Only this pageAll pages
Powered by GitBook
Couldn't generate the PDF for 257 pages, generation stopped at 100.
Extend with 50 more pages.
1 of 100

Universal DPI Safeguards Hub

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

Loading...

L4 Deployment

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks Avoided

O6.5 Acknowledge and support the development of digital foundational capacities, including digital literacy and digital safety, to ensure equitable access and effective use of DPI.
O6 Respond to gender, ability or age
RI3 Exclusion, RI4 Disempowerment

F4.4 Facilitate comprehensive access to system architecture information

F4 Reinforce transparency and accountability

SV1 Digital distrust, RI4 Disempowerment

L5 Operations and Maintenance

Practices

  • Require the creation of detailed documentation for every architecture component.

  • Allocate resources to develop user-friendly tools and platforms for generating and disseminating reports on system performance.

  • Invest in the integration of continuous feedback loops and audit mechanisms within the system design.

F5.3 Highlight instances of discrimination and failure

F5 Uphold the rule of law

SV2. Weak rule of law

RI3. Exclusion

RI1. Discrimination

All

Practices

  • Utilize strategic litigation to address cases where the DPI fails vulnerable and marginalized communities, bringing these issues to public and legal attention.

  • Provide counseling and support for affected and marginalized communities to document their experiences and challenges with the DPI.

  • Set the agenda based on the work of civil society organizations by using documented cases and findings to advocate for changes in the DPI and influence policy discussions.

F7.1 Forward relevant stakeholder inputs to DPI implementors

F7. Foster Community Engagement

SV3 Weak institutions,

RI4 Disempowerment

L1 Conception and scoping

Practices

  • Create a centralized internal platform or dashboard where feedback from stakeholders can be collected, organized and categorized.

  • Ensure that all input is reviewed and prioritized before being communicated to DPI implementors.

Resources

Case Study

[linked to the specific resources housed in the resource page]

References

[Links to community contributions of existing publications and references]

O2.6 Assess DPI against alternative policy options

O2 Evolve with evidence

SV5 Unsustainability, RI1Discrimination

L1 Conception and Scoping

Practice

  • Conduct baseline studies and contextual analyses to assess the feasibility, benefits and risks of DPI in specific settings.

  • Compare DPI with alternative policy options, considering factors like inclusivity, scalability, cost-effectiveness, and potential for unintended consequences.

  • Engage stakeholders, including civil society, industry experts and end-users in the evaluation process to gather diverse perspectives.

A Guide to Building Safe and Inclusive DPI for Societies

September 2024

The guide explains how to apply the Universal Digital Public Infrastructure (DPI) Safeguards Framework. The aim is to equip readers and DPI practitioners with a clear understanding of how the Framework can be applied to ensure safe and inclusive adoption of DPI.


Access the Guide

8MB
The Universal Digital Public Infrastructure (DPI) Safeguards Framework - Guide.pdf
pdf

Share Your Comments

Interim Report: Leveraging DPI for Safe and Inclusive Societies

April 2024

The Interim Report provides an overview of the Framework’s components and proposed initial high-level principles.


Access the Interim Report

1MB
Leveraging DPI for Safe and Inclusive Societies.pdf
pdf

Key Outputs

The section highlights the materials produced so far, offering insights into the development of the Universal DPI Safeguards Framework.

We welcome feedback and comments to continue refining and enhancing these resources. You may click here to contribute.

The Universal DPI Safeguards Framework

Version 1.0, September 2024.

The Universal Digital Public Infrastructure (DPI) Safeguards Framework is a set of actionable guidelines for DPI design and implementation that serve the public interest. The Framework comprises principles, process and practice recommendations to be employed by various responsible authorities within the DPI ecosystem to mitigate risks to safety and inclusivity. Risks are specified in relation to each stage of the DPI life cycle and are also addressed by upholding foundational and operational principles for safe and inclusive DPI.

The Framework (version 1.0) is an open public asset shared under the Creative Commons Attribution-ShareAlike 4.0 International (CC BY-SA 4.0) license.


Explore the Universal DPI Safeguards Framework


Contribute to the Universal DPI Safeguards Framework

The Framework is an evolving and open public asset, subject to continuous updates through contributions from multi-stakeholder engagement and insights gained from country-level implementations.

Please share your contribution with us.

The Universal DPI Safeguards Framework
A Guide to Building Safe and Inclusive DPI for Societies
Interim Report: Leveraging DPI for Safe and Inclusive Societies

About the Universal DPI Safeguards Initiative

The Universal Digital Public Infrastructure (DPI) Safeguards initiative is concerned with systems provided by, or on behalf of, government or through public–private partnerships at societal scale and which serve the public interest. The process of developing the Universal DPI Safeguards was launched in September 2023 by the Office of the UN Secretary-General’s Envoy on Technology (OSET) and the United Nations Development Programme (UNDP). The initiative stemmed from the UN Secretary-General's policy brief on the Global Digital Compact (GDC) and its call for the creation of common frameworks for DPI.

The Pact for the Future and its annex, the Global Digital Compact, were adopted on September 22, 2024, at the Summit for the Future. In the compact, Member States have recognized the potential of DPI in promoting inclusive digital transformation and achieving the Sustainable Development Goals (SDGs). This potential is tempered by risks. Accordingly, Member States have also recognized the role of adaptable safeguards for DPI in achieving these goals.

The Universal DPI Safeguards Framework reflects the role of DPI and its safeguards to ensure DPI implementations mitigate new risks and existing structural vulnerabilities of digital transformation at both the individual and societal level, advance the Sustainable Development Goals (SDGs) and foster trust and equity across all countries.

The Universal DPI Safeguards initiative is an evolving multi-stakeholder effort comprising three key pillars:

  1. Universal DPI Safeguards Framework: Guiding principles and practices for safe and inclusive DPI, covering the entire life cycle of DPI development, from conceptualization to operations and maintenance, monitoring, and feedback. The Framework can be applied in practice using resources made available in an interactive knowledge library. The library includes an interactive component where users can generate scenarios tailored to their context and produce downloadable recommendations.

  2. Universal DPI Safeguards Resource Hub: An online dynamic platform for community engagement offering safeguards-related resources, implementation guides, and emerging insights on DPI safeguards.

  3. Country implementation: Refers to active engagement with stakeholders in countries to create or strengthen multi-stakeholder holding environments that enable spaces for sharing different viewpoints, inputs, collaboration and addressing challenges. This involves facilitating technical assistance, convenings and capacity development for countries, sectors and actors to generate dialogue, build consensus, and create opportunities to advance safe and inclusive implementations.

Together, these pillars support DPI implementation in a way that is not only safe, secure and inclusive, but also practical and adaptable to diverse contexts and needs.

Looking Ahead

The rapidly evolving DPI landscape requires the Framework to be dynamic and adaptive. Just as the Framework has been created through an inductive–deductive co-creation process, its evolution will be guided by a continuous listening–learning updating process. This first release of the Framework (Version 1.0) lays the foundation through five components. It is important to note that the list of responsible authorities, practices, and processes is not exhaustive, and further feedback, insights, and information curated during its application will be synthesized and incorporated into the emergent knowledge base as the Framework evolves.

The initiative will use the channels below for listening, learning, and evolving the Framework:

  1. Ecosystem engagement: The initiative will continue to curate feedback to build additional processes and practices, KPIs, and lessons learned through expert and practitioner contributions. The initiative will continue to engage the ecosystem by creating awareness through campaigns (success stories, testimonials, and case studies), workshops, and contribution calls. Public feedback will be sought through online forums and open webinars, with special emphasis on underrepresented groups. This feedback will be systematically reviewed and integrated to ensure the Framework addresses diverse perspectives and needs.

  2. Country implementation: The initiative will, directly and through the ecosystem, actively engage with stakeholders in countries to support their DPI adoption journeys. This will include identifying projects, facilitating connections to technical assistance/funding, and providing support for monitoring or assessment to improve impact. The experiences learned from these country implementations will inform ongoing updates and enhancements to the Framework, ensuring it remains relevant and effective across diverse contexts.

  3. International organizations: The initiative will continue to engage with international organizations to collaborate, advocate, and support the effective use of the Universal DPI Safeguards Framework across DPI life cycles. Feedback received from these engagements and any processes and practices used by these organizations will be employed to enhance the Framework.

Regular updates will be announced and documented with detailed release notes. These updates will be openly accessible through the interactive knowledge library on the Universal DPI Safeguards website and the Universal DPI Safeguards Resource Hub. The updates will be available for download in multiple formats, ensuring that everyone can easily access and remain up to date on the latest version of the Framework.

