DIPLOMARBEIT Titel der Diplomarbeit „BETWEEN COOPERATION AND COMPETITION- THE EU AND THE USA IN THE RESEARCH AREA“ Verfasserin Carmen Heidenwolf angestrebter akademischer Grad Magistra der Philosophie (Mag.phil.) Wien, 2012 Studienkennzahl lt. Studienblatt: A 300 Studienrichtung lt. Studienblatt: Politikwissenschaft Betreuerin: Dr.in Elsa Hackl To my family – especially to my mum Christine and my dad Franz Für meine Familie, im Speziellen für meine Mutter Christine und meinen Vater Franz Preface | v TABLE OF CONTENTS Table of Contents _______________________________________________________ v Preface ______________________________________________________________ vii Acknowledgements ____________________________________________________ ix List of Abbreviations ___________________________________________________ xi List of Figures ________________________________________________________ xiii List of Tables _________________________________________________________ xiii 1. Introduction _______________________________________________________ 1 1.1. Thematic approach ________________________________________________________________ 1 1.1.1. Growing attention for international science, technology and innovation ______________ 1 1.1.2. EU-USA relation ___________________________________________________________ 3 1.2. Research design __________________________________________________________________ 5 1.2.1. Questions and hypothesis ___________________________________________________ 5 1.2.2. Analytical Framework _______________________________________________________ 6 1.2.3. Overview of Contents _______________________________________________________ 8 2. Theoretical Framework _____________________________________________ 11 2.1. Definitions and policy fields________________________________________________________ 11 2.1.1. Policy ___________________________________________________________________ 11 2.1.2. Science, technology and innovation policy _____________________________________ 12 2.1.3. External Relations and Transatlantic Policy _____________________________________ 18 2.1.4. International Science and Technology Cooperation Policy _________________________ 19 2.1.5. Competitiveness __________________________________________________________ 20 2.1.6. Research and Experimental Development ______________________________________ 22 2.1.7. Cooperation in Science and Technology _______________________________________ 24 2.1.8. Framework Programmes ___________________________________________________ 25 2.1.9. Rationale and Driver _______________________________________________________ 26 2.2. Relevant theoretical approaches____________________________________________________ 26 2.2.1. International cooperation __________________________________________________ 26 2.2.2. Competitive cooperation ___________________________________________________ 27 2.2.3. Interdependence _________________________________________________________ 30 2.2.4. Soft Power _______________________________________________________________ 33 2.2.4.1. Soft power - the EU and the USA ____________________________________ 36 2.2.4.2. The soft power of science __________________________________________ 37 3. The European Science and Technology Policy ____________________________ 39 3.1. Overview _______________________________________________________________________ 39 3.2. The Beginning ___________________________________________________________________ 39 3.2.1. The Community Way: ECSC, ECC, EURATOM ____________________________________ 40 3.2.2. The technology gap and fear of American dominance ____________________________ 45 3.2.3. The first steps as a reaction to the technology gap _______________________________ 48 3.2.3.1. Above - sectorial Programs _________________________________________ 48 3.2.4. The First Framework Programme 1984-1989 ___________________________________ 54 3.3. S&T as a policy field of the EC ______________________________________________________ 58 3.3.1. Need for legitimation of European STP ________________________________________ 58 3.3.2. Developments leading to SEA _______________________________________________ 58 3.3.3. The Single European Act 1986 _______________________________________________ 61 3.3.3.1. SEA and the USA _________________________________________________ 63 3.3.3.2. Science and Technology in the SEA ___________________________________ 63 3.3.4. The Second Framework Programme 1987-1991 _________________________________ 69 3.3.5. The Third Framework Programme 1990-1994 __________________________________ 71 3.4. STP application to other policies ____________________________________________________ 74 3.4.1. The Maastricht Treaty 1992 _________________________________________________ 74 3.4.1.1. Science