Guidelines and Rules of the Max Planck Society on a Responsible Approach to Freedom of Research and Research Risks Guidelines and Rules of the Max Planck Society on a Responsible Approach to Freedom of Research and Research Risks* Updated version of March 17, 2017 * The following “Max Planck Society Guidelines and Rules on a Responsible Approach to Freedom of Research and Research Risks” were drawn up by the “Security and Defense Research” Working Group, with the support of the Ethics Council of the Max Planck Society, at the request of the Scientific Council of the Max Planck Society and were unanimously approved by both bodies. The Scientific Council of the Max Planck Society acknowledged the rules with approval at its meeting of February 18, 2010 and decided to recommend approval of the rules to the Senate of the Max Planck Society. This updated version has been approved by the Scientific Council of the Max Planck Society at its meeting of February 23, 2017 as well as by the Senate of the Max Planck Society at its meeting of March 17, 2017 thereby renaming the commission in Section II.D.3 as well as amending the election procedures in Section II.D.3 Abs. 2. CONTENTS I. Introduction 6 A. Freedom of research and the responsibility of scientists 6 B. Research limitations 7 II. Rules on a responsible approach to freedom of research and research risks at the Max Planck Society 9 A. General objective and scope 9 1. Objective 9 2. Scope 9 3. Status of the rules with regard to other regulations 9 B. Legal research limitations 9 C. Principles of ethically responsible research 10 1. General principle 10 2. Risk analysis 10 3. Risk minimization 11 4. Publications 11 5. Foregoing irresponsible research as ultima ratio 12 6. Documentation and communication of risks 13 7. Training and information 13 D. Organizational responsibilities 14 1. Persons responsible 14 2. Compliance with legal provisions 14 3. Committee for Ethics in security relevant Research 15 E. Applicability 16 6 Guidelines and Rules of the Max Planck Society I. Introduction A. Freedom of research and the responsibility of scientists Research plays a fundamental role in ensuring the progress of mankind. It enables the extension of the boundaries of knowledge and enhances the welfare, prosperity and security of mankind and the protection of the envi- ronment. The freedom of research, which is enshrined in the Basic Law and may only be restricted to protect other significant constitutionally protected values, is a fundamental requirement in this respect.1 Successful basic research also requires transparency, the free exchange of information and the publication of research results. However, as well as successes, there are also risks associated with free and transparent research2. Such risks do not necessarily result directly from negligence or deliberate misconduct by scientists.3 There is also the indirect danger that results of specific individual research projects - which are neutral or useful per se - may be misused by third parties for harmful purposes.4 This possibility of “dual use” prevents or makes it difficult to make a clear 1 Article 5 Paragraph 3 of the Basic Law 2 These risks were particularly prevalent in Germany during the period of National Socialism. The Max Planck Society and its employees are aware of the previous research carried out by the Kaiser Wilhelm Society for National Socialist injustices. The history of the Kaiser Wilhelm Society therefore represents a legacy for the Max Planck Society, ensuring it takes account of the potential misuse of research results in good time, and counters this as effectively as possible. Also see the declaration of the Max Planck Society and its former President, Hubert Markl, in: Max-Planck-Gesellschaft (Hrsg), Biowissenschaften und Menschenversuche an Kaiser-Wilhelm-Instituten – Die Verbindung nach Auschwitz, Symposium in Berlin, 2001. 3 Titles such as “researcher” and “scientist” are to be understood as job titles which include both sexes in this text. 4 In the field of defense and weapons technology, materials research and nanotechnology could be used for the development of offensive weapons; research into robots for peaceful purposes may enable the construction of military robots; the development of bullet-proof materials for armor plating and protective vests also provide improved protection for aggressors; the peaceful use of nuclear power can also enhance the development of weapons of mass destruction. Research results on pathogenic microorganisms and toxins can also be used for new biological weapons and for terrorist attacks. Research into molecular plant genetics can be misused for biological attacks on seeds, and stem cell research misused to create hybrids. In IT, research to combat computer viruses can be used to spread as well as prevent them. The issue of dual use of research results also applies in the human sciences: psychological, medical and neurobiological research can be used to optimize aggressive methods of interrogation and torture. Criminological and sociological research may infringe upon the privacy and data protection rights of probands. Legal opinions may favor infringement upon human rights or the sovereignty of states in complex overlapping areas. Risks of misuse therefore exist in most areas of research. 7 differentiation in many fields today between “good” and “bad” research, civil and military research, defensive and offensive research, and research for “peacekeeping” and “terrorist” purposes. The dual use issue must also be taken into account in the knowledge-driven field of basic research, the results of which are often unforeseeable, and therefore not good or bad per se. In this highly complex relationship between benefits and risks, the Max Planck Society undertakes to carry out research to foster the welfare of mankind and the protection of the environment. Scientists must therefore prevent or minimize direct or indirect harm to man and the environment as far as possible. In addition to the feasibility of the research, they should therefore also take its consequences and controllability into account where possible. Research at the Max Planck Society is therefore subject to ethical as well as legal limitations. B. Research limitations Research limitations are, in the first instance, determined by legal provisions. These may restrict the freedom of research to protect significant constitu- tionally protected values, provided this is proportionate. The relevant pro- visions have different objectives and approaches. They may prohibit research objectives (e.g. the development of nuclear and biological weapons), regu- late methods (e.g. certain experiments on humans) or ban the export of knowledge, services and products to certain countries (e.g. within the framework of German foreign trade law or the EU regulation on the control of exports of dual-use items and technology). These regulations must be strictly adhered to at the Max Planck Society. Infringements of them can result in significant sanctions, lengthy procedures and damage to the rep- utation of scientists, their institutes and the Max Planck Society. However, national law is not always capable of comprehensively and effectively governing the risks and opportunities for misuse of research. In particular, the potential misuse of specific individual research cannot be prevented by adopting a generally distrustful approach to research per se and making it subject to comprehensive government regulation. Even highly detailed legal regulations would not sufficiently take account of the differentiated and rapidly changing global issues of area-specific risks and, moreover, would conflict with the freedom of research enshrined in the constitution. However, individual scientists must not simply satisfy them- selves with adhering to the legal regulations, but must take account of fur- ther ethical principles. They should apply their knowledge, experience and capabilities to recognize and assess the relevant risks of harm to humans and the environment. In critical cases, they should make personal decisions on the limitations of their work, for which they are themselves responsible within the scope of their freedom of research. In individual cases, this may 8 Guidelines and Rules of the Max Planck Society result in projects not being carried out at all or only being carried out in a modified form, even if they are not legally prohibited. The following rules - approved by the Scientific Council and the Senate of the Max Planck Society - support persons working at the Max Planck Society in the implementation of these principles. They do not constitute enforceable national law. They aim to prevent misuse of research and to avoid risks through self-regulation by setting out ethical guidelines and, at the same time, establish a procedure to enable scientists to better resolve ethical uncertainties and prevent accusations of unethical conduct. The rules, which apply to the entire Max Planck Society, are not exhaustive and are supplemented by additional subject-specific self-regulatory measures.5 The Max Planck Society welcomes the involvement of its institutes and employees in the development of additional subject and profession-specific regulations outside of the Max Planck Society on the basis of these guide- lines and rules to enable risks to be discussed transparently and avoided. Together with the following rules, these specific codes foster the Max Planck Society’s commitment to excellent basic research for the benefit of mankind