The European Union's sanctions regime against Russian science

The research was carried out at the expense of a grant from the Russian Science Foundation No. 23-28-01296, https://rscf.ru/project/23-28-01296/

Introduction

In the context of modern geopolitical cataclysms, the governments of a number of foreign countries, as well as their educational and scientific institutions, have decided to impose unilateral restrictive measures (sanctions) against Russia in the field of international scientific and technical cooperation, including academic exchanges. In principle, the use of sanctions in the scientific field as an instrument of political pressure is a phenomenon that has become familiar to the XXI century in relation to a number of countries (North Korea, Belarus, Iran, Somalia, Iraq, Venezuela, etc.). In the case of Russia, the same logic applies: such sectoral restrictive measures, often referred to as scientific sanctions, they are applied in the "orchestra" of economic, trade and technological sanctions. They are designed to have a "deterrent" effect in relation to Russia's foreign policy. The international relations of the Russian research and development sector with the European Union (hereinafter referred to as the EU), as well as with its member States, have suffered the most. This indicates the formation of a new type of European sectoral sanctions regime.  

Due to its scale and unprecedented nature, the modern regime of scientific sanctions is a qualitatively new phenomenon in the system of Russia–EU relations. Strict concepts for assessing this situation are sometimes no longer enough, and therefore the terms "tsunami of sanctions" and "cascade of sanctions" are beginning to be used in the expert environment [Burke M. Invasion of Ukraine Begins Cascade of Decoupling from Russian Science (March 22, 2022). URL: https://www.chemistryworld.com/news/invasion-of-ukraine-begins-cascade-of-decoupling-from-russian-science/4015394.article (date of access: 02.10.2023)]. The metaphor "unprecedented volley of sanctions" looks quite original [J?go M., Malingre V. War in Ukraine: Russia Finds Loopholes in Western Sanctions (April 2023).  URL: https://www.lemonde.fr/en/international/article/2023/04/30/war-in-ukraine-russia-finds-loopholes-in-western-sanctions_6024869_4.html (date of access: 11/22/2023)]. These terms complement the use of the quite traditional concept of "scientific boycott" ^[1]. But it's not about the words, it's about the essence.

Relatively recently, at a meeting of the Russia–EU Joint Committee on Scientific and Technological Cooperation (June 17, 2021), M. Ederer (EU Ambassador to Russia) called the Russian-European partnership in the field of scientific research a success story and expressed confidence in its continuation within the framework of the new Horizon Europe program, designed to become a solid bridge between Europe and Russia [The Russia–EU Joint Committee on Scientific and Technological Cooperation held a meeting via videoconference (06/21/2021). URL: https://www.eeas.europa.eu/delegations/russia/совместный-комитет-россия----ес-по-научно-технологическому-сотрудничеству-провел_ ru?s=177 (date of application: 10.11.2023)]. However, now this bridge has been destroyed by the energy of anti-Russian scientific sanctions, and the perception of this cooperation as a kind of success story has turned into the plane of nostalgic memories.

The appeal of research attention to the anti-Russian scientific sanctions imposed by the EU is characterized by increased relevance. This is determined by the fact that the EU, and equally its member states, are among the most important partners in the field of research and development, cooperation with which in a multilateral and bilateral format has become an important tool for Russia's integration into world science.

The purpose of the article is to reveal the content and model of the EU sanctions regime against Russian science.

In scientific works devoted to the analysis of unilateral restrictive measures against Russian science, one way or another, the problems of scientific sanctions imposed by the EU and its member states are touched upon ^{[2, p. 34; 3; 4, pp. 94-95; 5, pp. 107-109; 6]}, as well as by other unfriendly states and various institutional scientific structures, for example, related to installations of the "megascience" class. Nevertheless, the "sliding" mentions reflecting the chronicle of events do not pretend to be a systematic analysis. Therefore, the EU sanctions regime against Russian science (2022-2023) as an integral phenomenon has not yet become the subject of a special comprehensive analysis. This circumstance will determine the novelty of the presented research.

The formation of systemic ideas about the EU sanctions regime in relation to Russian science, undertaken in this article, is based on theoretical ideas about sanctions regimes ^{[7; 8; 9]} and is carried out in the subject field of the theory of scientific sanctions, developing in an interdisciplinary manner ^{[1; 2]}. The phenomenon of the EU sanctions regime against Russian science is a unique phenomenon in the history of scientific sanctions. Firstly, these are sanctions directed against Russia as a state with significant potential in a number of scientific fields (fundamental physics, virology, climatology). Secondly, the destructive nature of these measures means that the EU goes beyond scientific diplomacy and the declared paradigm of "open science". Thirdly, the EU sanctions regime as a subject of international law is characterized by its own model.

The hypothesis of the study is the position that the model of the sectoral sanctions regime under consideration combines general and specific points. The first ones are represented by the destruction of the project-program format of interaction, as well as various forms and directions of international scientific and technical cooperation with the participation of Russia. The second lies in the specifics of the subject and the order of their introduction, as well as in their content orientation. As a result, the EU sanctions regime under consideration is a set of special (sectoral) unilateral restrictive measures aimed at limiting or excluding Russia from international scientific cooperation.

Achieving the purpose of the article involves solving the following research tasks: revealing the suddenness and unprecedented scale of restrictive measures (temporal and volume-content characteristics of the sanctions regime); determining the range of EU structures that imposed "scientific" sanctions; establishing a correlation between EU sanctions and sanctions of member states; identifying the legal foundations and axiological motives of the sanctions regime; disclosure the content of the imposed restrictions and the systematization of their negative consequences.        

