Universal DPI Safeguards
  • 🇺🇳About the Universal DPI Safeguards Initiative
    • 📈The Journey
    • 📂Key Outputs
      • The Universal DPI Safeguards Framework
      • A Guide to Building Safe and Inclusive DPI for Societies
      • Interim Report: Leveraging DPI for Safe and Inclusive Societies
    • Looking Ahead
  • 🗃️How to use the Hub
  • 🛡️Universal DPI Safeguards Framework
    • Navigating the Framework
    • Responsible Authorities
      • R1 - Government
        • L1 - Conception and Scoping
        • L2 - Strategy and Design
        • L3 - Development
        • L4 - Deployment
        • L5 - Operations and Maintenance
        • All stages
      • R2 - Regulator
        • L1 - Conception and Scoping
        • L2 - Strategy and Design
        • L5 - Operations and Maintenance
        • All stages
      • R3 - Donor
        • L1 Conception and Scoping
        • L2 Strategy and Design
        • L4 Deployment
        • L5 Operations and Maintenance
      • R4 - Technology Provider
        • L1 - Conception and Scoping
        • L2 - Strategy and Design
        • L3 - Development
        • L5 - Operations and Maintenance
      • R5 - Advocates
        • All stages
        • L1 - Conception and Scoping Phase
        • L2 - Strategy and Design
        • L3 - Development
        • L4 - Deployment
        • L5 - Operations and Maintenance
    • Life Cycle Stages
    • Principles
      • Foundational Principles
        • F1 Do no harm
        • F2 Do not discriminate
        • F3 Do not exclude
        • F4 Reinforce transparency, accountability
        • F5 Uphold the rule of law
        • F6 Promote autonomy and agency
        • F7 Foster community engagement
        • F8 Ensure effective remedy and redress
        • F9 Focus on future sustainability
      • Operational Principles
        • O1 Leverage market dynamics
        • O2 Evolve with evidence
        • O3 Ensure data privacy by design
        • O4 Assure data security by design
        • O5 Ensure data protection during use
        • O6 Respond to gender, ability or age
        • O7 Practice inclusive governance
        • O8 Sustain financial viability
        • O9 Build and share open assets
    • Processes
      • F4.4 Facilitate comprehensive access to system architecture information
      • O6.5 Acknowledge and support the development of digital foundational capacities
      • O8.4 Ensure that DPI is affordable to people and businesses
      • F7.2 Sustain the participation of affected communities
      • F4.3 Facilitate comprehensive access to system architecture information
      • O8.3 Design a sustainable financing model for the DPI
      • F9.3 Prioritize investments in reusable software components to create standardized workflows
      • F4.2 Facilitate comprehensive access to system architecture information
      • F5.2 Underpin identification systems (and other DPI systems) with enforceable frameworks
      • F5.1 Establish transparency and full documentation for data-sharing arrangements
      • F3.2 Implement affirmative design measures
      • F1.1 Facilitate accessible remedial mechanisms
      • F4.1 Ensure access to relevant information about every architectural component of the system
      • F5.3 Highlight instances of discrimination and failure
      • O3.27 Increase public awareness about risks in DPI
      • O3.1 Verify the existence and enforcement of regulations, policies and procedures
      • O6.8 Use a participatory approach to foster inclusive, responsive and empowering DPI
      • O7.2 Invite all stakeholders for regular discussions
      • O8.3 Design a sustainable financing model for the DPI
      • F4.1 Ensure access to information about each relevant architecture component
      • F6.1 Evaluate the level of granular control available to users over their data preferences
      • F7.8 Implement a capacity-building strategy using a whole-of-government approach
      • F3.1 Provide accessible in-person options for identity proofing and authentication
      • O1.1 Equip CSOs and civic tech organizations with tools and partnerships
      • O6.1 Raise awareness if the DPI guidance is not linguistically appropriate for the whole population
      • F8.1 Facilitate user access to redress mechanisms
      • F8.7 Ensure availability of independent, accessible and effective remedies and mechanisms
      • F9.1 Establish a collaborative governance framework with public and private stakeholders
      • F8.1 Conduct environmental impact assessments and demand measures that advance carbon neutrality
      • F.1.2 Integrate human rights assessments
      • F1.2 Incorporate legal safeguards against coercive measures of enforcement
      • F5.4 Establish appropriate legal framework to govern DPI initiatives
      • F5.5 Implement independent oversight and impartial grievance adjudication
      • O2.6 Assess DPI against alternative policy options
      • F6.2 Design mechanisms that provide individuals and communities with control over personal data
      • F7.1 Forward relevant stakeholder inputs to DPI implementors
      • F9.2 Ensure adequate resourcing for continuous development
      • O1.2 Establish policies that promote fair competition and require multiple participants
      • O1.3 Mitigate the risk of market distortion and monopolies
