ICT Policy, Research, and Innovation

SVETLANA KLESSOVA was the coordinator of the PICASSO EU/US initiative "ICT Policy, Research and Innovation for a Smart Society". She is Director of Research and Innovation Partnerships at GAC Group, France, and is doing research in innovation management at the Université Côte d'Azur, CNRS, GREDEG. She is the 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 TU Dortmund University, Germany. He obtained several best paper awards and is a co-editor 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 and founder and Director of GNKS Consult, Rotterdam, The Netherlands. He is the Chairman of 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. JONATHAN CAVE belongs to the Economics Department of the University of Warwick, UK and the UK's Regulatory Policy Committee. He is also an Associate at GNKS Consult and a Fellow of the Alan Turing Institute, an area editor of the Journal of Cybersecurity and advisor to the Cyber Civilization Research Center at Keio University.

• List of Contributors xviiiEditorBiographies xxAcknowledgments xxiList of Acronyms xxivA Note from the Series Editor 11 Collaboration in a Globally Networked Knowledge Society 3Svetlana Klessova, Maarten Botterman, Jonathan Cave, and Sebastian Engell1.1 ICT Topics in Focus 61.1.1 5G 61.1.2 Internet of Things 71.1.3 Cyber-Physical Systems 71.1.4 Big Data 81.1.5 Cybersecurity 81.2 The Policy Aspect 91.3 International Collaborations – EU–US Partnerships 111.4 About this Volume 14References 192 Industrial Drivers, Barriers, and Societal Needs: EU and US Perspectives 21Haydn Thompson, Daniela Ramos-Hernandez, and Christian Sonntag2.1 Introduction and Overview 212.2 Industrial Drivers and Societal Needs 232.2.1 Smart Cities 232.2.1.1 Landscape Analysis 232.2.1.2 Industry Interviews 242.2.2 Smart Energy and Smart Grid 262.2.2.1 Landscape Analysis 262.2.2.2 Industry Interviews 282.2.3 Smart Transportation 312.2.3.1 Automotive and Road 322.2.3.2 Rail 352.2.3.3 Aerospace 362.2.3.4 Maritime 382.2.4 Automation 402.2.5 Diagnostics and Plant Monitoring 422.2.6 Information Technology 432.2.7 Wireless and Telecommunications 442.2.8 Software Development and Tools 462.2.9 Research Organizations and Networks 472.2.10 Standardization 482.2.11 Recruitment 492.2.12 Summary of Key Recommendations 502.3 Barriers 512.3.1 Cross-Cutting Barriers 512.3.1.1 Structural Differences in Funding Environments 512.3.1.2 Administrative Overhead and Legal Barriers 522.3.1.3 Lack of Clarity of the Benefits of EU–US Collaboration 532.3.1.4 Restrictions due to Intellectual Property Protection 542.3.1.5 Lack of Joint EU–US Funding Mechanisms and Policies 552.3.1.6 Export Control and Privacy Restrictions 552.3.1.7 Lack of Awareness and Knowledge 562.3.1.8 Lack of Interoperability and Standards 562.3.2 Barriers in Smart Cities 562.3.3 Barriers in Smart Energy and the Smart Grid 572.3.4 Barriers in Smart Transportation 582.3.5 Barriers for Large and Small Companies 602.4 Concluding Remarks 60References 613 Research and Innovation Programs as a Mechanism to Support Collaborative Efforts 63Svetlana Klessova, Tariq Samad, Margot Bezzi, and Marta Calderaro3.1 Introduction 633.2 EU Research and Innovation FP 643.2.1 Coupling Research and Innovation 643.2.2 Collaborative, Interorganizational