The solution of these research tasks involves relying on the use of the principle of historicism, as well as a system-structural approach. In addition, a modeling method was used to reproduce the specifics of the content contour of the sectoral sanctions regime under consideration. An important place in the work is such a general scientific method as analysis, aimed at a consistent study of the structural "niches" of the sanctions regime that form its model. In turn, the high speed of the imposition of sanctions required the use of such a variety of event description method as event analysis. This method was supplemented by the use of a comparative method, which serves as the basis for understanding the specifics of the model of this sanctions regime. The forecasting method made it possible to outline not only the possible course of events, but also to determine the degree of negative impact of sanctions on Russian science.

1. Scientific and technical cooperation between the EU and Russia: problems and prospects in the context of the sanctions "calm"

 Revealing the suddenness of the emergence of the EU sanctions regime against Russian science as one of its characteristics suggests a retrospective appeal to the dynamics and problems of Russian-European cooperation in the period 2014-2021, when the political crisis in Russian-European relations was relatively moderate. During this period, as before, the EU's interest in strategic scientific and technical partnership with Russia was determined, firstly, by the desire to attract additional intellectual resources to solve the fundamental tasks that various EU research and development programs were aimed at [Communication from the Commission to the Council and the European Parliament. A Strategic European Framework for International Science and Technology Cooperation. COM(2008) 588 final (Brussels, 09/24/2008). p. 2. URL: http://ec.europa.eu/research / press/2008/pdf/com_2008_588_en.pdf (accessed: 10/18/2023)]. This also includes solving the problem of increasing the global competitiveness of the European region against the background of challenges coming from the United States, Japan, and China, including through the use of Russian scientific and technical potential ^{[10, p. 29]}. Secondly, it is the desire to promote fundamental and applied research in the form of transnational research consortia designed to solve global problems (climate change, poverty, energy threats, etc.) [Communication from the Commission to the Council and the European Parliament. A Strategic European Framework for International Science and Technology Cooperation. COM(2008) 588 final (Brussels, 09/24/2008). p. 2. URL: http://ec.europa.eu/research / press/2008/pdf/com_2008_588_en.pdf (accessed: 10/18/2023)]. In both cases, the European Research Area (ERA) was an important tool for achieving these goals, which was completed by common research spaces in the form of partnerships involving associated countries and third States. The rather successfully developing common Russian-European research space became possible due to the functioning of the corresponding research infrastructure ^[11]. Thirdly, the EU considered international scientific cooperation as an instrument of "soft" power, when cooperation in the line of scientific diplomacy is aimed at achieving the goals of promoting political and economic transformations in partner countries in the spirit of so-called European values in the interests of consolidating European influence. And Russia was no exception here. The factors of attractiveness for Russia of scientific cooperation with the EU were the need to respond to the challenges facing Russian science, the desire to conduct breakthrough fundamental and applied research, as well as access to advanced technologies ^{[12, p. 66; 13, p. 54]}. The coincidence of the interests of the parties and the awareness of mutual benefits from close partnership has become the basis for the development of a contractual, legal and institutional framework for cooperation, including mechanisms for coordinated, joint and targeted competitions, in the context of harmonization of scientific and technological development priorities. According to the results of the implementation of the 7th Framework Program of the EU (2007-2013) (hereinafter - 7PP), Russia was the second partner country of the EU after the United States in terms of the number of participating organizations and joint research projects [European Commission. Seventh FP7 monitoring report (March 11, 2015) p. 25. URL: https://www.kowi.de/Portaldata/2/Resources/fp7/fp7-monitoring-report7-2013.pdf (accessed: 11/20/2023)]. However, statistics on the implementation of projects within the Horizon 2020 program indicate a decrease in the volume of Russian participation. For example, the number of Russian organizations participating in the Horizon 2020 program turned out to be many times smaller compared to 7PP: 78 versus 693, and the number of Russian researchers who participated in the M. Sklodowska-Curie program decreased from 1,558 to 275 [H2020 – Marie Sklodowska-Curie Action. Country fact sheet: Russian Federation (last refresh day: 05.12.2018). P. 1. URL: https://fp.hse.ru/data/2019/05/29/1494024916/msca-country-profile-russia-2018_en_0.pdf (date of access: 11/21/2023)]. At the same time, Russia remained one of the key participants in programs and projects within the framework of megascience class installations. In the Russian expert environment, an approach was formulated according to which the improvement of scientific cooperation between the EU and Russia involves solving problems of a legislative, financial and administrative nature in the process of organizing joint competitions, distributing intellectual property rights, as well as removing barriers related to the taxation of grants, etc. ^{[14, p. 118]}. In addition, Russian experts insisted on the need to intensify Russia's participation in ERA-NET projects in order to coordinate national programs, enhance their effectiveness by attracting external resources, as well as by coordinating and developing joint priorities ^{[15, p. 48]}. Some researchers have paid special attention to the fact that improving research and academic cooperation with the EU requires not only the unification of terminology and approaches in various scientific thematic areas adopted in Russia and the EU, but also involves encouraging Russian researchers to participate in European programs ^{[16, p. 5]}. From the point of view of the subject In this article, we will point out the problems in Russian-European scientific cooperation. Their emergence coincided with the aggravation of bilateral Russian-European relations in 2014, which, incidentally, was declared the Year of Russia–EU Science. As a result, very cautious forecasts were made regarding the prospects for scientific cooperation between Russia and the EU within the framework of the Horizon 2020 program ^{[17, p. 58]}. Meanwhile, events have shown that, despite the economic sanctions imposed since 2014, Russia continued to participate in its former status as a third country in the Horizon 2020 program, aimed at removing barriers to a genuine single market for knowledge, research and innovation [Commission Staff Working Paper, Impact Assessment, Accompanying the Communication from the Commission “Horizon 2020 – The Framework Program for Research and Innovation" (January 19, 2016). p. 3. URL: http://ec.europa.eu/research/horizon2020/pdf/proposals/horizon_2020_impact_ assessment_report_executive_summary.pdf#view=fit&pagemode=none (accessed date: 12.11.2023)]. The lack of progress in reaching an agreement on Russia's associate membership in the EU framework programs, as well as the designation of Russia as an honorary category of industrialized countries, meant that Russian participants were not funded exclusively from European sources. In this regard, additional difficulties arose at the stage of submitting project documentation, which affected the decrease in the number of applications from the Russian side ^{[18, p. 20]}. In addition, the difficulties associated with the organization of R&D competitions were expressed in the lack of information awareness of potential partners about each other ^{[19, p. 29]}. According to statistics, researchers from Russian universities, institutes of the Russian Academy of Sciences, design research organizations and research centers, as well as representatives of innovative small enterprises and private businesses in 2014-2021 participated in a total of 138 different projects with European colleagues. However, the total amount of funding for joint projects from the EU was not so large: about 14 million euros were allocated through Horizon 2020, while 47 million euros came from domestic Russian scientific and technical programs and extra-budgetary sources [EU–Russia cooperation in research and innovation: results of the Horizon 2020 program and the prospects of the Horizon Europe program (12/14/2021). URL: https://eeas.europa.eu/delegations/russia/сотрудничество-ес-россиия-в-области-исследований-и-инноваций-результаты_ru?s=177 (date of access: 11/13/2023)]. The priority areas of research included: civil aviation, healthcare, energy, climatology, environment, marine sciences and innovations in the Black Sea, renewable energy sources (hereinafter referred to as RES), etc. In addition, representatives of Russian scientific and educational organizations participated in 45 projects of the M. Sklodovskaya-Curie academic mobility program; 62 Russians received prestigious grants from the European Research Council. Russia took the first place among all international partner countries participating in the Erasmus+ 2014-2020 international academic mobility programs [Joint Communication to the European parliament, the European Council and the Council on EU-Russia relations “Push back, constraint and engage" (Brussels, 06/16/2021 JOIN(2021) 20 final). P. 10. URL: https://commission.europa.eu/system/files/2021-06/joint-communication-eu-russia-relations.pdf (accessed: 10/28/2023)]. In turn, EU researchers have been actively involved in Russian programs, for example, the Russian Megagrant program to attract leading scientists to Russian universities and research institutes.

