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Readiness
Assessment
Methodology
ATooloftheRecommendation
ontheEthicsofArtificialIntelligence
©UNESCO2023
Publishedin2023bytheUnitedNationsEducational,ScientificandCulturalOrganization
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Readiness
Assessment
Methodology
ATooloftheRecommendationontheEthicsofArtificialIntelligence
TableofContents
Foreword
5
I.Background
6
II.GuidanceforfillingouttheRAM
8
III.Questions
9
1.GeneralQuestions
9
1.1DoesyourgovernmentcurrentlyhaveplanstoimplementtheUNESCO
RecommendationontheEthicsofAI,throughestablishinganationalAIEthics
Commissionorthroughothermeasures?
9
1.2Hasyourgovernmentdoneanyprioritizationregardingthespecificsectors
thatwouldbenefitfromgovernmentintervention(suchasregulation,strategies
orguidelines,etc)regardingAI?
9
1.3DoesyourgovernmentinformthepublicwhentheyaresubjectedtotheuseofAI
systemsthatprofileormakedecisionsaboutthemintheprovisionofpublicservices?
9
1.4Whichministry/iesareresponsibleforAIgovernance?
Pleaseelaborateonthecompositionoftheteams.
9
1.5Overall,whatarethemostimportantchallengestodeveloping
AIregulationsandpoliciesinthecountry?
9
2.TheLegalDimension
9
2.1Background
9
2.2Indicatorsforthelegaldimension
10
2.2.1AIpolicyandregulation
10
2.2.2Dataprotectionandprivacylaws
11
2.2.3Datasharingandaccessibility
11
2.2.4Procurementlawsandpolicies
12
2.2.5Freedomofinformationacts/accesstoknowledgeacts
12
2.2.6Dueprocessandaccountability
13
2.2.7Onlinesafetyandintegrityofspeech
13
2.2.8Publicsectorcapacity
13
3.TheSocial/CulturalDimension14
3.1Background14
3.2IndicatorsfortheSocial/Culturaldimension14
3.2.1Diversity,inclusionandequality14
3.2.2Publicengagementandtrust15
3.2.3Environmentalandsustainabilitypolicies16
3.2.4Healthandsocialwell-being16
3.2.5Culture17
3
4.TheScientific/Educationaldimension
18
4.1Background
18
4.2Indicatorsforthescientific/educationaldimension
18
4.2.1Researchandinnovation
18
R&Dexpenditure
18
Researchoutput
18
EthicalAIresearch
19
AItalent
19
Innovationoutput
19
4.2.2Education
19
Educationstrategy
19
Educationinfrastructure
20
Curriculumcontent
20
Educationalattainment
20
PublicaccesstoAIeducation
20
5.TheEconomicDimension
21
5.1Background
21
5.2Indicatorsfortheeconomicdimension
21
5.2.1Labourmarkets
21
5.2.2Intermediateconsumption
21
5.2.3Investmentsandoutput
21
6.TheTechnicalandInfrastructuralDimension
22
6.1Background
22
6.2Indicatorsforthetechnicaldimension
22
6.2.1Infrastructureandconnectivity
22
6.2.2Appliedstandards
23
6.2.3Computingcapabilities
23
6.2.4Statisticalperformance
24
Annex26
Foreword
WehaveofficiallyenteredtheAgeofArtificialIntelligence.Theworldisnowsettochangeatapacenotseenindecades,evencenturies.AI-basedtoolsandapplicationsmakeourliveseasier,smoother,andricher.Theyhelpusmoveefficiently,getinformed,getcredit,getajob,andgetourtaxesdone.
Butinitscurrentform,AIreproducesandamplifiesmanyofthesocialchallengesweface.
Weneedtodecidewhatliesbeyond.Thisisnotatechnologicaldiscussion.Itisasocietalone,abouttheworldwewanttolivein.ToshapethetechnologicaldevelopmentofAI,weneedeffectivegovernanceframeworksunderpinnedbytheethicalandmoralvaluesweallholddear.
