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skills/ethics-safety-impact/resources/template.md
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skills/ethics-safety-impact/resources/template.md
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# Ethics, Safety & Impact Assessment Templates
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Quick-start templates for stakeholder mapping, harm/benefit analysis, fairness evaluation, risk prioritization, mitigation planning, and monitoring.
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## Workflow
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```
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Ethics & Safety Assessment Progress:
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- [ ] Step 1: Map stakeholders and identify vulnerable groups
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- [ ] Step 2: Analyze potential harms and benefits
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- [ ] Step 3: Assess fairness and differential impacts
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- [ ] Step 4: Evaluate severity and likelihood
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- [ ] Step 5: Design mitigations and safeguards
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- [ ] Step 6: Define monitoring and escalation protocols
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```
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**Step 1: Map stakeholders and identify vulnerable groups**
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Use [Stakeholder Mapping Template](#stakeholder-mapping-template) to identify all affected parties and prioritize vulnerable populations.
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**Step 2: Analyze potential harms and benefits**
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Brainstorm harms and benefits for each stakeholder group using [Harm/Benefit Analysis Template](#harmbenefit-analysis-template).
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**Step 3: Assess fairness and differential impacts**
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Evaluate outcome, treatment, and access disparities using [Fairness Assessment Template](#fairness-assessment-template).
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**Step 4: Evaluate severity and likelihood**
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Prioritize risks using [Risk Matrix Template](#risk-matrix-template) scoring severity and likelihood.
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**Step 5: Design mitigations and safeguards**
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Plan interventions using [Mitigation Planning Template](#mitigation-planning-template) for high-priority harms.
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**Step 6: Define monitoring and escalation protocols**
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Set up ongoing oversight using [Monitoring Framework Template](#monitoring-framework-template).
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---
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## Stakeholder Mapping Template
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### Primary Stakeholders (directly affected)
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**Group 1**: [Name of stakeholder group]
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- **Size/reach**: [How many people?]
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- **Relationship**: [How do they interact with feature/decision?]
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- **Power/voice**: [Can they advocate for themselves? High/Medium/Low]
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- **Vulnerability factors**: [Age, disability, marginalization, economic precarity, etc.]
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- **Priority**: [High/Medium/Low risk]
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**Group 2**: [Name of stakeholder group]
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- **Size/reach**:
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- **Relationship**:
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- **Power/voice**:
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- **Vulnerability factors**:
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- **Priority**:
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[Add more groups as needed]
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### Secondary Stakeholders (indirectly affected)
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**Group**: [Name]
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- **How affected**: [Indirect impact mechanism]
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- **Priority**: [High/Medium/Low risk]
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### Societal/Systemic Impacts
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- **Norms affected**: [What behaviors/expectations might shift?]
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- **Precedents set**: [What does this enable or legitimize for future?]
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- **Long-term effects**: [Cumulative, feedback loops, structural changes]
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### Vulnerable Groups Prioritization
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Check all that apply and note specific considerations:
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- [ ] **Children** (<18): Special protections needed (consent, safety, development impact)
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- [ ] **Elderly** (>65): Accessibility, digital literacy, vulnerability to fraud
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- [ ] **People with disabilities**: Accessibility compliance, exclusion risk, safety
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- [ ] **Racial/ethnic minorities**: Historical discrimination, disparate impact, cultural sensitivity
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- [ ] **Low-income**: Economic harm, access barriers, inability to absorb costs
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- [ ] **LGBTQ+**: Safety in hostile contexts, privacy, outing risk
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- [ ] **Non-English speakers**: Language barriers, exclusion, misunderstanding
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- [ ] **Politically targeted**: Dissidents, journalists, activists (surveillance, safety)
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- [ ] **Other**: [Specify]
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**Highest priority groups** (most vulnerable + highest risk):
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1.
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2.
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3.
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---
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## Harm/Benefit Analysis Template
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For each stakeholder group, identify potential harms and benefits.
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### Stakeholder Group: [Name]
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#### Potential Benefits
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**Benefit 1**: [Description]
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- **Type**: Economic, Social, Health, Autonomy, Access, Safety, etc.
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- **Magnitude**: [High/Medium/Low]
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- **Distribution**: [Who gets this benefit? Everyone or subset?]
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- **Timeline**: [Immediate, Short-term <1yr, Long-term >1yr]
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**Benefit 2**: [Description]
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- **Type**:
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- **Magnitude**:
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- **Distribution**:
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- **Timeline**:
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#### Potential Harms
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**Harm 1**: [Description]
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- **Type**: Physical, Psychological, Economic, Social, Autonomy, Privacy, Reputational, Epistemic, Political
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- **Mechanism**: [How does harm occur?]
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- **Affected subgroup**: [Everyone or specific subset within stakeholder group?]
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- **Severity**: [1-5, where 5 = catastrophic]
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- **Likelihood**: [1-5, where 5 = very likely]
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- **Risk Score**: [Severity × Likelihood]
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**Harm 2**: [Description]
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- **Type**:
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- **Mechanism**:
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- **Affected subgroup**:
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- **Severity**:
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- **Likelihood**:
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- **Risk Score**:
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**Harm 3**: [Description]
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- **Type**:
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- **Mechanism**:
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- **Affected subgroup**:
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- **Severity**:
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- **Likelihood**:
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- **Risk Score**:
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#### Second-Order Effects
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- **Feedback loops**: [Does harm create conditions for more harm?]