      • O2.1 Assess DPI against alternative policy options
      • O3.2 Undertake data protection impact assessments and legislative reforms prior to DPI roll-out
      • O3.3 Analyse stakeholder interests and implement appropriate safeguards
      • O3.4 Provide features to protect users from tracking and profiling
      • O4.1 Establish a framework for safe data storage and processing
      • O4.2 Establish a cybersecurity framework for DPI
      • O5.1 Implement privacy and data protection impact assessments prior roll-out
      • O3.7 Undertake data protection impact assessments and legislative reforms prior to DPI roll-out
      • O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
      • O5.7 Implement privacy and data protection impact assessments prior to roll-out
      • O5.9 Assess existence of comprehensive data protection laws to protect personal data
      • O5.2 Require parties to register their DPI use cases in a public registry
      • O6.2 Understand the needs of affected communities and test the impact of DPI on these groups
      • O6.3 Ensure equitable access to DPI
      • O6.4 Include networks of human agents to help users utilize and engage with DPI systems
      • O8.1 Estimate the costs of deployment, operational costs, and estimate payback period
      • O8.2 Design a sustainable financing model for the DPI
      • F2.5 Recognise access to DPI-based public services as a human right
      • F4.13 Establish requirements for auditable data trails to support dispute redressal
      • F7.5 Implement a whistleblower channel, allowing the public to address potential complaints
      • F8.8 Set redress mechanisms and other consumer protection tools for failed/fraudulent transactions
      • O1.6 Enable transparency in the development of standards by standard-setting bodies
      • O3.28 Undertake a Data Protection Impact assessments and legislative reforms prior to DPI roll-out
      • O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
      • O5.7 Oversee the implementation of privacy and data protection impact assessments prior roll-out
      • O8.7 Ensure that the price of using DPI is affordable to people and businesses
      • F4.14 Oversee the publication of reports on user complaints and inclusion metrics
      • F9.10 Set a normative framework for public–private partnership to implement DPI frameworks
      • O3.29 Audit data processed against the specified purpose being served
      • O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
      • O3.15 Implement strict controls to enforce purpose limitation and restrict secondary data use
      • F2.4 Design and implement backup processes for users who lack assumed documentation
      • F4.10 Implement comprehensive reporting and accessibility protocols
      • F6.5 Implement optional features for user control over personal data
      • O2.5 Implement rigorous testing protocols
      • O3.5 Enable third-party audits
      • O4.9 Mandate security audits by third parties
      • O3.14 Integrate strict data minimization protocols into design
      • F3.3 Identify and address end user/citizen needs
      • F1.3 Establish monitoring and mitigation teams
      • F2.1 Implement alternative enrollment measures
      • F3.3 Assess the interoperability system
      • F3.4 Develop alternative processes to access services without requiring subscription to a DPI
      • F3.5 Implement affirmative design measures
      • F4.5 Establish comprehensive auditing mechanisms
      • F4.6 Create stakeholder participation systems
      • F4.7 Ensure an auditable data trail for dispute redressal
      • F4.8 Provide clear definitions for key human rights terms
      • F6.3 Incorporate user choice mechanisms to participate
      • F6.4 Design user interfaces that empower subjects with clear and continuous control over their data
      • F7.3 Forward relevant stakeholder inputs to DPI implementors
      • F7.4 Sustain the participation of affected communities by funding community engagement
      • F8.3 Ensure that the DPI interface indicates the responsible public authority and their contact info
      • F9.4 Adopt common standards, conduct regular system integration tests, and remove redundancies
      • F9.5 Conduct stringent security checks and vendor assessments
      • F9.6 Encourage modular system design and support for multiple technologies
      • F9.7 Adopt comprehensive procurement processes that prevent vendor lock-in
      • O1.4 Provide tools and support to enable integration and scalability
      • O1.5 Develop an open access system with APIs, accountability, and fraud protections
      • O2.2 Implement regular public consultations and review mechanisms
      • O2.3 Design mechanisms to generate relevant data
      • O2.4 Design feedback loops to address data inaccuracies and enable community reporting
      • O3.5 Integrate strict data minimization protocols into design
      • O3.6 Establish multi-layered security controls to protect data throughout its lifecycle
      • O3.7 Undertake data protection impact assessments and legislative reforms prior to DPI roll-out
      • O3.8 Enable third party audits
      • O3.9 Establish robust data delinking mechanisms
      • O3.10 Enable different levels of privacy between payer and payee