The Journey

The Universal Safeguards for DPI initiative, launched in 2023 by the Office of the UN Secretary-General’s Envoy on Technology (OSET) and the United Nations Development Programme (UNDP), set out to co-create a pragmatic framework for countries implementing DPI. It is a multi-stakeholder initiative designed to ensure DPI implementations mitigate risks at both the individual and societal levels, advance the SDGs, and foster trust and equity across all countries.

Six working groups, comprising diverse experts and DPI practitioners from a broad range of stakeholders within the global digital ecosystem, led the development of the Framework. Insights, feedback, and recommendations from an International Organizations Consultative Group, as well as from convenings, country engagements and public consultations, have informed this guide.

The Framework is created through expert-led discussions and broad consultations with practitioners

In April 2024, the inductive phase of the initiative concluded with the release of anInterim Report, ‘Leveraging DPI for Safe and Inclusive Societies’ for public comments. The Interim Report provided an overview of the Framework’s components and proposed initial high-level principles.

In September 2024, the guide ‘The Universal Digital Public Infrastructure Safeguards Framework - A Guide to Building Safe and Inclusive DPI for Societies’ was released, along with the Universal DPI Safeguards Framework.

The Universal DPI Safeguards Framework comprises principles, process and practice recommendations to be employed by various responsible authorities within the DPI ecosystem to mitigate risks to safety and inclusivity. Risks are specified in relation to each stage of the DPI life cycle and are also addressed by upholding foundational and operational principles for safe and inclusive DPI. These principles were first introduced in the Interim Report.

To be universally applicable to all DPI and responsive to stakeholder needs, the Framework will continue to be developed through continuous feedback cycles with multi-stakeholder inputs.

Navigating the Framework

The Universal DPI Safeguards Framework can be accessed through an interactive knowledge library or this DPI Safeguards Resource Hub.


Guidance to the..

Interactive Knowledge Library
Universal DPI Safeguards Resource Hub

R1 - Government

Typical DPI-related roles and responsibilities of 'Government' include:

  • overall governance: from policymaking to public service delivery

  • creating policies to set development goals

  • guiding inclusive digitalization

  • providing budgetary support for development purposes and DPI development

  • providing proof of progress to constituents

  • listening to feedback and improving legislative, executive and judicial administration

Click Next to explore the process recommendations in the

Conception and Scoping stage of the DPI life cycle.

The modular and flexible design of the interactive knowledge library allows user queries to generate canvases (scenarios) for each of the five responsible authorities, across any of the 18 foundational and operational principles, at any of the five life cycle stages to mitigate any of the 13 key risks. The figure below gives a snapshot of the interactive knowledge library.

The Framework can be explored by starting with the selection of a Responsible Authority (R1-R5).

Each Responsible Authority has a specific role to play at every life cycle stage (L1-L5) of the DPI.

You can explore what actions each Authority must take to advance the Universal DPI Safeguards Principles (F1-F9, O1-O9), through processes and practices so as to avoid and mitigate identified risks.

Interactive Knowledge Library

https://www.dpi-safeguards.org/framework

Users can access the interactive knowledge library to explore different scenarios.

DPI Safeguards Resource Hub

Universal DPI Safeguards Framework

Access the Framework through the DPI Safeguards Resource Hub to explore recommendations for each responsible authority at every stage of the DPI life cycle.

Interactive Knowledge Library

Responsible Authorities

A functional group of stakeholders with assigned or assumed roles, responsibilities, and accountability for effective implementation and evolution of DPI safeguards.

Navigate the Framework: The Framework can be explored by starting with the selection of a Responsible Authority (R1-R5). Each Responsible Authority has a specific role to play at every life cycle stage (L1-L5) of the DPI. You can explore what actions each Authority must take to advance the Universal DPI Safeguards Principles (F1-F9, O1-O9), through processes and practices so as to avoid/mitigate certain identified risks.

Click on a Responsible Authority below to learn more about actionable processes and practices.

Universal DPI Safeguards Framework

The Universal DPI Safeguards Framework is designed as an open public asset to extend foundational and actionable recommendations that are adaptable to diverse contexts. It is not a static body of knowledge but will continue to evolve across all its elements with the active contribution of stakeholders such as governments, responsible authorities, seasoned practitioners, civil society organizations (CSOs), and international communities.

Five components of the Framework

The Framework is made up of five components:

1. Risks to be mitigated:

Risk refers to the possibility of harm and involves uncertainty about the effects of an activity on people’s health, well-being, wealth, property or the environment. V1.0. of the Framework describes 13 interrelated risk areas.

2. Principles:

Principles, currently 18, are core propositions to mitigate risk which have been derived from the possible risks observed in the DPI ecosystem. These include new risks and existing structural vulnerabilities.

3. Responsible authorities:

A functional group of stakeholders with assigned or assumed roles, responsibilities and accountability for effective implementation and evolution of DPI safeguards.

4. Life cycle stages:

DPI has five life cycle stages, namely: Conception and Scoping, Strategy and Design, Development, Deployment, and Operations and Maintenance.

5. Recommendations:

These include ~ 300 processes and practices; built from existing experiences in countries.

  • A process is a series of activities required to produce a result which may occur once, or be recurrent or periodic. In the Framework, principles are translated into processes relevant to responsible authorities at appropriate life cycle stages.

  • Practices are related to processes and indicate what may or may not have been done in the past under normal circumstances. Practices are evolving and may not always indicate the best of practices in the context of the Framework.

Thus, the Framework offers multiple permutations of risks, principles, responsible authorities, life cycle stages and recommendations. It is designed as an open knowledge asset that allows any user to query it to identify actions they need to take.

This first release of the Framework (Version 1.0), lays the foundation through five components (see figure 3.1 in Section 3). It is important to note that the list of responsible authorities, practices and processes are not exhaustive, and further feedback, insights and information curated during its application will be synthesized and incorporated into the emergent knowledge base as the Framework evolves.

All stages

Process
Principle
Risk

How to use the Hub

The Universal DPI Safeguards Resource Hub serves as a dynamic online platform for community engagement, offering safeguards-related resources, implementation guides, and emerging insights on DPI safeguards.

Visit the sections below to make the most of the Hub:

Explore the Knowledge

  • Dive into the safeguards, starting with the .

  • Navigate the which provides practical recommendations for ensuring safety and inclusivity.

  • Explore the page to understand the journey so far and the roadmap for the future.

  • Visit the section to access other essential knowledge.

Adopt the Framework

  • Access that showcase practices aimed at enhancing safety and inclusion.

  • Find for implementation, key insights on emerging discourse.

  • for your own DPI safeguards implementation efforts.

Get Involved

  • Contribute to the Framework through our .

  • Join the community by that highlight progress toward safety and inclusion goals.

  • Participate in community to provide feedback, share insights, and engage with others working on advancing DPI safeguards.

  • Use the to organize your own events around these themes.

🛡️

O6.8 Use a participatory approach to foster inclusive, responsive, and empowering DPI for marginalized communities.

O6 Respond to gender, ability or age

R1.4 Disempowerment,

R1.3 Exclusion

O7.2 Invite all stakeholders for regular discussions

O7 Practice inclusive governance

R1.3 Exclusion

RI2 Unequal access

F7.8 Implement a capacity-building strategy using a Whole-of-Government approach to ensure all relevant functional groups can effectively support safeguards.

F7 Foster community engagement

SV3 Weak institutions

Guide to the Universal DPI Safeguards Framework
Universal DPI Safeguards Framework
About the Initiative
Key Outputs
country-specific experiences
practical toolkits
Seek support
submission form
sharing your stories, experiences, or case studies
convenings
convening toolkit

R2 - Regulator

Typical DPI-related roles and responsibilities of 'Regulators' include:

  • setting appropriate and effective guardrails

  • supervising and enforcing laws and regulations

Click Next to explore the process recommendations in the Conception and Scoping stage of the DPI Lifecycle.

Advocates:

They care about the balance between an individual's right to security and privacy and what this means for government control over ICT data.

Government:

Leads the technical implementation of the national ICT strategy.

Technology Provider:

Provides tech infrastructure and tech implementation support.

Regulators:

Provide accessible and secure DPI for citizens of their country and guides the government and private sector.

Donor:

Funds the DPI.