Projects 653.2.3 ICT Priorities and Opportunities in H2020 673.2.4 The FP 2021–2027: Horizon Europe 693.3 EU–US Collaboration in H2020 703.3.1 The EU–US Research and Innovation Collaboration Framework 703.3.2 US Participation in the EU Research and Innovation FPs 713.3.3 US Industry Participation in the EU ICT-Related Work Programme 713.4 US Programs for Collaborative Research 753.4.1 The Federal RDI Funding Landscape 753.4.2 National Science Foundation (NSF) 763.4.3 National Institutes of Health (NIH) 783.4.4 Department of Defense (DoD) 793.4.5 Department of Energy (DoE) 803.4.6 NITRD: A Programmatic Umbrella Covering ICT 813.5 Conclusion 823.6 Annex 1: About the PICASSO Project 84References 874 International Context and the Specific Value of EU–US Collaboration 89Jonathan Cave and Maarten Botterman4.1 Introduction 894.2 Advantages of EU–US Collaboration 904.2.1 General Aspects 904.2.2 Collaboration Along Technology, Market, and Policy Life Cycles 924.2.3 Specific Activities to Foster Collaboration 924.3 Overview 944.3.1 A Summary of Challenges and Opportunities 944.3.2 EU–US Comparisons 944.3.2.1 A Bit of History 944.3.2.2 The Difficulty of Meaningful Comparisons 1034.3.3 Differences and Cooperation 1034.4 Collaborative Research and Innovation Priorities and Barriers 1034.4.1 EU and US Priorities 1034.4.2 Barriers to Policy-driven R&I Collaboration 104References 1085 Challenges and Potential for EU–US Collaboration at the Intersection of the Internet of Things and Cyber-physical Systems 111Christian Sonntag, Sebastian Engell, and Tariq Samad5.1 Introduction 1115.1.1 Internet of Things-Enabled Cyber-physical Systems 1115.1.2 Objectives of this Chapter 1135.2 R&I Priorities in the European Union and the United States 1145.2.1 Cross-Domain Drivers and Needs 1155.2.2 Enabling Technologies 1155.2.3 Cyber-physical Systems (CPS) 1165.2.3.1 R&I Priorities in the European Union 1175.2.3.2 R&I Priorities in the United States 1195.2.4 The Internet of Things (IoT) 1215.2.4.1 R&I Priorities in the European Union 1225.2.4.2 R&I Priorities in the United States 1235.2.5 Application Sectors: Drivers and Needs 1245.2.5.1 Smart Production 1245.2.5.2 Smart Cities 1265.2.5.3 Smart Energy 1265.2.5.4 Smart Transportation 1275.2.6 Synthesis of the Findings 1285.3 Technology Themes for EU–US Collaboration 1335.3.1 Autonomy and Humans in the Loop 1345.3.1.1 R&I Topics 1345.3.1.2 Why EU–US Collaboration? 1345.3.1.3 Relevance to Application Sectors 1345.3.2 Model-based Systems Engineering 1355.3.2.1 R&I Topics 1355.3.2.2 Why EU–US Collaboration? 1355.3.2.3 Relevance to Application Sectors 1355.3.3 Trust, (Cyber-)Security, Robustness, Resilience, and Safety 1355.3.3.1 R&I Topics 1355.3.3.2 Why EU–US Collaboration? 1365.3.3.3 Relevance to Application Sectors 1365.3.4 Integration, Interoperability, Flexibility, and Reconfiguration 1365.3.4.1 R&I Topics 1365.3.4.2 Why EU–US Collaboration? 1365.3.4.3 Relevance to Application Sectors 1365.3.5 Situational Awareness, Diagnostics, and Prognostics 1375.3.5.1 R&I Topics 1375.3.5.2 Why EU–US Collaboration? 1375.3.5.3 Relevance to Application Sectors 1375.3.6 Closing the Loop in IoT-enabled CPS 1375.3.6.1 R&I Topics 1375.3.6.2 Why EU–US Collaboration? 