ThatiswhyUNESCOdevelopedthe
RecommendationontheEthicsofArtificialIntelligence
,which193countrieshaveadoptedtomakesureAIdeliversfair,sustainable,andinclusiveoutcomes.TheRecommendationsetsoutthevaluesandprinciplesbasedonprotectinghumanrightsanddignityandtranslatesthemintospecificpolicyareasandrecommendationsforgovernments,premisedonthebeliefthatself-regulation,whichhasuntilnowremainedthenorm,isinsufficient.Weneedcapablegovernmentsthatprotecttheruleoflawonline.Weneedpublicandprivatedevelopersthatareaccountableforputtingpeople—notprofitsorgeopoliticalconsiderations—first.
UNESCO’spolicyapproachrecognizesthatcountriesareatdifferentstagesofAIdevelopment,sowearedeliveringtargetedpolicysupportfordifferentcountries.Despitestrongregulatoryactioninsomeregions,theinstitutionalshapeandcapacitiesofgovernmentsdivergesignificantly.
ThisiswhyMemberStatesaskedUNESCOtodevelopaReadinessAssessmentMethodologytoassistthemin“identifyingtheirstatusatspecificmomentsoftheirreadinesstrajectoryalongacontinuumofdimensions”.TheReadinessAssessmentMethodology(RAM),andthecomplementaryEthicalImpactAssessmenttool,wereofficiallylaunchedon13December2022,duringtheinauguralGlobalForumontheEthicsofAIinPrague,undertheCzechPresidencyoftheEuropeanUnion.WearenowworkingwithseveralcountriesinLatinAmerica,Africa,Asia,andEuropetoimplementthismethodology.
TheRAMencompassesfivedimensions:LegalandRegulatory,SocialandCultural,Economic,ScientificandEducational,andTechnologicalandInfrastructural.Eachdimensionisbrokendownintosub-categoriescontainingqualitativeandquantitativeindicatorsandsub-indicatorsforacohesiveassessment.Inadditiontoprovidingrichinformationaboutthestatusofindividualcountries,theRAMwillalsoprovidecomparativeinformationforcountriestolearnfromeachother.
UNESCO’sSecretariatdesignedthistoolwiththestrongsupportofaregionallybalancedandtransdisciplinaryHigh-LevelExpertGroup,ensuringitwasinformedbyarangeofdiverseperspectives.
ConductingtheReadinessAssessmentwillleadtoacountryreportandaspecificroadmapbuiltinpartnershipwiththeconcernedcountriesandUNESCO’sexpertstosuggestthebestpathsforwardandguidethecountry,particularlythegovernment,inbuildingtheircapacities.ThisincludesstrengtheninghumancapitalandnationalinstitutionsandimplementingandupgradingpoliciesandregulatoryframeworkstoaddressAIchallenges.
WhentheRecommendationwasadoptedinNovember2021,wecollectivelydreamedupavision—onewhereAIisutilized,developed,andappliedethically,forthebenefitofhumanityandourplanet.Inthis,regulationandgovernanceplayanessentialrole.ByleveragingtoolssuchastheRAM,UNESCOhopestoworkcloselywithMemberStates,supportingtheminstrengtheningcapacitiesforinstitutingrobustAIregulation.ThroughtheRAM,Ibelievewecanmoveonestepclosertofulfillingthisethicalvisionforusall.
GabrielaRamos
AssistantDirector-GeneralforSocial
andHumanSciences,UNESCO
5
6
I.Background
InNovember2021,the193MemberStatesofUNESCOsignedtheRecommendationontheEthicsofArtificialIntelligence,
thefirstglobalnormativeinstrumentinitsdomain.TheRecommendationservesasacomprehensiveandactionableframeworkfortheethicaldevelopmentanduseofAI,encompassingthefullspectrumofhumanrights.ItdoessobymaintainingfocusonallstagesoftheAIsystemlifecycle.Beyondelaboratingthevaluesandprinciplesthatshouldguidetheethicaldesign,developmentanduseofAI,theRecommendationlaysouttheactionsrequiredfromMemberStatestoensuretheupholdingofsuchvaluesandprinciples,throughadvocatingforeffectiveregulationandprovidingrecommendationsinvariousessentialpolicyareas,suchasgender,theenvironment,andcommunicationandinformation.
Withthesevalues,principles,andpolicyareasinmind,theUNESCOSecretariatelaboratedaprogrammefortheimplementationoftheRecommendation,withthecoreaimofbuildingnationalcapacitiestodischargetheactionssetoutintheRecommendationandbolsterregulatoryframeworks.