L2 - Strategy and Design

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

n

L3 - Development

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks

L4 - Deployment

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks

L2 - Strategy and Design

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

,

,

,

L5 - Operations and Maintenance

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

y

O9 Build and share open assets

L1 - Conception and Scoping

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

t

L1 - Conception and Scoping

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks avoided

,

,

,

,

,

,

,

L5 - Operations and Maintenance

To know more about this phase of the DPI lifecycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks

,

,

,

L5 Operations and Maintenance

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks Avoided

L2 Strategy and Design

To know more about this phase of the DPI life cycle, click

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principles
Risks Avoided

All stages

Process
Principle
Risk

R4 - Technology Provider

Typical DPI-related roles and responsibilities of 'Technology Providers' include:

  • providing a focal point for technical work, risk identification and mitigation strategies

  • having influence over and advising on actual implementation through to maintenance and support of DPI

Click Next to explore the process recommendations in the

L5 - Operations and Maintenance

To know more about this phase of the DPI life cycle, click .

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

R5 - Advocates

Typical DPI-related roles and responsibilities of 'Advocates' include:

  • driving advocacy for DPI safeguards

  • working to uphold human rights

  • representing the interests of the marginalized and diverse sections of the society

  • providing innovative ideas to make DPI more inclusive

  • highlighting incongruence with existing laws and regulations


Click Next to explore Safeguards Processes in the stage of the DPI Lifecycle.

R3 - Donor

Typical DPI-related roles and responsibilities of 'Donors' include:

  • providing funding and financial support

  • seeking proof of progress to meet development outcomes

Click Next to explore the process recommendations in the

F8.7 Ensure that there are independent, accessible and effective remedies and related mechanisms available for persons whose rights are violated by the system