and Technology in the Treaty of Maastricht _____________________ 77 3.4.1.2. Industrial Policy __________________________________________________ 80 3.4.1.3. Maastricht and USA _______________________________________________ 81 3.4.2. Fourth Framework Programme 1994- 1998 ____________________________________ 82 3.4.3. Treaty of Amsterdam ______________________________________________________ 85 3.4.3.1. Science and Technology in the Treaty of Amsterdam ____________________ 85 3.4.4. Fifth Framework Programme 1998-2002 _______________________________________ 86 3.5. The European Research Area _______________________________________________________ 89 3.5.1. Towards a European Research Area __________________________________________ 89 3.5.1.1. ERA in context of the Lisbon Strategy _________________________________ 92 3.5.1.2. ERA and Lisbon Strategy to compete with the USA ______________________ 95 3.5.2. Sixth Framework Programme 2002-2006 ______________________________________ 96 3.5.3. Seventh Framework Programme 2007-2013 ___________________________________ 100 3.5.4. The Treaty of Lisbon ______________________________________________________ 104 3.5.4.1. Science and Technology in Treaty of Lisbon ___________________________ 104 4. Transatlantic agreements: their relevance to science, research & technology _ 107 4.1. Overview ______________________________________________________________________ 107 4.1.1. Transatlantic economy and actual data _______________________________________ 108 4.1.2. Disputes in economic relations _____________________________________________ 110 4.1.3. Beginning of cooperation __________________________________________________ 112 4.2. Transatlantic Declaration 1990 ____________________________________________________ 113 4.3. The New Transatlantic Agenda 1995 ________________________________________________ 115 4.3.1. The joint EU-USA Action Plan 1995 __________________________________________ 119 4.3.2. Transatlantic Business Dialogue _____________________________________________ 121 4.3.3. Transatlantic Legislator Dialogue ____________________________________________ 122 4.4. Transatlantic Economic Partnership 1998 ___________________________________________ 124 4.5. Transatlantic Economic Council 2007 _______________________________________________ 125 4.6. EU-USA Summits ________________________________________________________________ 128 5. International Cooperation in Science and Technology ____________________ 131 5.1. Overview ______________________________________________________________________ 131 5.2. EU-USA Agreement for Scientific and Technological Cooperation 1997 ___________________ 131 5.2.1. Introduction ____________________________________________________________ 131 5.2.2. Initial Agreement ________________________________________________________ 132 5.2.3. Assessments and extensions _______________________________________________ 137 5.3. EU S&T cooperation policy - Opening the European Research Area ______________________ 139 5.4. Rationales of international S&T cooperation _________________________________________ 143 5.4.1. The narrow STI cooperation paradigm _______________________________________ 146 5.4.2. The broad STI cooperation paradigm _________________________________________ 147 5.4.2.1. “Competitiveness and innovation” __________________________________ 148 5.4.2.2. “Responding to global challenges” __________________________________ 150 5.4.2.3. “Human Resources” _____________________________________________ 151 5.4.2.4. “Promoting political cooperation, dialogue and trust” __________________ 152 5.4.3. Rationales differ depending on the technology areas____________________________ 158 5.4.4. Rationales differ from state to state _________________________________________ 158 6. Conclusion and Outlook ____________________________________________ 161 7. Annex __________________________________________________________ 167 8. References _______________________________________________________ 179 Abstrakt ____________________________________________________________ 189 Abstract ____________________________________________________________ 190 Curriculum Vitae _____________________________________________________ 191 Preface | vii PREFACE It was during the research seminar “Elite University“ that the idea for this thesis was born. I learnt about the concept of the “Knowledge Society“ and the European Union’s policy. At first, my focus was on higher education and the mobility of students and researchers. However, over time this research project took interesting turns and the emphasis changed. Thus, my internship at the Office of Science and Technology at the Austrian Embassy in Washington D.C./USA led to a new focus on EU-USA cooperation. Returning