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.
Table of Contents
List of Contributors xviii
Editor
Biographies xx
Acknowledgments xxi
List of Acronyms xxiv
A Note from the Series Editor 1
1 Collaboration in a Globally Networked Knowledge Society 3
Svetlana Klessova, Maarten Botterman, Jonathan Cave, and Sebastian Engell
1.1 ICT Topics in Focus 6
1.1.1 5G 6
1.1.2 Internet of Things 7
1.1.3 Cyber-Physical Systems 7
1.1.4 Big Data 8
1.1.5 Cybersecurity 8
1.2 The Policy Aspect 9
1.3 International Collaborations - EU-US Partnerships 11
1.4 About this Volume 14
References 19
2 Industrial Drivers, Barriers, and Societal Needs: EU and US Perspectives 21
Haydn Thompson, Daniela Ramos-Hernandez, and Christian Sonntag
2.1 Introduction and Overview 21
2.2 Industrial Drivers and Societal Needs 23
2.2.1 Smart Cities 23
2.2.1.1 Landscape Analysis 23
2.2.1.2 Industry Interviews 24
2.2.2 Smart Energy and Smart Grid 26
2.2.2.1 Landscape Analysis 26
2.2.2.2 Industry Interviews 28
2.2.3 Smart Transportation 31
2.2.3.1 Automotive and Road 32
2.2.3.2 Rail 35
2.2.3.3 Aerospace 36
2.2.3.4 Maritime 38
2.2.4 Automation 40
2.2.5 Diagnostics and Plant Monitoring 42
2.2.6 Information Technology 43
2.2.7 Wireless and Telecommunications 44
2.2.8 Software Development and Tools 46
2.2.9 Research Organizations and Networks 47
2.2.10 Standardization 48
2.2.11 Recruitment 49
2.2.12 Summary of Key Recommendations 50
2.3 Barriers 51
2.3.1 Cross-Cutting Barriers 51
2.3.1.1 Structural Differences in Funding Environments 51
2.3.1.2 Administrative Overhead and Legal Barriers 52
2.3.1.3 Lack of Clarity of the Benefits of EU-US Collaboration 53
2.3.1.4 Restrictions due to Intellectual Property Protection 54
2.3.1.5 Lack of Joint EU-US Funding Mechanisms and Policies 55
2.3.1.6 Export Control and Privacy Restrictions 55
2.3.1.7 Lack of Awareness and Knowledge 56
2.3.1.8 Lack of Interoperability and Standards 56
2.3.2 Barriers in Smart Cities 56
2.3.3 Barriers in Smart Energy and the Smart Grid 57
2.3.4 Barriers in Smart Transportation 58
2.3.5 Barriers for Large and Small Companies 60
2.4 Concluding Remarks 60
References 61
3 Research and Innovation Programs as a Mechanism to Support Collaborative Efforts 63
Svetlana Klessova, Tariq Samad, Margot Bezzi, and Marta Calderaro
3.1 Introduction 63
3.2 EU Research and Innovation FP 64
3.2.1 Coupling Research and Innovation 64
3.2.2 Collaborative, Interorganizational Projects 65
3.2.3 ICT Priorities and Opportunities in H2020 67
3.2.4 The FP 2021-2027: Horizon Europe 69
3.3 EU-US Collaboration in H2020 70
3.3.1 The EU-US Research and Innovation Collaboration Framework 70
3.3.2 US Participation in the EU Research and Innovation FPs 71
3.3.3 US Industry Participation in the EU ICT-Related Work Programme 71
3.4 US Programs for Collaborative Research 75
3.4.1 The Federal RDI Funding Landscape 75
3.4.2 National Science Foundation (NSF) 76
3.4.3 National Institutes of Health (NIH) 78
3.4.4 Department of Defense (DoD) 79
3.4.5 Department of Energy (DoE) 80
3.4.6 NITRD: A Programmatic Umbrella Covering ICT 81
3.5 Conclusion 82
3.6 Annex 1: About the PICASSO Project 84
References 87
4 International Context and the Specific Value of EU-US Collaboration 89