TheRecommendationmandatedthedevelopmentoftwokeytools,theReadinessAssessmentMethodology(RAM)andtheEthicalImpactAssessment(EIA),whichformthecorepillarsoftheimplementation.Thesetoolsbothaimtoassessandpromotetheresilienceofexistinglaws,policiesandinstitutionstoAIimplementationinthecountry,aswellasthealignmentofAIsystemswiththevaluesandprinciplessetoutintheRecommendation.
ThegoalofthisdocumentistoprovidemoreinformationontheReadinessAssessmentMethodology,layoutitsvariousdimensions,anddetailtheworkplanfortheimplementingcountries,includingthetypeofentitiesthatneedtobeinvolved,responsibilitiesofeachentity,andthesplitofworkbetweenUNESCOandtheimplementingcountry.
Instrument:TheRecommendation,inparagraph49,states:“UNESCOrecognizesthatMemberStateswillbeatdifferentstagesofreadinesstoimplementthisRecommendation,intermsofscientific,technological,economic,educational,legal,regulatory,infrastructural,societal,culturalandotherdimensions.Itisnotedthat‘readiness’hereisadynamicstatus.InordertofacilitatetheeffectiveimplementationofthisRecommendation,UNESCOwilltherefore:(1)developareadinessassessmentmethodologytoassistinterestedMemberStatesinidentifyingtheirstatusatspecificmomentsoftheirreadinesstrajectoryalongacontinuumofdimensions;”.
Assuch,theRAMisamacrolevelinstrumentthatwillhelpcountriesunderstandwheretheystandonthescaleofpreparednesstoimplementAIethicallyandresponsiblyforalltheircitizens,insodoinghighlightingwhatinstitutionalandregulatorychangesareneeded.TheoutputsoftheRAMwillhelpUNESCOtailorthecapacitybuildingeffortstotheneedsofspecificcountries.CapacityherereferstotheabilitytoassessAIsystemsinlinewiththeRecommendation,thepresenceofrequisiteandappropriatehumancapital,andinfrastructure,policies,andregulationstoaddressthechallengesbroughtaboutbyAItechnologiesandensurethatpeopleandtheirinterestsarealwaysatthecenterofAIdevelopment.
TheReadinessAssessmentMethodologywasdevelopedbytheUNESCOSecretariatwiththeguidanceoftheHigh-LevelExpertGroup(HLEG)ontheImplementationoftheUNESCORecommendationontheEthicsofAI.TheHLEGiscomposedofmorethan20renownedexperts,actingintheirindividualcapacity.TheSecretariatconductedinitialdeskresearchinordertounpackthedifferentdimensionslistedintheRecommendationintomoreconcreteindicators.
7
TheReadinessMethodologyiscomposedoffivedimensions:Legal/Regulatory,Social/Cultural,Economic,Scientific/Educational,andTechnological/Infrastructural.TodeveloptheRAM,theSecretariatproducedazero-draftmethodologyalongthosedimensions,witheachdimensioncontainingvariousindicators.Theexpertgroupwasdividedintofivesub-groups,witheachdiscussinganassigneddimensionindetail.Thedraftwasthenfurtherrefinedfollowingfeedbackfromtheexperts.
WithineachdimensionoftheRAM,questionsaregroupedunderdifferentcategories.Thesecategoriesarethenunpackedfurtherintospecificindicatorsandsub-indicators.Theseindicatorsincludebothqualitativeandquantitativeindices,settingtheRAMapartfromotherexistingreadinessassessmenttools.Somequantitativeindicesarealreadybeingmeasuredbyandforotherdatabases,resourcesorindexes,butthegoaloftheUNESCORAMistocombinethemwithotherresourcesinordertodeducerelatedconclusions.Countrieswillalwaysbeabletoupdatetheinformationonexistingindicesasneeded,orreportiftheyarecollectingtheneededinformationinanotherway.
Thefinaloutputoftheassessmentwillentailacountryreportthatprovidesacomprehensiveoverviewofthestatusofthereadinessinthecountry,summarizingwherethecountrystandsoneachdimension,detailingongoinginitiatives,andsummingupthestateoftheart.ThisreportwillhelpidentifywhatinstitutionalchangesarerequiredtoelaborateorbolsteraNationalAIStrategy,allowingUNESCOtotailorcapacity-buildingeffortstothespecificneedsofdifferentcountriestoensuretheethicaldesign,developmentanduseofAI.