      • O3.11 Implement symmetrical identification
      • O3.12 Implement and protect the right to pseudonymity within DPI when applicable
      • O3.13 Ensure that biometric authentication is not mandatory
      • F4.9 Insitutionalize oversight mechanisms
      • F4.10 Adhere to open standards and modular architecture
      • O8.5 Focus on cost reduction
      • F1.4 Establish monitoring and mitigation teams
      • F2.2 Provide accessible in-person options for identity proofing and authentication
      • F2.3 Establish mechanisms to promote ongoing user awareness and engagement
      • F9.8 Build institutional memory
      • F9.9 Document and maintain an archive on the outcomes of pilot studies, testing, and decision-making
      • O3.26 Implement strict controls to enforce purpose limitation and restrict secondary data use
      • O3.16 Embed strong privacy standards from the start and integrate these into design and processes
      • O3.17 Ensure compliance with privacy laws and evaluate risks around PII
      • O3.18 Emphasise transparency and user empowerment in managing data
      • O3.19 Develop privacy requirements and select mitigation strategies
      • F1.4 Establish monitoring and mitigation teams
      • F4.11 Publish reports on inclusion and user complaints
      • F8.4 Implement a multi-channel complaint resolution mechanism that tracks resolutions
      • O3.20 Ensure unobservability of daily user interactions by design
      • Establish mechanisms to ensure a right to opt-out whenever appropriate
      • O3.22 Ensure linkability, unobservability, and zero-knowledge proofs are the default
      • O3.23 Establish robust data delinking mechanisms
      • O3.24 Make alternative mechanisms besides biometrics available
      • O3.25 Ensure that biometric authentication is not mandatory
      • O4.3 Ensure secure and auditable data handling
      • O6.6 Embed vulnerability in product design
      • F8.5 Establish capability to successfully remedy user exclusion and harm
      • F8.6 Empower regulators with independent oversight
      • F9.12 Train civil servants, citizens and the private sector on new iterations of DPI implementation
      • F4.12 Ensure accountability through records controls
      • O4.4 Establish a trusted—unique, secure and accurate—identity system
      • O4.5 Implement data validation, completeness, and consistency checks
      • O4.6 Use an established cybersecurity framework
      • O5.3 Ensure digital presevation of records
      • O6.7 Ensure that DPI are linguistically appropriate for the whole population
      • O9.1 Ensure modularity and reusability across sectors, enabling evolution with society
      • O2.8 Leverage analytics for ongoing evaluation and informed decision-making
      • O2.7 Design systems to capture evolving user needs
      • O2.9 Establish mechanisms to assess the value users derive
      • F1.5 Assess system uptime to ensure reliability
      • F9.13 Implement public–private partnership frameworks for sustainable DPI implementation
      • O4.7 Implement a framework for safe data storage and processing
      • O5.4 Conduct regular security audits to check encryption protocols
      • O5.6 Implement regular performance metrics tracking with predefined response protocols
      • O4.7 Invite security audits by third parties
      • O5.4 Implement regular performance metrics tracking with predefined response protocols
      • O5.5 Ensure that access to personal information is based on the informed consent of the user
      • O5.8 Create redress mechanisms that deal with bad actors
      • O7.1 Establish governance frameworks for transparency, accountability and stakeholder participation
      • O8.6 Ensure budgetary allocation for DPI financial sustainability and adequate resourcing
      • O9.2 Develop a centralized platform for digital asset sharing and a community of practice
      • O9.3 Nurture engagement with technical community and private actors
      • O9.4 Create an online repository of open DPI components, reference architecture for maintenance
      • O4.8 Design specific security features to protect against unauthorized access and data breaches
    • Risks
      • Risks to Safety
      • Risks to Inclusion
      • Risks to Structural Vulnerabilities
  • 🌏Country Implementation
    • 🗺️Implementation Around the World
      • 🇧🇷Brazil
      • 🇩🇴Dominican Republic
      • 🇪🇹Ethiopia
      • 🇫🇮Finland
      • 🇮🇳India
      • 🇲🇼Malawi
      • 🇳🇬Nigeria
      • 🇷🇼Rwanda
      • 🇸🇴Somalia
      • 🇹🇹Trinidad and Tobago
      • 🇺🇾Uruguay
    • 🤝Letters of Commitment
    • 🧰Toolkits & Resources
      • Maturity Model
    • ⛑️Country Adoption Support
  • 🤝Ecosystem Engagement
    • Share your story
    • 🗓️Events Calendar
    • 💼Convening Toolkit
      • Convening Resources
      • ❓Convening FAQs
  • ℹ️Additional Resources and Information
    • Curated Resources
    • 📜Licensing
    • 🗒️Release notes
    • ☎️Contact us
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  • Conception & Scoping (L1)
  • Strategy and Design (L2)
  • Development (L3)
  • Deployment and Transformation (L4)
  • Operations and Maintenance (L5)
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  1. Universal DPI Safeguards Framework