The weakening of cooperation was not due to sanctions and related psychological biases, but due to technical reasons. In addition, at that time there were no direct prohibitions on participation in international scientific projects. According to O.A. Andryushkevich, to some extent, the status restrictions applied to Russia and the procedure for financing projects developed within the EU can be considered sanctions ^{[20, p. 60]}. However, we believe that these are rather weak restrictive measures that have practically not had any serious negative impact on scientific cooperation. Against this background, the United States imposed real scientific sanctions in 2014, affecting the energy research and development sector [Klimentieva L. The US Department of Energy closed its laboratories to Russian physicists (04/11/2014). URL: https://www.vedomosti.ru/politics/articles/2014/04/11/minenergo-ssha-zakrylo-svoi-laboratorii-dlya-rossijskih (date of application: 11/14/2023)], and in 2019, cooperation between American and Russian researchers in projects that are most "sensitive" to US national security was banned [Puko T., O'Keeffe K. Energy Department to Ban Foreign Talent- Recruitment Programs U.S. takes aim at programs run by China and others it says can threaten national security (February 1, 2019). URL: https://www.wsj.com/articles/energy-department-to-ban-foreign-talent-recruitment-programs-11549052674?mod=searchresults&page=1&pos=1 (accessed date: 14.11.2023)]. Such scientific sanctions, albeit of a local nature, were not yet known to the European vector of cooperation.

The dynamics of Russian-European cooperation in 2014-2021, although not high enough, was perceived as the basis for continuing joint financing of mutually beneficial research projects under the Horizon Europe program (2021-2027). According to the thesis of former Minister of Science and Higher Education M.M. Kotyukov, despite sanctions, international scientific cooperation of the EU and Russia is being preserved and expanded [Parliamentary Newspaper, September 11, 2019 URL: https://news.rambler.ru/education/42811328-kotyukov-mezhdunarodnoe-nauchnoe-sotrudnichestvo-v-usloviyah-sanktsiy-prodolzhaet-rasshiryatsya / (accessed: 11/15/2023)]. The European Strategic Program for Research and Innovation in Russia's Relations with EU Member States and the European Commission was aimed at continuing cooperation [Strategic Research and Innovation Agenda (SRIA) towards Russia of EU Member States and the European Commission organized in SFIC (2016) // ERAC-SFIC 1356/16 (Brussels, 1 June 2016). p. 6 -12. URL: https://era.gv.at/public/documents/4291/0_SRIA_towards_Russia.pdf (date of access: 11/15/2023)]. In addition to the development of the scientific and research dialogue within the framework of Horizon 2020 and the network "ERA.Net RUS Plus", special attention was paid to cooperation in various priority areas: world-class research infrastructures (megascience class installations), healthcare, civil aeronautics, etc. [Roadmap for EU-Russia, 2018 Roadmap for EC-Russia S&T Cooperation (October 2018). URL: http://ec.europa.eu/research/iscp/pdf/policy/ru_roadmap_2018 (date of access: 11/16/2023)].

These thematic areas, which fully correspond to the priorities of Russia's scientific and technological development and the main tasks formulated in the Russian national Science project, correlated with the thematic blocks of the Horizon Europe program, which aims to strengthen ties with third countries [Proposal for a Regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Program for Research and Innovation, laying down its rules for participation and dissemination, European Commission // COM (2018) 435 final (Brussels, 7.6.2018). Art. 12(d). URL: https://eurlex.europa.eu/resource.html?uri=cellar:b8518ec6-6a2f-11e8-9483 - 01aa75ed71a1.0001.03/DOC_1&format=PDF (accessed date: 12.11.2023)].