OneofthegoalsoftheRAMisalsotoprovideMemberStateswithincentivestoboosttheirAIpolicyintheformofevidence,promptingthemtoinvestinconcreteareaswhichrequirefurtherdevelopmentandencouragingthemtocollectdatawhenitislacking,andinthisregard,crosscountrycomparisonforspecifictopicsandforthepurposeofmutuallearning,mightbeenvisaged.
ThefindingsoftheRAMwillalsobesharedonUNESCO’sGlobalObservatory,whichwillenablethesharingofbestpracticesanddialoguebetweencountries.Amidthis,itisimportanttohighlightthattheaimofthisexerciseisnottorankcountriesagainsteachother,butrathertoenablepositiveexchanges,encouragedialogueonbestpracticesanddatatobecollected.
TheimplementationoftheRAMwillbeadaptedtotheuniquecircumstancesandcharacteristicsofthecountry,aswellasinaccordancetothebudgetavailablefortheproject.Ineachbeneficiarycountry,thereadinessassessmentwillbeconductedbyanindependentconsultant/researchorganization,supportedbyaNationalStakeholderTeamcomprisingavarietyofstakeholders,suchaspersonnelfromtheUNESCOSecretariatandUNESCONationalCommission,aswellasrepresentativesfromthecountry’sgovernment,theacademiccommunity,civilsocietyandtheprivatesector,amongothers.
Formoredetailsontheimplementationprocess,pleaserefertotheAnnex.
II.Guidanceforfilling
outtheRAM
ThegoaloftheRAMistoidentifystrengthsandgapsofbeneficiarycountrieswithregardstothecapacitytofacilitatethe
ethicaldesign,developmentanduseofAI,andhowtoaddressthese.Forexample,challengescouldcomefromlackofresources,capacity,orspecificpoliticalchallenges,eachofwhichmayrequiredifferentinstitutionalresponses.ThesefindingswillhelpUNESCOindevelopingausefulanduniqueroadmapforthecountry.TheteamshouldkeepthisinmindwhenfillingouttheRAMandshouldaimtoprovideresponsesthatsupporttheseaims.
Toevaluatethelaws,policiesorstrategiesofthebeneficiarycountry,theRAMtypicallyincludessub-questionsunderindicatorssoastofacilitateamorenuancedassessmentoftheireffectiveness(beyondtheirexistenceornon-existence).Whiletheseprovideausefulsetofcriteria,theteamshouldnotfeelconstrainedbythemandareencouragedtoalsofurnishtheirresponseswithotherdetailsthathavenotbeenexplicitlyrequested,shouldtheyfeelthatthiswouldprovideusefulinsightintospecificstrengths,orchallengesthatneedaddressing.
Forinstance,theRAMrequestsaparticularlylargeamountofdetailedinformationregardingtheNationalAIStrategy(ifitexists)–forexample:whetheritincludesprovisionsformonitoringandevaluationorwhetherbudgetshavebeenallocatedtoaddressrecommendations.TheteamishighlyencouragedtothinkaboutwhetherthesequestionsarerelevantforotherquestionsacrossalldimensionsoftheUNESCORecommendation,eveniftheyarenotexplicitlyasked.
Equally,whiletheRAMaskswhatthemostimportantchallengestodevelopingAIregulationsandpoliciesinthecountryarebroadly,itdoesnotreproducethisquestionacrossthespecificdimensions.Theteamshould,however,makeaconsciousefforttosystematicallyhighlightthespecificchallengestothedevelopmentorimplementationofeffectivepoliciesandregulationswhererelevant,asthisisaparticularlyimportantelementinhelpingUNESCOdevelopthecountryroadmap.
WhiletheteamfillingouttheRAMshouldmakeanefforttoprovideanswerstoallquestions,UNESCOacknowledgesthatduetothecomprehensivenessofthetool,itmightnotalwaysbepossibletoanswereachandeveryquestion.Nevertheless,itwouldbeimportanttoprovidesufficientinformationinordertobeabletocoverallofthecategoriesundereachdimension.