Jonathan Cave and Maarten Botterman
4.1 Introduction 89
4.2 Advantages of EU-US Collaboration 90
4.2.1 General Aspects 90
4.2.2 Collaboration Along Technology, Market, and Policy Life Cycles 92
4.2.3 Specific Activities to Foster Collaboration 92
4.3 Overview 94
4.3.1 A Summary of Challenges and Opportunities 94
4.3.2 EU-US Comparisons 94
4.3.2.1 A Bit of History 94
4.3.2.2 The Difficulty of Meaningful Comparisons 103
4.3.3 Differences and Cooperation 103
4.4 Collaborative Research and Innovation Priorities and Barriers 103
4.4.1 EU and US Priorities 103
4.4.2 Barriers to Policy-driven R&I Collaboration 104
References 108
5 Challenges and Potential for EU-US Collaboration at the Intersection of the Internet of Things and Cyber-physical Systems 111
Christian Sonntag, Sebastian Engell, and Tariq Samad
5.1 Introduction 111
5.1.1 Internet of Things-Enabled Cyber-physical Systems 111
5.1.2 Objectives of this Chapter 113
5.2 R&I Priorities in the European Union and the United States 114
5.2.1 Cross-Domain Drivers and Needs 115
5.2.2 Enabling Technologies 115
5.2.3 Cyber-physical Systems (CPS) 116
5.2.3.1 R&I Priorities in the European Union 117
5.2.3.2 R&I Priorities in the United States 119
5.2.4 The Internet of Things (IoT) 121
5.2.4.1 R&I Priorities in the European Union 122
5.2.4.2 R&I Priorities in the United States 123
5.2.5 Application Sectors: Drivers and Needs 124
5.2.5.1 Smart Production 124
5.2.5.2 Smart Cities 126
5.2.5.3 Smart Energy 126
5.2.5.4 Smart Transportation 127
5.2.6 Synthesis of the Findings 128
5.3 Technology Themes for EU-US Collaboration 133
5.3.1 Autonomy and Humans in the Loop 134
5.3.1.1 R&I Topics 134
5.3.1.2 Why EU-US Collaboration? 134
5.3.1.3 Relevance to Application Sectors 134
5.3.2 Model-based Systems Engineering 135
5.3.2.1 R&I Topics 135
5.3.2.2 Why EU-US Collaboration? 135
5.3.2.3 Relevance to Application Sectors 135
5.3.3 Trust, (Cyber-)Security, Robustness, Resilience, and Safety 135
5.3.3.1 R&I Topics 135
5.3.3.2 Why EU-US Collaboration? 136
5.3.3.3 Relevance to Application Sectors 136
5.3.4 Integration, Interoperability, Flexibility, and Reconfiguration 136
5.3.4.1 R&I Topics 136
5.3.4.2 Why EU-US Collaboration? 136
5.3.4.3 Relevance to Application Sectors 136
5.3.5 Situational Awareness, Diagnostics, and Prognostics 137
5.3.5.1 R&I Topics 137
5.3.5.2 Why EU-US Collaboration? 137
5.3.5.3 Relevance to Application Sectors 137
5.3.6 Closing the Loop in IoT-enabled CPS 137
5.3.6.1 R&I Topics 137
5.3.6.2 Why EU-US Collaboration? 137
5.3.6.3 Relevance to Application Sectors 137
5.4 Key Recommendations: Enabling EU-US Collaboration for IoT-Enabled CPS 138
5.4.1 Joint EU-US Knowledge Exchange Initiative 139
5.4.2 Joint NSF-EC Program on Autonomous IoT-enabled CPS in Horizon Europe 140
5.5 Conclusions and Outlook 141
References 142
6 Challenges and Potential for EU-US Collaboration in 5G and Beyond Networks 145
Yaning Zou, Gerhard Fettweis, Amitava Ghosh, Glenn Ricart, Matti Latva-Aho, and Lucas Scheuvens
6.1 Introduction 145
6.2 R&I Priorities of 5G Networks in the European Union and the United States 146
6.2.1 Cross-domain Drivers and Needs 146
6.2.2 5G and its Enabling Technologies 147
6.2.3 R&I Priorities in the European Union 148