Life Cycle Stages

Last updated 7 months ago

Conception & Scoping (L1)

The scoping stage of the DPI life cycle is crucial as it establishes the purpose, goals, constraints, and boundaries of a DPI. This then guides subsequent decision-making and ensures alignment with strategic and operational objectives as well as people’s needs.

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Nominal activities include:

  • clear framing of the goal or problem

  • identifying root societal needs

  • targeting core service delivery gaps

  • assessing impact potential

  • analysing the enabling environment for barriers to DPI implementation, effectiveness and adoption, including existing policy, legal and regulatory frameworks

  • taking into account the relevant technical, organizational and normative risks to safety and inclusion

    Poorly scoped DPI implementation can result in resource wastage, frustration and aversion. This is particularly so as DPI may not suit all sectors and contexts for a variety of reasons, including legacy barriers to data-sharing across institutions; competition issues; unequal digital readiness across the ecosystem; potential harms or risks at a population scale; or capacity shortfalls. Experience has shown that flourishing DPI systems have generally benefited from extensive support for national rollout, coupled with a robust regulatory regime with effective compliance mechanisms. Others have floundered, on account of under-resourcing and a variety of contextual challenges.

Strategy and Design (L2)

At this stage, a comprehensive plan is formulated and the DPI design is conceptualized in order to translate objectives into actionable steps that meet functional and performance objectives. The most appropriate standards, designs, safeguards and implementable steps are thought of at this stage.

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This stage includes activities such as mapping and engaging with stakeholders to understand individual needs, identifying parties for collaboration, and advocating for the removal of barriers to DPI implementation in the enabling environment. It also includes planning for optimum service delivery, learning from successful DPI models and best practices. This includes setting design objectives including scalability and sustainability where applicable, with a focus on small, incremental improvements, resilient architecture, and future-proofing the infrastructure. Also, this stage involves establishing standards and protocols and performance metrics to assess adoption and societal impact, preparing design specification according to inclusive and other critical design principles and mitigating design-related technical, organizational and normative risks.

Development (L3)

In the development stage, a prototype DPI is built according to defined specifications, ensuring functionality, reliability, and scalability.

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Activities include software coding to design specification; testing; building open APIs and sandboxes to empower developers (as appropriate to the maturity of DPI implementation and the local context); creating Minimal Viable Products (“MVPs”) and running pilot projects to iteratively adjust. Any adjustments should be guided by insights into practicality and impact, while identifying and mitigating risks related to security, privacy, and user experience. This phase ensures that DPI solutions are thoroughly tested and refined before widespread implementation, to minimize risks and maximize effectiveness. Development includes the framing of outstanding policies and regulations, where necessary, and establishing institutional structures in parallel with the technology. Mitigating technical, organizational and normative risks associated with implementation is critical in this stage. A robust governance framework should be put in place.

Deployment and Transformation (L4)

At this stage, the DPI is implemented in its operational environment, and any necessary organizational changes are made to maximize its impact and adoption.

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Implementing DPI in its target environment entails installing, configuring, and activating the hardware, software, and networking components in a phased manner; scaling if necessary and appropriate; refining on the basis of evidence and data of users’ feedback (and using change management strategies); regularly engaging with stakeholders and communicating widely to ensure successful large-scale adoption so that the benefits of DPI are fully realized across all sectors of society. It is essential that, in parallel, a robust governance framework including monitoring and redressal mechanisms, is activated.

Operations and Maintenance (L5)

Once DPI is commissioned, it is expected that individuals regularly interact with its services, and that government agencies rely on its systems for their operations.

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Regular operations and maintenance ensure ongoing optimal performance, stability, and efficiency of the DPI within the operational environment. Nominal activities include:

  • continuous management and maintenance that ensure performance metrics are met, with oversight and accountability

  • continuous testing of safeguards to ensure privacy, security, usability, and inclusion

  • monitoring, learning and continuously improving alongside innovative methods for engagement, monitoring and evaluating effectiveness, and strategic preparedness for swift action in response to policy windows or opportunities for scale-up

  • reviewing technical, organizational and normative risks and mitigation strategies

  • ongoing review of governance and assurance that inclusive redressal

    mechanisms are fit for purpose

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