Within the framework of the Joint Committee on Scientific and Technological Cooperation between Russia and the European Union, plans related to the development of scientific and technical cooperation for the future after 2020 were traditionally discussed [Russia and the EU intend to extend the Agreement on Cooperation in the field of science and technology: The parties agreed to continue mutually beneficial scientific and technical cooperation in a wide range of areas (09/28/2018) URL: https://nauka.tass.ru/nauka/5616463 (date of access: 06/14/2023)]. Then, at the next annual meeting of the Joint Cooperation Committee (June 2020), the European side focused on the possibility of Russian participation in the Horizon Europe program [Russia and the EU: a positive vector for the development of cooperation in the field of science and technology (June 5, 2020). URL: https://minobrnauki.gov.ru/press-center/news/nauka-i-obrazovanie/22680 / (accessed: 11/18/2023)]. And finally, at the last regular meeting of the Joint Committee (06/17/2021), a high assessment was expressed of scientific cooperation between the EU and Russia [The Joint Russia–EU Committee on Scientific and Technological Cooperation held a meeting via videoconference (06/21/2021). URL: https://www.eeas.europa.eu/delegations/russia/совместный-комитет-россия----ес-по-научно-технологическому-сотрудничеству-провел_ ru?s=177 (accessed: 11/19/2023)], and a Compendium of Scientific and Technical Cooperation was presented, which inspired optimistic hopes for the further continuation of productive cooperation [The Compendium of Cooperation Programs in Research, Innovation and Higher Education between the European Union, the EU member states and the Russian Federation (06/18/2021). URL:  https://www.eeas.europa.eu/sites/default/files/compendium_of_cooperation_prgms.pdf (date of access: 11/19/2023)].

Nevertheless, it is impossible not to notice a change in the strategic logic of cooperation. If earlier scientific cooperation was aimed at the formation and functioning of the space of science and education, then in the situation of sanctions it was built through the prism of the content of the Guiding Principles on which the EU policy towards Russia was based. But at the same time, it was confidently stated that there was a continuing interest in access to Russia's leading research centers, in attracting Russian scientific experience for research on topics related to EU political priorities and global challenges, as well as in maintaining ties with the Russian academic community [Joint Communication to the European Parliament, the European Council and the Council on EU-Russia relations “Push back, constraint and engage" // JOIN(2021) 20 final (Brussels, 06/16/2021). URL: https://commission.europa.eu/system/files/2021-06/joint-communication-eu-russia-relations.pdf (date of access: 11/21/2023)].

Of course, maintaining optimistic rhetoric at the official level was accompanied by some subjective biases and fears, which were psychological barriers to cooperation.However, it should be borne in mind that over time there was a transition from the acute phase of the crisis (2014-2015) to its sluggish phase, i.e. to routine ^{[21, p. 14]}. In this situation, it was quite acceptable to develop recommendations for the normalization of political relations ^{[22, p. 24]}. But the main thing, perhaps, is that the sphere of scientific cooperation remained free from the logic of political confrontation and, accordingly, from politicization. Therefore, with regard to the phase of routine, recommendations for the further functioning and development of the partnership between Russia and the EU in the field of science looked quite reasonable ^{[18, p. 22]}.

However, in 2022, the situation has changed radically.The scientific sanctions imposed against Russia in early 2022 have become an unprecedented departure from scientific diplomacy in the direction of using science as an instrument of geopolitical confrontation. This led to a shock effect on the project-program format of cooperation, which not only made it impossible to obtain the planned scientific results, but also led to psychological frustration among both Russian and European researchers.

    2. Defects in the legal foundations of the "abolition" of Russian science

A distinctive feature of the introduction of anti-Russian scientific sanctions by both EU states and the Union itself was the lightning speed and lack of reliance on the results of extensive discussions, as well as special forecasts regarding their possible negative consequences, including with regard to European as well as global science. Similar discussions followed post factum after the imposition of sanctions. Turning to the chronicle of events as a kind of empirical analysis, tested by domestic authors ^{[23, p. 18]}, opens up prospects for revealing the patterns of the introduction of anti-Russian scientific sanctions, as well as understanding their nature. In terms of their content, the sanctions in the field of international scientific and technical cooperation with the participation of Russia imposed by the EU institutional bodies are, in principle, similar to those imposed by the governments, scientific and academic institutions of the member states. At the national level, the restrictive measures taken by the relevant ministries of the EU member States (Germany, Denmark, Finland, the Netherlands, Poland, etc.) were supported by universities, scientific institutions, as well as their pan–European associations. The similarity in the models of sanctions implies a combination of two algorithms – the breaking of one type of ties (institutional) and the preservation of others (allowing Russian scientists to participate in scientific cooperation in a personal capacity, but subject to certain conditions of a political nature).

After Germany announced the termination of cooperation with Russia in the field of higher education and research, German MEP K. Ehler, the lead speaker in the European Parliament on the Horizon Europe program, called on the EU, represented by the European Commission and the Council, to sever all scientific and research relations with Russia, up to the termination of the Cooperation Agreement in the field of science and technology with Russia [the EU should have several scientific ties with Russia, says the leading German MEP (February 25, 2022). URL: https://sciencebusiness.net/news/eu-should-sever-scientific-ties-russia-says-leading-german-mep (date of access: 10/23/2023)]. Note that this agreement was extended in 2019 for another five years. There is pressure on the EU from Germany, which, as you know, has the largest research budget. At the same time, Prof. K. Deketelar, Secretary General of the League of European Research Universities (LERU), spoke out against the politicization of research and research cooperation. In his opinion, academic cooperation between universities, as well as between researchers, can act as the last remaining bridge between the EU and Russia [Cit. on: EU should sever scientific ties with Russia, says leading German MEP (February 25, 2022). URL: https://sciencebusiness.net/news/eu-should-sever-scientific-ties-russia-says-leading-german-mep (date of access: 10/23/2023)].