6.2.4 R&I Priorities in the United States 150
6.2.5 Vertical Sectors: Drivers and Needs 152
6.2.5.1 Automotive and Transportation 152
6.2.5.2 Industrial Automation 153
6.2.5.3 Health 154
6.2.5.4 Energy 155
6.2.6 EU-US Research Collaboration in 5G Network 155
6.3 5G Beyond and Technology Themes for EU-US Collaboration 157
6.3.1 Connecting the Last Billions in Unserved Areas 159
6.3.1.1 R&I Topics 159
6.3.1.2 Why EU-US Collaboration? 159
6.3.2 Wireless Premises Networks 159
6.3.2.1 R&I Topics 159
6.3.2.2 Why EU-US Collaboration? 159
6.3.3 mmWave Technology Beyond 5G 160
6.3.3.1 R&I Topics 160
6.3.3.2 Why EU-US Collaboration? 160
6.3.4 Spectrum Farming and Harmonization 160
6.3.4.1 R&I Topics 160
6.3.4.2 Why EU-US Collaboration? 161
6.4 Fostering EU-US Collaboration for 5G Beyond: Strategies and Key Recommendations 161
6.4.1 Collaboration Strategies in the 5G Beyond Domain 161
6.4.2 Collaboration Opportunities in the 5G Beyond Domain 162
6.5 Conclusions and Outlook 163
References 164
7 Big Data Policies and Priorities: A Comparison Between the European Union and United States and Opportunities for Collaboration 165
Vasileios Papanikolaou, Nikos Sarris, Florence D. Hudson, Lea A. Shanley, Andrew S. Hoffman, and Christine R. Kirkpatrick
7.1 Introduction 165
7.2 R&I Priorities in the European States and the United States 166
7.2.1 Big Data Technology Enablers 166
7.2.2 EU Priorities and R&I Landscape 167
7.2.2.1 The EU Big Data Strategy 168
7.2.2.2 EU R&I Priorities 168
7.2.3 US Priorities and R&I Landscape 169
7.2.3.1 The US Big Data Strategy 171
7.2.3.2 The American Artificial Intelligence Initiative 172
7.2.3.3 US Research and Innovation Priorities 172
7.2.4 Postgraduate Education on Big Data 176
7.2.5 Application Sectors 177
7.2.5.1 EU Key Application Sectors 177
7.2.5.2 US Application Sectors 178
7.2.6 Conclusions 179
7.2.6.1 Similarities and Differences at the Design and at the Implementation Level 179
7.2.6.2 Similarities and Differences in Big Data Technology and Application Domains between the European States and the United States 180
7.3 Fostering EU-US Collaboration for Big Data: Opportunities and Key Recommendations 181
7.3.1 Collaboration Opportunities 181
7.3.1.1 Big Data Ecosystem Opportunities 182
7.3.1.2 Standardization and Regulation 183
7.3.1.3 Opportunities in Education and Workforce Development 183
7.3.1.4 Big Data for Smart Cities 183
7.3.1.5 Big Data and the Environment-Food-Energy-Water Nexus 184
7.3.1.6 Big Data for Better Health 184
7.3.2 Key Recommendations for Enhancing EU-US Collaboration in Big Data Technologies 185
7.3.2.1 Big Data EU-US Task Force for Enhancing Collaboration 185
7.3.2.2 Joint R&D Projects under the Horizon Europe Umbrella 186
7.4 Conclusions and Outlook 186
7.4.1 Summary of Recommendations 187
References 188
8 Cybersecurity and Privacy 191
Jim Clarke, Fabio Martinelli, Artsiom Yautsiukhin, Claudio Caimi, Alberto Terzi, Silviya Nonova, Camille E. Sailer, Jody Serrano, and Yolanda Ursa
8.1 Introduction 191
8.2 Landscape of Cybersecurity in Europe and the United States 192
8.2.1 EU Cybersecurity and Privacy Strategy 192
8.2.1.1 NIS Public-Private Platform (NIS Platform) 192
8.2.1.2 Contractual Public-Private Partnership (cPPP) 192