F8 Ensure effective remedy and redress

SV3 Weak institutions,

SV2 Weak rule of law

F3.3 Identify and address end user/citizen needs
F3 Do not exclude
RI3 Exclusion
F1.3 Establish monitoring and mitigation teams
F1 Do no harm
SV 1 Digital distrust,
SV4 Technical shortcomings
F2.1 Implement alternative enrollment measures
F2 Do not discriminate
RI3 Exclusion
F3.3 Assess the interoperability system
F3 Do not exclude
SV3 Weak institutions,
SV4 Technical shortcomings
F3.4 Develop alternative processes to allow access to services without requiring subscription to a DPI system
F3 Do not exclude
RI3 Exclusion
RI2 Unequal access
F3.5 Implement affirmative design measures
F3 Do not exclude
SV2 Weak rule of law
RI3 Exclusio
F4.5 Establish comprehensive auditing mechanisms
F4 Reinforce transparency and accountability
SV3 Weak institutions,
F4.6 Create stakeholder participation systems
F4 Reinforce transparency and accountability
RI3 Exclusio
SV 1 Digital distrust,
F4.7 Ensure an auditable data trail for dispute redressal
F4 Reinforce transparency and accountability
RS2 Digital insecurity
RS4 Lack of recourse
F4.8 Provide clear definitions for key human rights terms so basic understanding of harms is inter-operable and can be benchmarked across systems.
F4 Reinforce transparency and accountability
RI4 Disempowerment
RI2 Unequal access
F6.3 Incorporate user choice mechanisms to participate
F6 Promote autonomy and agency
RI4 Disempowerment
SV4 Technical shortcomings
F6.4 Design user interfaces that empower data subjects with clear and continuous control over their data.
F6 Promote autonomy and agency
RI4 Disempowerment
F7.3 Forward relevant stakeholder inputs to the DPI implementors.
F7 Foster community engagement
SV3 Weak institutions
RI4 Disempowerment
F7.4 Sustain the participation of affected communities in the process by providing funding for the total cost of community engagment
F7 Foster community engagement
RI2 Unequal access
RI3 Exclusion
F8.3 Ensure that the DPI interface indicates the responsible public authority and their contact information for complaints and inquiries.
F8 Ensure effective remedy and redress
SV1 Digital distrust
F9.4 Adopt common standards, conduct regular system integration tests, and ensure that redundant system operations are removed
F9 Focus on future sustainability
SV5 Unsustainability
SV3 Weak institutions
F9.5 Conduct stringent security checks and vendor assessments
F9 Focus on future sustainability
SV3 Weak institutions
SV5 Unsustainability
F9.6 Encourage modular system design and support for multiple technologies.
F9 Focus on future sustainability
SV3 Weak institutions
SV5 Unsustainability
F9.7 Adopt comprehensive procurement processes that prevent vendor lock in
F9 Focus on future sustainability
SV4 Technical shortcomings
SV2 Weak rule of law
O1.4 Provide tools and support to enable integration and scalability
O1 Leverage market dynamics
SV5 Unsustainability
O1.5 Develop an open access system with APIs, accountability, and fraud protections
O1 Leverage market dynamics
RI3 Exclusion
RS2 Digital insecurity
O2.2 Implement regular public consultations and review mechanisms.
O2 Evolve with evidence
RI3 Exclusion
RI4 Disempowerment
O2.3 Design mechanisms to generate relevant data
O2 Evolve with evidence
SV3 Weak institutions
SV4 Technical shortcomings
O2.4 Design feedback loops to address data inaccuracies and enable community reporting
O2 Evolve with evidence
RS2 Digital insecurity
SV4 Technical shortcomings
SV 1 Digital distrust
O3.5 Integrate strict data minimization protocols into design
O3 Ensure data privacy by design
SV 1 Digital distrust
RS1 Privacy Vulnerability
O3.6 Establish multi-layered security controls to protect data throughout its lifecycle
O3 Ensure data privacy by design
RS1 Privacy Vulnerability
SV4 Technical shortcomings
RI4 Disempowerment
O3.7 Undertake a Data Protection Impact assessments and legislative reforms prior to DPI roll out
O3 Ensure data privacy by design
RS1 Privacy Vulnerability
SV2 Weak rule of law
O3.8 Enable third party audits
O3 Ensure data privacy by design
RS1 Privacy Vulnerability
O3.9 Establish Robust Data Delinking Mechanisms once the purpose of the processing of personal information has been served
O3 Ensure data privacy by design
RS1 Privacy Vulnerability
RS2 Digital insecurity
O3.10 Enable different levels of privacy between payer and payee, where appropriate.
O3 Ensure data privacy by design
RS2 Digital insecurity
RS1 Privacy Vulnerability
O3.11 Implement symmetrical identification so users know the identity of the other party in a transaction.
O3 Ensure data privacy by design
SV1 Digital distrust
O3.12 Implement and protect the right to pseudonymity within DPI systems, when applicable.
O3 Ensure data privacy by design
SV1 Digital distrust
O3.13 Ensure that biometric authentication is not mandatory
O3 Ensure data privacy by design
RS1 Privacy Vulnerability
SV4 Technical shortcomings
RI3 Exclusion
O4.8 Design specific security features to protect against unauthorized access and data breaches
O4 Assure data security by design
RS1 Privacy Vulnerability
F4.9 Insitutionalize oversight mechanisms
F4 Reinforce transparency and accountability
SV3 Weak institutions
F4.10 Adhere to open standards and modular architecture.
F4 Reinforce transparency and accountability
SV4 Technical shortcomings
RS2 Digital insecurity
O8.5 Focus on cost reduction
O8 Sustain financial viability
SV5 Unsustainability
F1 .4 Establish monitoring and mitigation teams
F1 Do no harm
SV1 Digital distrust,
SV4 Technical shortcomings
F2.2 Provide accessible in-person options for identity proofing and authentication
F2 Do not discriminate
R12 Unequal access,
RI1 Discrimination,
RS3 Physical insecurity
F2.3 Establish mechanisms to promote ongoing user awareness and engagement
F2 Do not discriminate
SV1 Digital distrust,
RI4 Disempowerment
F9.8 Build institutional memory
F9 Focus on future sustainability
SV5 Unsustainability,
SV3 Weak institution
F9.9 Document and maintain an archive on the outcomes of pilot studies, testing, and decision-making
F9 Focus on future sustainability
SV3 Weak institutions
F2.5 Recognise access to DPI-based public services as a human right
F2 Do not discriminate
RI3 Exclusion
F4.13 Establish requirements for auditable data trails to support dispute redressal
F4 Reinforce transparency and accountability
SV3 Weak institutions,
RS4 Lack of recourse
F7.5 Implement a whisteblower channel, allowing the public to address potential complaints
F7 Foster community engagement
RI2 Unequal access
RS4 Lack of recourse
F8.8 Set redress mechanisms and other consumer protection tools for failed/fraudulent financial transactions
F8 Ensure effective remedy and redress
RS4 Lack of recourse
SV3 Weak rule of law
O1.6 Enable transparency in the development of standards by standard-setting bodies
O1 Leverage market dynamics
RI3 Exclusion
O3.28 Undertake a Data Protection Impact assessments and legislative reforms prior to DPI roll out
O3 Ensure data privacy by design
RS1 Privacy vulnerability
SV2 Weak rule of law
O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
O3 Ensure data privacy by design
RI4 Disempowerment,
SV2 Weak rule of law
O5.7 Oversee the implementation of privacy and data protection impact assessments prior roll-out
O5 Ensure data protection during use
RS1 Privacy vulnerability,
SV2 Weak rule of law
O8.7 Ensure that the price of using DPI is affordable to people and businesses
08 Sustain financial viability
RI2 Unequal access, RI3 Exclusion
F1.4 Establish monitoring and mitigation teams
F1 Do no harm
SV1 Digital distrust,
SV4 Technical shortcomings
F4.11 Publish reports on inclusion and user complaints.
F4 Reinforce transparency and accountability
SV1 Digital distrust,
R13 Exclusion
F8.4 Implement multi-channel complaint resolution mechanism that tracks resolution
F8 Ensure effective remedy and redress
RS4. Lack of recourse
F8.5 Establish capability to succesfully remedy user exclusion & harm
F8 Ensure effective remedy and redress
RS4. Lack of recourse
RI4 Disempowerment
F8.6 Empower regulators with independent oversight
F8 Ensure effective remedy and redress
SV2 Weak rule of law
F9.12 Train civil servants, citizens and the private sector on new iterations of DPI implementation
F9 Focus on future sustainability
SV3 Weak institutions
SV5 Unsustainabilit
O2.7 Design systems to capture evolving user needs
O2 Evolve with evidence
R13 Exclusion
SV1 Digital distrust,
O2.8 Leverage analytics for ongoing evaluation and informed decision-making.
O2 Evolve with evidence
SV3 Weak institutions
O2.9 Establish mechanisms to assess the value users derive
O2 Evolve with evidence
R13 Exclusion
SV1 Digital distrust,
O4.7 Invite security audits by third parties
O4 Assure data security by design
RS2 Digital insecurity,
SV4 Technical shortcomings
O5.6 Implement regular performance metrics tracking with predefined response protocols
O5 Ensure data protection during use
SV3 Weak institutions
RS2 Digital insecurity,
SV4 Technical shortcomings
O5.5 Ensure that access to personal information is based on the informed consent of the user that is freely given and can be withdrawn
O5 Ensure data protection during use
RS1 Privacy vulnerability,
RS4 Lack of recourse
O5.8 Create redress mechanisms that allow for bad actors (fraud, identity theft, data protection violations, etc) to be expelled.
O5 Ensure data protection during use
RS2. Digital insecurity
O5.3 Ensure digital preservation of records
O5 Ensure data protection during use
SV4 Technical shortcomings
O7.1 Establish governance frameworks that ensure transparency, accountability, and stakeholder participation
O7 Practice inclusive governance
SV3 Weak institutions
RI4 Disempowerment
O8.6 Ensure budgetary allocation for DPI financial sustainability and adequate resourcing for continuous development.
O8 Sustain financial viability
SV5 Unsustainability
O9.2 Develop a centralized platform for digital asset sharing and foster a community of practice for knowledge exchange
SV4 Technical shortcomings
O9.3 Nurture engagement with technical community and private actors
O9 Build and share open assets
SV4 Technical shortcomings
O9.4 Create an online repository of Open DPI components, reference architecture for maintenenace, review, improvement and engagement with technical community and private actors
O9 Build and share open assets
SV4 Technical shortcomings
F3.2 Implement affirmative design measures
F3 Do not exclude
SV2 Weak rule of law
F5.1 Establish transparency and full documentation for data sharing arrangements
F5 Uphold the rule of law
RS1 Privacy vulnerability
RS4 Lack of recourse
F5.2 Underpin identification systems (and other DPI systems) by legitimate, comprehensive, and enforceable legal and regulatory frameworks
F5 Uphold the rule of law
SV1 Digital distrust
SV3 Weak institutions
F6.2 Design and deploy mechanisms that provide individuals and communities with control over their personal and collective data
F6 Promote autonomy and agency
RI4 Disempowerment
SV1 Digital distrust
F7.1 Forward relevant stakeholder inputs to the DPI implementors.
F7 Foster community engagement
SV3 Weak institutions
RI4 Disempowerment
F9.2 Ensure adequate resourcing for continuous development.
F9 Focus on future sustainability
SV5 Unsustainability
O1.2 Establish policies that promote fair competition and require multiple participants in the ecosystem
O1 Leverage market dynamics
SV5 Unsustainability
O1.3 Mitigate the risk of market distortion and monopolies
O1 Leverage market dynamics
SV3 Weak institutions
O2.1 Assess DPI against alternative policy options
O2 Evolve with evidence
SV5 Unsustainability
RI1 Discrimination
O3.1 Verify the existence and enforcement of regulations, policies and procedures that mandate purpose limitation.
O3 Ensure data privacy by design
RS1 Privacy vulnerability
SV2 Weak rule of law
O3.2 Undertake a Data Protection Impact assessments and legislative reforms prior to DPI roll out
O3 Ensure data privacy by design
RS1 Privacy vulnerability
SV2 Weak rule of law
O3.3 Analyze stakeholder interests and implement approprate safeguards
O3 Ensure data privacy by design
RS1 Privacy vulnerability
SV2 Weak rule of law
O3.4 Provide features to protect users from tracking and profiling while allowing responsible data use
O3 Ensure data privacy by design
SV1 Digital distrust
RI4 Disempowermen
O4.1 Establish a framework for safe data storage and processing
O4 Assure data security by design
RS2 Digital insecurity
O4.2 Establish a cybersecurity framework for DPI
O4 Assure data security by design
RS2 Digital insecurity
O5.1 Implement privacy and data protection impact assessments prior roll-out
O5 Ensure data protection during use
SV2 Weak rule of law
RS1 Privacy vulnerability
O5.2 Require relying parties to register their DPI use cases in a public registry, detailing the specific functionalities and data attributes they intend to use.
O5 Ensure data protection during use
SV1 Digital distrust
O6.2 Understand the needs of affected communities and test the impact of DPI on these groups.
O6 Respond to gender, ability or age
RI4 Disempowerment
RI3 Exclusion
O6.3 Ensure equitable access to DPI
O6 Respond to gender, ability or age
RI2 Unequal access
RI3 Exclusion
O6.4 Include networks of human agents to help users utilize and engage with DPI systems
O6 Respond to gender, ability or age
RI2 Unequal access
RI3 Exclusion
O8.1 Estimate the costs of deployment, operational costs, and estimate payback period
O8 Sustain financial viability
SV5 Unsustainability
O8.2 Design the sustainable financing model for the DPI
O8 Sustain financial viability
SV5 Unsustainability
F1.2 Incorporate legal safeguards against coercive measures of enforcement
F1 Do no harm
SV2 Weak rule of law
RI4 Disempowerment
F5.4 Establish appropriate legal framework to govern DPI initiatives, ensuring clarity on scope, purpose, and limitations.
F5 Uphold the rule of law
RS1 Privacy vulnerability
SV2 Weak rule of law
F5.5 Implement independent oversight and impartial grievance adjudication.
F5 Uphold the rule of law
SV1 Digital distrust
RI4 Disempowerment
O2.5 Assess DPI against alternative policy options
O2 Evolve with evidence
SV5 Unsustainability,
RI1Discrimination
O3.7 Undertake a Data Protection Impact assessments and legislative reforms prior to DPI roll out
O3 Ensure data privacy by design
RS1 Privacy vulnerability
SV2 Weak rule of law
O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
O3 Ensure data privacy by design
RI4 Disempowerment
SV2 Weak rule of law
O5.7 Oversee the implementation of privacy and data protection impact assessments prior roll-out.
O5 Ensure data protection during use
SV3 Weak institutions
RS1 Privacy vulnerability
O5.9 Assess existence of comprehensive data protection laws that outline the lawful processing, retention, and protection of personal data
O5 Ensure data protection during use
SV2 Weak rule of law
RS1 Privacy vulnerability
F4.14 Oversee the publication of reports on user complaints and inclusion metrics.
F4 Reinforce transparency and accountability
RS4 Lack of recourse
SV3 Weak institutions
F9.10 Set a normative framework for public-private partnership to implement DPI frameworks
F9 Focus on future sustainability
SV2 Weak rule of law
O3.29 Audit data processed against the specified purpose that is being served
O3 Ensure data privacy by design
RS2 Digital insecurity
RS1 Privacy vulnerability
O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
O3 Ensure data privacy by design
RI4 Disempowerment
SV2 Weak rule of law
O3.3 Analyze stakeholder interests and implement approprate safeguards
O3 Ensure data privacy by design
RS1 Privacy vulnerability
O3.5 Enable third-party audits
O3 Ensure data privacy by design
RS1 Privacy vulnerability
O4.9 Mandate security audits by third parties
O4 Assure data security by design
RS2 Digital insecurity,
SV1 Digital distrust
F4.4 Facilitate comprehensive access to system architecture information
F4 Reinforce transparency and accountability
SV1 Digital distrust,
RI4 Disempowerment
Conception and Scoping stage of the DPI Lifecycle.