1375.3.6.3 Relevance to Application Sectors 1375.4 Key  Recommendations: Enabling EU–US Collaboration for IoT-Enabled CPS 1385.4.1 Joint EU–US Knowledge Exchange Initiative 1395.4.2 Joint NSF–EC Program on Autonomous IoT-enabled CPS in Horizon Europe 1405.5 Conclusions and Outlook 141References 1426 Challenges and Potential for EU–US Collaboration in 5G and Beyond Networks 145Yaning Zou, Gerhard Fettweis, Amitava Ghosh, Glenn Ricart, Matti Latva-Aho, and Lucas Scheuvens6.1 Introduction 1456.2 R&I Priorities of 5G Networks in the European Union and the United States 1466.2.1 Cross-domain Drivers and Needs 1466.2.2 5G and its Enabling Technologies 1476.2.3 R&I Priorities in the European Union 1486.2.4 R&I Priorities in the United States 1506.2.5 Vertical Sectors: Drivers and Needs 1526.2.5.1 Automotive and Transportation 1526.2.5.2 Industrial Automation 1536.2.5.3 Health 1546.2.5.4 Energy 1556.2.6 EU–US Research Collaboration in 5G Network 1556.3 5G Beyond and Technology Themes for EU–US Collaboration 1576.3.1 Connecting the Last Billions in Unserved Areas 1596.3.1.1 R&I Topics 1596.3.1.2 Why EU–US Collaboration? 1596.3.2 Wireless Premises Networks 1596.3.2.1 R&I Topics 1596.3.2.2 Why EU–US Collaboration? 1596.3.3 mmWave Technology Beyond 5G 1606.3.3.1 R&I Topics 1606.3.3.2 Why EU–US Collaboration? 1606.3.4 Spectrum Farming and Harmonization 1606.3.4.1 R&I Topics 1606.3.4.2 Why EU–US Collaboration? 1616.4 Fostering EU–US Collaboration for 5G Beyond: Strategies and Key Recommendations 1616.4.1 Collaboration Strategies in the 5G Beyond Domain 1616.4.2 Collaboration Opportunities in the 5G Beyond Domain 1626.5 Conclusions and Outlook 163References 1647 Big Data Policies and Priorities: A Comparison Between the European Union and United States and Opportunities for Collaboration 165Vasileios Papanikolaou, Nikos Sarris, Florence D. Hudson, Lea A. Shanley, Andrew S. Hoffman, and Christine R. Kirkpatrick7.1 Introduction 1657.2 R&I Priorities in the European States and the United States 1667.2.1 Big Data Technology Enablers 1667.2.2 EU Priorities and R&I Landscape 1677.2.2.1 The EU Big Data Strategy 1687.2.2.2 EU R&I Priorities 1687.2.3 US Priorities and R&I Landscape 1697.2.3.1 The US Big Data Strategy 1717.2.3.2 The American Artificial Intelligence Initiative 1727.2.3.3 US Research and Innovation Priorities 1727.2.4 Postgraduate Education on Big Data 1767.2.5 Application Sectors 1777.2.5.1 EU Key Application Sectors 1777.2.5.2 US Application Sectors 1787.2.6 Conclusions 1797.2.6.1 Similarities and Differences at the Design and at the Implementation Level 1797.2.6.2 Similarities and Differences in Big Data Technology and Application Domains between the European States and the United States 1807.3 Fostering EU–US Collaboration for Big Data: Opportunities and Key Recommendations 1817.3.1 Collaboration Opportunities 1817.3.1.1 Big Data Ecosystem Opportunities 1827.3.1.2 Standardization and Regulation 1837.3.1.3 Opportunities in Education and Workforce Development 1837.3.1.4 Big Data for Smart Cities 1837.3.1.5 Big Data and the Environment–Food–Energy–Water Nexus 1847.3.1.6 Big Data for Better Health 1847.3.2 Key Recommendations for Enhancing EU–US Collaboration in Big Data Technologies 1857.3.2.1 Big Data EU–US Task Force for Enhancing Collaboration 1857.3.2.2 Joint R&D Projects under the Horizon Europe Umbrella 1867.4 Conclusions and Outlook 