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- **Accumulation**: [Do small harms compound over time?]
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- **Normalization**: [Does this normalize harmful practices?]
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- **Precedent**: [What does this enable others to do?]
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---
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## Fairness Assessment Template
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### Outcome Fairness (results)
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**Metric being measured**: [e.g., approval rate, error rate, recommendation quality]
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**By group**:
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| Group | Metric Value | Difference from Average | Disparate Impact Ratio |
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|-------|--------------|-------------------------|------------------------|
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| Group A | | | |
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| Group B | | | |
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| Group C | | | |
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| Overall | | - | - |
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**Disparate Impact Ratio** = (Outcome rate for protected group) / (Outcome rate for reference group)
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- **> 0.8**: Generally acceptable (80% rule)
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- **< 0.8**: Potential disparate impact, investigate
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**Questions**:
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- [ ] Are outcome rates similar across groups (within 20%)?
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- [ ] If not, is there a legitimate justification?
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- [ ] Do error rates (false positives/negatives) differ across groups?
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- [ ] Who bears the burden of errors?
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### Treatment Fairness (process)
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**How decisions are made**: [Algorithm, human judgment, hybrid]
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**By group**:
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| Group | Treatment Description | Dignity/Respect | Transparency | Recourse |
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|-------|----------------------|-----------------|--------------|----------|
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| Group A | | High/Med/Low | High/Med/Low | High/Med/Low |
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| Group B | | High/Med/Low | High/Med/Low | High/Med/Low |
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**Questions**:
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- [ ] Do all groups receive same quality of service/interaction?
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- [ ] Are decisions explained equally well to all groups?
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- [ ] Do all groups have equal access to appeals/recourse?
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- [ ] Are there cultural or language barriers affecting treatment?
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### Access Fairness (opportunity)
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**Barriers to access**:
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| Barrier Type | Description | Affected Groups | Severity |
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|--------------|-------------|-----------------|----------|
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| Economic | [e.g., cost, credit required] | | High/Med/Low |
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| Technical | [e.g., device, internet, literacy] | | High/Med/Low |
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| Geographic | [e.g., location restrictions] | | High/Med/Low |
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| Physical | [e.g., accessibility, disability] | | High/Med/Low |
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| Social | [e.g., stigma, discrimination] | | High/Med/Low |
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| Legal | [e.g., documentation required] | | High/Med/Low |
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**Questions**:
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- [ ] Can all groups access the service/benefit equally?
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- [ ] Are there unnecessary barriers that could be removed?
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- [ ] Do barriers disproportionately affect vulnerable groups?
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### Intersectionality Check
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**Combinations of identities that may face unique harms**:
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- Example: Black women (face both racial and gender bias)
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- Example: Elderly immigrants (language + digital literacy + age)
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Groups to check:
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- [ ] Intersection of race and gender
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- [ ] Intersection of disability and age
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- [ ] Intersection of income and language
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- [ ] Other combinations: [Specify]
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---
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## Risk Matrix Template
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Score each harm on Severity (1-5) and Likelihood (1-5). Prioritize high-risk (red/orange) harms for mitigation.
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### Severity Scale
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- **5 - Catastrophic**: Death, serious injury, irreversible harm, widespread impact
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- **4 - Major**: Significant harm, lasting impact, affects many people
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- **3 - Moderate**: Noticeable harm, temporary impact, affects some people
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- **2 - Minor**: Small harm, easily reversed, affects few people
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- **1 - Negligible**: Minimal harm, no lasting impact
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### Likelihood Scale
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- **5 - Very Likely**: >75% chance, expected to occur
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- **4 - Likely**: 50-75% chance, probable
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- **3 - Possible**: 25-50% chance, could happen
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- **2 - Unlikely**: 5-25% chance, improbable
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- **1 - Rare**: <5% chance, very unlikely
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### Risk Matrix
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| Harm | Stakeholder Group | Severity | Likelihood | Risk Score | Priority |
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|------|------------------|----------|------------|------------|----------|
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| [Harm 1 description] | [Group] | [1-5] | [1-5] | [S×L] | [Color] |
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| [Harm 2 description] | [Group] | [1-5] | [1-5] | [S×L] | [Color] |
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| [Harm 3 description] | [Group] | [1-5] | [1-5] | [S×L] | [Color] |
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**Priority Color Coding**:
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- **Red** (Risk ≥15): Critical, must address before launch
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- **Orange** (Risk 9-14): High priority, address soon
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- **Yellow** (Risk 5-8): Monitor, mitigate if feasible
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- **Green** (Risk ≤4): Low priority, document and monitor
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**Prioritized Harms** (Red + Orange):
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1. [Highest risk harm]
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2. [Second highest]
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3. [Third highest]
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---
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## Mitigation Planning Template
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For each high-priority harm, design interventions.