F1.5 Assess system uptime to ensure reliability.

F1: Do no harm

SV1 Digital distrust

F4.10 Implement comprehensive reporting and accessibility protocols

F4: Reinforce transparency and accountability

SV1 Digital distrust

SV4. Technical shortcomings

F6.5 Implement optional features for user control over personal data

F6: Promote autonomy and agency

RI4 Disempowerment,

S1 Privacy vulnerability

F9.13 Implement public-private partnership frameworks for sustainable DPI implementation

F9: Focus on future sustainability

SV3 Weak institutions

O4.7 Implement a framework for safe data storage and processing

O4: Assure data security by design

RS2. Digital insecurity

S1 Privacy vulnerabilitySV4. Technical shortcomings

O4.5 Implement data validation, completeness, and consistency checks

O4: Assure data security by design

RS2. Digital insecurity

O5.4 Conduct regular security audits to check encryption protocols

O5: Ensure data protection during use

RS2. Digital insecurity

S1 Privacy vulnerability

O5.5 Implement regular performance metrics tracking with predefined response protocols

O5: Ensure data protection during use

SV3 Weak institutions

RS2. Digital insecurity

SV4. Technical shortcomings

here
Conception and Scoping
Conception and Scoping stage of the DPI Lifecycle.

F4.3 Facilitate comprehensive access to system architecture information

F4 Reinforce transparency and accountability

SV1 Digital distrust, RI4 Disempowerment

F7 Foster community engagement

RI3 Exclusion, RI2 Unequal access

O8.4 Ensure that the price of using DPI is affordable to people and businesses

O8 Sustain financial viability

RI3 Exclusion, RI2 Unequal access

here

L3 - Development

To know more about this phase of the DPI life cycle, click here.

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

,

,

,

,

,

,

,

L5 - Operations and Maintenance

To know more about this phase of the DPI life cycle - Click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks avoided

L2 - Strategy and Design

To know more about this phase of the DPI life cycle - Click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks avoided

L3 - Development

To know more about this phase of the DPI life cycle - Click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks avoided

L1 Conception and Scoping

To know more about this phase of the DPI life cycle, click here

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk Mitigated

,

L2 - Strategy and Design

To know more about this phase of the DPI life cycle, click here.

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

,

,

,

,

,

, ,

, ,

L1 - Conception and Scoping

To know more about this phase of the DPI life cycle, click .

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

Life Cycle Stages

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.

Learn More

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.

Learn More

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.

Learn More

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.

Learn More

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.

Learn More

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

L4 - Deployment

To know more about this phase of the DPI life cycle - Click

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risks avoided

L1 - Conception and Scoping Phase

To know more about this phase of the DPI life cycle, click

Click on any process listed below to learn about illustrative practices that can be implemented.

Process
Principle
Risk

Principles

Principles are core propositions that form the foundation of a flexible, universal framework that guides the effective functioning of a DPI. The purpose of DPI is to maximize participation, agency and trust for all individuals. This implies that the risks described in the previous sections need to be mitigated, and residual risks need to be managed in the context of each country’s sociopolitical environment. To achieve this, all responsible authorities should be guided by a set of principles to ensure trust and coordinated responses throughout the DPI life cycle. These principles form a common language that helps to build mutual understanding and support ongoing cooperation.

The principles listed in the Framework are shaped by various research methods, including consultations with diverse stakeholders, a review of secondary resources, case study analysis and discussions with country-based implementers. As the DPI landscape evolves, these principles should be periodically reviewed and updated.

The principles are divided into two categories: (1) and (2) . The former refers to principles that should serve as the basis for any DPI, while the latter refers to principles that come into play at an operational level and may vary across contexts.

All stages

Process
Principle
Risk

F5.3 Highlight instances of discrimination and failure

F5 Uphold the rule of law

SV2. Weak rule of law

RI3. Exclusion

RI1. Discrimination

O3.27 Increase public awareness about risks in DPI

O3 Ensure data privacy by design

SV1 Digital distrust

F4.12 Ensure accountability through records controls
F4: Reinforce transparency and accountability
SV4 Technical shortcomings
RS4 Lack of recourse
F6.5 Implement optional features for user control over personal data
F6: Promote autonomy and agency
RI4 Disempowerment
RS1 Privacy vulnerability
O2.5 Implement rigorous testing protocols
O2: Evolve with evidence
SV4 Technical Shortcomings
O3.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
O3: Ensure data privacy by design
RI4 Disempowerment
RS1 Privacy vulnerability
O3.4 Provide features to protect users against tracking and profiling
O3: Ensure data privacy by design
SV1 Digital distrust
RI4 Disempowerment
O4.4 Establish a trusted—unique, secure, and accurate—identity. Make more specific to this process
O4: Assure data security by design
SV1 Digital distrust
RI4 Disempowerment
O4.5 Implement data validation, completeness, and consistency checks
O4: Assure data security by design
RS2 Digital insecurity
O4.6 Use an established cybersecurity framework
O4: Assure data security by design
RS2 Digital insecurity
O5.3 Ensure digital presevation of records
O5: Ensure data protection during use
SV4 Technical shortcomings
RS2 Digital insecurity
O6.7 Ensure that DPI are linguistically appropriate for the whole population
O6: Respond to gender, ability or age
RI3 Exclusion
SV4 Technical shortcoming
O9.1 Ensure modularity and reusability across sectors, enabling evolution with society by unbundling DPI into core components (e.g., digital identity, payments, data sharing)
O9: Build and share open assets
SV4 Technical shortcomings
F8.1 Facilitate user access to redress mechanisms
F8 Ensure effective remedy and redress
RS4 - Lack of recourse
F8.2 Ensure that there are independent, accessible and effective remedies and related mechanisms available for persons whose rights are violated by the system
F8 Ensure effective remedy and redress
RI4 - Disempowerment , SV1 - Digital distrust
F4.1 Ensure that there is access to information about every relevant architecture aspect of the system
F4 Reinforce transparency and accountability
RS2 Digital insecurity
SV1 Digital distrust
F6.1 Evaluate the level of granular control available to users over their data preferences
F6 Promote autonomy and agency
RI4 Disempowerment
SV1 Digital distrust
F1.1 Facilitate accessible remedial mechanisms
F1 Do no harm
RS4 - Lack of Recourse
RI2 - Unequal access
F9.1 Establish a collaborative governance framework with public and private stakeholders
F9 Are not exclusive
RI3 Exclusion, RI2 - Unequal access
F8.1 Conduct environmental impact assessments and demand the adoption of measures which accelerate progress towards carbon neutrality.
F8 Focus on future sustainability
SV5 Unsustainability
F4.2 Facilitate comprehensive access to system architecture information
F4 Reinforce transparency and accountability
SV1 Digital distrust
RI4 Disempowerment
F9.3 Prioritize investments in reusable software components to create standardized workflows that can be applied across multiple sectors.
F9 Focus on future sustainability
SV3 Weak institutions, SV5 Unsustainability
O8.3 Design the sustainable financing model for the DPI
O8 Sustain financial viability
SV5 Unsustainability
F2.4 Design and implement backup processes for users who lack assumed documentation
F2: Do not discriminate
R13 Exclusion,
RI1 Discrimination
F4.10 Implement comprehensive reporting and accessibility protocols
F4: Reinforce transparency and accountability
SV1 Digital Distrust,
SV4 Technical shortcomings
F6.5 Implement optional features for user control over personal data
F6: Promote autonomy and agency
RI4 Disempowerment
RS1 Privacy vulnerability
O2.5 Implement rigorous testing protocols
O2: Evolve with evidence
SV3 Weak institutions
O3.14 Integrate strict data minimization protocols into design
O3: Ensure data privacy by design
RS1 Privacy vulnerability
O3.15 Implement strict controls to enforce purpose limitation and restrict secondary data use.
O3: Ensure data privacy by design
RS1 Privacy vulnerability
SV1 Digital distrust
O3.16 Embed strong standards of privacy from the start and integrate it into design and processes
O3: Ensure data privacy by design
O3.17 Ensure compliance with privacy laws and evaluate risks related to PII by conducting and publicly documenting privacy impact assessments for new or updated technologies and systems.
O3: Ensure data privacy by design
O3.18 Emphasize transparency and user empowerment in managing data.
O3: Ensure data privacy by design
RI4 Disempowerment
RS1 Privacy vulnerabilities
O3.19 Develop privacy requirements and select mitigation strategies, documenting and iterating your analysis as needed.
O3: Ensure data privacy by design
O.20 Ensure unobservability of Daily User Interactions by Design
O3: Ensure data privacy by design
RS1 Privacy vulnerability
O.21 Establish mechanisms to ensure a right to opt-out whenever appropriate
O3: Ensure data privacy by design
RI4 Disempowerment
RS1 Privacy vulnerability
O3.22 Ensure linkability, unobservability, and zero-knowledge proofs are the default
O3: Ensure data privacy by design
RS1 Privacy vulnerability
RS2 Digital insecurity
O3.23 Establish Robust Data Delinking Mechanisms once the purpose of the processing of personal information has been served
O3: Ensure data privacy by design
RS1 Privacy vulnerability
O3.24 Make alternative mechanisms besides biometrics available for enrollment for special cases (leave nobody behind)
O3: Ensure data privacy by design
O3.25 Ensure that biometric authentication is not mandatory
O3: Ensure data privacy by design
RI3 Exclusion
RS1 Privacy vulnerability
SV4 Technical shortcomings
O4.3 Ensure secure and auditable data handling
O4: Assure data security by design
RS2 Digital insecurity
RS1 Privacy vulnerability
SV4 Technical shortcomings
O6.6 Embed vulnerability in product design
O6: Respond to gender, ability or age
RI4 Disempowerment