1867.4.1 Summary of Recommendations 187References 1888 Cybersecurity and Privacy 191Jim Clarke, Fabio Martinelli, Artsiom Yautsiukhin, Claudio Caimi, Alberto Terzi,  Silviya Nonova, Camille E. Sailer, Jody Serrano, and Yolanda Ursa8.1 Introduction 1918.2 Landscape of Cybersecurity in Europe and the United States 1928.2.1 EU Cybersecurity and Privacy Strategy 1928.2.1.1 NIS Public–Private Platform (NIS Platform) 1928.2.1.2 Contractual Public–Private Partnership (cPPP) 1928.2.1.3 EU Global Strategy for Foreign and Security Policy 1938.2.1.4 European Agenda on Security 1938.2.1.5 Digital Single Market Strategy 1938.2.2 US Cybersecurity and Privacy Strategy 1938.2.2.1 Federal Cybersecurity Research and Development Strategic Plan 1948.2.2.2 National Privacy Research Strategy (NPRS) 1958.2.2.3 International Strategy for Cyberspace 1958.3 Priority Areas for EU–US Collaboration in R&I in CSP 1958.3.1 Cybersecurity Research Domains 1978.3.2 Applications and Technologies 1988.3.3 Sectors 1988.3.4 Expert Analysis of Our Ranking 1998.3.4.1 Cybersecurity Research Domains 1998.3.4.2 Applications and Technologies 1998.3.4.3 Sectors 2008.3.5 Recommended Focus Sectors for Transatlantic Cooperation 2008.3.5.1 Finance 2008.3.5.2 Health Care 2008.3.5.3 Maritime 2008.3.6 Summary of the Analysis of the Three Focus Sectors 2018.4 Innovation Partnerships in CSP 2038.4.1 Strategy 2038.4.2 Multidisciplinary Approach 2068.4.3 Resilience 2068.4.4 Governance 2068.4.5 Cooperation and Sharing 2068.4.6 Reputation 2068.4.7 Innovation 2078.5 CybersecurityPolicies Enabling EU–US Collaboration 2078.5.1 Standards and Certification 2078.5.1.1 EU Policies 2078.5.1.2 US Policies 2088.5.2 Public–Private Information Sharing 2098.5.2.1 EU Policies 2098.5.2.2 US Policies 2108.6 Recommendations for EU–US Collaboration 2108.7 Conclusions 212References 2149 The Next Generation Internet Initiative 217Glenn Ricart, Jose Gonzalez, Vasilis Papanikolaou, Hubert Santer, Fabrice Clari, Nikos Sarris, Peter Van Daele, and Wouter Tavernier9.1 Introduction 2179.1.1 Technologies and Applications for an Internet of Humans 2199.1.1.1 Key Application Areas 2219.1.2 Drivers and Impediments for a Global DSM 2219.2 Transatlantic Cooperation on NGI 2249.2.1 State of Collaboration 2249.2.2 NGI in the United States 2269.2.2.1 Digital Policies in the United States 2279.2.3 Funding Mechanisms and Opportunities 2299.2.3.1 Europe 2299.2.3.2 United States 2309.2.4 Initiatives Supporting EU–US Collaboration on NGI 2329.2.4.1 Transatlantic NGI Projects 2329.2.4.2 US Clusters and Innovation Hubs 2369.2.4.3 Initiatives Developing NGI Technologies 2389.3 Think NEXUS to Support the Transatlantic NGI Alliance 2399.3.1 Think NEXUS US Workshop 2019 2419.3.1.1 Science and Technology Expert Group 2419.3.1.2 Innovation and Entrepreneurship Expert Group 2439.3.1.3 Policy Expert Group 2479.4 Conclusions 249References 25110 Privacy and Data Protection Issues 255Maarten Botterman and Jonathan Cave10.1 Introduction 25510.2 EU and US Policy Frameworks 25610.3 Differences in Legal Status of Privacy 25710.3.1 Europe: GDPR 25810.3.2 The United States: Case Law Based on the Constitution 25910.3.3 The EU/US Agreement Privacy Shield 26110.4 ICT Development Impacts 26110.4.1 5G Networks 26210.4.2 Big Data 26310.4.3 Internet of Things/Cyber-Physical