Finally,throughouttheassessment,therearemanyquantitativequestionswhichmaybepre-filledbyreferringto(usuallypubliclyavailable)datasetswheretherelevantdatacanbefound.Thecorrespondingdatasetorresourcethatwillbeutilizedisreferencedforeachrespectiveindicator.Shouldacountrynotbecoveredbyaparticulardataset,theteamcanconsiderwhetheralternative,localdatamaybeused,evenifnotfullycomparable,ifthiscanproviderelevantinsights.
8
III.Questions
1.GENERALQUESTIONS
Thissectioncontainsgeneralquestionsregardingthecountry’sAIgovernancestructureandtheoverallchallengesitfacesinitsdevelopment.
1.1DoesyourgovernmentcurrentlyhaveplanstoimplementtheUNESCORecommendationontheEthicsofAI,1throughestablishinganationalAIEthicsCommissionorthroughothermeasures?
1.2Hasyourgovernmentdoneanyprioritizationregardingthespecificsectorsthatwouldbenefitfromgovernmentintervention(suchasregulation,strategiesorguidelines,etc)regardingAI?
1.3DoesyourgovernmentinformthepublicwhentheyaresubjectedtotheuseofAIsystemsthatprofileormakedecisionsaboutthemintheprovisionofpublicservices?
1.4Whichministry/iesareresponsibleforAIgovernance?Pleaseelaborateonthecompositionoftheteams.
1.5Overall,whatarethemostimportantchallengestodevelopingAIregulationsandpoliciesinthecountry?
2.THELEGALDIMENSION
2.1Background
Thelegal/regulatorydimension(includingthecapacitytoimplementandenforcetheregulatoryframeworks),isakeydimensionaddressingtheinstitutionalandhumancapacityofMemberStatestoimplementtheRecommendationand,moregenerally,tofacethemajorsocietaltransformationscausedbytheincreasedadoptionofAIinallsectorsoftheeconomy.Theregulatoryframeworkshouldincludeaspectsofeffectiveprotection,enforcement,redress,andmonitoringofpotentialharmsrelatedtothedeploymentanduseofAIsystems.ThisincludesassessingwhetherMemberStateshaveadoptedappropriateregulatoryframeworkstoensuretheethicaldevelopmentanddeploymentofAI,aswellasmonitoringandevaluationmechanismsforitsimplementationandenforcement.ThisdimensionshouldhelpmonitortheexistenceandeffectivenessoflawsandconcreteprovisionsimplementingtheRecommendation.Inthecaseofprivacy,thismayinclude,forexample,ensuringcurrentdataprivacyanddataprotectionisnotcompromisedwiththedeploymentofAIsystems,assessingregulationstoensuregenderequality,orpreventingabuseofdominantmarketpositions.
1
/ark
:/48223/pf0000381137
9
2.2Indicatorsforthelegaldimension
2.2.1AIpolicyandregulation
DoesyourcountryhaveanationalAIstrategy?Ifnot,doyouhaveanylegislationorstrategywhich
hasanindirectimpactonAIregulation(forexample,dataprivacyoranti-discriminationlaws,oradigitalstrategy)?Pleaseelaborateandprovidethenameandlinktoanyrelevantdocument(s).
Evaluation:
.1HastheefficacyofthenationalAIstrategybeenassessed?Pleaseelaborateandprovidethelinktoany
relevantdocument(s).
.2
DoesthenationalAIstrategyorequivalentincludeanethicalcomponent?
.3
WasthenationalAIstrategyorequivalentcreatedbyadiverseteam(includingmenandwomen,minorities,etc.)?
.4
WasthenationalAIstrategyorequivalentcreatedwithconsultationfromdifferentstakeholders(academics,businessexecutives,civilsociety,etc.)?
.5
DoesthenationalAIstrategyorequivalentincludereferencestoAIimpactsonhumanrights?
.6
DoestheAIstrategyorequivalentincludeadetailedimplementationplan?
.7
Isthereadedicatedbody/workinggroupleadingtheimplementationoftheAIstrategyorequivalent?
.8
DoestheAIstrategyorequivalentincludebudgetaryallocationsforthemeasuresitrecommends?
.9
DoestheAIstrategyorequivalentrequirethatAIimpactassessmentbeconductedbeforedeploymentincertaindomains?
.10
DoestheAIstrategyorequivalentincludeprovisionsformonitoringandevaluation?