O3.26 Implement strict controls to enforce purpose limitation and restrict secondary data use

O3 Ensure data privacy by design

RS1 Privacy vulnerability,

SV1 Digital distrust

here

F3.1 Provide accessible in-person options for identity proofing and authentication

F3 Do not discriminate

RI2 - Unequal access , RI3 - Exclusion

O1.1 Equip CSOs and civic tech organizations with tools and partnerships

O1 Leverage market dynamics

SV.1 Digital distrust , RI3. - Exclusion

O6.1 Raise awareness if the DPI guidance is not linguistically appropriate for the whole population

O6 Respond to gender, ability or age

RI2 - Unequal access , RI3 - Exclusion

here

F1.1 Facilitate accessible remedial mechanisms

F1 Do no harm

RS4 - Lack of recourse

RI2 - Unequal access

F4.1 Ensure that there is access to information about every relevant architecture aspect of the system

F4 Reinforce transparency and accountability

RS2 Digital insecurity

SV1 Digital distrust

here
foundational
operational

F5 Uphold the rule of law

DPI should be introduced with a clear legal basis, with required legal and regulatory aspects embedded into its design, supported with capacity for sector specific tailoring (such as health), implementation, oversight and regulation by law.

F4 Reinforce transparency, accountability

DPI should be developed with democratic participation, have public oversight, promote fair market competition and avoid vendor lock-in. All partnerships should be transparent, accountable and publicly governed.

F3 Do not exclude

All individuals should have a choice of channels (digital/non-digital) to access and benefit from services enabled by DPI based on their individual capacity and resources. Access should not be limiting, conditional or mandatory — explicitly or in practice.

F1 Do no harm

[Description of the principles, risks they can help mitigate, linkages to the processes]

Harms to individuals may not be immediately obvious. A human rights-based framework should be integrated throughout the DPI life cycle to anticipate, assess, and effectively mitigate any potential human rights harms and power differentials.

Foundational Principles

The building blocks for safe and inclusive DPI:

  • F1. Do no harm

  • F2. Do not discriminate

  • F3. Do not exclude

  • F4. Reinforce transparency and 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

F2 Do not discriminate

All individuals, regardless of intersecting identities, should have unbiased access and equal opportunity. Risks due to the circumstances of all vulnerable communities, historically marginalized groups and those who opt-out should be mitigated.

F6 Promote autonomy and agency

Ensure that everyone (especially indigenous communities with sui generis rights), on their own or with assistance, can take control of their data, promote their agency, exercise choice, and contribute to their society’s well-being.

F8 Ensure effective remedy and redress

Complaint response and redress mechanisms, avenues for appeal without reprisal, supported by robust administrative and judicial review, should be accessible to all in a transparent and equitable manner during service delivery.

Operational Principles

Driving continuous trust and adaptation:

O1. Leverage market dynamics

O2. Evolve with evidence

03. Ensure data privacy by design

O4. Assure data security by design

05. 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

O1 Leverage market dynamics

  • DPI should foster an increasingly inclusive environment for public and private innovation such that market players compete and introduce diverse solutions that cater to the emerging needs of all participants in society.

F7 Foster community engagement

All stages of the DPI life cycle should centre on the needs and interests of individuals and communities at risk. They should participate at critical junctures and provide feedback actively in an environment of transparency and trust.

O5 Ensure data protection during use

  • DPI should embed technical rules that enforce core privacy principles (e.g. data minimization, provisions to delink, and the ability to limit observability by purpose and time) and governments should enact legal safeguards around them.

O8 Sustain financial viability

  • As DPI systems form the basis of a society’s infrastructure, they should be accompanied by a sustainable financing model. Governments can take lead in the build phase, and local digital ecosystems or the private sector can participate in operations and maintenance.

F9 Focus on future sustainability

Inculcating foresight is key to anticipating and limiting long term and inter-generational harms. For example, mitigating the environmental impact with a net-zero strategy or minimizing resource needs with reuse of software.

O6 Respond to gender, ability or age

Not all individuals experience DPI in the same way, and some continue to face barriers and challenges related to their access or use. DPI should not exacerbate existing challenges or introduce new barriers and inequalities.

Processes

A process is a series of activities required to produce a result which may occur once or be recurrent or periodic. In the Framework, principles are translated into processes relevant to responsible authorities at appropriate life cycle stages.

O6.5 Acknowledge and support the development of digital foundational capacities

O6 Respond to gender, ability or age

RI3 Exclusion, RI4 Disempowerment

L4 Deployment

Practices

  • Provide grants and funding to local organizations that offer digital literacy training, particularly in underserved communities.

  • Fund the creation of educational materials (e.g., online courses, video tutorials, and printed guides) that cater to different literacy levels and are available in multiple languages.

F7.2 Sustain the participation of affected communities

F7 Foster community engagement

RI3 Exclusion, RI2 Unequal access

L2 Strategy and Design

Practices

  • Encourage the establishment of a pooled fund, where donors, governments, and ecosystem participants contribute financial resources specifically earmarked for supporting community engagement.

  • Provide direct funding to grassroots and community-based organizations that represent affected groups, empowering them to lead engagement efforts.

O8.4 Ensure that DPI is affordable to people and businesses

O8 Sustain financial viability

RI3 Exclusion, RI2 Unequal access

L2 Strategy and Design

Practices

  • Advocate for pricing models that ensure DPI accessibility, drawing inspiration from the West African Economic and Monetary Union (WAEMU) to reduce transaction costs across 60 different payment types.

  • Encourage governments to enforce subsidies, similar to India's model where citizens with digital identities and accounts receive government support, allowing the poorest individuals to access DPI services at no cost.

  • Support technical assistance to implement affordability models effectively.

O2 Evolve with evidence

  • Independent, transparent and continuous assessments (such as human rights due diligence and data protection) should engage with people, review evidence and rapidly cease or initiate activities that contain heightened risks or harms.

O4 Assure data security by design

  • Have strong and transparent security standards in place, ensure they are well communicated in procurements, and receive confirmation that they are addressed by service providers.

F4.1 Ensure access to relevant information about every architectural component of the system

F4.1.1 Plan for and produce detailed documentation and ensure it is available for every architecture component, covering design, implementation, and decision-making processes.