Systems 26510.5 Conclusions 266References 27011 Information and Communication Technology Security Issues 273Jonathan Cave, Maarten Botterman, and Dave Farber11.1 Introduction 27311.2 The Technical Situation 27411.3 The Policy Situation 27611.3.1 Cybersecurity Risk Cannot be “Minimized” 27611.3.2 Trust Cannot be “Maximized” 27711.3.3 Trust and Security are Both Real and Imagined 27711.3.4 The International Dimension 27811.3.5 Simplistic Approaches to a Complex Problem 28011.3.5.1 Data and Its Uses and Abuses 28011.3.5.2 Definitional Issues 28211.3.5.3 Identification and Authentication 28211.3.5.4 Data and Processing Integrity and Quality 28511.3.5.5 Cybercrime and Cyber-enhanced Crime 28711.3.5.6 Encryption 28811.3.5.7 A Dialogue Between Technology and Policy 29011.4 New ICT Developments Impacts 29211.4.1 5G Networks 29211.4.2 Big Data 29411.4.2.1 The Scope of the Issue 29411.4.2.2 The Accessibility of Big Data 29511.4.2.3 Data Analytics and AI as Cybersecurity Tools 29511.4.3 Internet of Things/Cyber-Physical Systems 29611.5 Possible Ways Forward 29711.6 Conclusions 29911.6.1 5G Networks 29911.6.2 Big Data 30011.6.3 IoT and Cyber-Physical Systems 30011.6.4 Operational Conclusions 301References 30512 Standardization Issues 309Maarten Botterman, Jonathan Cave, and Avri Doria12.1 Introduction 30912.1.1 How ICT Dynamics Affect Standards 31012.1.2 Implications of Convergence 31012.1.3 Convergence Is Not Inevitable 31112.2 Standardization as a Collaborative and Competitive Activity 31112.2.1 Why Address Standards Setting Now? 31212.3 Drivers of ICT Standardization 31312.3.1 Social Drivers 31412.3.2 Technology Drivers 31512.3.3 Economic Drivers 31612.4 Standards Development in Practice 31612.4.1 Permissionless Innovation 31712.4.2 Open Standards 31712.4.3 The Role of Standards Organizations 31812.4.4 The Role of Governments 31812.4.4.1 EU Perspective 31912.4.4.2 US Perspective 32012.5 Standardization: Focus on Technology Domains 32012.5.1 5G Networks 32012.5.2 Big Data 32312.5.3 Internet of Things/Cyber-Physical Systems 32412.6 Perspectives Towards the Future 32512.7 Conclusions 327References 32813 Spectrum Issues 331Jonathan Cave13.1 Introduction 33113.1.1 Challenges to Existing Spectrum Policies 33313.1.2 Implications for Research into Wireless Technologies and Services 33313.1.2.1 Example: 2.6 GHz Spectrum Auction 33413.1.3 Availability of Spectrum for Research Purposes 33413.2 Technology-specific Spectrum Issues 33413.2.1 5G Networks 33413.2.1.1 Specific Issues (Tentative) 33513.2.2 Internet of Things/Cyber-Physical Systems 33713.2.3 Big Data 33913.2.3.1 Big Data Traffic Flows over the Electromagnetic Spectrum 33913.2.3.2 Use of Data Analytics to Allocate Rights and Manage Spectrum Use 34013.3 Perspectives Towards the Future 34013.4 Conclusions 34113.5 Annex A: Some Comments on IoT and CPS from the Spectrum Perspective 34213.5.1 Internet of Things 34213.5.2 Cyber-physical Systems 34313.5.3 Link to Spectrum 34313.6 Annex B: TV White Space (TVWS) 344References 34614 Digital Communities and EU–US ICT Development Collaboration 349Glenn Ricart, Maarten Botterman, and Jonathan Cave14.1 Why Focus on Digital Communities? 34914.1.1 What are Communities? 