting the Last Billions in Unserved Areas 18

6.3.2. Wireless Premises Networks 19

6.3.3. mmWave Technology Beyond 5G 20

6.3.4. Spectrum Farming and Harmonization 21

6.4. Fostering EU-US Collaboration for 5G Beyond: Strategies and Key Recommendations 21

6.4.1. Collaboration Strategies in the 5G Beyond Domain 21

6.4.2. Collaboration Opportunities in the 5G Beyond Domain 22

6.5. Conclusions and Outlook 24

6.6. References 24

Chapter  7

7. Big Data Policies and Priorities: A Comparison between EU and US and Opportunities for Collaboration 1

7.1. Introduction 1

7.2. Research and Innovation Priorities in the EU and the US 2

7.2.1. Big Data Technology Enablers 3

7.2.2. EU Priorities & Research and Innovation Landscape 4

7.2.2.1. The EU Big Data Strategy 4

7.2.2.2. EU Research & Innovation Priorities 5

7.2.3. US Priorities and Research and Innovation Landscape 7

7.2.3.1. The US Big Data Strategy 8

7.2.3.2. US Research & Innovation Priorities 9

7.2.4. Postgraduate Education on Big Data 13

7.2.5. Application Sectors 14

7.2.5.1. EU Key Application Sectors 14

7.2.5.2. US Application Sectors 15

7.2.6. Conclusions 17

7.2.6.1. Similarities & Differences at the Design and at the Implementation Level 17

7.2.6.2. Similarities & Differences in Big Data Technology and Application Domains between the EU and the US 18

7.3. Fostering EU-US Collaboration for Big Data: Opportunities and Key Recommendations 20

7.3.1. Collaboration Opportunities 20

7.3.1.1. Big Data Ecosystem Opportunities 21

7.3.1.2. Standardization & Regulation 21

7.3.1.3. Opportunities in Education and Workforce Development 22

7.3.1.4. Big Data for Smart Cities 22

7.3.1.5. Big Data and the Environment-Food-Energy-Water Nexus 22

7.3.1.6. Big Data for Better Health 22

7.3.2. Key Recommendations for Enhancing EU-US Collaboration in Big Data Technologies 23

7.3.2.1. Big Data EU-US Task Force for Enhancing Collaboration 23

7.3.2.2. Joint R&D Projects under the Horizon Europe Umbrella 25

7.4. Conclusions and Outlook 25

7.5. References 26

Chapter 8

8. Cybersecurity and Privacy 1

8.1. Introduction 2

8.2. Landscape of Cybersecurity in Europe and the US 2

8.2.1. EU Cybersecurity and Privacy Strategy 2

8.2.2. US Cybersecurity and Privacy Strategy 4

Federal Cybersecurity Research and Development Strategic Plan 4

National Privacy Research Strategy (NPRS) 5

International Strategy for Cyberspace 6

8.3. Priority Areas for EU-US Collaboration in R&I Cybersecurity and Privacy 6

8.3.1. Cybersecurity Research Domains 8

8.3.2. Applications and Technologies 9

8.3.3. Sectors 10

8.3.4. Expert Analysis of our Ranking 10

8.3.5. Recommended Focus Sectors for Transatlantic Cooperation 11

Finance ……………………………………………………………………………………………………………………………………..11

Healthcare 11

Maritime 11

8.3.6. Summary of the Analysis of the Three Focus Sectors 12

8.4. Innovation Partnerships in Cybersecurity and Privacy 14

8.4.1. Strategy 15

8.4.2. Multidisciplinary Approach 16

8.4.3. Resilience 16

8.4.4. Governance 16

8.4.5. Cooperation and Sharing 17

8.4.6. Reputation 17

8.4.7. Innovation 17

8.5. Cybersecurity Policies enabling EU-US Collaboration 17

8.5.1. Standards and Certification 17

EU Policies 18

US Policies 19

8.5.2. Public-Private Information Sharing 19

EU Policies 20

US Policies 20

8.6. Recommendations for EU-US Collaboration 22

8.7. Conclusions 23

Chapter 9 to come

Chapter 10

10 Privacy and Data Protection Issues 1

10.1 Introduction 1

10.2 EU and US Policy Frameworks 2

10.3 Differences in Legal Status of Privacy 3

10.3.1 Europe: General Data Protection Regulation 4

10.3.2 US: Case Law Based on the Constitution 5

10.3.3 The EU/US Agreement Privacy Shield 7

10.4 ICT Development Impacts 7

10.4.1 5G Networks 8

10.4.2 Big Data 9

10.4.3 Internet of Things/Cyber-physical Systems 11

10.5 Conclusions 12

10.6        References 15

Chapter 11

11 ICT Security Issues 3