F4.1.2 Create accessible platforms where this information can be easily retrieved by stakeholders, ensuring transparency.

F4.1.3 Implement a process for regularly updating and reviewing architectural documentation to reflect system changes and maintain accountability.

O3 Ensure data privacy by design

  • DPI should embed technical rules that enforce core privacy principles (e.g. data minimization, provisions to delink, and the ability to limit observability by purpose and time) and governments should enact legal safeguards around them.

O7 Practice inclusive governance

Long-term effectiveness of DPI is contingent upon a robust legal, regulatory and institutional framework that promotes transparent and participatory governance focused on safety and inclusion.

F9.3 Prioritize investments in reusable software components to create standardized workflows

F9 Focus on future sustainability

SV3 Weak institutions, SV5 Unsustainability

L1 Conception and Scoping

Practices

  • Start by funding pilot projects that demonstrate cross-sector applicability, such as India's DigiLocker, which began as a digital storage solution for government-issued documents and has since expanded to health, education, and financial services.

  • Encourage collaboration among developers and stakeholders to refine and adapt these components, ensuring they meet the specific needs of diverse sectors while maintaining interoperability and reducing development costs.

F5.2 Underpin identification systems (and other DPI systems) with enforceable frameworks

Practices

  • Delineate liability and recourse mechanisms within the legal framework, ensuring that individuals have clear protections against inappropriate data access, undue surveillance, and unlawful profiling.

  • Empower independent regulatory bodies with specific powers and consistent funding to oversee the enforcement of these legal frameworks, fostering public trust.

  • Balance regulatory and self-regulatory models to promote innovation and investment without compromising legal protections or stifling competition.

  • Establish legal and regulatory frameworks that ensure cross-border interoperability and mutual recognition of identification systems (and other DPI systems).

Resources

O8.3 Design a sustainable financing model for the DPI

Practices

  • Encourage a mixed-financing approach for DPI, leveraging both public funds and contributions from private sector partners, as seen with Belgium’s Itsme platform. Promote the adoption of a not-for-loss revenue model, like India’s Unified Payments Interface (UPI), where sustainability is achieved through low transaction fees or data services.

F4.3 Facilitate comprehensive access to system architecture information

,

Practices

  • Require the creation of detailed documentation for key architecture components, balancing the need for transparency with protecting proprietary elements created by private sector participants.

  • Allocate resources to develop user-friendly tools and platforms for generating and disseminating reports on system performance.

  • Invest in the integration of continuous feedback loops and audit mechanisms within the system design.

F5.1 Establish transparency and full documentation for data-sharing arrangements

Practices

F5.1.1 Require informed consent before using personal data for secondary, unrelated purposes, unless legally mandated or authorized (e.g. when necessary and proportionate).

F5.1.2 Implement an administrative error correction process to increase speed and reduce costs, avoiding judicial procedures where possible.

Resources

F4.2 Facilitate comprehensive access to system architecture information

,

Practices

  • Require the creation of detailed documentation for key architecture components, balancing the need for transparency with protecting proprietary elements created by private sector participants.

  • Allocate resources to develop user-friendly tools and platforms for generating and disseminating reports on system performance.

  • Invest in the integration of continuous feedback loops and audit mechanisms within the system design.

Digilocker

O8 Sustain financial viability
SV5 Unsustainability
L1 Conception and Scoping
F4 Reinforce transparency and accountability
SV1 Digital distrust
RI4 Disempowerment
L2 Strategy and Design
F4 Reinforce transparency and accountability
SV1 Digital distrust
RI4 Disempowerment
L1 Conception and Scoping
F3 Do not Exclude
L1 Conception and scoping

Case Study

[linked to the specific resources housed in the resource page]

References

[Links to community contributions of existing publications and references]

O9 Build and share open assets

  • DPI should share and reuse open protocols, specifications, Digital Public Goods (DPGs) and other building blocks. This enhances flexibility and assures that proprietary systems do not limit the ability to improve safety and inclusion.

O6.8 Use a participatory approach to foster inclusive, responsive and empowering DPI

Respond to gender, ability or age

Disempowerment, Exclusion

All

Government

Technology Provider

Practices for Government

  • Engage collectives and civil society organizations in the design process to ensure that solutions are co-created with the input of those who will benefit from them.

  • Regularly test prototypes with gender-diverse users to gather feedback on functionality and accessibility.

  • Continuously refine and improve prototypes based on the results of usability testing and feedback sessions.

Practices for Technology Providers

  • Offer ongoing training for designers and developers on gender-inclusive design principles to enhance their understanding and implementation of these practices.

  • Collaborate with women’s organizations and civil society groups to support continuous improvement in gender-inclusive design.

  • Actively work to identify and resolve any negative effects uncovered during social audits and assessments.

O8.3 Design a sustainable financing model for the DPI

O8 Sustain financial viability

SV 5 Unsustainability

L1 - Conception and Scoping

Practices for Government

  • Evaluate a mixed-financing approach, incorporating both government funding and external financial vendors, similar to Belgium's Itsme platform, which combines public and private sector resources.

  • Consider adopting a not-for-loss revenue model like India’s Unified Payments Interface (UPI), where transaction fees or data services sustain operations without prioritizing profit.

Practices for Donors

  • Encourage a mixed-financing approach for DPI, leveraging both public funds and contributions from private sector partners, as seen with Belgium’s Itsme platform. Promote the adoption of a not-for-loss revenue model, like India’s UPI, where sustainability is achieved through low transaction fees or data services.

F5 Uphold the rule of law
Digital distrust
Weak institutions
L1 Conception and Scoping

Case Study

[linked to the specific resources housed in the resource page]

References

O3.27 Increase public awareness about risks in DPI

O3 Ensure data privacy by design

SV1 Digital distrust

All

Practices

  • Launch public awareness campaigns to educate communities about the importance of data privacy and the potential risks associated with DPI. Use tools like social media, webinars, and public forums.

  • Develop and distribute easy-to-understand guides and resources on data privacy best practices for the general public.

F1.1 Facilitate accessible remedial mechanisms

F1 Do no harm

RS4 Lack of resources

RI2 Unequal access

Practices

  • Conduct public campaigns for all population to educate on the available legal remedies.

  • Monitor remedial mechanisms to ensure they are inclusive and effective.

Resources

O3.1 Verify the existence and enforcement of regulations, policies and procedures

O3 Ensure data privacy by design

RS1 Privacy vulnerability

SV2 Weak rule of law

L1 Conception and Scoping

Practices

  • Mandate that the specific purpose for data collection and exchange is clearly defined, documented and communicated to the data owners.

  • Initiate special audits or surveys to understand the operators' feedback on the operation and the impact of purpose limitation clauses.

Resources

F3.2 Implement affirmative design measures

F3 Do not Exclude

RI3 Exclusion

L2 - Strategy and Design

Practices

  • Develop and implement design protocols that recognize and respect the diverse identities of ethnic, religious, gender and other minority groups, ensuring these identities are accurately represented in DPI systems.

  • Incorporate specific design measures that ensure accessibility for persons living with disabilities, including features like screen readers, voice commands, and easy-to-navigate interfaces.

  • Develop legal guarantees that ensure the recognition of diverse identities in official identity documents.

Resources

O7.2 Invite all stakeholders for regular discussions

All

Practices for Government

  • Create and maintain active platforms, including digital tools and online spaces, where diverse stakeholders are engaged in DPI projects.

  • Implement capacity building programs to enhance stakeholders' understanding and effective participation.

  • Ensure participation from all groups (CSO, Government, Technology providers, Regulators, minorities, etc..)

Practices for Advocates

  • Advocate for and facilitate platforms where all stakeholders are engaged on DPI projects.

  • Ensure participation from all groups (CSO, Government, Technology Providers, Regulators, minorities, etc..).

F4.1 Ensure access to information about each relevant architecture component

F4

This page contains the practices for for to mitigate

Practices

F4.1.1 Plan for and produce detailed documentation and ensure it is available for every architecture component, covering design, implementation, and decision-making processes.

F4.1.2 Create accessible platforms where this information can be easily retrieved by stakeholders, ensuring transparency.

F4.1.3 Implement a process for regularly updating and reviewing architectural documentation to reflect system changes and maintain accountability.

F4.1.4 DPI operators must provide frequent, comprehensive reports on system performance, usage statistics, incident responses, and any significant changes or updates. These reports should be easily accessible to the public and presented in a format understandable to non-technical audiences.