8.2.1.3 EU Global Strategy for Foreign and Security Policy 193
8.2.1.4 European Agenda on Security 193
8.2.1.5 Digital Single Market Strategy 193
8.2.2 US Cybersecurity and Privacy Strategy 193
8.2.2.1 Federal Cybersecurity Research and Development Strategic Plan 194
8.2.2.2 National Privacy Research Strategy (NPRS) 195
8.2.2.3 International Strategy for Cyberspace 195
8.3 Priority Areas for EU-US Collaboration in R&I in CSP 195
8.3.1 Cybersecurity Research Domains 197
8.3.2 Applications and Technologies 198
8.3.3 Sectors 198
8.3.4 Expert Analysis of Our Ranking 199
8.3.4.1 Cybersecurity Research Domains 199
8.3.4.2 Applications and Technologies 199
8.3.4.3 Sectors 200
8.3.5 Recommended Focus Sectors for Transatlantic Cooperation 200
8.3.5.1 Finance 200
8.3.5.2 Health Care 200
8.3.5.3 Maritime 200
8.3.6 Summary of the Analysis of the Three Focus Sectors 201
8.4 Innovation Partnerships in CSP 203
8.4.1 Strategy 203
8.4.2 Multidisciplinary Approach 206
8.4.3 Resilience 206
8.4.4 Governance 206
8.4.5 Cooperation and Sharing 206
8.4.6 Reputation 206
8.4.7 Innovation 207
8.5 Cybersecurity
Policies Enabling EU-US Collaboration 207
8.5.1 Standards and Certification 207
8.5.1.1 EU Policies 207
8.5.1.2 US Policies 208
8.5.2 Public-Private Information Sharing 209
8.5.2.1 EU Policies 209
8.5.2.2 US Policies 210
8.6 Recommendations for EU-US Collaboration 210
8.7 Conclusions 212
References 214
9 The Next Generation Internet Initiative 217
Glenn Ricart, Jose Gonzalez, Vasilis Papanikolaou, Hubert Santer, Fabrice Clari, Nikos Sarris, Peter Van Daele, and Wouter Tavernier
9.1 Introduction 217
9.1.1 Technologies and Applications for an Internet of Humans 219
9.1.1.1 Key Application Areas 221
9.1.2 Drivers and Impediments for a Global DSM 221
9.2 Transatlantic Cooperation on NGI 224
9.2.1 State of Collaboration 224
9.2.2 NGI in the United States 226
9.2.2.1 Digital Policies in the United States 227
9.2.3 Funding Mechanisms and Opportunities 229
9.2.3.1 Europe 229
9.2.3.2 United States 230
9.2.4 Initiatives Supporting EU-US Collaboration on NGI 232
9.2.4.1 Transatlantic NGI Projects 232
9.2.4.2 US Clusters and Innovation Hubs 236
9.2.4.3 Initiatives Developing NGI Technologies 238
9.3 Think NEXUS to Support the Transatlantic NGI Alliance 239
9.3.1 Think NEXUS US Workshop 2019 241
9.3.1.1 Science and Technology Expert Group 241
9.3.1.2 Innovation and Entrepreneurship Expert Group 243
9.3.1.3 Policy Expert Group 247
9.4 Conclusions 249
References 251
10 Privacy and Data Protection Issues 255
Maarten Botterman and Jonathan Cave
10.1 Introduction 255
10.2 EU and US Policy Frameworks 256
10.3 Differences in Legal Status of Privacy 257
10.3.1 Europe: GDPR 258
10.3.2 The United States: Case Law Based on the Constitution 259
10.3.3 The EU/US Agreement Privacy Shield 261
10.4 ICT Development Impacts 261
10.4.1 5G Networks 262
10.4.2 Big Data 263
10.4.3 Internet of Things/Cyber-Physical Systems 265
10.5 Conclusions 266
References 270
11 Information and Communication Technology Security Issues 273
Jonathan Cave, Maarten Botterman, and Dave Farber
11.1 Introduction 273
11.2 The Technical Situation 274
11.3 The Policy Situation 276
11.3.1 Cybersecurity Risk Cannot be “Minimized” 276
11.3.2 Trust Cannot be “Maximized” 277