11.1 Introduction 3

11.2 The Technical Situation 4

11.3 The Policy Situation 6

11.3.1 Cybersecurity Risk cannot be “Minimized” 6

11.3.2 Trust cannot be “Maximized” 7

11.3.3 Trust and Security are Both Real and Imagined 7

11.3.4 The International Dimension 8

11.3.5 Simplistic Approaches to a Complex Problem 11

Data and its uses and abuses 11

Definitional Issues 12

Identification and Authentication 13

Data and Processing Integrity and Quality 16

Cyber-crime and Cyber-enhanced Crime 18

Encryption 19

A Dialogue Between Technology and Policy 21

11.4 New ICT Developments Impacts 24

11.4.1 5G Networks 25

11.4.2 Big Data 27

11.4.3 Internet of Things/Cyber-physical Systems 28

11.5 Possible Ways Forward 30

11.6 Conclusions 31

11.6.1 Operational Conclusions 34

11.7 References 36

Chapter 12

12. Standardization Issues 3

12.1. Introduction 3

How ICT dynamics affect standards 3

Implications of convergence 3

Convergence is not inevitable 4

12.2. Standardization as a Collaborative and Competitive Activity 5

12.3. Drivers of ICT Standardization 7

Social Drivers 8

Technology Drivers 8

Economic Drivers 9

12.4. Standards Development in Practice 10

Permissionless Innovation 11

Open Standards 11

The Role of Standards Organizations 12

The role of Governments 12

12.5. Standardization: Focus on Technology Domains 14

5G Networks 14

Big Data 16

Internet of Things/Cyber-physical Systems 18

12.6. Perspectives Towards the Future 20

12.7. Conclusions 22

12.8. References 22

Chapter 13

13 Spectrum Issues 2

13.1 Introduction 2

13.1.1 Challenges to Existing Spectrum Policies 3

13.1.2 Implications for Research into Wireless Technologies and Services 4

13.1.3 Availability of Spectrum for Research Purposes 5

13.2 Technology-specific Spectrum Issues 6

13.2.1 5G Networks 6

13.2.2 Internet of Things/Cyber-physical Systems 9

13.2.3 Big Data 11

13.3 Perspectives Towards the Future 12

13.4 Conclusions 13

13.5 Annex A: Some Comments on IoT and CPS from the Spectrum Perspective 15

13.5.1 Internet of Things 15

13.5.2 Cyber-physical Systems 15

13.5.3 Link to Spectrum 16

13.6 Annex B: TV White Space (TVWS) 17

13.7 References 19

Chapter 14

14 Digital Communities and EU/US ICT Development Collaboration 2

14.1 Why Focus on Digital Communities? 2

14.1.1 What are Communities? 3

14.1.2 The Effect of ‘Digitization’ 3

14.2 Relation to Other Key Policy Issues 6

14.2.1 Privacy & Data Protection 7

14.2.2 ICT Security 7

14.2.3 ICT Standards 8

14.2.4 Spectrum 8

14.3 Digital Communities, Impacted 9

14.3.1 5G Networks 9

14.3.2 Big Data 10

14.3.3 Internet of Things/Cyber-physical Systems 11

14.4 Perspectives Towards the Future 11

14.5 Conclusions 14

Chapter 15

15 Opening Towards a New Reality, Together 1

15.1 Introduction 1

15.1.1 Case for Collaboration 1

15.1.2 Most-relevant Issues 3

15.2 Policy Challenges for ICT R&I Collaboration 4

15.3 Privacy & Data Protection 4

15.3.1 Context 4

15.3.2 ICT Development Impacts 6

15.3.3 Privacy and Data Protection Conclusions 8

15.4 Security 9

15.4.1 Context 9

15.4.2 ICT Development Impacts 13

15.4.3 Security Conclusions 16

15.5 Standards 17

15.5.1 Context 17

15.5.2 Standards Development in Practice 21

15.5.3 ICT Development Impacts 22

15.5.4 Standards Conclusions 25

15.6 Spectrum 26

15.6.1 Context 27

15.6.2 ICT Development Impacts 29

15.6.3 Spectrum Conclusions 35

15.7 Future Outlook 35

15.7.1 General Trends 35

15.7.2 The Role of Communities 38

15.8 Conclusions and Recommendations 43

15.8.1 General Aspects 43

15.8.2 Key Policy Domains 44

15.8.3 Lessons Learned from Digital Communities 50

15.8.4 Strategic Proposals for The Way Forward 51

15.9 Annexes 53

15.9.1 Annex A. Security Considerations 53

15.9.2 Annex B: Standards 58

15.9.3 Annex C: Spectrum 63

15.9.4 Annex D: Future Developments 65

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