We believe that the EU sanctions are not derived from those of Germany or other member States, but have the character of an independent institutional regime. In particular, the decision to terminate cooperation at the level of research and innovation projects with Russian organizations and to terminate their financing was announced in a statement by the Commissioner for Innovation, Research, Culture, Education and Youth M. Gabriel dated March 3, 2022 [Statement on research by commissioner M. Gabriel // Statement/22/1528 (Brussels, March 3, 2022). URL: https://ec.europa.eu/commission/presscorner/detail/en/STATEMENT_22_1528 (date of application: 14.10.2023)]. In addition, a decision was announced to suspend the preparation of a grant agreement for four projects under the Horizon Europe program, in which five Russian research organizations were to participate. Nevertheless, as F. notes Zubascu, information about what these projects are is still missing [Zuba?cu F. EU suspends research payments to Russian partners (March 2, 2022)). URL: https://sciencebusiness.net/news/eu-suspends-research-payments-russian-partners (date of application: 14.10.2023)]. In any case, the sanctions were adopted within the framework of the EU's competence in the field of scientific cooperation with Russia.    The adoption by the EU Council of the decision on the fifth package of sanctions against Russia automatically excluded the possibility of participation of Russian scientific institutions in EU scientific programs and projects [EU agrees fifth package of restrictive measure against Russia (April 8, 2022). URL: https://ec.europa.eu/commission/presscorner/detail/en/IP_22_2332 (date of access: 10/15/2023)]. There is a legal consolidation of the institutional gap. As such, the legal mechanisms and practice of the EU sanctions policy, as well as its trends, have found their comprehensive understanding in terms of their degree of compliance with international and European law in a number of domestic and foreign studies ^{[24; 25; 26; 27; 28; 29]}. However, the legal assessment of anti-Russian scientific sanctions has not yet received systematic coverage in the scientific literature.

Therefore, in order to assess the degree of legal validity of the decisions taken, we turn to the EU rules in the field of project support under the Horizon 2020 programs (Section II "Rules of Participation" of Regulation 1291/2013/EU) and Horizon Europe (Article 22 of Regulation 2021/695/EU). Scientific institutions from Russia met all the rules, so they were participants in the Horizon 2020 program and were able to apply for participation in the Horizon Europe program. The general principle of limiting participation according to the Program Guide is to ensure the strategic interests and security of the EU [Horizon Europe (HORIZON) Program Guide. Version 3.0 (April 01, 2023). p. 15. URL: https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/guidance/programme-guide_horizon_en.pdf (date of application: 17.11.2023)]. But even if legal entities are not subject to EU restrictive measures, then, taking into account the geopolitical context, they do not have the right to participate in any capacity in EU scientific programs. For this reason, the mention of Russian institutions in the list of countries participating in the program [Horizon Europe. List of participating countries in Horizon Europe third countries associated to Horizon Europe. URL: https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/common/guidance/list-3rd-country-participation_horizon-euratom_en.pdf (date of application: 17.11.2023)], missing. Thus, the 2000 Agreement on Cooperation in the Field of Science and Technology between Russia and the EU, which consolidated the implementation of mutually beneficial joint scientific and technical activities in a number of areas of common interest, has actually been suspended. The ultimate reason for such suspension was not the mutual expression of the will of the Parties, but a unilateral decision of the EU institutional bodies, which interpreted the provisions of EU law in an expansive way. As a result, there is a legal conflict. Thus, K. Deketelar believes that the EU's decision is regrettable, legally questionable and sends the wrong signal to the Russian academic community. Since the Russian participants comply with the requirements of the contracts, against this background, the decision of the European Commission represents a unilateral violation of the contract [Cit. on: Freeze in Russia relations ‘end of era’ for science cooperation. URL: https://www.timeshighereducation.com/news/freeze-russia-relations-end-era-science-cooperation (date of access: 11/18/2023)]. It follows from this that the statements of the EU Commissioner, as well as the actual Program Guide, do not contain any indication of the legal basis for termination of contracts. In addition, it is possible to point out the EU's departure from the declared principles of international scientific cooperation (mutual benefit, respect for the interests of the Union, compliance with international obligations, orientation towards reciprocity in the process of effective promotion, scientific integration with third countries and international organizations). Anti-Russian sanctions also problematize the implementation of the EU concept of "open science", "open innovation" and "openness to the world", stated in Article 14 "Open Science" of Regulation 2021/695/EU.

In general, a scheme of general justification is actively functioning in the European political and legal discourse, which is applied to prohibitions in the field of scientific cooperation in its various forms. By its content, such a general basis of prohibitions is a reference to political and legal values, international legal principles of jus cogens, and also implies an indication of a potential violation by one or another State of obligations erga omnes. Together, this is intended to legitimize the suspension of cooperation with researchers from third countries who allegedly violate these principles and values, especially when these researchers work in state-funded scientific institutions, and when they, as well as the heads of the relevant institutions, have not publicly distanced themselves from the foreign policy of their state and have not expressed their position in public. This approach to the conditions for maintaining scientific cooperation is followed not only by government agencies of foreign countries, but also by universities and research centers, which, despite all recommendations from governments, still have the last word regarding the decision to sever ties with Russian partners.

It should be noted that the EU provides for a mechanism of sanctions against its own member states for violating "European values" ^[30]. However, in the case of Russia, we are dealing with the sanctioning of a third state in the field of science for an alleged violation of these values, although, in fact, there is no such presumed violation in the field of scientific and technical cooperation itself.