F8.1 Facilitate user access to redress mechanisms

Practices

F8.1.1 Ensure DPI systems clearly display the responsible public authority and contact information for complaints and inquiries, especially when serviced by third-party providers.

F8.1.2 Advocate for the integration of secure grievance and redress mechanisms into DPI systems.

F8.1.3 Support initiatives that provide legal aid to help individuals navigate the redress process.

F8.1.4 Promote the need for independent judicial oversight.

O1.1 Equip CSOs and civic tech organizations with tools and partnerships

Practices

O1.1.1 Facilitate capacity-building initiatives that empower civil society organizations (CSOs) with the knowledge and tools needed to engage with DPI effectively. This could include training sessions, resource sharing and technical support.

O1.1.2 Establish and strengthen connections between CSOs, government entities, and private sector organizations to foster collaboration and enhance the impact of civic tech solutions.

O1.1.3 Advocate for private sector engagement with last-mile organizations and rural-based civic tech groups to ensure that DPI is inclusive and accessible to underserved communities.

F6.1 Evaluate the level of granular control available to users over their data preferences

This page explains the practices for the and to minimize the

Practices

F6.1.1 Ensure all communications about data usage are clear, concise, and can be easily understood by non-technical audiences. Mandate sample and demonstrative tools for open and granular consent.

F7.8 Implement a capacity-building strategy using a whole-of-government approach

All

Practices for Government

  • Identify and engage key ministries and partners, such as the Ministry of Telecoms/ICT, CSOs, Ministry of Social Development, Ministry of Health, and Ministry of Women, based on the specific infrastructure being developed.

  • Recognize and communicate from the outset that this is a collective effort, fostering cross-ministerial collaboration and shared ownership of the safeguards and their implementation.

Practices for Donors

  • Identify and engage key ministries and partners, such as the Ministry of Telecoms/ICT, CSOs, Ministry of Social Development, Ministry of Health, and Ministry of Women based on the specific infrastructure being developed.

  • Recognize and communicate from the outset that this is a collective effort, fostering cross-ministerial collaboration and shared ownership of the safeguards and their implementation.

Resources

Digital Rights Foundation Pakistan

Case Study

Coming soon..

References

Case Study

( to come soon..)

References

A Governance Framework for Digital Public Infrastructure: Learning from the Indian Experience

World Bank (2021). Principles on Identification for Sustainable Development: Toward the Digital Age. Washington, D.C.
O7 Practice inclusive governance
RI3 Exclusion, RI2 Unequal access
F8 Ensure effective remedy and redress
RS4 - Lack of recourse
Operations and Maintenance
O1 Leverage market dynamics
SV1 Digital distrust, RI3. - Exclusion
Deployment
F7 Foster community engagement
SV3 Weak institutions
Reinforce transparency and accountability
RS2 Digital insecurity
SV1 Digital distrust
Operations & Maintenance
Process F4.1
Principle F4
risks R9

Case studies

F6 Promote autonomy and agency
RI4 Disempowerment
SV1 Digital distrust
Process F6.1
Principle F6
risks R13

Case studies

References

Deck

O6.1 Raise awareness if the DPI guidance is not linguistically appropriate for the whole population

O6 Respond to gender, ability or age

RI2 - Unequal access, RI3 - Exclusion

Deployment

Practices

O6.1.1 Design systems to manage different language.

F8.7 Ensure availability of independent, accessible and effective remedies and mechanisms

F8 Ensure effective remedy and redress

SV3 Weak institutions,

SV2 Weak rule of law

All - for Regulator

L5- Operations and Maintenance ( for Advocate)

Practices for Regulators

  • Create an independent oversight body with the authority to investigate complaints and ensure fair treatment.

  • Implement accessible reporting channels and support services to assist individuals in filing grievances.

Practices for Advocates

  • Develop toolkits and resources to help individuals understand and access these remedies, and create platforms for reporting and documenting issues.

  • Facilitate workshops and training sessions to empower individuals and advocate for their rights.

  • Build alliances with legal experts to provide pro bono assistance and amplify voices calling for justice and accountability.

F3.1 Provide accessible in-person options for identity proofing and authentication

F3 Do not discriminate

RI2 - Unequal access, RI3 - Exclusion

Deployment

Practices

F3.1.1 Establish physical locations to ensure accessibility in underserved areas.

F3.1.2 Train staff to provide consistent and respectful service, with language support and feedback mechanisms.

F3.1.3 Implement legal protections to access essential services and participate

F.1.2 Integrate human rights assessments

Do no harm

F1.2 Incorporate legal safeguards against coercive measures of enforcement

F1 Do no harm

SV2 Weak rule of law, RI4 Disempowerment

L1 Conception & Scoping

Practices

  • Clearly define what constitutes 'coercion' in the context of legally binding consents, including threats, undue pressure, manipulation or exploitation.

  • Account for coercive practices when used for legally binding consents, such as credit contracts, payments, or matters of divorce and custody.

Case Study

[linked to the specific resources housed in the resource page]

References

[Links to community contributions of existing publications and references]

F9.1 Establish a collaborative governance framework with public and private stakeholders

F9 Are not exclusive

RI3 Exclusion, RI2 - Unequal access

This page dives into practices for Process F9.1 and Principle F9 to mitigate risks R

Practices

F9.1.1 Example: For carbon neutrality, reference to NDC can be made.

Case studies

References

Deck

F8.1 Conduct environmental impact assessments and demand measures that advance carbon neutrality

F8 Focus on future sustainability

SV5 Unsustainability

Practices

  • Engage in active advocacy for the inclusion of environmental impact assessments in DPI projects by organizing awareness campaigns and public forums.

  • Collaborate with environmental experts to create guidelines that highlight the importance of aligning with NDCs and promoting carbon neutrality.

  • Monitor and report on the adoption of green technologies and practices within DPI initiatives, and use this data to lobby for stronger regulations and incentives for sustainable practices.

F5.5 Implement independent oversight and impartial grievance adjudication

,

Practices

  • Implement independent monitoring of DPI to ensure efficiency, transparency and compliance with applicable laws, while identifying issues such as exclusion, misuse, or system failures.

  • Establish mechanisms for rapid, low-cost reviews of disputes related to DPI and personal data by independent administrative and judicial authorities. These authorities should have the power to provide suitable redress without adding barriers for individuals seeking resolution.

Resources

F6.2 Design mechanisms that provide individuals and communities with control over personal data

Practices

  • Enforce regulations that recognise individuals as the primary owners of their personal data, granting them the right to access, correct and delete their data.

Resources

F5.4 Establish appropriate legal framework to govern DPI initiatives

F5 Uphold the rule of law

RS1 Privacy vulnerability, SV2 Weak rule of law

L1 - Conception and Scoping

Practice

  • Incorporate detailed provisions within the legal framework that specify permissible data collection, usage, and sharing practices, to name a few, particularly focusing on data protection, privacy, and user rights.

  • Issue practice directions for the review of security services’ requests for data access, stipulating minimum evidentiary requirements for such approvals, which must be granted by properly constituted courts with requisite knowledge of the subject matter.

  • Assess the legal framework regularly.

Case studies

References

Deck

F5 Uphold the rule of law
SV1 Digital distrust
RI4 Disempowerment
L1 - Conception and Scoping

F6 Promote autonomy and agency
Disempowerment,
Digital distrust
L1 Conception and Scoping

Case Study

[linked to the specific resources housed in the resource page]

References

F9.2 Ensure adequate resourcing for continuous development

F.9 Focus on future sustainability

SV3 Weak institutions,

RI4 Disempowerment

L1 Conception and scoping

Practices

  • Allocate dedicated funding to support a local developer ecosystem, ensuring continuous access to skilled talent.

  • Establish procurement processes that prioritize local developers, providing them with the tools, infrastructure and training necessary to maintain and advance digital public infrastructure.

Resources

Case Study

Coming soon...

References

Coming soon..

World Bank (2021). Principles on Identification for Sustainable Development: Toward the Digital Age. Washington, D.C.
GDPR Europe
;
California CCPA
,
Singapore PDPA
https://www.dpi-safeguards.org/frameworkwww.dpi-safeguards.org
F7.2 Sustain the participation of affected communities in the process by providing funding for the total cost of community engagment
Conception and Scoping
Strategy and Design
Development
Deployment and Transformation
Operations and Maintainance
Conception and Scoping
Strategy and Design
Development
Deployment and Transformation
Operations and Maintainance