11.3.3 Trust and Security are Both Real and Imagined 277
11.3.4 The International Dimension 278
11.3.5 Simplistic Approaches to a Complex Problem 280
11.3.5.1 Data and Its Uses and Abuses 280
11.3.5.2 Definitional Issues 282
11.3.5.3 Identification and Authentication 282
11.3.5.4 Data and Processing Integrity and Quality 285
11.3.5.5 Cybercrime and Cyber-enhanced Crime 287
11.3.5.6 Encryption 288
11.3.5.7 A Dialogue Between Technology and Policy 290
11.4 New ICT Developments Impacts 292
11.4.1 5G Networks 292
11.4.2 Big Data 294
11.4.2.1 The Scope of the Issue 294
11.4.2.2 The Accessibility of Big Data 295
11.4.2.3 Data Analytics and AI as Cybersecurity Tools 295
11.4.3 Internet of Things/Cyber-Physical Systems 296
11.5 Possible Ways Forward 297
11.6 Conclusions 299
11.6.1 5G Networks 299
11.6.2 Big Data 300
11.6.3 IoT and Cyber-Physical Systems 300
11.6.4 Operational Conclusions 301
References 305
12 Standardization Issues 309
Maarten Botterman, Jonathan Cave, and Avri Doria
12.1 Introduction 309
12.1.1 How ICT Dynamics Affect Standards 310
12.1.2 Implications of Convergence 310
12.1.3 Convergence Is Not Inevitable 311
12.2 Standardization as a Collaborative and Competitive Activity 311
12.2.1 Why Address Standards Setting Now? 312
12.3 Drivers of ICT Standardization 313
12.3.1 Social Drivers 314
12.3.2 Technology Drivers 315
12.3.3 Economic Drivers 316
12.4 Standards Development in Practice 316
12.4.1 Permissionless Innovation 317
12.4.2 Open Standards 317
12.4.3 The Role of Standards Organizations 318
12.4.4 The Role of Governments 318
12.4.4.1 EU Perspective 319
12.4.4.2 US Perspective 320
12.5 Standardization: Focus on Technology Domains 320
12.5.1 5G Networks 320
12.5.2 Big Data 323
12.5.3 Internet of Things/Cyber-Physical Systems 324
12.6 Perspectives Towards the Future 325
12.7 Conclusions 327
References 328
13 Spectrum Issues 331
Jonathan Cave
13.1 Introduction 331
13.1.1 Challenges to Existing Spectrum Policies 333
13.1.2 Implications for Research into Wireless Technologies and Services 333
13.1.2.1 Example: 2.6 GHz Spectrum Auction 334
13.1.3 Availability of Spectrum for Research Purposes 334
13.2 Technology-specific Spectrum Issues 334
13.2.1 5G Networks 334
13.2.1.1 Specific Issues (Tentative) 335
13.2.2 Internet of Things/Cyber-Physical Systems 337
13.2.3 Big Data 339
13.2.3.1 Big Data Traffic Flows over the Electromagnetic Spectrum 339
13.2.3.2 Use of Data Analytics to Allocate Rights and Manage Spectrum Use 340
13.3 Perspectives Towards the Future 340
13.4 Conclusions 341
13.5 Annex A: Some Comments on IoT and CPS from the Spectrum Perspective 342
13.5.1 Internet of Things 342
13.5.2 Cyber-physical Systems 343
13.5.3 Link to Spectrum 343
13.6 Annex B: TV White Space (TVWS) 344
References 346
14 Digital Communities and EU-US ICT Development Collaboration 349
Glenn Ricart, Maarten Botterman, and Jonathan Cave
14.1 Why Focus on Digital Communities? 349
14.1.1 What are Communities? 350
14.1.2 The Effect of “Digitization” 350
14.2 Relation to Other Key Policy Issues 353
14.2.1 Privacy and Data Protection 354
14.2.2 ICT Security 354
14.2.3 ICT Standards 355
14.2.4 Spectrum 355
14.3 Digital Communities, Impacted 356
14.3.1 5G Networks 356
14.3.2 Big Data 357