As a comparison, we point out that the formation of a similar US sanctions regime was not so dynamic. It was only on June 11, 2022, that the White House Office of Science and Technology Policy announced that the United States would cease intergovernmental research cooperation with Russia, without launching new projects, but still allow the completion of current projects [Guidance on Scientific and Technological Cooperation with the Russian Federation for U.S. Government and U.S. Government Affiliated Organizations (June 11, 2022). URL:  https://www.whitehouse.gov/ostp/news-updates/2022/06/11/guidance-on-scientific-and-technological-cooperation-with-the-russian-federation-for-u-s-government-and-u-s-government-affiliated-organizations / (date of access: 10/19/2023)]. With some exceptions, the position of the American academic community turned out to be more committed to preserving the traditions of scientific diplomacy [‘We stand with our colleagues in Ukraine,’ Say U.S. National Academies Presidents. Statement (March 3, 2022). URL: https://www.nationalacademies.org/news/2022/03/we-stand-with-our-colleagues-in-ukraine-say-u-s-national-academies-presidents (date of access: 10/19/2023)]. Anyway, Europe turned out to be the leader of anti-Russian scientific sanctions.

However, both in the case of the United States and in the case of the EU, there is a consensus that sanctions should be imposed on Russian scientific institutions, and not on individual researchers. In essence, this approach is similar to the consolidated approach of the G7 Ministers of Science and Innovation [G7 Science Ministers’ Communiqu? (Frankfurt am Main, 12-14 June 2022). URL: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1082498/g7-science-ministers-communiqu%C3%A9-2022.pdf (accessed: 10/20/2023)]. This means a combination of two algorithms – breaking one type of ties (institutional) and maintaining the other (allowing Russian scientists to participate in scientific cooperation in a personal capacity).

3. Axiological motives of the EU sanctions regime in the field of Russian-European scientific cooperation

The insufficient legal validity of the EU sanctions regime against Russian science is caused not only by the fact that its legal foundations are general, not special, but also by the fact that there is a very noticeable excessive appeal to the axiological motives for taking anti-Russian sanctions measures in the field of international scientific cooperation. Therefore, there is a case here that corresponds to the conclusion that a number of restrictive measures taken by the EU against Russia go beyond the limits established by international law ^{[31, p. 5]}. In other words, the specificity of the EU sanctions regime lies in its oversaturation with axiological aspects, which ultimately perform the function of motivating decision-making on the introduction of restrictive measures. This is a new phenomenon in the historical panorama of scientific sanctions.

The value arguments in favor of suspending cooperation with Russia are articulated in official and unofficial sources. Thus, in the already mentioned statement by Commissioner M. Gabrielot on March 3, 2022, the EU's defense of freedom, democracy and self-determination, on which cultural expression, academic and scientific freedom and scientific cooperation are based, is indicated as value grounds. A proponent of a value-based approach as a basis for justifying the introduction of scientific sanctions is also the German representative in the European Parliament, R.J. Smits [EU should sever scientific ties with Russia, says leading German MEP (February 25, 2022). URL: https://sciencebusiness.net/news/eu-should-sever-scientific-ties-russia-says-leading-german-mep (date of access: 06/23/2023)]. A similar rhetoric can be seen in the joint statement of the Alliance of German Research Organizations (DFG). There is a noticeable repetition of the formula about the "encroachment" on the fundamental values of freedom, democracy and self-determination, on which academic freedom and academic cooperation are based [Allianz der Wissenschaftsorganisationen: solidarit?t mit partnern in der Ukraine - Konsequenzen f?r die Wissenschaft (February 25, 2022). URL: https://www.dfg.de/download/pdf/dfg_im_profil/allianz/220225_statement_allianz_ukraine.pdf?fbclid=IwAR2EFrD_yKoxCWK5K3CPcZb8Yk9Wsa--GCjn6v4WRNEZo3LPojeatQM4ieU (date of access: 11/24/2023)]. It should be noted that there were no encroachments on these foundations on the part of the Russian academic community.

The restrictive measures seem to be aimed at the government, as well as at state-funded scientific and educational organizations. In fact, they violate the freedom of scientific research enshrined in article 15 of the Covenant on Economic, Social and Cultural Rights. Moreover, they have a negative impact not only on legal entities, but also on individuals who are integrated into scientific and technical cooperation with the EU. In the latter case, scientific sanctions aimed at achieving the isolation of Russian science can well be attributed to sanctions that, according to foreign researchers, have negative humanitarian consequences ^[32].               

From our point of view, it was the value basis that ensured the preservation of the centers of European scientific diplomacy, however, in a rather deformed form. Thus, the above-mentioned Program Guide makes allowances for individuals registered in Russia, as well as Belarus or in territories beyond the control of the Government of Ukraine. They are allowed to participate in the M. Sklodowska-Curie scientific and educational program, as well as receive grants from the European Research Council for leading Russian researchers [Marie Sklodowska-Curie Actions. URL: https://marie-sklodowska-curie-actions.ec.europa.eu / (date of access: 11/01/2023)]. At the same time, the possibility of exceptions is indicated, which can be provided in each specific case for reasonable reasons.The reasons are veiled, but they are quite transparent. This is the absence of a publicly expressed anti-government position among researchers. Similarly, the possibility of participation of Russian citizens, youth and civil society organizations in the youth actions of Erasmus+ and the European Solidarity Corps remains, but based on the results of careful selection.

So, the decision to fulfill obligations on current projects is combined with the approval of further cooperation with those Russian researchers and institutions that openly take an anti-government position. However, this condition means interference with the freedom of scientific research, and therefore is unlawful. In addition, it is burdened with complex moral dilemmas. Therefore, the most promising approach is the one expressed by the Minister of Education of the Netherlands R. Dijkgraaf. In his letter calling on the organizations to cease official contacts, he admits that academic freedom was temporarily "at stake." But in these circumstances, it is especially important to maintain good informal contacts between students and researchers from Russia and Belarus. It is these contacts, in his opinion, that can further become the basis for the normalization of educational and scientific relations [Cit. on: Upton B. Dutch universities freeze Russia relations over Ukraine war (March 4, 2022). URL: https://www.timeshighereducation.com/news/dutch-universities-freeze-russia-relations-over-ukraine-war (date of access: 04.10.2023)]. We can agree with this approach. However, such contacts are not genuine international cooperation, which presupposes an institutional and legal framework, and is also focused on obtaining a joint scientific result. At the same time, maintaining personal contacts requires much less psychological effort and is accompanied by lower moral costs than in the case of officially "authorized" participation of Russian researchers in scientific cooperation in a personal capacity, which puts them, as well as their foreign colleagues, in a situation of difficult moral choice. 