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### Harm: [Description of harm being mitigated]
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**Affected Group**: [Who experiences this harm]
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**Risk Score**: [Severity × Likelihood = X]
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#### Mitigation Strategies
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**Option 1: [Mitigation name]**
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- **Type**: Prevent, Reduce, Detect, Respond, Safeguard, Transparency, Empower
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- **Description**: [What is the intervention?]
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- **Effectiveness**: [How much does this reduce risk? High/Medium/Low]
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- **Cost/effort**: [Resources required? High/Medium/Low]
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- **Tradeoffs**: [What are downsides or tensions?]
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- **Owner**: [Who is responsible for implementation?]
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- **Timeline**: [By when?]
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**Option 2: [Mitigation name]**
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- **Type**:
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- **Description**:
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- **Effectiveness**:
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- **Cost/effort**:
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- **Tradeoffs**:
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- **Owner**:
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- **Timeline**:
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**Recommended Approach**: [Which option(s) to pursue and why]
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#### Residual Risk
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After mitigation:
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- **New severity**: [1-5]
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- **New likelihood**: [1-5]
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- **New risk score**: [S×L]
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**Acceptable?**
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- [ ] Yes, residual risk is acceptable given tradeoffs
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- [ ] No, need additional mitigations
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- [ ] Escalate to [ethics committee/leadership/etc.]
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#### Implementation Checklist
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- [ ] Design changes specified
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- [ ] Testing plan includes affected groups
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- [ ] Documentation updated (policies, help docs, disclosures)
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- [ ] Training provided (if human review/moderation involved)
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- [ ] Monitoring metrics defined (see next template)
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- [ ] Review date scheduled (when to reassess)
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---
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## Monitoring Framework Template
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### Outcome Metrics
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Track actual impacts post-launch to detect harms early.
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**Metric 1**: [Metric name, e.g., "Approval rate parity"]
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- **Definition**: [Precisely what is measured]
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- **Measurement method**: [How calculated, from what data]
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- **Baseline**: [Current or expected value]
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- **Target**: [Goal value]
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- **Threshold for concern**: [Value that triggers action]
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- **Disaggregation**: [Break down by race, gender, age, disability, etc.]
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- **Frequency**: [Daily, weekly, monthly, quarterly]
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- **Owner**: [Who tracks and reports this]
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**Metric 2**: [Metric name]
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- Definition, method, baseline, target, threshold, disaggregation, frequency, owner
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**Metric 3**: [Metric name]
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- Definition, method, baseline, target, threshold, disaggregation, frequency, owner
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### Leading Indicators & Qualitative Monitoring
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- **Indicator 1**: [e.g., "User reports spike"] - Threshold: [level]
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- **Indicator 2**: [e.g., "Declining engagement Group Y"] - Threshold: [level]
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- **User feedback**: Channels for reporting concerns
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- **Community listening**: Forums, social media, support tickets
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- **Affected group outreach**: Check-ins with vulnerable communities
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### Escalation Protocol
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**Yellow Alert** (early warning):
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- **Trigger**: [e.g., Metric exceeds threshold by 10-20%]
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- **Response**: Investigate, analyze patterns, prepare report
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**Orange Alert** (concerning):
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- **Trigger**: [e.g., Metric exceeds threshold by >20%, or multiple yellow alerts]
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- **Response**: Escalate to product/ethics team, begin mitigation planning
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**Red Alert** (critical):
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- **Trigger**: [e.g., Serious harm reported, disparate impact >20%, safety incident]
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- **Response**: Escalate to leadership, pause rollout or rollback, immediate remediation
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**Escalation Path**:
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1. First escalation: [Role/person]
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2. If unresolved or critical: [Role/person]
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3. Final escalation: [Ethics committee, CEO, board]
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### Review Cadence
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- **Daily**: Critical safety metrics (safety-critical systems only)
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- **Weekly**: User complaints, support tickets
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- **Monthly**: Outcome metrics, disparate impact dashboard
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- **Quarterly**: Comprehensive fairness audit
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- **Annually**: External audit, stakeholder consultation
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### Audit & Accountability
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- **Audits**: Internal (who, frequency), external (independent, when)
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- **Transparency**: What disclosed, where published
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- **Affected group consultation**: How vulnerable groups involved in oversight
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---
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## Complete Assessment Template
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Full documentation structure combines all above templates:
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1. **Context**: Feature/decision description, problem, alternatives
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2. **Stakeholder Analysis**: Use Stakeholder Mapping Template
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3. **Harm & Benefit Analysis**: Use Harm/Benefit Analysis Template for each group
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4. **Fairness Assessment**: Use Fairness Assessment Template (outcome/treatment/access)
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5. **Risk Prioritization**: Use Risk Matrix Template, identify critical harms
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6. **Mitigation Plan**: Use Mitigation Planning Template for each critical harm
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7. **Monitoring & Escalation**: Use Monitoring Framework Template
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8. **Decision**: Proceed/staged rollout/delay/reject with rationale and sign-off
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9. **Post-Launch Review**: 30-day, 90-day checks, ongoing monitoring, updates
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