35014.1.2 The Effect of “Digitization” 35014.2 Relation to Other Key Policy Issues 35314.2.1 Privacy and Data Protection 35414.2.2 ICT Security 35414.2.3 ICT Standards 35514.2.4 Spectrum 35514.3 Digital Communities, Impacted 35614.3.1 5G Networks 35614.3.2 Big Data 35714.3.3 Internet of Things/Cyber-Physical Systems 35714.4 Perspectives Towards the Future 35814.5 Conclusions 360References 36215 Opening Towards a New Reality, Together 365Maarten Botterman and Jonathan Cave15.1 Introduction 36515.1.1 Case for Collaboration 36615.1.2 Most-relevant Issues 36715.2 Policy Challenges for ICT R&I Collaboration 36815.3 Privacy and Data Protection 36815.3.1 Context 36815.3.1.1 Differences in Legal Status of Privacy 36915.3.2 ICT Development Impacts 37015.3.2.1 5G Networks 37015.3.2.2 Big Data 37115.3.2.3 The Internet of Things and Cyber-physical Systems 37215.3.3 Privacy and Data Protection Conclusions 37215.4 Security 37215.4.1 Context 37315.4.1.1 The Technical Situation 37315.4.1.2 The Policy Situation 37415.4.2 ICT Development Impacts 37715.4.2.1 5G Networks 37715.4.2.2 Big Data 37815.4.2.3 The Internet of Things and Cyber-Physical Systems 37915.4.3 Security Conclusions 37915.5 Standards 38015.5.1 Context 38015.5.1.1 How ICT Dynamics Affect Standards 38015.5.1.2 Implications of Convergence 38115.5.1.3 Convergence is Not Inevitable 38115.5.1.4 Standardization as a Collaborative and Competitive Activity 38215.5.2 Standards Development in Practice 38315.5.2.1 Permissionless Innovation 38415.5.2.2 Open Standards 38415.5.3 ICT Development Impacts 38415.5.3.1 5G Networks 38415.5.3.2 Big Data 38515.5.3.3 Internet of Things/Cyber-Physical Systems 38715.5.4 Standards Conclusions 38715.6 Spectrum 38915.6.1 Context 38915.6.1.1 Challenges to Existing Spectrum Policies 39015.6.1.2 Implications for Radio Technology and Service R&I 39115.6.1.3 Spectrum Availability for Research Purposes 39115.6.2 ICT Development Impacts 39215.6.2.1 5G Networks 39215.6.2.2 Big Data 39415.6.2.3 Internet of Things/Cyber-Physical Systems 39515.6.3 Spectrum Conclusions 39615.7 Future Outlook 39715.7.1 General Trends 39715.7.1.1 Overarching Developments 39715.7.1.2 The Evolving Security Landscape 39815.7.2 The Role of Communities 39915.7.2.1 The Future of Digital is Driven by Communities, and Vice Versa 40115.8 Conclusions and Recommendations 40315.8.1 General Aspects 40315.8.1.1 Competition Between Domains 40415.8.1.2 Coordination Models 40415.8.2 Key Policy Domains 40615.8.2.1 Privacy and Data Protection 40615.8.2.2 ICT Security 40815.8.2.3 Standardization 40915.8.2.4 Spectrum 41015.8.3 Lessons Learned from Digital Communities 41115.8.4 Strategic Proposals for the Way Forward 41215.9 Annexes 41315.9.1 Annex A: Security Considerations 41315.9.1.1 Data and Its Uses and Abuses 41315.9.1.2 Definitional Issues 41415.9.1.3 Identification and Authentication 41415.9.1.4 Cybercrime and Cyber-Enhanced Crime 41415.9.1.5 Encryption 41515.9.1.6 A Dialogue Between Technology and Policy 41615.9.2 Annex 2: Standards 41815.9.2.1 Drivers 41815.9.2.2 Organizational Roles 42015.9.3 Annex C Spectrum 42215.9.3.1 IoT and CPS from the Spectrum Perspective 42215.9.3.2 TV White Space (TVWS) 42415.9.4 Annex DFuture Developments 42515.9.4.1 Trends 42515.9.4.2 Digital Communities Perspectives on Policy and Technology Areas 42715.9.4.3 How Do Communities Relate to the Three Technical Domains? 429References 437Index 439