4. Negative results of the EU sanctions regime against Russian science

The negative effect of European sanctions in the field of scientific and technical cooperation has a multiplier effect. This means not only the failure to receive the planned scientific knowledge and technological developments, but also causing damage to the achieved level of internationalization of the NTI sphere. The negative consequences of anti-Russian sanctions at the level of international technical cooperation between Russia and individual European countries are the subject of special analysis. In this regard, we will undertake a study of the damage caused to the Russian research and development sector, as well as the degree of internationalization achieved, which is caused by the termination of the participation of Russian scientific institutions in the EU framework programs. In this case, we will proceed from the fact that damage is caused to one degree or another to all participants in multilateral projects.

In the foreign expert environment, the opinion is sometimes expressed that as a result of the "cancellation" of Russia's participation in joint projects, Europe, like the rest of the world, in principle, did not lose anything [Science as not noticed the loss of Russia (February 24, 2023). URL: https://www.t-invariant.org/2023/02/scientists-opinions-first-en / (accessed: 10/22/2022); OECD Science, technology and innovation Outlook 2023: Enabling transitions in times of disruption (March 16, 2023). URL: https://www.oecd-ilibrary.org/sites/d54e7884-en/index.html?itemId=/content/component/d54e7884-en#section-d1e1685-8e423b8cb6 (date of access: 04/22/2023)]. In contrast to this position, we recall the high level of development of Russian fundamental science in a number of areas, as well as its latest major achievements [Top discoveries of Russian scientists in 2021 according to RIA Novosti (December 27, 2021). URL: https://ria.ru/20211227/nauka-1765454723.html?in=t (date of access: 09/16/2023)]. Under the conditions of sanctions, Russian science continues to develop, but it is quite noticeable that among the most important achievements, applied developments (heavy-duty steels, nuclear "bullets" against cancer, "immunity" systems from cyber attacks, promising materials for batteries, etc.) have priority. [The main events of 2022 in Russian science, existing in conditions of sanctions (12/14/2022). URL: https://ria.ru/20221214/nauka-1838593406.html (date of application: 09/16/2023)], which contribute to ensuring the technological sovereignty of the country. Thus, the fact of continuing the process of further building up the Russian scientific and technological potential is beyond doubt. Accordingly, those experts are right who insist that there are areas of science in which Russia cannot do without active participation [Experts: science requires continued cooperation between scientists from Russia and the West (July 16, 2022). URL: https://ria.ru/20220716/nauka-1802900587.html (date of access: 09/17/2023)]. Therefore, the gap in international cooperation entails mutual negative consequences.    

At the beginning of 2022, 86 multilateral projects were implemented within the framework of Horizon 2020, in which about 80 different Russian organizations participated [European Commission. Policy background, funding opportunities, agreements and arrangements, projects and results and contact (Russia). URL: https://research-and-innovation.ec.europa.eu/strategy/strategy-2020-2024/europe-world/international-cooperation/russia_en. URL: https://ec.europa.eu/commission/presscorner/detail/en/ip_22_1544 (date of access: 10/27/2023)]. Of the 14 million euros of the EU contribution, 11.6 million euros are for ongoing projects, four of which were completed in February 2022. Accordingly, the participation of Russian organizations in them was not affected. The affected participants should include scientific organizations involved not only in current, but also in planned projects. These include projects under the Horizon 2020 program, which received support from the Ministry of Science and Higher Education of the Russian Federation within the framework of the 2021 competition [List of projects of the Horizon 2020 program, Russian participants of which received support from the Ministry of Science and Higher Education of the Russian Federation within the framework of the 2021 competition. URL: https://www.eeas.europa.eu/sites/default/files/list_of_projects_supported_by_mshe_rus.pdf (date of application: 06/23/2023)], as well as ongoing projects, the completion dates of which are scheduled for 2023-2024.

As an example, we point to the research infrastructure development project "Connecting Russian and European Measures for Large–scale research infrastructures - plus" ("CREMLINplus") (2020-2024) ["Connecting Russian and European Measures for Large–scale Research Infrastructures" ("CREMLINplus") (02/01/2020 - 01/31/2024). URL: https://cordis.europa.eu/project/id/871072 (date of access: 10/18/2023)], aimed at uniting into a single network of large research centers in Russia and in the EU countries, as well as at increasing their accessibility for researchers. The project envisaged the development of Russian-European scientific and technical cooperation in the form of knowledge exchange and promotion of infrastructure projects. Its coordination was carried out within the organizational structure of the German Electronic Synchrotron (DESY) in Hamburg [Deutsches Elektronen Synchrotron. URL: https://www.desy.de / (accessed: 10/19/2023)].  This project, aimed at implementing the roadmaps of Russian-European cooperation and ensuring continuous improvement and harmonization of the framework conditions, has been suspended.

Disclosure of all details of current projects [Research project database (CORDIS). URL: https://cordis.europa.eu/projects (date of application: 05/10/2023)], the participation of Russian organizations has been terminated, may take more than a dozen pages. Therefore, we will briefly point out projects whose successful implementation is unlikely to be possible without Russia. These are, first of all, projects that involve solving global problems and relate, for example, to ensuring safe, effective and high-quality research and monitoring assessments for the entire Arctic territory ["International Network for Ground-based Research and Monitoring in the Arctic" (01.2020–12/31/2023). URL: https://cordis.europa.eu/project/id/869580 (date of application: 09/05/2023)]; creation of innovative platforms for professional institutions of safety and emergency response in the Arctic and North Atlantic ["Safety and Emergency Preparedness Network in the Arctic and North Atlantic" (01.09.2018–02/29/2024). URL: https://cordis.europa.eu/project/id/786571 (date of application: 09/05/2023)]; formation of a global system of observations of processes occurring in the Arctic ["Pan-Arctic system of observation systems: making observations for the needs of society" (01.07.2021 – 30.06.2025). URL:  https://cordis.europa.eu/project/id/101003472 (date of application: 09.09.2023)] and others.

