IOP Quantum Science and Technology publishes Ten Principles for Responsible Quantum Innovation
Stanford, April 22, 2024—The leading peer-reviewed journal Quantum Science and Technology has published the open-access article, "Ten Principles for Responsible Quantum Innovation," a significant paper that offers actionable guidance for the ethical development of quantum technologies. The publication is the result of a two-year, deeply interdisciplinary study by a transatlantic group of leading scholars and represents a major step forward in operationalizing a framework for responsible quantum innovation.
This work builds upon the foundational research of the group, including the "Towards Responsible Quantum Technology" paper published by the Harvard Berkman Klein Center, and will be central to the mission of the Stanford Center for Responsible Quantum Technology.
Five of the ten authors of the Stanford led RQT team that conceptualized the Responsible Quantum Technology paradigm, along with its operationalizing Principles.
A Global, Interdisciplinary Collaboration
The paper is a testament to the power of global, interdisciplinary collaboration. Authored by a spectacular team of leading lights in law, philosophy & ethics, socioeconomics, data science, quantum physics, materials science & engineering, and innovation policy, the study brings together a wealth of expertise from the world's most prestigious academic institutions.
The author group, led by Mauritz Kop of Stanford University, includes Mateo Aboy (University of Cambridge), Eline De Jong (University of Amsterdam), Urs Gasser (Technical University of Munich), Timo Minssen (University of Copenhagen), I. Glenn Cohen (Harvard University), Mark Brongersma (Stanford University), Teresa Quintel (Maastricht University), Luciano Floridi (University of Oxford and Yale University), and Raymond Laflamme (University of Waterloo). This formidable team provides a holistic and robust foundation for the quantum governance principles outlined in the paper.
A Framework for Responsible Quantum Innovation
The paper's central contribution is a set of ten guiding principles designed to operationalize a framework for Responsible Quantum Technology (RQT). This framework seeks to integrate considerations of the Ethical, Legal, Social, and Policy Implications (ELSPI) of quantum technologies directly into the research and development lifecycle, while also responding to the core dimensions of Responsible Research and Innovation (RRI): anticipation, inclusion, reflection, and responsiveness.
The principles are organized into three functional categories, termed the SEA framework, which provides a methodological guide for the quantum community:
Safeguarding: This pillar focuses on the proactive identification and mitigation of risks associated with quantum technologies.
Engaging: This principle emphasizes the critical need for inclusive and continuous dialogue among all stakeholders, from researchers and industry to policymakers and the public.
Advancing: This pillar is dedicated to ensuring that quantum technology is actively steered towards desirable societal outcomes and contributes to addressing the world's most pressing challenges.
IOP Quantum Science and Technology publishes Ten Principles for Responsible Quantum Innovation.
The Ten Principles for Responsible Quantum Innovation
The Ten Principles paper proposes the following ten actionable principles to help address the risks, challenges, and opportunities associated with the entire suite of second-generation quantum technologies:
Information Security: Make information security an integral part of QT, proactively addressing security threats, including the risk quantum computers pose to current encryption standards.
Dual Use: Proactively anticipate the malicious use of quantum applications by addressing the risks of dual-use technologies that can be employed for both beneficial and harmful purposes.
Quantum Race: Seek international collaboration based on shared values to address the winner-takes-all dynamics of a potential quantum arms race.
Quantum Gap: Consider our planet as the sociotechnical environment in which QT should function, engaging states to ensure equitable access and prevent a "quantum divide."
Intellectual Property: Incentivize innovation while being as open as possible and as closed as necessary, engaging institutions to find the right balance between protecting intellectual property and fostering an open research environment.
Inclusion: Pursue diverse R&D communities in terms of disciplines and people, engaging a wide range of voices to ensure a holistic approach to innovation.
Societal Relevance: Link quantum R&D explicitly to desirable societal goals, advancing society by focusing on applications that address pressing needs.
Complementary Innovation: Actively stimulate sustainable, cross-disciplinary innovation, advancing technology by exploring synergies with other fields like AI and biotechnology.
Responsibility: Create an ecosystem to learn about the possible uses and consequences of QT applications, advancing our understanding of Responsible QT through continuous feedback and assessment.
Education and Dialogue: Facilitate dialogues with stakeholders to better envision possible quantum futures, advancing our collective thinking and education about QT and its impact.
From Principles to Practice: Regulating Quantum Technologies and Standards
A key contribution of the RQT framework and its ten principles is that it provides a clear pathway from high-level ethical commitments to concrete, enforceable governance. This progression is essential for building a regulatory ecosystem that is both effective and innovation-friendly. The journey can be understood in four distinct stages:
Principles as the Foundation: The "Ten Principles for Responsible Quantum Innovation" serve as the normative foundation. They establish the shared values and ethical commitments—such as safety, equity, transparency, and accountability—that should guide the entire quantum enterprise. These principles are the "why" behind quantum governance.
Standards for Operationalization: High-level principles are translated into practice through the development of technical and operational standards. International standards bodies like NIST, ISO, and IEEE, in collaboration with the quantum community, can create concrete benchmarks for performance, interoperability, safety protocols, and data security. For example, the principle of "Information Security" is operationalized through the development of post-quantum cryptographic standards. This is the "how" of turning values into verifiable metrics.
Governance through Soft Law: In the early, dynamic stages of a technology's development, a flexible governance approach is often most effective (“Collingridge”). This "soft law" regime consists of a combination of industry best practices, codes of conduct, and tools like Quantum Impact Assessments (QIAs). This allows the ecosystem to adapt and learn without imposing rigid, premature legislation. This stage is about creating a culture of responsibility and establishing norms of behavior.
Regulation, Implementation, and Enforcement: As quantum technologies mature and their applications in high-risk sectors become more widespread, a more formal legal framework becomes necessary. The insights gained from the principles, standards, and soft-law governance inform the creation of "hard law," such as a comprehensive "EU Quantum Act" or specific regulations for sectors like healthcare and finance. In addition to incentivizing quantum innovation through investments akin to the US and EU CHIPS Acts, this final stage involves establishing clear legal obligations, liability rules, and robust enforcement mechanisms, including independent audits and certification bodies, to ensure compliance and maintain public trust.
This structured pathway ensures that quantum governance evolves in step with the technology, moving from broad ethical guidance to specific, enforceable rules in a manner that is both principled and pragmatic.
A Catalyst for a Values-Based Quantum Future
The overarching objective of this interdisciplinary effort is to steer the development and use of quantum technology in a direction that is not only consistent with a values-based society but also actively contributes to solving its most significant challenges. The "Ten Principles for Responsible Quantum Innovation" provides a crucial foundation for this work.
The paper is a call to action for the entire quantum community—researchers, industry leaders, policymakers, and the public—to engage in the vital work of building a responsible quantum ecosystem. As the authors conclude, the goal is to develop and operationalize these guiding principles into the best practices and real-world applications that will define the quantum future. The annual Stanford RQT Conference, among other initiatives, will continue to provide a forum for these critical, interdisciplinary discussions.
⚛ Our foundational RQT study can be accessed here at Harvard: https://airecht.nl/blog/2023/towards-responsible-quantum-technology-published-by-harvard-berkman-klein-center-for-internet-society