HasyourcountryenactedanybindingAIregulationorsoftlaw(forexampleprocurementguidelines)?IfyourcountryhasnotenactedanyAIregulation,isitintheprocessofenactingsuchregulation?Pleaseelaborateandprovidethenameandlinktoanyrelevantdocument(s),orstatethereasonswhysuchregulationhasnotyetbeenenacted.2
Evaluation:
.1HastheefficacyofthisbindingAIregulationbeenassessed?Pleaseelaborateandprovidethelinktoany
relevantdocument(s).
QUALITATIVE
2SeveralpoliciesandregulationsmaybefoundontheOECDAIObservatory,aliverepositoryofover800AIpolicyinitiativesfrom69countries,
territoriesandtheEU(
https://oecd.ai/en/dashboards/overview
).TheOECDAIObservatorywillgenerallybeusefultoanswerpolicy-relatedquestions.TheGovTechDatasetfromtheWorldBank(199countries)mayalsobeuseful:
/search/
dataset/0037889/GovTech-Dataset
(seeindicatorsI-17.1toI-17.7.1).
10
2.2.2Dataprotectionandprivacylaws
QUANTITATIVEScoreofthecountryontheCybersecurityIndex3
QUALITATIVE
Doesyourcountryhaveadataprotectionlaw?4Ifnot,isyourcountryintheprocessofenactingsuch
regulation?Pleaseelaborateandprovidethenameandlinktoanyrelevantdocument(s).
Evaluation:
.1Hastheefficacyofthedataprotectionlawbeenassessed?Pleaseelaborateandprovidethelinktoany
relevantdocument(s).
.2
Doesthedataprotectionlawgiveuserscontrolovertheirdataandallowthemtodeleteit?
.3
Doesthedataprotectionlawmentionanoticeandconsentframeworkandspecifyinwhichcasesitapplies?
.4
Doesthedataprotectionlawincludetransparencyrequirementsondatausage?
.5
Doesthedataprotectionlawincluderequirementsondataminimization?
.6
Doesthedataprotectionlawhighlightcasesinwhichdataprotectionorprivacyimpactassessmentisrequired?
.7
Doesthedataprotectionlawincludespecificrulesforsensitiveinformation(e.g.,healthdata)?
.8
Doesthedataprotectionlawincludeenforcementmechanismsandcompensationschemesincaseofviolation?
.9
Aretheredifferentstandardsofdataprotectionappliedfordatacollectedbypublicvs.privateentities?
.10
Isprivacyand/orrespectforprivateandfamilylifeprotectedunderthedataprotectionlaworanotherlaw?Pleaseprovidethelinktoanyrelevantdocument(s).
.11Doyouhaveadataprotectionentityordataprotectionofficerinyourcountry?Ifyes,whatistheir
mandate?
2.2.3Datasharingandaccessibility
QUANTITATIVE
ScoreofthecountryontheOpenDataInventory5
QUALITATIVE
DidyourcountrysigntheinternationalOpenDataCharter?6
Doyouhaveanationaldatasharingframework?7Ifnot,isyourcountryintheprocessofcreating
one?Pleaseelaborateandprovidethenameandlinktoanyrelevantdocument(s).
Evaluation:
.1Hastheefficacyofthenationaldatasharingframeworkbeenassessed?Pleaseelaborateandprovidethe
linktoanyrelevantdocument(s).
.2
Howdoesthedatasharingframeworkapproachdifferentgeographies,etc.?
data
sharing
betweenthe
public
and
privatesector,
3
/blog/vpn-privacy/cybersecurity-by-country/
4
/page/data-protection-and-privacy-legislation-worldwide
5
/
6
/government-adopters/
7SeeGovernance(G):DataSharingFrameworks:
/module/governance/
11
Doesyourcountryhaveopengovernmentdatapolicies?8Ifnot,isyourcountryintheprocessof
adoptingone?Pleaseelaborateandprovidethenameandlinktoanyrelevantdocument(s).
Evaluation:
.1Hastheefficacyofopengovernmentdatapoliciesbeenassessed?Pleaseelaborateandprovidethelink
toanyrelevantdocument(s).
.2Doestheopengovernmentdatapolicymentionmakingdatasetsavailableandaccessibleforresearch?
QUALITATIVE
2.2.4Procurementlawsandpolicies
QUALITATIVE
Doesyourcountryhavelawsorpolic
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