Projects related to climate change research and effective response to them should be included in this series:

It is also important to obtain fundamental knowledge in the framework of the following projects in the field of nuclear physics:  

We will also highlight projects with Russian participation that relate to other fields of science and technology and that have also been the target of unilateral restrictive measures.:    

Materials Science:

Space:

From the point of view of the development of the Russian economy, and in particular the energy sector, the termination of participation in the following ongoing projects will lead to Russia not receiving important innovative developments, including in the field of renewable energy:

  Similarly, the conclusions are quite applicable to projects with Russian participation in the pharmaceutical and biomedicine sector:

Among the new planned projects with Russian participation within the framework of the Horizon Europe program, we will highlight projects whose results are aimed at solving global problems. In particular, this is the Polar Regions in the Earth System project by PolarRES [Horizon Europe. “Polar regions in the Earth system” (“PolarRES”) (Grant agreement ID 101003590, 1 September 2021 – 31 August 2025). URL: https://cordis.europa.eu/project/id/1010035900 (date of access: 08.11.2023)]. The aim of the project is to expand the study of key local-regional physical and chemical processes of interaction between the atmosphere, ocean and ice in the Arctic and Antarctica. Another climate project, the implementation of which has become impossible as a result of sanctions, is the project "Climate-related interactions and feedbacks: the key role of sea ice and snow in the polar and global climate system" "CRiceS" [Horizon Europe. Project “Climate relevant interactions and feedbacks: the key role of sea ice and snow in the polar and global climate system” (“CRiceS”)” (1 September 2021 – 21 August 2025). URL: https://cordis.europa.eu/project/id/101003826 (date of access: 08.11.2023)]. The project aims to expand understanding of the extent to which rapid reduction of sea ice is linked to physical and chemical changes in the polar oceans and atmosphere.

These projects will be implemented without Russian participation. But the point, of course, is not in the implementation of individual projects, but in the impossibility of participation of Russian scientific organizations in the Horizon Europe program, which is aimed at increasing the effectiveness of the dissemination of knowledge and best technologies, strengthening the European Research Area, as well as strengthening partnerships between, on the one hand, the research and development sector and industry – on the other side. As a result of the "disconnection" from such participation, Russia will not receive the significant benefits that it previously expected during the development of the Russian-European scientific and technical partnership. But at the same time, it is an incentive to compensate for lost benefits by activating national science and technology policy and strengthening cooperation in other geographical areas of international scientific and technical cooperation that are not affected by sanctions.    

Conclusion

The introduction of large-scale and multi-level sanctions against Russian science, which have taken shape in a sectoral sanctions regime, means that the path of consistent scientific diplomacy on the part of the EU has been abandoned: the logic of international scientific cooperation has been subordinated to the logic of political confrontation.

As the behavioral study showed, the model of the EU sanctions regime against Russian science is a structured system that includes the following subsystems:

– subjects of the introduction of unilateral restrictive measures (EU institutional bodies);           

– the targeted orientation of sanctions restrictions (exerting influence in order to change Russian foreign policy in relation to the sphere of the Russian-Ukrainian conflict);

– addressees of sanctions (Russian scientific organizations and institutions funded from the state budget);             

– the content of restrictive measures (unilateral termination of institutional international scientific cooperation in the format of co-funded programs and projects);

– the grounds for imposing sanctions (a combination of axiological arguments and legal arguments of the most general nature);

– the autonomous nature of EU sanctions (the EU sanctions regime is not derived from anti–Russian sanctions imposed by member states).

Additional identification criteria of the EU sanctions regime in relation to Russian science include:

– the temporal transience of the formation of the sanctions regime;

– lack of preliminary justifications and reliance on forecasts of negative impact on European and global science;

– a departure from traditional forms of scientific diplomacy and the paradigm of "open science";

– postulating the need to maintain interpersonal contacts while simultaneously assuming institutional support for Russian scientists, which presupposes preliminary "filtering" based on the criterion of their "agreement – disagreement" with Russian foreign policy, which, in principle, means an encroachment on the freedom of scientific research.      

The lightning-fast formation of the anti-Russian scientific sanctions regime, which had a shocking effect on the strategic partnership between Russia and the EU in the field of research and development, simultaneously interrupted the solution of problems accumulated in the field of their scientific and technical partnership. A new mega-problem has emerged, consisting in extremely uncertain prospects for post-conflict normalization of scientific and technical cooperation.

The consequences of the scientific sanctions of the EU and its member states mainly consist in damaging the degree of internationalization of Russian science, as well as the development of Russia's scientific and technological potential and the accumulation of knowledge in various fields of scientific research and development aimed at ensuring innovative economic development and solving global problems of our time. The negative consequences of these sanctions for Europe itself – with the exception of basic research within the framework of megascience class installations and climate projects – are not so critical. At the same time, as a result of active Russian counter-sanctions imposed exclusively in the field of space exploration, the implementation of the Russian-European ExoMars-2022 program has suffered.    

In 2023, compared with 2022, there was a decrease in the intensity of discussion of anti-Russian scientific sanctions in the European expert community. This indicates a certain routine of the sanctions regime and a shift of attention to its consequences. However, the vector of the reversal of scientific and technical cooperation between Russia in the direction of China and other countries is of concern to European experts in the field of scientific and technical policy. The issue of forming an agenda for the normalization of scientific and technical relations has not yet been updated.