14.3.3 Internet of Things/Cyber-Physical Systems 357
14.4 Perspectives Towards the Future 358
14.5 Conclusions 360
References 362
15 Opening Towards a New Reality, Together 365
Maarten Botterman and Jonathan Cave
15.1 Introduction 365
15.1.1 Case for Collaboration 366
15.1.2 Most-relevant Issues 367
15.2 Policy Challenges for ICT R&I Collaboration 368
15.3 Privacy and Data Protection 368
15.3.1 Context 368
15.3.1.1 Differences in Legal Status of Privacy 369
15.3.2 ICT Development Impacts 370
15.3.2.1 5G Networks 370
15.3.2.2 Big Data 371
15.3.2.3 The Internet of Things and Cyber-physical Systems 372
15.3.3 Privacy and Data Protection Conclusions 372
15.4 Security 372
15.4.1 Context 373
15.4.1.1 The Technical Situation 373
15.4.1.2 The Policy Situation 374
15.4.2 ICT Development Impacts 377
15.4.2.1 5G Networks 377
15.4.2.2 Big Data 378
15.4.2.3 The Internet of Things and Cyber-Physical Systems 379
15.4.3 Security Conclusions 379
15.5 Standards 380
15.5.1 Context 380
15.5.1.1 How ICT Dynamics Affect Standards 380
15.5.1.2 Implications of Convergence 381
15.5.1.3 Convergence is Not Inevitable 381
15.5.1.4 Standardization as a Collaborative and Competitive Activity 382
15.5.2 Standards Development in Practice 383
15.5.2.1 Permissionless Innovation 384
15.5.2.2 Open Standards 384
15.5.3 ICT Development Impacts 384
15.5.3.1 5G Networks 384
15.5.3.2 Big Data 385
15.5.3.3 Internet of Things/Cyber-Physical Systems 387
15.5.4 Standards Conclusions 387
15.6 Spectrum 389
15.6.1 Context 389
15.6.1.1 Challenges to Existing Spectrum Policies 390
15.6.1.2 Implications for Radio Technology and Service R&I 391
15.6.1.3 Spectrum Availability for Research Purposes 391
15.6.2 ICT Development Impacts 392
15.6.2.1 5G Networks 392
15.6.2.2 Big Data 394
15.6.2.3 Internet of Things/Cyber-Physical Systems 395
15.6.3 Spectrum Conclusions 396
15.7 Future Outlook 397
15.7.1 General Trends 397
15.7.1.1 Overarching Developments 397
15.7.1.2 The Evolving Security Landscape 398
15.7.2 The Role of Communities 399
15.7.2.1 The Future of Digital is Driven by Communities, and Vice Versa 401
15.8 Conclusions and Recommendations 403
15.8.1 General Aspects 403
15.8.1.1 Competition Between Domains 404
15.8.1.2 Coordination Models 404
15.8.2 Key Policy Domains 406
15.8.2.1 Privacy and Data Protection 406
15.8.2.2 ICT Security 408
15.8.2.3 Standardization 409
15.8.2.4 Spectrum 410
15.8.3 Lessons Learned from Digital Communities 411
15.8.4 Strategic Proposals for the Way Forward 412
15.9 Annexes 413
15.9.1 Annex A: Security Considerations 413
15.9.1.1 Data and Its Uses and Abuses 413
15.9.1.2 Definitional Issues 414
15.9.1.3 Identification and Authentication 414
15.9.1.4 Cybercrime and Cyber-Enhanced Crime 414
15.9.1.5 Encryption 415
15.9.1.6 A Dialogue Between Technology and Policy 416
15.9.2 Annex 2: Standards 418
15.9.2.1 Drivers 418
15.9.2.2 Organizational Roles 420
15.9.3 Annex C Spectrum 422
15.9.3.1 IoT and CPS from the Spectrum Perspective 422
15.9.3.2 TV White Space (TVWS) 424
15.9.4 Annex DFuture Developments 425
15.9.4.1 Trends 425
15.9.4.2 Digital Communities Perspectives on Policy and Technology Areas 427
15.9.4.3 How Do Communities Relate to the Three Technical Domains? 429
References 437
Index 439
